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Contents Federal Register Vol. 64, No. 159

Wednesday, August 18, 1999

Agriculture Department NOTICES See Forest Service Meetings: Fusion Energy Sciences Advisory Committee, 44911– Antitrust Division 44912 NOTICES Competitive impact statements and proposed consent Energy Efficiency and Renewable Energy Office judgments: NOTICES Aetna Inc. et al., 44946–44958 Meetings: National cooperative research notifications: State Energy Advisory Board, 44912 Health Information Initiative Consortium, 44958–44959 Reports and guidance documents; availability, etc.: Sarnoff: HDTV Broadcast Technology Consortium, 44959 Federal Energy Management Program measurement and Southwest Research Institute Joint Industry Program, verification guidelines; comment request, 44912– 44959–44960 44913

Census Bureau Environmental Protection Agency NOTICES RULES Agency information collection activities: Hazardous waste program authorizations: Proposed collection; comment request, 44889–44891 Texas, 44836–44841 Pesticides; tolerances in food, animal feeds, and raw Coast Guard agricultural commodities: RULES Glufosinate ammonium, 44829–44836 Drawbridge operations: Pyriproxyfen, 44826–44829 Connecticut, 44826 PROPOSED RULES NOTICES Air pollutants, hazardous; national emission standards: Meetings: Chromium emissions from hard and decorative Lower Mississippi River Waterway Safty Advisory chromium electroplating and anodizing tanks, etc., Committee, 45007 45115–45120 Hazardous waste: Commerce Department Identification and listing— See Census Bureau Exclusions, 44866–44876 See Foreign-Trade Zones Board Hazardous waste program authorizations: See International Trade Administration Texas, 44876–44877 See National Oceanic and Atmospheric Administration Water pollution; effluent guidelines for point source NOTICES categories: Agency information collection activities: Industrial laundries; withdrawn, 45071–45087 Submission for OMB review; comment request, 44889 NOTICES Agency information collection activities: Defense Department Submission for OMB review; comment request, 44918– NOTICES 44919 Agency information collection activities: Grants, State and local assistance: Submission for OMB review; comment request, 44894 Grantee performance evaluation reports— Arms sales notification; transmittal letter, etc., 44894–44903 Various States, 44919–44920 Environmental statements; availability, etc.: Meetings: Northern Mariana Islands; military training activities, Ethoprop, fenamiphos, phorate, and terbufos; revised 44904–44909 organophosphate pesticide risk assessments, 44920– 44921 Education Department Pesticide programs: Organophosphates; risk assessments and public NOTICES Agency information collection activities: participation in risk management— Proposed collection; comment request, 44909–44911 Chlorethoxyfos, 44921–44922 Submission for OMB review; comment request, 44911 Pesticide registration, cancellation, etc.: Grants and cooperative agreements; availability, etc.: Neurotoxic pesticides; Data Call-In notice; correction, Special education and rehabilitative services— 44922–44923 State Program Improvement Program, 45121–45147 Federal Aviation Administration Energy Department RULES See Energy Efficiency and Renewable Energy Office Airworthiness directives: See Federal Energy Regulatory Commission Airbus, 44821–44823 PROPOSED RULES Empresa Brasileira de Aeronautica S.A., 44819–44821 Polygraph examination regulations, 45061–45070 Schweizer Aircraft Corp., 44823–44825

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Airworthiness standards: Federal Maritime Commission Rotorcraft; normal category— NOTICES Maximum weight and passenger seat limitation, 45091– Agreements filed, etc., 44925–44926 45095 Casualty and nonperformance certificates: Special conditions— American Classic Voyages Co. et al., 44926 GEC-Marconi/Boeing Model 737-800 airplane, 44817– American West Steamboat Co. LLC et al., 44926 44819 Complaints filed: Class E airspace, 44825–44826 Carolina Marine Handling, Inc., 44926–44927 PROPOSED RULES Freight forwarder licenses: Air carrier certification and operations: Danco Freight Forwarding Co. et al., 44927–44928 Aging airplane safety, 45089–45090 Investigations, hearings, petitions, etc.: Class D and Class E airspace, 44865–44866 Kelly, David P., et al., 44928 NOTICES Exemption petitions; summary and disposition, 45007– Federal Reserve System 45008 NOTICES Grants and cooperative agreements; availability, etc.: Banks and bank holding companies: Airport Improvement Program, 45008–45011 Formations, acquisitions, and mergers, 44928 Meetings: RTCA, Inc., 45011–45012 Fish and Wildlife Service PROPOSED RULES Federal Communications Commission Endangered and threatened species: RULES Canada lynx, 44883 Radio and television broadcasting: Food and Drug Administration Competitive bidding procedures— NOTICES Commercial broadcast and instructional television Harmonisation International Conference; guidelines fixed service licenses, 44856–44858 availability: PROPOSED RULES Biotechnological/biological products; test procedures and Common carrier service: acceptance criteria, 44928–44935 Incumbent local exchange carriers; accounting and Reports and guidance documents; availability, etc.: reporting requirements; comprehensive review, Levothyroxine sodium; industry guidance, 44935 44877–44883 NOTICES Foreign-Trade Zones Board Common carrier services: NOTICES Telecommunications reporting worksheet for Applications, hearings, determinations, etc.: contributions to universal service support Ohio, 44891–44892 mechanisms, 44923 Number conservation measures; petitions: Forest Service Connecticut, 44924 NOTICES Rulemaking proceedings; petitions filed, granted, denied, Meetings: etc., 44924–44925 Blue Mountains Natural Resources Institute Board of Directors, 44889 Federal Election Commission NOTICES Geological Survey Meetings; Sunshine Act, 44925 NOTICES Washington State; geologic map of Silver Lake Quadrangle; Federal Energy Regulatory Commission contribution acceptance from Weyerhaeuser Corp., NOTICES 44938 Electric rate and corporate regulation filings: KN Energy, Inc., et al., 44916–44918 Health and Human Services Department Hydroelectric applications, 44918 See Food and Drug Administration Applications, hearings, determinations, etc.: See Health Care Financing Administration Arkansas Western Pipeline, L.L.C., 44913 See Health Resources and Services Administration Dynegy Midstream Pipeline, Inc., 44913 See National Institutes of Health Great Lakes Gas Transmission L.P., 44913 Health Care Financing Administration High Island Offshore System, L.L.C., 44914 RULES Northern Natural Gas Co., 44914 Medicare: Petal Gas Storage Co., 44914–44915 Graduate medical education; incentive payments under Puget Sound Energy, Inc., 44915 plans for voluntary reduction in number of residents, Southern Co. Services, Inc., 44915 44841–44856 U-T Offshore System, 44915 Venice Gathering System, L.L.C., 44915–44916 Health Resources and Services Administration NOTICES Federal Highway Administration Competitive comprehensive grants preview (1999 FY); NOTICES availability, 45015–45059 Environmental statements; notice of intent: Jefferson, Chambers, and Galveston Counties, TX, 45012– Interior Department 45013 See Fish and Wildlife Service

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See Geological Survey National Institutes of Health See Land Management Bureau NOTICES See National Park Service Meetings: See Reclamation Bureau National Human Genome Research Institute, 44935– NOTICES 44936 Senior Executive Service: National Institute of Child Health and Human Performance Review Board; membership, 44937–44938 Development, 44937 National Institute of Neurological Disorders and Stroke, International Trade Administration 44936–44937 NOTICES National Institute on Alcohol Abuse and Alcoholism, Antidumping: 44936 Steel concrete reinforcing bars from— National Institute on Deafness and Other Communication Turkey, 44892 Disorders, 44936 Welded carbon steel pipes and tubes from— Thailand, 44892–44893 National Oceanic and Atmospheric Administration RULES Fishery conservation and management: International Trade Commission Alaska; fisheries of Exclusive Economic Zone— NOTICES Pacific perch, 44859 Import investigations: Rockfish, 44858–44859 CD-ROM controllers and products containing same, PROPOSED RULES 44941 Fishery conservation and management: Meetings; Sunshine Act, 44941–44942 Atlantic highly migratory species— Atlantic bluefin tuna, 44885–44888 Justice Department Caribbean, Gulf, and South Atlantic fisheries— See Antitrust Division Gulf of Mexico Region fishery management plans, See Justice Programs Office 44884–44885 See National Institute of Justice NOTICES NOTICES Marine mammals: Grants and cooperative agreements; availability, etc.: Incidental taking; authorization letters, etc.— Community oriented policing services (COPS)— Vandenberg Air Force Base, CA; space launch vehicles; Tools and products for policing agencies; development, harbor seals and California sea lions, 44893–44894 44942–44945 Information processing standards, Federal: National Park Service Data Encryption Standard; waivers, 44945 NOTICES Pollution control; consent judgments: National Register of Historic Places: A&D Recycling, Inc., et al., 44945 Pending nominations, 44939–44940 Greenwood Chemical Co., 44945–44946 Nuclear Regulatory Commission Justice Programs Office PROPOSED RULES NOTICES Production and utilization facilities; domestic licensing: Grants and cooperative agreements; availability, etc.: Noncombustible fire barrier penetration seal materials; County and municipal agency domestic preparedness requirement eliminated, etc., 44860–44865 equipment support program, 44960–44961 NOTICES Meetings; Sunshine Act, 44965–44966 Reports and guidance documents documents; availability, Labor Department etc.: See Occupational Safety and Health Administration Nuclear Reactor Regulation projects; redefining role; workshop summary, 44966–44969 Land Management Bureau Applications, hearings, determinations, etc.: NOTICES Commonwealth Edison Co., 44962–44964 Closure of public lands: North Atlantic Energy Service Corp. et al., 44965 Oregon, 44938 Meetings: Occupational Safety and Health Administration Resource Advisory Councils— PROPOSED RULES New Mexico, 44938–44939 Safety and health standards: Nationally recognized testing laboratories; fees; reduction of public comment period on recognition notices, Maritime Administration 45098–45114 NOTICES NOTICES Agency information collection activities: Agency information collection activities: Submission for OMB review; comment request, 45013 Proposed collection; comment request, 44962

National Institute of Justice Public Health Service NOTICES See Food and Drug Administration Meetings: See Health Resources and Services Administration Future of DNA Evidence National Commission, 44961 See National Institutes of Health

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Railroad Retirement Board Separate Parts In This Issue NOTICES Agency information collection activities: Proposed collection; comment request, 44969–44970 Part II Department of Health and Human Services, Health Reclamation Bureau Resources and Services Administration, 45015–45059 NOTICES Meetings: Bay-Delta Advisory Council, 44940–44941 Part III Department of Energy, 45061–45070 Securities and Exchange Commission NOTICES Part IV Self-regulatory organizations; proposed rule changes: American Stock Exchange LLC, 44976–44980 Environmental Protection Agency, 45071–45087 Chicago Board Options Exchange, Inc., 44980–44982 Emerging Markets Clearing Corp., 44982–44983 Part V National Association of Securities Dealers, Inc., 44983– Department of Transportation, Federdal Aviation 44985 Administration, 45089–45090 New York Stock Exchange, Inc., 44985–44986 Applications, hearings, determinations, etc.: Intertape Polymer Group Inc., 44970–44971 Part VI Parkstone Advantage Fund et al., 44971–44976 Department of Transportation, Federal Aviation Administration, 45091–45095 Small Business Administration NOTICES Organization, functions, and authority delegations: Part VII Administrator; order of succession, 44986 Department of Labor, Occupational Safety and Health Small business size standards: Administration, 45097–45114 Full table of four-digit Standard Industrial Classification codes; publication, 44986–45007 Part VIII Transportation Department Environmental Protection Agency, 45115–45120 See Coast Guard See Federal Aviation Administration See Federal Highway Administration Part IX See Maritime Administration Department of Education, 45121–45147 Treasury Department NOTICES Senior Executive Service: Reader Aids Combined Performance Review Board; membership, Consult the Reader Aids section at the end of this issue for 45013–45014 phone numbers, online resources, finding aids, reminders, and notice of recently enacted public laws.

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CFR PARTS AFFECTED IN THIS ISSUE

A cumulative list of the parts affected this month can be found in the Reader Aids section at the end of this issue.

10 CFR Proposed Rules: 50...... 44860 709...... 45062 710...... 45062 711...... 45062 14 CFR 25...... 44817 27...... 45092 39 (3 documents) ...... 44819, 44821, 44823 71...... 44825 Proposed Rules: 71...... 44865 119...... 45090 121...... 45090 129...... 45090 135...... 45090 183...... 45090 29 CFR Proposed Rules: 1910...... 45098 33 CFR 117...... 44826 40 CFR 180 (2 documents) ...... 44826, 44829 271...... 44836 Proposed Rules: 63...... 45116 261...... 44866 271...... 44876 441...... 45072 42 CFR 413...... 44841 47 CFR 73...... 44856 Proposed Rules: 32...... 44877 43...... 44877 64...... 44877 50 CFR 679 (2 documents) ...... 44858, 44859 Proposed Rules: 17...... 44883 622...... 44884 635...... 44885

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Rules and Regulations Federal Register Vol. 64, No. 159

Wednesday, August 18, 1999

This section of the FEDERAL REGISTER weekdays, except Federal holidays, supplemental type certificate to modify contains regulatory documents having general between 7:30 a.m. and 4 p.m. Type Certificate No. A16WE for the applicability and legal effect, most of which FOR FURTHER INFORMATION CONTACT: Boeing Model 737–800. are keyed to and codified in the Code of Gerry Lakin, FAA, Transport Airplane The Boeing Model 737–800 is a low- Federal Regulations, which is published under wing, pressurized airplane with twin, 50 titles pursuant to 44 U.S.C. 1510. Directorate, Aircraft Certification Service, Standardization Branch, ANM– wing-mounted, jet engines that is The Code of Federal Regulations is sold by 113, 1601 Lind Avenue SW., Renton, configured for approximately 162 the Superintendent of Documents. Prices of Washington, 98055–4056; telephone passengers. The airplane has a new books are listed in the first FEDERAL (425) 227–1187; facsimile (425) 227– maximum standard takeoff weight of REGISTER issue of each week. 1149. 155,500 pounds, a maximum landing weight of 146,300 pounds, a maximum SUPPLEMENTARY INFORMATION: The FAA operating altitude of 41,000 feet, and a has determined that notice and DEPARTMENT OF TRANSPORTATION range of 3370 nautical miles. The opportunity for prior public comment overall length of the Boeing Model 737– hereon are impracticable because these Federal Aviation Administration 800 is 129 feet, 6 inches, the height is procedures would significantly delay 41 feet, 2 inches, and the wing span is issuance of the approval design and 14 CFR Part 25 112 feet, 7 inches. The modification thus delivery of the affected aircraft. In incorporates a head up display (HUD) [Docket No. NM161, Special Conditions No. addition, the substance of these special system for display of critical flight 25±146±SC] conditions has been subject to the parameters (altitude, airspeed, and public comment process in several prior Special Conditions: GEC-Marconi; attitude) to the crew. The display can be instances with no substantive comments susceptible to disruption to both Boeing Model 737±800 Airplane; High received. The FAA therefore finds that Intensity Radiated Fields (HIRF) command/response signals as a result of good cause exists for making these electrical and magnetic interference. AGENCY: Federal Aviation special conditions effective upon This disruption of signals could result Administration (FAA), DOT. issuance. in loss of all critical flight displays and ACTION: Final special conditions; request Comments Invited annunciations or present misleading information to the pilot. for comments. Interested persons are invited to submit such written data, views, or Type Certification Basis SUMMARY: These special conditions are arguments, as they may desire. issued for the Boeing Model 737–800 Under the provisions of 14 CFR Communications should identify the airplane, as modified by GEC-Marconi. 21.101, GEC-Marconi must show that regulatory docket and special conditions The Model 737–800 is equipped with a the Model 737–800 airplane, as number and be submitted in duplicate high-technology digital avionics system changed, continues to meet the to the address specified above. All that performs critical functions. The applicable provisions of the regulations communications received on or before applicable type certification regulations incorporated by reference in Type the closing date for comments will be do not contain adequate or appropriate Certificate No. A16WE or the applicable considered by the Administrator. These safety standards for the protection of regulations in effect on the date of special conditions may be changed in this system from the effects of high- application for the change. The light of the comments received. All intensity radiated fields (HIRF). These regulations incorporated by reference in comments submitted will be available in special conditions provide the the type certificate are commonly the Rules Docket for examination by additional safety standards that the referred to as the ‘‘original type interested persons, both before and after Administrator considers necessary to certifications basis.’’ The certification the closing date for comments. A report ensure that the critical functions this basis for the modified Boeing Model summarizing each substantive public system performs are maintained when 737–800 airplanes is as follows: contact with FAA personnel concerning the airplane is exposed to HIRF. For airworthiness and environmental this rulemaking will be filed in the standards for components and areas not DATES: The effective date of these docket. Persons wishing the FAA to affected by the change, the original special conditions is July 29, 1999. acknowledge receipt of their comments certification basis for the Model 737– Comments must be received on or submitted in response to this request 800 is shown on Type Certificate Data before October 4, 1999. must submit with those comments a Sheet (TCDS) No. A15WE, revision 25, ADDRESSES: Comments on these special self-addressed, stamped postcard on dated September 9, 1998. The Model conditions may be mailed in duplicate which the following statement is made: 737–800 was certified to part 25, as to: Federal Aviation Administration, ‘‘Comments to Docket No. NM161.’’ The amended by Amendments 25–1 though Transport Airplane Directorate, postcard will be date stamped and 25–77, with reversions to earlier Attention: Rules Docket (ANM–114), returned to the commenter. Amendments, voluntary compliance to Docket No. NM161, 1601 Lind Avenue later Amendments, special conditions, Background SW., Renton, Washington, 98055–4056; equivalent safety findings and or delivered in duplicate to the On September 28, 1998, the Los exemptions listed in the TCDS. Transport Airplane Directorate at the Angeles Aircraft Certification Office For airworthiness and environmental above address. Comments must be received an application from GEC- standards for components and areas marked: Docket No. NM161. Comments Marconi Avionics (GMA) Ltd., Airport affected by the change, the certification may be inspected in the Rules Docket Works, Rochester, Kent, England, for a basis for the Model 737–800 is 14 CFR

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Should GEC-Marconi standards for the Boeing Model 737–800 established. apply at a later date for a supplemental airplane because of novel or unusual It is not possible to precisely define type certificate to modify any other design features, special conditions are the HIRF to which the airplane will be model included on the same type prescribed under the provisions of exposed in service. There is also certificate to incorporate the same novel § 21.16. uncertainty concerning the effectiveness or unusual design feature, these special In addition to the applicable of airframe shielding for HIRF. conditions would apply to that model as airworthiness regulations and special Furthermore, coupling of well under the provisions of conditions, the Model 737–800 must electromagnetic energy to cockpit- § 21.101(a)(1). comply with the part 25 fuel and installed equipment through the cockpit Conclusion exhaust emission requirements of 14 window apertures is undefined. Based CFR part 34 and the part 25 noise on surveys and analysis of existing HIRF This action affects only certain design certification requirements of 14 CFR emitters, an adequate level of protection features on Boeing Model 737–800 part 36. exists when compliance with the HIRF airplanes modified by GEC-Marconi. It protection special condition is shown is not a rule of general applicability and Special conditions, as appropriate, are with either paragraph 1 OR 2 below: affects only the applicant who applied issued in accordance with § 11.49, as 1. A minimum threat of 100 volts per to the FAA for approval of these features required by §§ 11.28 and 11.29, and meter peak electric field strength from on the airplane. become part of the type certification 10 KHz to 18 GHz. The substance of the special basis in accordance with § 21.101(b)(2). a. The threat must be applied to the conditions for this airplane has been Special conditions are initially system elements and their associated subjected to the notice and comment applicable to the model for which they wiring harnesses without the benefit of procedure in several prior instances and are issued. Should GEC-Marconi apply airframe shielding. has been derived without substantive at a later date for a supplemental type b. Demonstration of this level of change from those previously issued. It certificate to modify any other model protection is established through system is unlikely that prior public comment included on the same type certificate to tests and analysis. would result in a significant change incorporate the same novel or unusual 2. A threat external to the airframe of from the substance contained herein. design feature, these special conditions the following field strengths for the For this reason, and because a delay would also apply to the other model frequency ranges indicated. would significantly affect the under the provisions of § 21.101(a)(1). certification of the airplane, which is Field strength (volts imminent, the FAA has determined that Novel or Unusual Design Features per meter) Frequency prior public notice and comment are Boeing Model 737–800 will Peak Average unnecessary and impracticable, and incorporate a head up display (HUD) good cause exists for adopting these system that performs critical functions. 10 kHzÐ100 kHz ..... 50 50 special conditions immediately. 100 kHzÐ500 kHz ... 50 50 This system may be vulnerable to HIRF Therefore, these special conditions are 500 kHzÐ2 MHz ...... 50 50 being made effective upon issuance. The external to the airplane. 2 MHzÐ30 MHz ...... 100 100 FAA is requesting comments to allow Discussion 30 MHzÐ70 MHz ..... 50 50 70 MHzÐ100 MHz ... 50 50 interested persons to submit views that may not have been submitted in There is no specific regulation that 100 MHzÐ200 MHz 100 100 response to the prior opportunities for addresses protection requirements for 200 MHzÐ400 MHz 100 100 400 MHz±700 MHz ... 700 50 comment described above. electrical and electronic systems from 700 MHz±1 GHz ...... 700 100 HIRF. Increased power levels from 1 GHz±2 GHz ...... 2000 200 List of Subjects in 14 CFR Part 25 ground-based radio transmitters and the 2 GHz±4 GHz ...... 3000 200 Aircraft, Aviation safety, Reporting growing use of sensitive electrical and 4 GHz±6 GHz ...... 3000 200 and recordkeeping requirements. electronic systems to command and 6 GHz±8 GHz ...... 1000 200 The authority citation for these 8 GHz±12 GHz ...... 3000 300 control airplanes have made it necessary special conditions is as follows: to provide adequate protection. 12 GHz±18 GHz ...... 2000 200 18 GHz±40 GHz ...... 600 200 Authority: 49 U.S.C. 106(g), 40113, 44701, To ensure that a level of safety is 44702, 44704. achieved equivalent to that intended by The field strengths are expressed in terms of the applicable regulations incorporated peak root-mean-square (rms) values. The Special Conditions by reference, special conditions are Accordingly, pursuant to the needed for the Boeing Model 737–800, The threat levels identified above are authority delegated to me by the which require that new electrical and the result of an FAA review of existing Administrator, the following special electronic systems, such as the HUD, studies on the subject of HIRF, in light conditions are issued as part of the type that perform critical functions be of the ongoing work of the certification basis for Boeing Model designed and installed to preclude Electromagnetic Effects Harmonization 737–800 airplanes modified by GEC- component damage and interruption of Working Group of the Aviation Marconi. function due to both the direct and Rulemaking Advisory Committee. In 1. Protection from Unwanted Effects indirect effects of HIRF. general, these standards are less critical of High-Intensity Radiated Fields

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(HIRF). Each electrical and electronic The incorporation by reference of withdrawal of the proposed rule, the system that performs critical functions certain publications listed in the commenter references two instances, must be designed and installed to regulations is approved by the Director one in 1991 and one in 1997, in which ensure that the operation and of the Federal Register as of September the Brazilian Centro To´cnico operational capability of these systems 22, 1999. Aeroespacial (CTA) documented that if to perform critical functions are not ADDRESSES: The service information a single cable failed during flight, the adversely affected when the airplane is referenced in this AD may be obtained airplane would be able to land safely. exposed to high-intensity radiated fields from Empresa Brasileira de Aeronautica The commenter also states that the external to the airplane. S.A. (EMBRAER), P.O. Box 343—CEP EMB–120 Maintenance Review Board For the purpose of these special 12.225, Sao Jose dos Campos—SP, (MRB) inspection interval for the aileron conditions, the following definition Brazil. This information may be cables is sufficient to ensure continued applies: examined at the Federal Aviation airworthiness in lieu of issuance of the Critical Functions. Functions whose Administration (FAA), Transport final rule. failure would contribute to or cause a Airplane Directorate, Rules Docket, Another commenter, the failure condition that would prevent the 1601 Lind Avenue, SW., Renton, manufacturer, states that inspections of continued safe flight and landing of the Washington; or at the FAA, Small certain airplanes conducted at its airplane. Airplane Directorate, Atlanta Aircraft facility revealed cables with polished Certification Office, One Crown Center, areas, but no indication of wear or Issued in Renton, Washington, on July 29, rupture was detected. The commenter 1999. 1895 Phoenix Boulevard, suite 450, Atlanta, Georgia; or at the Office of the states also that operators that have not Donald L. Riggin, incorporated Revision 2 of the service Federal Register, 800 North Capitol Acting Manager, Transport Airplane bulletin have a rigorous inspection Street, NW, suite 700, Washington, DC. Directorate, Aircraft Certification Service, interval of every 400 flight hours, per ANM–100. FOR FURTHER INFORMATION CONTACT: Rob the MRB. For operators that have [FR Doc. 99–20858 Filed 8–17–99; 8:45 am] Capezutto, Aerospace Engineer, Systems incorporated Revision 2 of the service BILLING CODE 4910±13±U and Flight Test Branch, ACE–116A, bulletin, the cable inspections are to be FAA, Small Airplane Directorate, accomplished at each ‘‘5A’’ check (2,000 Atlanta Aircraft Certification Office, flight hours). The commenter states that DEPARTMENT OF TRANSPORTATION One Crown Center, 1895 Phoenix during the past 10 years it has Boulevard, suite 450, Atlanta, Georgia Federal Aviation Administration performed 25 ‘‘C’’ checks with no record 30349; telephone (770) 703–6071; fax of aileron cable replacement due to 14 CFR Part 39 (770) 703–6097. broken wires. SUPPLEMENTARY INFORMATION: A The FAA does not concur with the [Docket No. 98±NM±233±AD; Amendment proposal to amend part 39 of the Federal commenters’ requests. The FAA does 39±11253; AD 99±17±04] Aviation Regulations (14 CFR part 39) to consider this a safety issue based on the RIN 2120±AA64 include an airworthiness directive (AD) determination that if the aileron cable that is applicable to certain EMBRAER were to break during a critical portion Airworthiness Directives; Empresa Model EMB–120 series airplanes was of the flight, such as during a steep turn Brasileira de Aeronautica S.A. published in the Federal Register on or on approach for landing, it would (EMBRAER) Model EMB±120 Series September 3, 1998 (63 FR 46932). That result in reduced controllability of the Airplanes action proposed to require replacement airplane. of the fairlead support assemblies of the In addition, an investigation of service AGENCY: Federal Aviation aileron control cable located in the difficulties conducted by the FAA Administration, DOT. nacelle outboard fittings with new, revealed over 200 reports of aileron ACTION: Final rule. improved assemblies; and replacement cable wear. Although most of these of certain attachment screws with new occurred in the early 1990’s, several SUMMARY: This amendment adopts a screws. cases were reported in 1997 and two new airworthiness directive (AD), through mid-1998. This suggests that applicable to certain EMBRAER Model Comments not all operators are incorporating the EMB–120 series airplanes, that requires Interested persons have been afforded service bulletin. replacement of the fairlead support an opportunity to participate in the Based on this information, the FAA assemblies of the aileron control cable making of this amendment. Due finds that issuance of the final rule is located in the nacelle outboard fittings consideration has been given to the necessary to ensure an adequate level of with new, improved assemblies; and comments received. safety for the affected fleet. replacement of certain attachment screws with new screws. This Support for the Proposal Request To Revise Inspection Intervals amendment also provides an option for One commenter supports the One commenter states that Parts I, II, performing repetitive inspections until proposed rule. and III of EMBRAER Service Bulletin accomplishment of the replacement. 120–27–0068, Change 02, dated March This amendment is prompted by reports Request To Withdraw Proposed Rule 20, 1998, include a statement referring of aileron cable wear due to chafing Two commenters state that the to MRB Tasks 27–07 and 27–65 [the found between the aileron control proposed rule is not warranted and correct reference as stated in the service cables and nylon grommets. The actions cannot be justified. One commenter, an bulletin is Maintenance Planning Guide specified by this AD are intended to operator, does not agree that this is a (MPG) Tasks 27–07 and 27–64] for prevent such chafing, which could safety of flight issue and states that the inspection intervals of the specified result in failure of the aileron cables, proposed AD does not specify the areas, both pre- and post-mod. The and consequent reduced controllability amount of wear found on the cables, or commenter requests that the inspection of the airplane. that the cables were in danger of, or interval of the post-mod installation be DATES: Effective September 22, 1999. close to, failure. In support of based on an analysis of inspection

VerDate 18-JUN-99 09:08 Aug 17, 1999 Jkt 183247 PO 00000 Frm 00003 Fmt 4700 Sfmt 4700 E:\FR\FM\A18AU0.049 pfrm07 PsN: 18AUR1 44820 Federal Register / Vol. 64, No. 159 / Wednesday, August 18, 1999 / Rules and Regulations findings and an agreement between the maintenance where special equipment For airplanes identified in Part IV of operator and its Principal Maintenance and trained maintenance personnel will EMBRAER Service Bulletin 120–27– Inspector (PMI). be available if necessary. The Summary 0068, Change 02, it will take The FAA does not concur with the section, as well as paragraphs (a) and (b) approximately 1 work hour per airplane commenter’s request. The FAA finds of this final rule, have been revised to accomplish the required replacement that, at this time, insufficient data exist accordingly. of the attachment screws, at an average to support allowing PMI’s to make an labor rate of $60 per work hour. Explanation of Change to Proposal assessment of aileron cable wear in Required parts cost will be minimal. order to increase the regular post-mod The FAA has added ‘‘Note 2’’ to the Based on these figures, the cost impact inspection intervals called out in the final rule to clarify the definition of a of this replacement required by this AD MPG. The FAA may, however, approve general visual inspection. on U.S. operators is estimated to be a request for an adjustment of the post- $13,620, or $60 per airplane. mod inspection intervals if data are Conclusion The cost impact figures discussed submitted to substantiate that such an After careful review of the available above are based on assumptions that no adjustment would provide an equivalent data, including the comments noted operator has yet accomplished any of level of safety. above, the FAA has determined that air the requirements of this AD action, and Request To Extend Compliance Time safety and the public interest require the that no operator would accomplish and Add Repetitive Inspections adoption of the rule with the changes those actions in the future if this AD described previously. The FAA has were not adopted. One commenter requests that the FAA determined that these changes will Should an operator elect to extend the proposed compliance time neither increase the economic burden accomplish the optional repetitive for the modification from within 400 on any operator nor increase the scope inspections provided by this AD action, hours time-in-service after the effective of the AD. it would take approximately 2 work date of this AD, to within 500 hours hours per airplane, per inspection cycle, time-in-service after the effective date of Cost Impact to accomplish, at an average labor rate this AD. The commenter also requests The FAA estimates that 227 airplanes of $60 per work hour. Based on these that if the FAA proceeds with issuing of U.S. registry will be affected by this figures, the cost impact of the this AD, inspections of the aileron AD. inspections would be $60 per airplane, cables be added; the inspections should per inspection cycle. be accomplished at intervals not to For airplanes identified in Part I of exceed 500 flight hours until EMBRAER Service Bulletin 120–27– Regulatory Impact installation of the modification. The 0068, Change 02, it will take approximately 4 work hours per The regulations adopted herein will commenter indicates that not have substantial direct effects on the accomplishment of the modification airplane to accomplish the required replacement of the fairlead support States, on the relationship between the cannot be completed within 400 hours national government and the States, or time-in-service due to lack of assemblies of the aileron control cable, at an average labor rate of $60 per work on the distribution of power and availability of the kits used for the responsibilities among the various modification. The commenter states that hour. Required parts will cost approximately $1,464 per airplane. levels of government. Therefore, in one-third of the compliance time will be accordance with Executive Order 12612, used waiting for delivery of the kits. Based on these figures, the cost impact of this replacement required by this AD it is determined that this final rule does The FAA partially concurs with the not have sufficient federalism commenter’s request. The FAA has on U.S. operators is estimated to be $386,808, or $1,704 per airplane. implications to warrant the preparation determined that allowing repetitive of a Federalism Assessment. inspections of the aileron cables at For airplanes identified in Part II of For the reasons discussed above, I intervals not to exceed 500 flight hours EMBRAER Service Bulletin 120–27– certify that this action (1) Is not a ‘‘until installation of the modification’’ 0068, Change 02, it will take ‘‘significant regulatory action’’ under is not appropriate in this case because approximately 1 work hour per airplane Executive Order 12866; (2) is not a it allows the inspections to continue to accomplish the required replacement ‘‘significant rule’’ under DOT indefinitely, which does not address the of the fairlead support assemblies of the Regulatory Policies and Procedures (44 unsafe condition in a timely manner. aileron control cable, at an average labor FR 11034, February 26, 1979); and (3) However, the manufacturer has stated rate of $60 per work hour. Required will not have a significant economic that parts kits are available 90 days after parts will cost approximately $1,292 per impact, positive or negative, on a submission of the purchase request. In airplane. Based on these figures, the cost substantial number of small entities light of the time required to obtain the impact of this replacement required by under the criteria of the Regulatory parts, the FAA agrees to revise the this AD on U.S. operators is estimated Flexibility Act. A final evaluation has compliance time for accomplishment of to be $306,904, or $1,352 per airplane. been prepared for this action and it is the modification, and to add an option For airplanes identified in Part III of contained in the Rules Docket. A copy for repetitive inspections in accordance EMBRAER Service Bulletin 120–27– of it may be obtained from the Rules with procedures specified in the 0068, Change 02, it will take Docket at the location provided under airplane maintenance manual. The FAA approximately 1 work hour per airplane the caption ADDRESSES. finds that repetitive inspections of the to accomplish the required replacement aileron cable at intervals not to exceed of the fairlead support assemblies of the List of Subjects in 14 CFR Part 39 400 hours time-in-service until aileron control cable, at an average labor Air transportation, Aircraft, Aviation accomplishment of the modification, for rate of $60 per work hour. Required safety, Incorporation by reference, a time period not to exceed 6 months parts will cost approximately $501 per Safety. after the effective date of this AD, will airplane. Based on these figures, the cost not adversely affect safety, and will impact of this replacement required by Adoption of the Amendment allow the modification to be performed this AD on U.S. operators is estimated Accordingly, pursuant to the at a base during regularly scheduled to be $127,347, or $561 per airplane. authority delegated to me by the

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Administrator, the Federal Aviation visual examination of an interior or exterior may add comments and then send it to the Administration amends part 39 of the area, installation or assembly to detect Manager, Atlanta ACO. Federal Aviation Regulations (14 CFR obvious damage, failure, or irregularity. This Note 3: Information concerning the part 39) as follows: level of inspection is made under normally existence of approved alternative methods of available lighting conditions such as compliance with this AD, if any, may be PART 39ÐAIRWORTHINESS daylight, hangar lighting, flashlight, or drop- obtained from the Atlanta ACO. light and may require removal or opening of DIRECTIVES access panels or doors. Stands, ladders, or Special Flight Permits 1. The authority citation for part 39 platforms may be required to gain proximity (d) Special flight permits may be issued in continues to read as follows: to the area being checked.’’ accordance with sections 21.197 and 21.199 (2) Accomplish the requirements of of the Federal Aviation Regulations (14 CFR Authority: 49 U.S.C. 106(g), 40113, 44701. paragraph (b) of this AD. 21.197 and 21.199) to operate the airplane to a location where the requirements of this AD § 39.13 [Amended] Replacement can be accomplished. 2. Section 39.13 is amended by (b) Except as provided by paragraph (a)(2) adding the following new airworthiness of this AD: Within 6 months after the Incorporation by Reference directive: effective date of this AD, accomplish the (e) The replacement shall be done in requirements of paragraph (b)(1), (b)(2), accordance with EMBRAER Service Bulletin 99–17–04 Empresa Brasileira de Aeronautica (b)(3), or (b)(4) of this AD, as applicable, in 120–27–0068, Change 02, dated March 20, S.A. (Embraer): Amendment 39–11253. accordance with EMBRAER Service Bulletin 1998. This incorporation by reference was Docket 98–NM–233–AD. 120–27–0068, Change 02, dated March 20, approved by the Director of the Federal Applicability: Model EMB–120 series 1998. Accomplishment of the requirements Register in accordance with 5 U.S.C. 552(a) airplanes, as listed in EMBRAER Service of this paragraph constitutes terminating and 1 CFR part 51. Copies may be obtained Bulletin 120–27–0068, Change 02, dated action for the repetitive inspections specified from Empresa Brasileira de Aeronautica S.A. March 20, 1998, certificated in any category. in paragraph (a)(1) of this AD. (EMBRAER), P.O. Box 343—CEP 12.225, Sao Note 1: This AD applies to each airplane (1) For airplanes having serial numbers Jose dos Campos—SP, Brazil. Copies may be identified in the preceding applicability 120003, 120004, and 120006 through 120217 inspected at the FAA, Transport Airplane provision, regardless of whether it has been inclusive, on which the modification Directorate, 1601 Lind Avenue, SW, Renton, modified, altered, or repaired in the area specified in EMBRAER Service Bulletin 120– Washington; or FAA, Small Airplane subject to the requirements of this AD. For 27–0068, dated February 28, 1991, has not Directorate, Atlanta Aircraft Certification airplanes that have been otherwise modified, been accomplished: Replace the fairlead Office, One Crown Center, 1895 Phoenix altered, or repaired so that the performance support assemblies of the aileron control Boulevard, Suite 450, Atlanta, Georgia; or at of the requirements of this AD is affected, the cable (provided with fairleads in both Teflon the Office of the Federal Register, 800 North owner/operator must request approval for an and nylon) located in the nacelle outboard Capitol Street, NW, suite 700, Washington, alternative method of compliance in fittings with new, improved assemblies (Part DC. accordance with paragraph (c) of this AD. I), in accordance with the service bulletin. (f) This amendment becomes effective on The request should include an assessment of (2) For airplanes having serial numbers September 22, 1999. the effect of the modification, alteration, or 120003, 120004, and 120006 through 120217 Issued in Renton, Washington, on August repair on the unsafe condition addressed by inclusive, on which the modification 6, 1999. specified in EMBRAER Service Bulletin 120– this AD; and, if the unsafe condition has not D.L. Riggin, been eliminated, the request should include 27–0068, dated February 28, 1991, has been specific proposed actions to address it. accomplished; and airplanes having serial Acting Manager, Transport Airplane Directorate, Aircraft Certification Service. Compliance: Required as indicated, unless numbers 120218 through 120331 inclusive: accomplished previously. Replace the fairlead support assemblies of [FR Doc. 99–20880 Filed 8–17–99; 8:45 am] To prevent chafing between the aileron the aileron control cable (provided with BILLING CODE 4910±13±P control cables and nylon grommets, which fairleads in Teflon) located in the nacelle could result in failure of the aileron cables, outboard fittings with new, improved and consequent reduced controllability of the assemblies (Part II), in accordance with the DEPARTMENT OF TRANSPORTATION airplane, accomplish the following: service bulletin. (a) Within 400 hours time-in-service after (3) For airplanes having serial numbers Federal Aviation Administration the effective date of this AD, accomplish the 120003, 120004, and 120006 through 120331 requirements of either paragraph (a)(1) or inclusive, on which the modification 14 CFR Part 39 (a)(2) of this AD. specified in EMBRAER Service Bulletin 120– 27–0068, dated February 28, 1991, or Change [Docket No. 93±NM±125±AD; Amendment Repetitive Inspections 01, dated August 1, 1997, has been 39±11255; AD 99±17±06] accomplished; and airplanes having serial (1) Perform a general visual RIN 2120±AA64 inspection to detect chafing between the numbers 120332 and 120333: Replace the aileron control cables and nylon attachment screws and the fairlead support assemblies of the aileron control cable with Airworthiness Directives; Airbus Model grommets, in accordance with the new, improved assemblies (Part III), in A310 Series Airplanes procedures specified in EMBRAER accordance with the service bulletin. AGENCY: Federal Aviation EMB–120 Airplane Maintenance (4) For airplanes having serial numbers Manual, Chapters 20–20–01, 27–00–01, 120334, 120335, and 120336: Replace the Administration, DOT. and 27–11–00. attachment screws of the fairlead support ACTION: Final rule. (i) If any chafing is detected, prior to assemblies of the aileron control cable (Part further flight, accomplish the requirements of IV), in accordance with the service bulletin. SUMMARY: This amendment adopts a paragraph (b) of this AD. new airworthiness directive (AD), Alternative Methods of Compliance (ii) If no chafing is detected: Repeat the applicable to certain Airbus Model inspection thereafter at intervals not to (c) An alternative method of compliance or A310 series airplanes, that requires exceed 400 hours time-in-service until the adjustment of the compliance time that repetitive inspections and tests to detect provides an acceptable level of safety may be requirements of paragraph (b) of this AD have missing or damaged vespel bushes on been accomplished. used if approved by the Manager, Atlanta Aircraft Certification Office (ACO), FAA, the slat system universal joint General Visual Inspection Small Airplane Directorate. Operators shall assemblies of the left- and right-hand Note 2: For the purposes of this AD, a submit their requests through an appropriate wings; and replacement of the universal general visual inspection is defined as: ‘‘A FAA Principal Maintenance Inspector, who joints with new joints, if necessary. This

VerDate 18-JUN-99 09:08 Aug 17, 1999 Jkt 183247 PO 00000 Frm 00005 Fmt 4700 Sfmt 4700 E:\FR\FM\A18AU0.031 pfrm07 PsN: 18AUR1 44822 Federal Register / Vol. 64, No. 159 / Wednesday, August 18, 1999 / Rules and Regulations amendment also provides for an Support for the Proposal accomplished in addition to the optional terminating modification for One commenter supports the electrical continuity test, as described in the repetitive inspection and test proposed rule. the Airbus service bulletin. No change requirements. This amendment is is made to the final rule in this regard. prompted by a report of loose and Removal of Visual Inspection (Manual Correction of Typographical Error migrated vespel bushes and partial Backlash Check) Requirement cracking within unsupported bush areas In response to the original NPRM, two One commenter notes that the found on the slat system universal joint commenters request that paragraph (a) preamble to the supplemental NPRM assemblies. The actions specified by this of the proposed AD be revised to contains an incorrect reference to an AD are intended to prevent rupture of remove the visual inspection, or Airbus Model A320 series airplane, the universal joints, which could result ‘‘manual backlash check’’, to detect rather than Model A310 series airplanes in inadvertent movement of the slats, missing or damaged vespel bushes on to which this proposed AD is and consequent reduced controllability the slat system universal joint applicable. The FAA acknowledges the of the airplane. assemblies of the left- and right-hand error, however, because this section of the preamble to the supplemental DATES: Effective September 22, 1999. wings. One commenter states that the visual inspection is very unreliable and NPRM is not restated in the final rule, The incorporation by reference of no change to the AD is necessary. certain publications listed in the results are difficult to quantify. Further, regulations is approved by the Director the commenter states that the electrical Conclusion continuity test that is also required by of the Federal Register as of September After careful review of the available 22, 1999. paragraph (a) of the proposed AD is sufficient in itself for ensuring the data, including the comments noted ADDRESSES: The service information integrity of the universal joint and above, the FAA has determined that air referenced in this AD may be obtained confirming the possibility of a missing safety and the public interest require the from Airbus Industrie, 1 Rond Point vespel bushing. adoption of the rule as proposed. Maurice Bellonte, 31707 Blagnac Cedex, Another commenter, the Cost Impact France. This information may be manufacturer, states that the manual examined at the Federal Aviation backlash check is impractical and The FAA estimates that 41 airplanes Administration (FAA), Transport difficult to evaluate, thus the proposed of U.S. registry will be affected by this Airplane Directorate, Rules Docket, AD requires inspecting in a way that is AD, that it will take approximately 20 1601 Lind Avenue, SW., Renton, not feasible. This commenter states that work hours per airplane to accomplish Washington; or at the Office of the the referenced Airbus and Lucas service the required inspection and test, and Federal Register, 800 North Capitol bulletins are undergoing revision to that the average labor rate is $60 per Street, NW., suite 700, Washington, DC. remove the procedures for the manual work hour. Based on these figures, the backlash check contained therein, and cost impact of the inspection and test FOR FURTHER INFORMATION CONTACT: required by this AD on U.S. operators is Norman B. Martenson, Manager, requests that the proposed AD refer to the later revisions, thus removing the estimated to be $49,200, or $1,200 per International Branch, ANM–116, FAA, airplane, per inspection and test cycle. Transport Airplane Directorate, 1601 requirement for the manual backlash The cost impact figure discussed Lind Avenue, SW., Renton, Washington check. above is based on assumptions that no 98055–4056; telephone (425) 227–2110; The FAA does not concur with the operator has yet accomplished any of fax (425) 227–1149. request to remove the requirement for visual inspection. The FAA the requirements of this AD action, and SUPPLEMENTARY INFORMATION: A acknowledges that results of the visual that no operator would accomplish proposal to amend part 39 of the Federal inspection may be difficult to assess those actions in the future if this AD Aviation Regulations (14 CFR part 39) to reliably, as described in Lucas Service were not adopted. include an airworthiness directive (AD) Bulletin 525A–27–618, dated October 5, Should an operator elect to that is applicable to certain Airbus 1992 (which is referenced in Airbus accomplish the optional terminating Model A310 series airplanes was Service Bulletin A310–27–2061 as an modification provided by this AD published as a supplemental notice of additional source of service action, it would take approximately 11 proposed rulemaking (NPRM) in the information). However, the visual work hours to accomplish, at an average Federal Register on October 14, 1998 inspection is intended to provide only labor rate of $60 per work hour. (63 FR 55061). That action proposed to an initial assessment for presence of Required parts would be provided by require repetitive inspections and tests vespel bushes and is to be followed by the manufacturer at no cost to the to detect missing or damaged vespel the electrical continuity test to finalize operators. Based on these figures, the bushes on the slat system universal joint such a determination. cost impact of the optional terminating assemblies of the left- and right-hand Since issuance of the original NPRM, modification would be $660 per wings; and replacement of the universal Airbus Service Bulletin A310–27–2061, airplane. joints with new joints, if necessary. That Revision 1, dated October 3, 1997, has Regulatory Impact action also provided for an optional been issued, and this revision was cited terminating modification for the as an appropriate source of service The regulations adopted herein will repetitive inspection and test information in the supplemental NPRM. not have substantial direct effects on the requirements. This later revision still contains States, on the relationship between the Comments Received procedures for accomplishment of the national government and the States, or visual inspection. Since no additional on the distribution of power and Interested persons have been afforded information has been provided by the responsibilities among the various an opportunity to participate in the manufacturer or vendor regarding the levels of government. Therefore, in making of this amendment. Due acceptability of eliminating the visual accordance with Executive Order 12612, consideration has been given to the inspection, the FAA has determined it is determined that this final rule does comments received. that the visual inspection should be not have sufficient federalism

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Copies may be For the reasons discussed above, I of the slats, and consequent reduced inspected at the FAA, Transport Airplane certify that this action (1) is not a controllability of the airplane, accomplish Directorate, 1601 Lind Avenue, SW., Renton, the following: ‘‘significant regulatory action’’ under Washington; or at the Office of the Federal Inspections and Corrective Actions Register, 800 North Capitol Street, NW., suite Executive Order 12866; (2) is not a 700, Washington, DC. ‘‘significant rule’’ under DOT (a) Prior to the accumulation of 15,000 total Note 3: The subject of this AD is addressed landings, or within 400 flight hours after the Regulatory Policies and Procedures (44 in French airworthiness directive 92–275– effective date of this AD, whichever occurs FR 11034, February 26, 1979); and (3) 139(B)R1, dated December 17, 1997. later, perform a visual inspection and an will not have a significant economic (g) This amendment becomes effective on impact, positive or negative, on a electrical continuity test to detect missing or damaged vespel bushes on the slat system September 22, 1999. substantial number of small entities universal joint assemblies of the left- and Issued in Renton, Washington, on August under the criteria of the Regulatory right-hand wings, in accordance with Airbus 6, 1999. Flexibility Act. A final evaluation has Service Bulletin A310–27–2061, dated D.L. Riggin, been prepared for this action and it is November 4, 1992, or Revision 01, dated Acting Manager, Transport Airplane October 3, 1997. Repeat this inspection and contained in the Rules Docket. A copy Directorate, Aircraft Certification Service. of it may be obtained from the Rules test thereafter at intervals not to exceed [FR Doc. 99–20879 Filed 8–17–99; 8:45 am] Docket at the location provided under 15,000 landings. (b) If any vespel bushes are missing or BILLING CODE 4910±13±U the caption ADDRESSES. damaged, prior to further flight, replace the List of Subjects in 14 CFR Part 39 universal joint with a new joint in accordance with Airbus Industrie Service DEPARTMENT OF TRANSPORTATION Air transportation, Aircraft, Aviation Bulletin A310–27–2061, dated November 4, safety, Incorporation by reference, 1992, or Revision 01, dated October 3, 1997. Federal Aviation Administration Safety. After replacement, continue to repeat the inspection and test required by paragraph (a) 14 CFR Part 39 Adoption of the Amendment of this AD at intervals not to exceed 15,000 Accordingly, pursuant to the landings. [Docket No. 99±SW±31±AD; Amendment 39±11258; AD 99±17±10] authority delegated to me by the Optional Terminating Modification Administrator, the Federal Aviation RIN 2120±AA64 Administration amends part 39 of the (c) Modification of the slat system universal joint and shaft assemblies in Federal Aviation Regulations (14 CFR accordance with Airbus Service Bulletin Airworthiness Directives; Schweizer part 39) as follows: A310–27–2060, Revision 01, dated October 3, Aircraft Corporation Model 269A, 1997, constitutes terminating action for the 269A±1, 269B, 269C, 269C±1, and 269D PART 39ÐAIRWORTHINESS repetitive inspection and test requirements of Helicopters DIRECTIVES this AD. AGENCY: Federal Aviation 1. The authority citation for part 39 Alternative Methods of Compliance Administration, DOT. continues to read as follows: (d) An alternative method of compliance or ACTION: Final rule; request for Authority: 49 U.S.C. 106(g), 40113, 44701. adjustment of the compliance time that comments. provides an acceptable level of safety may be § 39.13 [Amended] used if approved by the Manager, SUMMARY: This amendment adopts a 2. Section 39.13 is amended by International Branch, ANM–116, FAA, new airworthiness directive (AD) adding the following new airworthiness Transport Airplane Directorate. Operators applicable to Schweizer Aircraft shall submit their requests through an directive: appropriate FAA Principal Maintenance Corporation (SAC) Model 269A, 269A– 99–17–06 Airbus Industrie: Amendment Inspector, who may add comments and then 1, 269B, 269C, 269C–1, and 269D 39–11255. Docket 93–NM–125–AD. send it to the Manager, International Branch, helicopters. This action requires Applicability: Model A310 series airplanes, ANM–116. inspecting the tail rotor swashplate shaft except those on which Airbus Modification Note 2: Information concerning the (shaft) nut for looseness and, if loose, 10092 (Airbus Service Bulletin A310–27– existence of approved alternative methods of inspecting the shaft for proper size; 2060, Revision 01, dated October 3, 1997) has compliance with this AD, if any, may be subsequently inspecting the shafts not been accomplished; certificated in any obtained from the International Branch, previously inspected; and replacing any category. ANM–116. undersized shaft prior to further flight. Note 1: This AD applies to each airplane Special Flight Permits This amendment is prompted by the identified in the preceding applicability (e) Special flight permits may be issued in discovery of an undersized replacement provision, regardless of whether it has been accordance with sections 21.197 and 21.199 shaft during routine maintenance. The otherwise modified, altered, or repaired in of the Federal Aviation Regulations (14 CFR actions specified in this AD are the area subject to the requirements of this 21.197 and 21.199) to operate the airplane to AD. For airplanes that have been modified, intended to prevent failure of the shaft a location where the requirements of this AD altered, or repaired so that the performance and subsequent loss of control of the can be accomplished. of the requirements of this AD is affected, the helicopter. owner/operator must request approval for an Incorporation by Reference DATES: Effective September 2, 1999. The alternative method of compliance in (f) Except as provided by paragraph (c) of incorporation by reference of certain accordance with paragraph (d) of this AD. this AD, the actions shall be done in publications listed in the regulations is The request should include an assessment of accordance with Airbus Service Bulletin approved by the Director of the Federal the effect of the modification, alteration, or A310–27–2061, dated November 4, 1992, or Register as of September 2, 1999. repair on the unsafe condition addressed by Airbus Service Bulletin A310–27–2061, this AD; and, if the unsafe condition has not Comments for inclusion in the Rules Revision 01, dated October 3, 1997. This Docket must be received on or before been eliminated, the request should include incorporation by reference was approved by specific proposed actions to address it. the Director of the Federal Register in October 18, 1999. Compliance: Required as indicated, unless accordance with 5 U.S.C. 552(a) and 1 CFR ADDRESSES: Submit comments in accomplished previously. part 51. Copies may be obtained from Airbus triplicate to the Federal Aviation

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Administration (FAA), Office of the AD is being issued to prevent failure of and after the closing date for comments, Regional Counsel, Southwest Region, the shaft and subsequent loss of control in the Rules Docket for examination by Attention: Rules Docket No. 99–SW–31– of the helicopter. This AD requires interested persons. A report that AD, 2601 Meacham Blvd., Room 663, inspecting the shaft nut, P/N 269A6258, summarizes each FAA-public contact Fort Worth, Texas. for looseness; inspecting the shaft, P/N concerned with the substance of this AD The service information referenced in 269A6049–3, for the proper size; and will be filed in the Rules Docket. this AD may be obtained from replacing any undersized shaft with an Commenters wishing the FAA to Schweizer Aircraft Corporation, P.O. airworthy shaft of the proper size. The acknowledge receipt of their comments Box 147, Elmira, New York 14902. This short compliance time involved is submitted in response to this rule must information may be examined at the required because the previously submit a self-addressed, stamped FAA, Office of the Regional Counsel, described critical unsafe condition can postcard on which the following Southwest Region, 2601 Meacham adversely affect the controllability of the statement is made: ‘‘Comments to Blvd., Room 663, Fort Worth, Texas helicopter. Therefore, inspecting the Docket No. 99–SW–31–AD.’’ The 76137; or at the Office of the Federal shaft nut, P/N 269A6528, for looseness postcard will be date stamped and Register, 800 North Capitol Street, NW., is required within the next 10 hours TIS returned to the commenter. suite 700, Washington, DC. and this AD must be issued The regulations adopted herein will FOR FURTHER INFORMATION CONTACT: immediately. not have substantial direct effects on the George J. Duckett, Aerospace Engineer, Since a situation exists that requires the immediate adoption of this States, on the relationship between the New York Aircraft Certification Office, national government and the States, or FAA, 10 Fifth Street, 3rd Floor, Valley regulation, it is found that notice and opportunity for prior public comment on the distribution of power and Stream, New York 11581, telephone responsibilities among the various (516) 256–7525, fax (516) 568–2716. hereon are impracticable, and that good cause exists for making this amendment levels of government. Therefore, in SUPPLEMENTARY INFORMATION: This effective in less than 30 days. accordance with Executive Order 12612, amendment adopts a new AD applicable The FAA estimates that 28 helicopters it is determined that this final rule does to SAC Model 269A, 269A–1, 269B, will be affected by this AD. For each not have sufficient federalism 269C, 269C–1, and 269D helicopters helicopter, it will take 0.25 work hour implications to warrant the preparation with shaft, part number (P/N) to accomplish the 10-hour inspection, of a Federalism Assessment. 269A6049–3, installed. The undersized 3.6 work hours to accomplish the The FAA has determined that this shafts were shipped from the factory as inspection and replacement, if regulation is an emergency regulation spares between September 1 and necessary, at the 100-hour or annual that must be issued immediately to December 1, 1998. This action requires inspection interval. The average labor correct an unsafe condition in aircraft, the following inspections and rate is $60 per work hour. Required and that it is not a ‘‘significant replacement: parts will cost approximately $1400 per regulatory action’’ under Executive • Within the next 10 hours time-in- helicopter. Based on these figures, the service (TIS) and thereafter at intervals Order 12866. It has been determined total cost impact of the AD on U.S. further that this action involves an not exceeding 10 hours TIS until the operators is estimated to be $45,668. next 100-hour or annual inspection, emergency regulation under DOT whichever occurs first, inspect the shaft Comments Invited Regulatory Policies and Procedures (44 nut, P/N 269A6258, for looseness by Although this action is in the form of FR 11034, February 26, 1979). If it is using a firm hand pressure. If the shaft a final rule that involves requirements determined that this emergency nut is loose, inspect the shaft for the affecting flight safety and, thus, was not regulation otherwise would be proper size. preceded by notice and an opportunity significant under DOT Regulatory • At the next 100-hour or annual for public comment, comments are Policies and Procedures, a final inspection, whichever occurs first, invited on this rule. Interested persons regulatory evaluation will be prepared inspect the shaft, P/N 269A6049–3, for are invited to comment on this rule by and placed in the Rules Docket. A copy the proper size. submitting such written data, views, or of it, if filed, may be obtained from the • Prior to further flight, replace any arguments as they may desire. Rules Docket at the location provided undersized shaft with an airworthy shaft Communications should identify the under the caption ADDRESSES. of the proper size. Rules Docket number and be submitted List of Subjects in 14 CFR Part 39 This amendment is prompted by the in triplicate to the address specified discovery of an undersized replacement under the caption ADDRESSES. All Air transportation, Aircraft, Aviation shaft during routine maintenance. The communications received on or before safety, Incorporation by reference, actions specified in this AD are the closing date for comments will be Safety. intended to prevent failure of the shaft considered, and this rule may be Adoption of the Amendment and subsequent loss of control of the amended in light of the comments helicopter. received. Factual information that Accordingly, pursuant to the The FAA has reviewed SAC Service supports the commenter’s ideas and authority delegated to me by the Bulletins B–271, DB–007, and C1B–009, suggestions is extremely helpful in Administrator, the Federal Aviation all dated March 12, 1999, which evaluating the effectiveness of the AD Administration amends part 39 of the describe procedures for inspecting the action and determining whether Federal Aviation Regulations (14 CFR shaft nut, P/N 269A6258, for looseness additional rulemaking action would be part 39) as follows: by using a firm hand pressure and the needed. shaft, P/N 269A6049–3, for proper size. Comments are specifically invited on PART 39ÐAIRWORTHINESS Since an unsafe condition has been the overall regulatory, economic, DIRECTIVES identified that is likely to exist or environmental, and energy aspects of develop on other Model 269A, 269A–1, the rule that might suggest a need to 1. The authority citation for part 39 269B, 269C, 269C–1, and 269D modify the rule. All comments continues to read as follows: helicopters of the same type design, this submitted will be available, both before Authority: 49 U.S.C. 106(g), 40113, 44701.

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§ 39.13 [Amended] 21.197 and 21.199) to operate the helicopter Division, Eastern Region, Federal 2. Section 39.13 is amended by to a location where the requirements of this Aviation Administration, Federal adding a new airworthiness directive to AD can be accomplished. Building #111, John F. Kennedy (f) The inspection shall be done in International Airport, Jamaica, New read as follows: accordance with Schweizer Aircraft Corp. AD 99–17–10 Schweizer Aircraft Service Bulletins B–271, DB–007, or C1B– York 11430, telephone: (718) 553–4521. Corporation: Amendment 39–11258. 009, all dated March 12, 1999, as applicable. SUPPLEMENTARY INFORMATION: Docket No. 99–SW–31–AD. This incorporation by reference was Applicability: Model 269A, 269A–1, 269B, approved by the Director of the Federal History 269C, 269C–1, and 269D helicopters, with a Register in accordance with 5 U.S.C. 552(a) tail rotor swashplate shaft (shaft), part and 1 CFR part 51. Copies may be obtained On March 10, 1999, a proposal notice number (P/N) 269A6049–3, installed, from Schweizer Aircraft Corporation, P.O. proposing to amend Part 71 of the certificated in any category. Box 147, Elmira, New York 14902. Copies Federal Aviation Regulations (14 CFR Note 1: This AD applies to each helicopter may be inspected at the FAA, Office of the Part 71) to amend the Class E airspace identified in the preceding applicability Regional Counsel, Southwest Region, 2601 extending upward from 700 feet above provision, regardless of whether it has been Meacham Blvd., Room 663, Fort Worth, the surface at Frederick Municipal otherwise modified, altered, or repaired in Texas; or at the Office of the Federal Register, Airport, MD, was published in the the area subject to the requirements of this 800 North Capitol Street, NW., suite 700, Washington, DC. Federal Register (64 FR 11820). AD. For helicopters that have been modified, Interested parties were invited to altered, or repaired so that the performance (g) This amendment becomes effective on of the requirements of this AD is affected, the September 2, 1999. participate in this rulemaking by owner/operator must request approval for an Issued in Fort Worth, Texas, on August 4, submitting written comments on the alternative method of compliance in 1999. proposal to the FAA. No comments to accordance with paragraph (d) of this AD. Henry A. Armstrong, the proposal were receive. The rule is The request should include an assessment of Manager, Rotorcraft Directorate, Aircraft adopted as proposed. the effect of the modification, alteration, or Certification Service. The coordinate for this airspace repair on the unsafe condition addressed by docket are based on North American this AD; and, if the unsafe condition has not [FR Doc. 99–21177 Filed 8–17–99; 8:45 am] been eliminated, the request should include BILLING CODE 4910±13±U Datum 83. Class E airspace areas specific proposed actions to address it. designations for airspace extending Compliance: Required as indicated, unless upward form 700 feet AGL are accomplished previously. DEPARTMENT OF TRANSPORTATION published in paragraph 6005 of FAA To prevent failure of the shaft and Order 7400.9F, dated September 10, subsequent loss of control of the helicopter, Federal Aviation Administration 1998, and effective September 16, 1998, accomplish the following: which is incorporated by reference in 14 (a) Within the next 10 hours time-in- 14 CFR 71 CFR 71.1. The Class E airspace service (TIS) and thereafter at intervals not to [Airspace Docket No. 99±AEA±04FR] designation listed in this document will exceed 10 hours TIS until the next 100-hour be amended in the Order. or annual inspection, whichever occurs first, Amendment to Class E Airspace; cut the lockwire; retract the boot on the pitch Frederick Municipal Airport, MD The Rule control assembly; and inspect the shaft nut, P/N 269A6258, for looseness by using a firm AGENCY: Federal Administration (FAA) This amendment to Part 71 of the hand pressure. If the shaft nut is loose and DOT. Federal Aviation Regulations (14 CFR can be turned by hand, determine if the shaft, Part 71) provides sufficient controlled ACTION: Final rule. P/N 269A6049–3, is undersized in Class E airspace extending upward from accordance with Part II of Schweizer Aircraft SUMMARY: This action amends Class E 700 feet AGL for aircraft executing Corp. Service Bulletins B–271, DB–007, or Airspace area extending upward from amended SIAPs at Frederick, MD. C1B–009, all dated March 12, 1999 (SB), as applicable. 700 feet Above Ground Level (AGL) at The FAA has determined that this (b) At the next 100-hour or annual Frederick Municipal Airport, Frederick, regulation only involves an established inspection, whichever occurs first, inspect MD. The development of revised body of technical regulations for which the shaft, P/N 269A6049–3, for the proper Standard Instrument Approach frequent and routine amendments are size, in accordance with Part II of the Procedures (SIAP) based on the Global necessary to keep them operationally applicable SB. Positioning System (GPS), and the current. Therefore, this regulation—(1) (c) Prior to further flight, replace any Localizer (LOC) at Frederick Municipal is not a ‘‘significant regulatory action’’ undersized shaft in accordance with Part II Airport has made this action necessary. under Executive Order 12866; (2) is not of the applicable SB. This action is intended to provide a ‘‘significant rule’’ under DOT (d) An alternative method of compliance or adjustment of the compliance time that adequate Class E airspace from Regulatory Policies and Procedures (44 provides an acceptable level of safety may be instrument flight rules (IFR) operations FR 11034; February 26, 1979); (30 does used if approved by the Manager, New York by aircraft executing the revised Global not warrant preparation of a Regulatory Aircraft Certification Office. Operators shall Positioning System (GPS) Runway Evaluation as the anticipated impact is submit their requests through an FAA (RWY) 05 Standard Instrument so minimal. Principal Maintenance Inspector, who may Approach Procedure (SIAP), Instrument Since this is a routine matter that will concur or comment and then send it to the Landing System (ILS) RWY 23 SIAP and only affect air traffic procedures and air Manager, New York Aircraft Certification VHF Omni-directional Radio range navigation it is certified that this rule Office. (VOR) or GPS–A SIAP at Frederick will not have significant economic Note 2: Information concerning the Municipal Airport and for Instrument impact on a substantial number of small existence of approved alternative methods of Flight Rules (IFR) operations. compliance with this AD, if any, may be entities under the criteria of the obtained from the New York Aircraft EFFECTIVE DATE: 0901 UTC, August 18, Regulatory Flexibility Act. 1999. Certification Office. List of Subjects in 14 CFR Part 71 (e) Special flight permits may be issued in FOR FURTHER INFORMATION CONTACT: accordance with sections 21.197 and 21.199 Mr. Francis Jordan, airspace Specialist, Airspace, Incorporation by reference, of the Federal Aviation Regulations (14 CFR Airspace Branch, AEA–520, Air traffic Navigation(air).

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Adoption of the Amendment and Portland, Connecticut. This ENVIRONMENTAL PROTECTION In consideration of the foregoing, the deviation from the regulations allows AGENCY Federal Aviation Administration the bridge owner to keep the bridge in 40 CFR Part 180 amends 14 CFR part 71 as follows: the closed position from August 5, 1999, through September 13, 1999, Thursday PART 71Ð[AMENDED] through Monday, 6 a.m. to 4:30 p.m. [OPP±300909; FRL±6098±1] This action is necessary to facilitate 1. The authority citation for 14 CFR repairs to replace structural steel on the Part 71 continues to read as follows: RIN 2070±AB78 bridge. Authority: 49 U.S.C. 106(g), 40103, 40113, Pyriproxyfen; Re-establishment of 40120; EO 10854, 24 FR 9565, 3 CFR, 1959– DATES: This deviation is effective from Tolerances for Emergency Exemptions 1963 Comp., p. 389. August 5, 1999, through September 13, 1999. § 71.1 [Amended] AGENCY: Environmental Protection The incorporation by reference in 14 FOR FURTHER INFORMATION CONTACT: Mr. Agency (EPA). CFR 71.1 of Federal Aviation Joseph Schmied, Project Officer, First ACTION: Final rule. Administration Order 7400.9F, airspace Coast Guard District, at (212) 668–7165. Designations and Reporting Points, SUPPLEMENTARY INFORMATION: SUMMARY: This regulation re-establishes dated September 10, 1998, and effective time-limited tolerances for residues of September 16, 1998, is amended as The CONRAIL Middletown-Portland the insecticide pyriproxyfen and its follows: Bridge, mile 32.0, across the metabolites in or on citrus fruit at 0.3 1. The authority citation for 14 CFR Connecticut River has vertical part per million (ppm), citrus juice at Part 71.1 of Federal Aviation clearances of 25 feet at mean high water, 1.0 ppm; citrus oil at 300 ppm, dried Administration Order 7400.9F, Airspace and 27 feet at mean low water in the citrus pulp at 1.0 ppm; and pears at 0.2 Designations and Reporting Points, closed position. The operation ppm, for an additional 11⁄2–year period. dated September 10, 1998, and effective regulations are in 33 CFR 117.205(b). These tolerances will expire and are September 16, 1998, is amended as The bridge owner, Connecticut revoked on January 31, 2001. This follows: Department of Transportation action is in response to EPA’s granting Paragraph 6005 Class E airspace areas (CONNDOT), requested a temporary of emergency exemptions under section extending upward from 700 feet or more deviation from the operating regulations 18 of the Federal Insecticide, Fungicide, above the surface of the earth. for the CONRAIL Middletown-Portland and Rodenticide Act authorizing use of * * * * * Bridge in order to conduct necessary the pesticide on citrus and pears. repairs to the structural steel on the Section 408(l)(6) of the Federal Food, AEA MD E5, Frederick, MD [Revised] Drug, and Cosmetic Act requires EPA to bridge. During the process of this work Frederick Municipal Airport, MD establish a time-limited tolerance or the bridge cannot be opened. Vessels (Lat 39°25′′03′′ N long 77°22′28′′ W.) exemption from the requirement for a That airspace extending upward from 700 that can pass under the bridge without tolerance for pesticide chemical feet above the surface within a 10 mile radius an opening may do so at all times residues in food that will result from the of Frederick Municipal Airport. during the closed period. This work is use of a pesticide under an emergency * * * * * essential for public safety and the exemption granted by EPA under Issued in Jamaica, New York, on August 7, continued operation of the bridge. In section 18 of the Federal Insecticide, 1999. accordance with 33 CFR 117.35(c), this Fungicide, and Rodenticide Act. Franklin D. Hatfield, work will be performed with all due DATES: Manager, Air Traffic Division, Eastern Region. speed in order to return the bridge to This regulation is effective August 18, 1999. Objections and [FR Doc. 99–21021 Filed 8–17–99; 8:45 am] normal operation as soon as possible. requests for hearings, identified by BILLING CODE 4910±13±M This deviation to the operating docket control number OPP–300909, regulations authorizes CONNDOT to must be received by EPA on or before keep the CONRAIL Middletown- October 18, 1999. DEPARTMENT OF TRANSPORTATION Portland Bridge, mile 32.0, across the ADDRESSES: Written objections and Connecticut River between Middletown Coast Guard hearing requests may be submitted by and Portland, Connecticut, in the closed mail, in person, or by courier. Please 33 CFR Part 117 position for repairs from August 5, 1999, follow the detailed instructions for each through September 13, 1999, Thursday method as provided in Unit III. of the [CGD01±99±140] through Monday, 6 a.m. to 4:30 p.m. ‘‘SUPPLEMENTARY INFORMATION’’ Drawbridge Operation Regulations: This deviation from the operating section. To ensure proper receipt by Connecticut River, CT regulations is authorized under 33 CFR EPA, your objections and hearing 117.35. requests must identify docket control AGENCY: Coast Guard, DOT. number OPP–300909 in the subject line Dated: August 9, 1999. ACTION: Notice of temporary deviation on the first page of your response. from regulations. R.M. Larrabee, FOR FURTHER INFORMATION CONTACT: By Rear Admiral, U.S. Coast Guard Commander, SUMMARY: The Commander, First Coast First Coast Guard District. mail: Andrea Beard, Registration Division (7505C), Environmental Guard District, has issued a temporary [FR Doc. 99–21376 Filed 8–17–99; 8:45 am] Protection Agency, 401 M St., SW., deviation from the drawbridge operation BILLING CODE 4910±15±M regulations governing the operation of Washington, DC 20460; telephone the CONRAIL Middletown-Portland number: (703)308–9356; and e-mail Bridge, mile 32.0, across the address: [email protected]. Connecticut River between Middletown SUPPLEMENTARY INFORMATION:

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I. General Information comments submitted during an consistent with the safety standard and applicable comment period is available with FIFRA section 18. The data and A. Does this Action Apply to Me? for inspection in the Public Information other relevant material have been You may be affected by this action if and Records Integrity Branch (PIRIB), evaluated and discussed in the final rule you are an agricultural producer, food Rm. 119, Crystal Mall #2, 1921 Jefferson of May 13, 1998 (63 FR 26466) (FRL– manufacturer, or pesticide Davis Hwy., Arlington, VA, from 8:30 5788–2). Based on that data and manufacturer. Potentially affected a.m. to 4 p.m., Monday through Friday, information considered, the Agency categories and entities may include, but excluding legal holidays. The PIRIB reaffirms that extension of the time- are not limited to: telephone number is (703) 305–5805. limited tolerances will continue to meet the requirements of section 408(l)(6). II. Background and Statutory Findings Examples of Poten- Therefore, the time-limited tolerances Categories NAICS tially Affected Entities EPA issued a final rule, published in are re-established for an additional 11⁄2– Industry ..... 111 Crop production the Federal Register of May 13, 1998 (63 year period. EPA will publish a ...... 112 Animal production FR 26466) (FRL–5788–2), which document in the Federal Register to ...... 311 Food manufacturing announced that on its own initiative remove the revoked tolerances from the ...... 32532 Pesticide manufac- under section 408 of the Federal Food, Code of Federal Regulations (CFR). turing Drug, and Cosmetic Act (FFDCA), 21 Although these tolerances will expire U.S.C. 346a and (l)(6), as amended by and are revoked on January 31, 2001, This listing is not intended to be the Food Quality Protection Act of 1996 under FFDCA section 408(l)(5), residues exhaustive, but rather provides a guide (FQPA) (Public Law 104–170) it of the pesticide not in excess of the for readers regarding entities likely to be established time-limited tolerances for amounts specified in the tolerances affected by this action. Other types of the residues of pyriproxyfen and its remaining in or on citrus and pears after entities not listed in the table could also metabolites in or on citrus fruit at 0.3 that date will not be unlawful, provided be affected. The North American ppm; citrus juice at 1.0 ppm; citrus oil the pesticide is applied in a manner that Industrial Classification System at 300 ppm; dried citrus pulp at 1.0 was lawful under FIFRA and the (NAICS) codes have been provided to ppm; and pears at 0.2 ppm, with an application occurred prior to the assist you and others in determining expiration date of July 31, 1999. EPA revocation of the tolerance. EPA will whether or not this action might apply established the tolerances because take action to revoke this tolerance to certain entities. If you have questions section 408(l)(6) of the FFDCA requires earlier if any experience with, scientific regarding the applicability of this action EPA to establish a time-limited data on, or other relevant information to a particular entity, consult the person tolerance or exemption from the on this pesticide indicate that the listed in the ‘‘FOR FURTHER requirement for a tolerance for pesticide residues are not safe. INFORMATION CONTACT’’ section. chemical residues in food that will III. Objections and Hearing Requests B. How Can I Get Additional result from the use of a pesticide under Information, Including Copies of this an emergency exemption granted by Under section 408(g) of the FFDCA, as Document and Other Related EPA under section 18 of the Federal amended by the FQPA, any person may Insecticide, Fungicide, and Rodenticide Documents? file an objection to any aspect of this Act (FIFRA). Such tolerances can be regulation and may also request a 1. Electronically.You may obtain established without providing notice or hearing on those objections. The EPA electronic copies of this document, and period for public comment. procedural regulations which govern the certain other related documents that EPA received a request to extend the submission of objections and requests might be available electronically, from use of pyriproxyfen on citrus and pears for hearings appear in 40 CFR part 178. the EPA Internet Home Page at http:// for the current growing season due to Although the procedures in those www.epa.gov/. To access this both situations remaining an emergency. regulations require some modification to document, on the Home Page select For citrus, the California Department of reflect the amendments made to the ‘‘Laws and Regulations’’ and then look Pesticide Regulation requested the use FFDCA by the FQPA of 1996, EPA will up the entry for this document under for control of red scale, which has continue to use those procedures, with the ‘‘Federal Register--Environmental developed resistance to available appropriate adjustments, until the Documents.’’ You can also go directly to pesticides and caused significant necessary modifications can be made. the Federal Register listings at http:// economic losses. For pears, the Oregon The new section 408(g) provides www.epa.gov/fedrgstr/. Department of Agriculture requested use essentially the same process for persons 2. In person. The Agency has for control of pear psylla, which had to ‘‘object’’ to a regulation for an established an official record for this developed resistance to currently exemption from the requirement of a action under docket control number available pesticides, and was expected tolerance issued by EPA under new OPP–300909. The official record to cause significant economic loss if not section 408(d), as was provided in the consists of the documents specifically controlled. After having reviewed the old FFDCA sections 408 and 409. referenced in this action, and other submissions, EPA concurs that However, the period for filing objections information related to this action, emergency conditions exist. EPA has is now 60 days, rather than 30 days. including any information claimed as authorized under FIFRA section 18 the Confidential Business Information (CBI). use of pyriproxyfen on citrus and pears A. What Do I Need to Do to File an This official record includes the for control of red scale and pear psylla, Objection or Request a Hearing? documents that are physically located in respectively. You must file your objection or the docket, as well as the documents EPA assessed the potential risks request a hearing on this regulation in that are referenced in those documents. presented by residues of pyriproxyfen in accordance with the instructions The public version of the official record or on citrus and pears. In doing so, EPA provided in this unit and in 40 CFR part does not include any information considered the safety standard in 178. To ensure proper receipt by EPA, claimed as CBI. The public version of FFDCA section 408(b)(2), and decided you must identify docket control the official record, which includes that the necessary tolerance under number OPP–300909 in the subject line printed, paper versions of any electronic FFDCA section 408(l)(6) would be on the first page of your submission. All

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In addition consultation with State, local, and tribal the regulation that you object to, and the to filing an objection or hearing request government officials as specified by grounds for the objections (40 CFR with the Hearing Clerk as described in Executive Order 12875, entitled 178.25). If a hearing is requested, the Unit III.A. of this preamble, you should Enhancing the Intergovernmental objections must include a statement of also send a copy of your request to the Partnership (58 FR 58093, October 28, the factual issues(s) on which a hearing PIRIB for its inclusion in the official 1993) and Executive Order 13084, is requested, the requestor’s contentions record that is described in Unit I.B.2. of on such issues, and a summary of any this preamble. Mail your copies, entitled Consultation and Coordination evidence relied upon by the objector (40 identified by docket number OPP– with Indian Tribal Governments (63 FR CFR 178.27). Information submitted in 300909, to: Public Information and 27655, May 19,1998), or special connection with an objection or hearing Records Integrity Branch, Information consideration of environmental justice request may be claimed confidential by Resources and Services Division related issues under Executive Order marking any part or all of that (7502C), Office of Pesticide Programs, 12898, entitled Federal Actions to information as CBI. Information so Environmental Protection Agency, 401 Address Environmental Justice in marked will not be disclosed except in M St., SW., Washington, DC 20460. In Minority Populations and Low-Income accordance with procedures set forth in person or by courier, bring a copy to the Populations (59 FR 7629, February 16, 40 CFR part 2. A copy of the location of the PIRIB described in Unit 1994). This action does not involve any information that does not contain CBI I.B.2. of this preamble. You may also technical standards that would require must be submitted for inclusion in the send an electronic copy of your request Agency consideration of voluntary public record. Information not marked via e-mail to: [email protected]. consensus standards pursuant to section confidential may be disclosed publicly Please use an ASCII file format and 12(d) of the National Technology by EPA without prior notice. avoid the use of special characters and Transfer and Advancement Act of 1995 Mail your written request to: Office of any form of encryption. Copies of (NTTAA), Public Law 104–113, section the Hearing Clerk (1900), Environmental electronic objections and hearing 12(d) (15 U.S.C. 272 note). In addition, Protection Agency, 401 M St., SW., requests will also be accepted on disks since tolerances and exemptions that are Washington, DC 20460. You may also in WordPerfect 5.1/6.1 file format or established on the basis of a petition deliver your request to the Office of the ASCII file format. Do not include any under FFDCA section 408(d), such as Hearing Clerk in Room M3708, CBI in your electronic copy. You may Waterside Mall, 401 M St., SW., also submit an electronic copy of your the tolerances in this final rule, do not Washington, DC 20460. The Office of request at many Federal Depository require the issuance of a proposed rule, the Hearing Clerk is open from 8 a.m. Libraries. the requirements of the Regulatory to 4 p.m., Monday through Friday, Flexibility Act (RFA) (5 U.S.C. 601 et excluding legal holidays. The telephone B. When Will the Agency Grant a seq.) do not apply. number for the Office of the Hearing Request for a Hearing? V. Submission to Congress and the Clerk is (202) 260–4865. A request for a hearing will be granted 2. Tolerance fee payment. If you file if the Administrator determines that the Comptroller General an objection or request a hearing, you material submitted shows the following: The Congressional Review Act, 5 must also pay the fee prescribed by 40 There is a genuine and substantial issue U.S.C. 801 et seq., as added by the Small CFR 180.33(i) or request a waiver of that of fact; there is a reasonable possibility Business Regulatory Enforcement fee pursuant to 40 CFR 180.33(m). You that available evidence identified by the Fairness Act of 1996, generally provides must mail the fee to: EPA Headquarters requestor would, if established resolve that before a rule may take effect, the Accounting Operations Branch, Office one or more of such issues in favor of agency promulgating the rule must of Pesticide Programs, P.O. Box the requestor, taking into account submit a rule report, which includes a 360277M, Pittsburgh, PA 15251. Please uncontested claims or facts to the identify the fee submission be labeling contrary; and resolution of the factual copy of the rule, to each House of the it ‘‘Tolerance Petition Fees.’’ issues(s) in the manner sought by the Congress and to the Comptroller General EPA is authorized to waive any fee requestor would be adequate to justify of the United States. EPA will submit a requirement ’’when in the judgement of the action requested (40 CFR 178.32). report containing this rule and other the Administrator such a waiver or required information to the U.S. Senate, refund is equitable and not contrary to IV. Regulatory Assessment the U.S. House of Representatives, and the purpose of this subsection.’’ For Requirements the Comptroller General of the United additional information regarding the This final rule establishes tolerances States prior to publication of this rule in waiver of these fees, you may contact under section 408(d) of the FFDCA in the Federal Register. This rule is not a James Tompkins by phone at (703) 305– response to a petition submitted to the ‘‘major rule’’ as defined by 5 U.S.C. 5697, by e-mail at Agency. The Office of Management and 804(2). [email protected], or by mailing a Budget (OMB) has exempted these types request for information to Mr. Tompkins of actions from review under Executive List of Subjects in 40 CFR Part 180 Order 12866, entitled Regulatory at Registration Division (7505C), Office Environmental protection, Planning and Review (58 FR 51735, of Pesticide Programs, Environmental Administrative practice and procedure, Protection Agency, 401 M St., SW., October 4, 1993). This final rule does Agricultural commodities, Pesticides Washington, DC 20460. not contain any information collections If you would like to request a waiver subject to OMB approval under the and pests, Reporting and recordkeeping of the tolerance objection fees, you must Paperwork Reduction Act (PRA), 44 requirements. mail your request for such a waiver to: U.S.C. 3501 et seq., or impose any James Hollins, Information Resources enforceable duty or contain any

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Dated: August 4, 1999. ADDRESSES: Written objections and or on sweet corn (kernels and cob with Peter Caulkins, hearing requests, identified by the husk removed) at 4.0 part per million docket control number [OPP–300900], (ppm), sweet corn forage at 4.0 ppm, Acting Director, Registration Division, Office must be submitted to: Hearing Clerk sweet corn stover at 6.0 ppm, canola of Pesticide Programs. (1900), Environmental Protection meal at 1.1 ppm and canola seed at 0.4 Therefore, 40 CFR chapter I is Agency, Rm. M3708, 401 M St., SW., ppm. These tolerances will expire and amended as follows: Washington, DC 20460. Fees are revoked on December 1, 1999. EPA accompanying objections and hearing will publish a document in the Federal PART 180Ð[AMENDED] requests shall be labeled ‘‘Tolerance Register to remove the revoked Petition Fees’’ and forwarded to: EPA tolerance from the Code of Federal 1. The authority citation for part 180 Headquarters Accounting Operations Regulations. continues to read as follows: Branch, OPP (Tolerance Fees), P.O. Box Authority: 21 U.S.C. 321(q), 346(a), and 360277M, Pittsburgh, PA 15251. A copy I. Background and Statutory Findings 371. of any objections and hearing requests The Food Quality Protection Act of filed with the Hearing Clerk identified § 180.510 [Amended] 1996 (FQPA) (Public Law 104–170) was by the docket control number, [OPP– 2. In § 180.510, by amending the table signed into law August 3, 1996. FQPA 300900], must also be submitted to: amends both the Federal Food, Drug, in paragraph (b) by changing the date Public Information and Records ‘‘7/31/99’’ to read ‘‘1/31/01’’ for the and Cosmetic Act (FFDCA), 21 U.S.C. Integrity Branch, Information Resources 301 et seq., and the Federal Insecticide, entries for citrus fruit; citrus juice; citrus and Services Division (7502C), Office of Fungicide, and Rodenticide Act oil; citrus pulp, dried; and pears. Pesticide Programs, Environmental (FIFRA), 7 U.S.C. 136 et seq. The FQPA Protection Agency, 401 M St., SW., [FR Doc. 99–21427 Filed 8–17–99; 8:45 am] amendments went into effect Washington, DC 20460. In person, bring BILLING CODE 6560±50±F immediately. Among other things, a copy of objections and hearing FQPA amends FFDCA to bring all EPA requests to Rm. 119, Crystal Mall #2, pesticide tolerance-setting activities ENVIRONMENTAL PROTECTION 1921 Jefferson Davis Hwy., Arlington, under a new section 408 with a new AGENCY VA. A copy of objections and hearing safety standard and new procedures. 40 CFR Part 180 requests filed with the Hearing Clerk These activities are described in this preeamble and discussed in greater [OPP±300900; FRL±6092±8] may also be submitted electronically by sending electronic mail (e-mail) to: opp- detail in the final rule establishing the RIN 2070±AB78 [email protected]. Copies of electronic time-limited tolerance associated with objections and hearing requests must be the emergency exemption for use of Glufosinate Ammonium; Pesticide submitted as an ASCII file avoiding the propiconazole on sorghum (61 FR Tolerances for Emergency Exemptions use of special characters and any form 58135, November 13, 1996) (FRL–5572– 9). AGENCY: Environmental Protection of encryption. Copies of objections and Agency (EPA). hearing requests will also be accepted New section 408(b)(2)(A)(i) of the ACTION: Final rule. on disks in WordPerfect 5.1/6.1 or FFDCA allows EPA to establish a ASCII file format. All copies of tolerance (the legal limit for a pesticide SUMMARY: This regulation establishes electronic objections and hearing chemical residue in or on a food) only time-limited tolerances for combined requests must be identified by the if EPA determines that the tolerance is residues of glufosinate ammonium docket control number [OPP-300900]. ‘‘safe.’’ Section 408(b)(2)(A)(ii) defines (butanoic acid, 2-amino-4- No Confidential Business Information ‘‘safe’’ to mean that ‘‘there is a (hydroxymethylphosphinyl)- (CBI) should be submitted through e- reasonable certainty that no harm will monoammonium salt and its metabolite, mail. Copies of electronic objections and result from aggregate exposure to the 3-methylphosphinico-propionic acid in hearing requests on this rule may be pesticide chemical residue, including or on sweet corn (kernels and cob with filed online at many Federal Depository all anticipated dietary exposures and all husk removed), sweet corn forage, sweet Libraries. other exposures for which there is corn stover, canola meal and canola FOR FURTHER INFORMATION CONTACT: By reliable information.’’ This includes seed. This action is in response to EPA’s mail: Barbara Madden, Registration exposure through drinking water and in granting of emergency exemptions Division (7505C), Office of Pesticide residential settings, but does not include under section 18 of the Federal Programs, Environmental Protection occupational exposure. Section Insecticide, Fungicide, and Rodenticide Agency, 401 M St., SW., Washington, 408(b)(2)(C) requires EPA to give special Act authorizing use of the pesticide on DC 20460. Office location, telephone consideration to exposure of infants and sweet corn and canola. This regulation number, and e-mail address: Rm. 284, children to the pesticide chemical establishes a maximum permissible CM #2, 1921 Jefferson Davis Hwy., residue in establishing a tolerance and level for residues of glufosinate Arlington, VA, (703) 305–6463; e-mail: to ‘‘ensure that there is a reasonable ammonium in these food commodities [email protected]. certainty that no harm will result to pursuant to section 408(l)(6) of the SUPPLEMENTARY INFORMATION: EPA, on infants and children from aggregate Federal Food, Drug, and Cosmetic Act, its own initiative, pursuant to section exposure to the pesticide chemical as amended by the Food Quality 408(l)(6) of the Federal Food, Drug, and residue. . . .’’ Protection Act of 1996. These tolerances Cosmetic Act (FFDCA), 21 U.S.C. 346a, Section 18 of FIFRA authorizes EPA will expire and are revoked on is establishing tolerances for combined to exempt any Federal or State agency December 1, 1999. residues of the herbicide glufosinate from any provision of FIFRA, if EPA DATES: This regulation is effective ammonium (butanoic acid, 2-amino-4- determines that ‘‘emergency conditions August 18, 1999. Objections and (hydroxymethylphosphinyl)- exist which require such exemption.’’ requests for hearings must be received monoammonium salt and its metabolite, This provision was not amended by by EPA on or before October 18, 1999. 3-methylphosphinico-propionic acid, in FQPA. EPA has established regulations

VerDate 18-JUN-99 16:19 Aug 17, 1999 Jkt 481747 PO 00000 Frm 00013 Fmt 4700 Sfmt 4700 E:\FR\FM\18AUR1.XXX pfrm03 PsN: 18AUR1 44830 Federal Register / Vol. 64, No. 159 / Wednesday, August 18, 1999 / Rules and Regulations governing such emergency exemptions to inability to harvest wet fields. Even State other than Wisconsin, North in 40 CFR part 166. good revenue years for wheat have Dakota, and Minnesota to use this Section 408(l)(6) of the FFDCA netted less than those for canola. This pesticide on these crops under section requires EPA to establish a time-limited use of Liberty on canola is needed to 18 of FIFRA without following all tolerance or exemption from the maintain grower solvency. The ‘‘above- provisions of EPA’s regulations requirement for a tolerance for pesticide average’’ returns from alternative crops implementing section 18 as identified in chemical residues in food that will such as canola are urgently needed to 40 CFR part 166. For additional result from the use of a pesticide under maintain economic viability for information regarding the emergency an emergency exemption granted by producers in North Dakota and exemption for glufosinate ammonium, EPA under section 18 of FIFRA. Such Minnesota. contact the Agency’s Registration tolerances can be established without EPA has authorized under FIFRA Division at the address provided under providing notice or period for public section 18 the use of glufosinate the ‘‘ADDRESSES’’ section. comment. ammonium on sweet corn in Wisconsin Because decisions on section 18- and on canola in North Dakota and III. Aggregate Risk Assessment and related tolerances must proceed before Minnesota for control of weeds. After Determination of Safety EPA reaches closure on several policy having reviewed these submissions, EPA performs a number of analyses to issues relating to interpretation and EPA concurs that emergency conditions determine the risks from aggregate implementation of the FQPA, EPA does exist for these States. exposure to pesticide residues. For not intend for its actions on such As part of its assessment of this further discussion of the regulatory tolerances to set binding precedents for emergency exemption, EPA assessed the requirements of section 408 and a the application of section 408 and the potential risks presented by residues of complete description of the risk new safety standard to other tolerances glufosinate ammonium in or on sweet assessment process, see the final rule on and exemptions. corn and canola. In doing so, EPA Bifenthrin Pesticide Tolerances (62 FR considered the safety standard in II. Emergency Exemption for 62961, November 26, 1997) (FRL–5754– FFDCA section 408(b)(2), and EPA Glufosinate Ammonium on Sweet Corn 7). decided that the necessary tolerance Consistent with section 408(b)(2)(D), and Canola and FFDCA Tolerances under FFDCA section 408(l)(6) would be EPA has reviewed the available The Wisconsin Department of consistent with the safety standard and scientific data and other relevant Agriculture, Trade, and Consumer with FIFRA section 18. Consistent with information in support of these actions. Protection requested an emergency the need to move quickly on the EPA has sufficient data to assess the exemption for use of glufosinate emergency exemption in order to hazards of glufosinate ammonium and ammonium on sweet corn to control address an urgent non-routine situation to make a determination on aggregate weeds. The applicant states that only a and to ensure that the resulting food is exposure, consistent with section limited number of broadleaf herbicides safe and lawful, EPA is issuing these 408(b)(2), for time-limited tolerances for are registered for use in sweet corn. tolerances without notice and combined residues of glufosinate Traditionally, triazine herbicides have opportunity for public comment under ammonium (butanoic acid, 2-amino-4- been widely used. However, section 408(e), as provided in section (hydroxymethylphosphinyl)- Wisconsin’s ground water law restricts 408(l)(6). Although these tolerances will monoammonium salt and its metabolite, the use of atrazine, and in sensitive expire and are revoked on December 1, 3-methylphosphinico-propionic acid on areas, cyanazine and simazine may also 1999, under FFDCA section 408(l)(5), sweet corn (kernels and cob with husk contribute to problems and are best not residues of the pesticide not in excess removed ) at 4.0 ppm, sweet corn forage used. Approximately 36,900 acres of of the amounts specified in the at 4.0 ppm, sweet corn stover at 6.0 Wisconsin’s sweet corn production is tolerance remaining in or on sweet corn ppm, canola meal at 1.1 ppm and canola located in ground water-sensitive areas. and canola after that date will not be seed at 0.4 ppm. EPA’s assessment of Additionally, approximately 24,700 unlawful, provided the pesticide is the dietary exposures and risks acres of Wisconsin’s cropland used to applied in a manner that was lawful associated with establishing the grow sweet corn are infested with under FIFRA, and the residues do not tolerance follows. triazine-resistant weeds. 2,4-D, exceed a level that was authorized by registered for use on sweet corn to these tolerances at the time of that A. Toxicological Profile control weeds, often injures sweet corn application. EPA will take action to EPA has evaluated the available hybrids resulting in reduction of crop revoke these tolerances earlier if any toxicity data and considered its validity, yields. Bentazon is also registered but experience with, scientific data on, or completeness, and reliability as well as fails to control the two most serious other relevant information on this the relationship of the results of the annual broadleaf weeds (common pesticide indicate that the residues are studies to human risk. EPA has also lambsquarters and pigweed species). not safe. considered available information Other alternatives such as ametryne, Because these tolerances are being concerning the variability of the linuron or paraquat require specialized approved under emergency conditions sensitivities of major identifiable application equipment not available to EPA has not made any decisions about subgroups of consumers, including most Wisconsin sweet corn growers. In whether glufosinate ammonium meets infants and children. The nature of the addition, sweet corn is frequently EPA’s registration requirements for use toxic effects caused by glufosinate infested by two difficult-to-control on sweet corn and canola or whether ammonium are discussed in this unit. annual grasses, wild-proso millet and permanent tolerances for these uses woolly cupgrass. Registered soil applied would be appropriate. Under these B. Toxicological Endpoint grass herbicides are largely ineffective circumstances, EPA does not believe 1. Acute toxicity. An acute reference against these species. that these tolerances serve as a basis for dose (aRfD) of 0.50 milligrams/ Weather in North Dakota and registration of glufosinate ammonium by kilograms/day (mg/kg/day) has been Minnesota was responsible for serious a State for special local needs under identified for females 13+ years old. The losses in wheat due to disease and to FIFRA section 24(c). Nor does these aRfD is derived from a no observable serious losses due to water damage and tolerances serve as the basis for any adverse effect level (NOAEL) of 50 mg/

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The results of this Safety factor to account for enhanced observed in three guideline studies analysis indicate that the acute dietary sensitivity of infants and children (as available for the carcinogenicity screen risk associated with existing uses and required by FFDCA section 408 (the chronic feeding study in rats, the proposed use of glufosinate (b)(2)(C)) was reduced to 3x for acute carcinogenicity study in rats and the ammonium is below the Agency’s level exposures. The acute Population carcinogenicity study in mice). of concern. Section 408(b)(2)(E) authorizes EPA to Adjusted Dose (aPAD) is a modification C. Exposures and Risks of the aRfD to accommodate the FQPA use available data and information on Safety Factor. The aPAD is equal to the 1. From food and feed uses. the anticipated residue levels of aRfD divided by the FQPA Safety Tolerances have been established (40 pesticide residues in food and the actual Factor. Therefore, the dietary aPAD is CFR 180.473) for the combined residues levels of pesticide chemicals that have 0.167 mg/kg/day. The dietary aPAD of glufosinate ammonium (butanoic been measured in food. If EPA relies on applies only to the female 13+ years old acid, 2-amino-4- such information, EPA must require that subgroups since the endpoint of concern (hydroxymethylphosphinyl)- data be provided 5 years after the is based on developmental toxicity. No monoammonium salt and its metabolite, tolerance is established, modified, or acute dietary endpoint was identified 3-methylphosphinico-propionic acid, in left in effect, demonstrating that the for the general population including or on a variety of raw agricultural levels in food are not above the levels infants and children. commodities. Time-limited tolerances anticipated. Following the initial data 2. Short- and intermediate-term have also been established as a result of submission, EPA is authorized to toxicity. For short- and intermediate- secondary residues in/on eggs and meat, require similar data on a time frame it term exposure scenarios for dermal fat, and meat byproducts of cattle, goats, deems appropriate. As required by exposure, the dermal NOAEL of 100 mg/ hogs, horses, poultry, and sheep. Risk section 408(b)(2)(E), EPA will issue a kg/day from the 21–day dermal toxicity assessments were conducted by EPA to data call-in for information relating to study in rats, based on neurological assess dietary exposures and risks from anticipated residues to be submitted no clinical signs (hyperactivity, aggressive glufosinate ammonium as follows: later than 5 years from the date of behavior, piloerection) at the lowest i. Acute exposure and risk. Acute issuance of this tolerance. observed adverse effect level (LOAEL) of dietary risk assessments are performed Section 408(b)(2)(F) states that the 300 mg/kg/day, has been identified as for a food-use pesticide if a toxicological Agency may use data on the actual PCT the endpoint for risk assessment. A study has indicated the possibility of an for assessing chronic dietary risk only if margin of exposure (MOE) of 100 is effect of concern occurring as a result of the Agency can make the following required (10x for interspecies a 1–day or single exposure. The Dietary findings: That the data used are reliable extrapolation and 10x for intraspecies Exposure Evaluation Model (DEEM ) and provide a valid basis to show what variability). Short-term inhalation analysis evaluated the individual food percentage of the food derived from exposure should be converted to an oral consumption as reported by such crop is likely to contain such equivalent dose (using 100% inhalation respondents in the USDA 1989–91 pesticide residue; that the exposure absorption) and compared to the nationwide Continuing Surveys of Food estimate does not underestimate NOAEL of 50 mg/kg/day from the oral Intake by Individuals (CSFII) and exposure for any significant rat developmental toxicity study. accumulated exposure to the chemical subpopulation group; and if data are Intermediate-term inhalation exposure for each commodity. At the 95th available on pesticide use and food should be converted to an oral percentile exposure level, assuming consumption in a particular area, the equivalent dose (using 100% inhalation 100% crop treated and tolerance level exposure estimate does not understate absorption) and compared to the residues for all commodities, 6% of the exposure for the population in such NOAEL of 2.1 mg/kg/day from the 2– aPAD was utilized for females (13+ area. In addition, the Agency must year chronic feeding study in rats. nursing), the subgroup with the highest provide for periodic evaluation of any MOEs of 100 are required to account for exposure. The results of the acute estimates used. To provide for the interspecies extrapolation (10x) and analyses indicate that the acute dietary periodic evaluation of the estimate of intraspecies variability (10x). risk associated with the existing and PCT as required by the section 3. Chronic toxicity. EPA has proposed uses of glufosinate ammonium 408(b)(2)(F), EPA may require established the chronic RfD (cRfD) for is below the Agency’s current level of registrants to submit data on PCT. glufosinate ammonium at 0.021 mg/kg/ concern. The Agency used PCT information as day. This RfD is derived from a NOAEL ii. Chronic exposure and risk. The follows: of 2.1 mg/kg/day, based on increases in chronic DEEM analysis assumed A routine chronic dietary exposure absolute and relative kidney weights in tolerance level residues for all analysis for glufosinate ammonium was males at the LOAEL of 7.6 mg/kg/day in commodities except for milk. based 1% of apples, 4% of field corn, a 2–year chronic feeding study in rats Anticipated residues were used for and less than 1% of soybeans were and an UF of 100 (10x for interspecies milk. Maximum percent crop treatment treated. PCT data for sweet corn was extrapolation and 10x for intraspecies data were incorporated into the chronic incorporated by determining the amount variability). The 10x FQPA Safety factor dietary estimate. Percent crop treated of sweet corn produced in Wisconsin to account for enhanced sensitivity of (PCT) data for sweet corn was versus that produced in the United infants and children (as required by incorporated by determining the amount States. Based on this information the FFDCA section 408(b)(2)(C)) was of sweet corn produced in Wisconsin time-limited tolerance for sweet corn reduced to 3x for chronic exposures. versus that produced in the United only supports a section 18 for use in The chronic Population Adjusted Dose States. Assuming tolerance level Wisconsin.

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The Agency believes that the three drinking water concentration values are 4. Cumulative exposure to substances conditions, discussed in section 408 estimated to be 59.43 ppb for surface with a common mechanism of toxicity. (b)(2)(F) unit concerning the Agency’s water and 1.16 pbb for ground water. Section 408(b)(2)(D)(v) requires that, responsibilities in assessing chronic In the absence of monitoring data for when considering whether to establish, dietary risk findings, have been met. pesticides, drinking water levels of modify, or revoke a tolerance, the EPA finds that the PCT information is comparison (DWLOCs) are calculated Agency consider ‘‘available reliable and has a valid basis. Before the and used as a point of comparison information’’ concerning the cumulative petitioner can increase production of against the model estimates of a effects of a particular pesticide’s product for treatment of greater than pesticide’s concentration in water. residues and ‘‘other substances that 30,000 acres of sweet corn, permission DWLOCs are theoretical upper limits on have a common mechanism of toxicity.’’ from the Agency must be obtained. The a pesticide’s concentration in drinking EPA does not have, at this time, regional consumption information and water in light of total aggregate exposure available data to determine whether consumption information for significant to a pesticide in food, drinking water, glufosinate ammonium has a common subpopulations is taken into account and residential uses. A DWLOC will mechanism of toxicity with other through EPA’s computer-based model vary depending on the toxic endpoint, substances or how to include this for evaluating the exposure of with drinking water consumption and pesticide in a cumulative risk significant subpopulations including body weights. Different populations will assessment. Unlike other pesticides for several regional groups. Use of this have different DWLOCs. DWLOCs are which EPA has followed a cumulative consumption information in EPA’s risk used in the risk assessment process as risk approach based on a common assessment process ensures that EPA’s a surrogate measure of potential mechanism of toxicity, glufosinate exposure estimate does not understate exposure associated with pesticide ammonium does not appear to produce exposure for any significant exposure through drinking water. a toxic metabolite produced by other subpopulation group and allows the DWLOC values are not regulatory substances. For the purposes of this Agency to be reasonably certain that no standards for drinking water. Since tolerance action, therefore, EPA has not regional population is exposed to DWLOCs address total aggregate assumed that glufosinate ammonium residue levels higher than those exposure to glufosinate ammonium, has a common mechanism of toxicity estimated by the Agency. Other than the they are further discussed in the with other substances. For more data available through national food aggregate risk sections below. information regarding EPA’s efforts to consumption surveys, EPA does not 3. From non-dietary exposure. determine which chemicals have a have available information on the Glufosinate ammonium is currently common mechanism of toxicity and to evaluate the cumulative effects of such consumption of food bearing glufosinate registered for use on the following chemicals, see the final rule for ammonium in a particular area. residential non-food sites: spot spraying Bifenthrin Pesticide Tolerances (62 FR around trees, shrubs, fences, walks, 2. From drinking water. The Agency 62961, November 26, 1997). lacks sufficient water-related exposure patios, driveways, sidewalks, in flower data to complete a comprehensive beds, around houses, buildings, wooded D. Aggregate Risks and Determination of drinking water exposure analysis and lots, storage and recreational areas, and Safety for U.S. Population risk assessment for glufosinate for spot-kill weeds in lawns. The risk 1. Acute risk. An acute dietary ammonium. Because the Agency does estimates indicate that the potential endpoint was identified only for the not have comprehensive and reliable risks from the registered residential uses females 13+ years old subpopulations. monitoring data, drinking water of glufosinate ammonium do not exceed Using the exposure assumptions of concentration estimates must be made the Agency’s level of concern. These 100% crop treated and tolerance level by reliance on some sort of simulation risk estimates are based on the Agency’s residues for all commodities, at the 95th or modeling. To date, there are no Draft HED Standard Operating percentile, 6% of the aPAD was utilized validated modeling approaches for Procedures (SOPs) for Residential for females (13+, nursing) the subgroup reliably predicting pesticide levels in Exposure Assessments, December 18, with the highest exposure. EPA drinking water. The Agency is currently 1998. generally has no concern for exposures relying on GENEEC and PRZM/EXAMS i. Acute exposure and risk. Acute below 100% of the aPAD. Despite the for surface water, which are used to dietary exposure and risks are not potential for exposure to glufosinate produce estimates of pesticide expected from use of glufosinate ammonium in drinking water, after concentrations in a farm pond and SCI- ammonium as a result of non-dietary, calculating a DWLOC (4730 ppb) for the GROW, which predicts pesticide non-occupational exposure. females (13+ nursing) and comparing it concentrations in ground water. None of ii. Chronic exposure and risk. to conservative model estimates of acute these models include consideration of Chronic-term residential exposures are concentrations of glufosinate the impact processing of raw water for not expected from the proposed section ammonium in surface and ground water distribution as drinking water would 18 use of glufosinate ammonium, (237 ppb and 1.16 pbb, respectively), likely have on the removal of pesticides therefore a risk assessment was not EPA does not expect the aggregate from the source water. The primary use conducted. exposure to exceed 100% of the aPAD. of these models by the Agency at this iii. Short- and intermediate-term 2. Chronic risk. Using the exposure stage is to provide a coarse screen for exposure and risk. There are potential assumptions of tolerance level residues sorting out pesticides for which it is short-term exposures from the registered for all commodities except milk where highly unlikely that drinking water residential uses of glufosinate anticipated residues were used and PCT concentrations would ever exceed ammonium. Therefore, a risk values, 4% of the cPAD was utilized for human health levels of concern. Based assessment was conducted to estimate the U.S. population. The major on the GENEEC and SCI-GROW models, the potential risks from garden uses. identifiable subgroup with the highest the acute drinking water concentration The estimated MOEs from residential aggregate exposure is non-nursing values are estimated to be 237 parts per uses ranged from 190 (dermal exposures infants. EPA generally has no concern billion (ppb) for surface water and 1.16 to homeowner/handler) to 330,000 for exposures below 100% of the cPAD ppb for ground water. The chronic (inhalation exposures). because the cPAD represents the level at

VerDate 18-JUN-99 09:08 Aug 17, 1999 Jkt 183247 PO 00000 Frm 00016 Fmt 4700 Sfmt 4700 E:\FR\FM\A18AU0.039 pfrm07 PsN: 18AUR1 Federal Register / Vol. 64, No. 159 / Wednesday, August 18, 1999 / Rules and Regulations 44833 or below which daily aggregate dietary gestation. Reproduction studies provide results of the rat and rabbit exposure over a lifetime will not pose information relating to effects from developmental toxicity studies and the appreciable risks to human health. exposure to the pesticide on the 2–generation reproduction study. Despite the potential for chronic reproductive capability of mating v. Conclusion. There is a complete exposure to glufosinate ammonium in animals and data on systemic toxicity. toxicity data base for glufosinate drinking water, after calculating a FFDCA section 408 provides that EPA ammonium and exposure data are DWLOC (236 ppb) for the U.S. shall apply an additional tenfold margin complete or are estimated based on data population and comparing it to of safety for infants and children in the that reasonably accounts for potential conservative model estimates of case of threshold effects to account for exposures. Although the data indicate concentrations of glufosinate prenatal-and postnatal toxicity and the that there is no additional sensitivity to ammonium surface and ground water completeness of the data base unless young rats or rabbits following prenatal (59.43 ppb and 1.16 pbb, respectively), EPA determines that a different margin and/or postnatal exposure to glufosinate EPA does not expect the aggregate of safety will be safe for infants and ammonium in the developmental and exposure to exceed 100% of the cPAD. children. Margins of safety are reproductive toxicity studies; the 3. Short- and intermediate-term risk. incorporated into EPA risk assessments Agency has determined that the FQPA Short- and intermediate-term aggregate either directly through use of a MOE Safety Factor should not be removed but exposure takes into account chronic analysis or through using uncertainty instead reduced to 3x due to the dietary food and water (considered to be (safety) factors in calculating a dose presence of neurotoxicity in several a background exposure level) plus level that poses no appreciable risk to studies in the toxicology data base, and indoor and outdoor residential humans. EPA believes that reliable data the absence of acute neurotoxicity data, exposure. There are registered support using the standard MOE and subchronic neurotoxicity data, and residential uses for glufosinate uncertainty factor (usually 100 for developmental neurotoxicity data. ammonium. The estimated MOEs from combined interspecies and intraspecies 2. Acute risk. An acute dietary RfD residential uses ranged from 190 variability) and not the additional was not identified for any (dermal exposures to homeowner/ tenfold MOE/uncertainty factor when subpopulation other than female 13+ handler) to 330,000 (inhalation EPA has a complete data base under years old. exposures). These estimates indicate existing guidelines and when the 3. Chronic risk. Using the exposure that the potential inhalation exposures severity of the effect in infants or assumptions described in this unit, EPA will not be a significant contribution to children or the potency or unusual toxic has concluded that aggregate exposure the aggregate risk. The potential dermal properties of a compound do not raise to glufosinate ammonium from food will exposures were not aggregated because concerns regarding the adequacy of the utilize 9% of the cPAD for non-nursing the toxic effects for short- and standard MOE/safety factor. infants, the major identifiable subgroup intermediate-term exposure ii. Developmental toxicity studies. In with the highest aggregate exposure. (neurological clinical signs) and chronic the developmental study in rats, the EPA generally has no concern for exposure (increases in absolute and maternal (systemic) NOAEL was 10 mg/ exposures below 100% of the cPAD relative kidney weights) are different. kg/day, based on vaginal bleeding and because the cPAD represents the level at Therefore, based on the best available hyperactivity at the LOAEL of 50 mg/kg/ or below which daily aggregate dietary data and current policies, potential risks day. The developmental (fetal) NOAEL exposure over a lifetime will not pose do not exceed the Agency’s level of was 50 mg/kg/day, based on dilated appreciable risks to human health. concern. renal pelvis and/or hydroureter at the Despite the potential for chronic 4. Aggregate cancer risk for U.S. LOAEL of 250 mg/kg/day. exposure to glufosinate ammonium in population. There is no cancer concern In the developmental toxicity study in drinking water, after calculating a based on negative results observed in rabbits, the maternal (systemic) NOAEL DWLOC (64 ppb) for non-nursing three guideline studies available for the was 2 mg/kg/day, based on decreases in infants and comparing it to conservative carcinogenicity screen: the chronic body weight, body weight gain and food model estimates of concentrations of feeding study in rats, carcinogenicity consumption and increased kidney glufosinate ammonium in surface and study in rats and the carcinogenicity weight at the LOAEL of 6 mg/kg/day. ground water (59.43 ppb and 1.16 pbb, study in mice. The developmental (pup) NOAEL was 2 respectively), EPA does not expect the 5. Determination of safety. Based on mg/kg/day based on absent/incomplete aggregate exposure to exceed 100% of these risk assessments, EPA concludes ossification, with fetal death at 20 mg/ the cPAD. that there is a reasonable certainty that kg/day. 4. Short- or intermediate-term risk. no harm will result from aggregate iii. Reproductive toxicity study. In the Short- and intermediate-term aggregate exposure to glufosinate ammonium 2–generation reproductive toxicity exposure takes into account chronic residues. study in rats, the parental (systemic) dietary food and water (considered to be NOAEL was 2 mg/kg/day based on a background exposure level) plus E. Aggregate Risks and Determination of increased kidney weights in males and indoor and outdoor residential uses. Safety for Infants and Children females ate 6 mg/kg/day. The There are registered residential uses for 1. Safety factor for infants and reproductive/developmental NOAEL glufosinate ammonium, however, based children—i. In general. In assessing the was 6 mg/kg/day based on decreased on the use patterns (spot treatments), potential for additional sensitivity of pup viability in all generations at 18 potential post application exposures to infants and children to residues of mg/kg/day. infants and children from these uses glufosinate ammonium, EPA considered iv. Prenatal and postnatal sensitivity. will not contribute significantly to the data from developmental toxicity The toxicological data base for overall risks. The estimated MOE from studies in the rat and rabbit and a 2– evaluating prenatal and postnatal post application exposures was 330 generation reproduction study in the rat. toxicity for glufosinate ammonium is (based on conservative estimates). The developmental toxicity studies are complete with respect to current data Therefore, the Agency concludes that designed to evaluate adverse effects on requirements. There are no prenatal or there is a reasonable certainty that no the developing organism resulting from postnatal susceptibility concerns for harm will result to infants and children maternal pesticide exposure during infants and children, based on the from short- and intermediate-term

VerDate 18-JUN-99 09:08 Aug 17, 1999 Jkt 183247 PO 00000 Frm 00017 Fmt 4700 Sfmt 4700 E:\FR\FM\A18AU0.039 pfrm07 PsN: 18AUR1 44834 Federal Register / Vol. 64, No. 159 / Wednesday, August 18, 1999 / Rules and Regulations aggregate exposures to residues of E. Rotational Crop Restrictions should be sent to James Hollins, glufosinate ammonium. A 120–day plant back interval is Information Resources and Services 5. Determination of safety. Based on required for all crops. Division (7502C), Office of Pesticide these risk assessments, EPA concludes Programs, Environmental Protection that there is a reasonable certainty that V. Conclusion Agency, 401 M St., SW., Washington, no harm will result to infants and Therefore, the tolerance is established DC 20460. children from aggregate exposure to for combined residues of glufosinate If a hearing is requested, the glufosinate ammonium residues. ammonium (butanoic acid, 2-amino-4- objections must include a statement of the factual issues on which a hearing is (hydroxymethylphosphinyl)- IV. Other Considerations requested, the requestor’s contentions monoammonium salt and its metabolite, on such issues, and a summary of any A. Metabolism in Plants and Animals 3-methylphosphinico-propionic acid in evidence relied upon by the requestor sweet corn (kernels and cobs with husk 1. Plants. The nature of the residues (40 CFR 178.27). A request for a hearing removed) at 4.0 ppm, sweet corn forage of glufosinate ammonium is considered will be granted if the Administrator at 4.0 ppm, sweet corn stover at 6.0 to be understood. The Agency has determines that the material submitted ppm, canola seed at 0.4 ppm and canola concluded that the residues of concern shows the following: There is genuine meal at 1.1 ppm. are glufosinate ammonium and its and substantial issue of fact; there is a metabolites 2-acetamido-4- VI. Objections and Hearing Requests reasonable possibility that available methylphosphinico-butanoic acid and The new FFDCA section 408(g) evidence identified by the requestor 3-methylphosphinico-propionic acid provides essentially the same process would, if established, resolve one or expressed as glufosinate free acid for persons to ‘‘object’’ to a tolerance more of such issues in favor of the equivalents. regulation as was provided in the old requestor, taking into account 2. Animals. The nature of the residues section 408 and in section 409. uncontested claims or facts to the of glufosinate ammonium in/on animals However, the period for filing objections contrary; and resolution of the factual is considered to be understood. The is 60 days, rather than 30 days. EPA issues in the manner sought by the Agency has concluded that the residues currently has procedural regulations requestor would be adequate to justify of concern in ruminants and hens are which govern the submission of the action requested (40 CFR 178.32). glufosinate ammonium and its objections and hearing requests. These Information submitted in connection metabolite 3-methylphosphinico- regulations will require some with an objection or hearing request propionic acid expressed as glufosinate modification to reflect the new law. may be claimed confidential by marking free acid equivalents. However, until those modifications can any part or all of that information as CBI. Information so marked will not be B. Analytical Enforcement Methodology be made, EPA will continue to use those procedural regulations with appropriate disclosed except in accordance with Method AE-24 is an adequate adjustments to reflect the new law. procedures set forth in 40 CFR part 2. tolerance enforcement method for Any person may, by October 18, 1999, A copy of the information that does not determination of glufosinate ammonium file written objections to any aspect of contain CBI must be submitted for related residues. This method is a this regulation and may also request a inclusion in the public record. modification of the current enforcement hearing on those objections. Objections Information not marked confidential Analytical Method HRAV-5A. Method and hearing requests must be filed with may be disclosed publicly by EPA AE-24, includes an additional post- the Hearing Clerk, at the address given without prior notice. extraction cation exchange procedure to under the ‘‘ADDRESSES’’ section (40 VII. Public Record and Electronic allow for separate detection and CFR 178.20). A copy of the objections Submissions measurement of each residue and/or hearing requests filed with the component. Final determination is EPA has established a record for this Hearing Clerk should be submitted to regulation under docket control number made by gas chromatography with flame the OPP docket for this rulemaking. The photometric detection (GC/FPD) [OPP-300900] (including any comments objections submitted must specify the and data submitted electronically). A operating in the phosphorus selective provisions of the regulation deemed mode (P-mode). Residues are expressed public version of this record, including objectionable and the grounds for the printed, paper versions of electronic as glufosinate-ammonium free acid objections (40 CFR 178.25). Each equivalents. comments, which does not include any objection must be accompanied by the information claimed as CBI, is available C. Magnitude of Residues fee prescribed by 40 CFR 180.33(i). EPA for inspection from 8:30 a.m. to 4 p.m., is authorized to waive any fee Monday through Friday, excluding legal Residues of glufosinate ammonium requirement ‘‘when in the judgement of holidays. The public record is located in are not expected to exceed 4.0 ppm in/ the Administrator such a waiver or Room 119 of the Public Information and on sweet corn (kernels and cob with refund is equitable and not contrary to Records Integrity Branch, Information husk removed), sweet corn forage at 4.0 the purpose of this subsection.’’ For Resources and Services Division ppm, sweet corn stover at 6.0 ppm, additional information regarding (7502C), Office of Pesticide Programs, canola seed at 0.4 ppm and canola meal tolerance objection fee waivers, contact Environmental Protection Agency, at 1.1 ppm as a result of these section James Tompkins, Registration Division Crystal Mall #2, 1921 Jefferson Davis 18 uses. Secondary residues in animal (7505C), Office of Pesticide Programs, Hwy., Arlington, VA. commodities are not expected to exceed Environmental Protection Agency, 401 Objections and hearing requests may the previously established tolerances as M St., SW., Washington, DC 20460. be sent by e-mail directly to EPA at: a result of this section 18 use. Office location, telephone number, and [email protected] D. International Residue Limits e-mail address Rm. 239, Crystal Mall #2, 1921 Jefferson Davis Hwy., Arlington, E-mailed objections and hearing There are no Canadian or Mexican VA, (703) 305–5697, requests must be submitted as an ASCII MRLs established for glufosinate [email protected]. Requests for file avoiding the use of special ammonium in/on sweet corn. waiver of tolerance objection fees characters and any form of encryption.

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The official record for this regulation, B. Executive Order 12875 matters that significantly or uniquely as well as the public version, as Under Executive Order 12875, affect their communities.’’ described in this unit will be kept in entitled Enhancing the Today’s rule does not significantly or paper form. Accordingly, EPA will Intergovernmental Partnership (58 FR uniquely affect the communities of transfer any copies of objections and 58093, October 28, 1993), EPA may not Indian tribal governments. This action hearing requests received electronically issue a regulation that is not required by does not involve or impose any into printed, paper form as they are statute and that creates a mandate upon requirements that affect Indian tribes. received and will place the paper copies a State, local or tribal government, Accordingly, the requirements of in the official record which will also unless the Federal government provides section 3(b) of Executive Order 13084 include all comments submitted directly the funds necessary to pay the direct do not apply to this rule. in writing. The official record is the compliance costs incurred by those IX. Submission to Congress and the paper record maintained at the Virginia governments. If the mandate is Comptroller General address in ‘‘ADDRESSES’’ at the unfunded, EPA must provide to OMB a The Congressional Review Act, 5 beginning of this document. description of the extent of EPA’s prior U.S.C. 801 et seq., as added by the Small consultation with representatives of VIII. Regulatory Assessment Business Regulatory Enforcement affected State, local, and tribal Requirements Fairness Act of 1996, generally provides governments, the nature of their that before a rule may take effect, the A. Certain Acts and Executive Orders concerns, copies of any written Agency promulgating the rule must communications from the governments, This final rule establishes a tolerance submit a rule report, which includes a and a statement supporting the need to under section 408 of the FFDCA. The copy of the rule, to each House of the issue the regulation. In addition, Office of Management and Budget Congress and the Comptroller General of Executive Order 12875 requires EPA to (OMB) has exempted these types of the United States. EPA will submit a develop an effective process permitting actions from review under Executive report containing this rule and other elected officials and other Order 12866, entitled Regulatory required information to the U.S. Senate, representatives of State, local, and tribal Planning and Review (58 FR 51735, the U.S. House of Representatives and governments ‘‘to provide meaningful October 4, 1993). This final rule does the Comptroller General of the United and timely input in the development of not contain any information collections States prior to publication of the rule in regulatory proposals containing subject to OMB approval under the the Federal Register. This rule is not a significant unfunded mandates.’’ ‘‘major rule’’ as defined by 5 U.S.C. Paperwork Reduction Act (PRA), 44 Today’s rule does not create an 804(2). U.S.C. 3501 et seq., or impose any unfunded Federal mandate on State, enforceable duty or contain any local, or tribal governments. The rule List of Subjects in 40 CFR Part 180 unfunded mandate as described under does not impose any enforceable duties Title II of the Unfunded Mandates Environmental protection, on these entities. Accordingly, the Administrative practice and procedure, Reform Act of 1995 (UMRA) (Public requirements of section 1(a) of Law 104–4). Nor does it require any Agricultural commodities, Pesticides Executive Order 12875 do not apply to and pests, Reporting and recordkeeping special considerations as required by this rule. Executive Order 12898, entitled Federal requirements. Actions to Address Environmental C. Executive Order 13084 Dated: July 29, 1999. Justice in Minority Populations and Under Executive Order 13084, Peter Caulkins, Low-Income Populations (59 FR 7629, entitled Consultation and Coordination February 16, 1994), or require OMB Acting Director, Registration Division, Office with Indian Tribal Governments (63 FR of Pesticide Programs. review in accordance with Executive 27655, May 19, 1998), EPA may not Order 13045, entitled Protection of Therefore, 40 CFR chapter I is issue a regulation that is not required by amended as follows: Children from Environmental Health statute, that significantly or uniquely Risks and Safety Risks (62 FR 19885, affects the communities of Indian tribal PART 180Ð[AMENDED] April 23, 1997). governments, and that imposes In addition, since tolerances and substantial direct compliance costs on 1. The authority citation for part 180 exemptions that are established on the those communities, unless the Federal continues to read as follows: basis of a petition under FFDCA section government provides the funds Authority: 21 U.S.C. 321(q), 346a and 371. 408(l)(6), such as the tolerance in this necessary to pay the direct compliance 2. Section 180.473, is amended as final rule, do not require the issuance of costs incurred by the tribal follows: a proposed rule, the requirements of the governments. If the mandate is i. By redesignating (b)(1), and (b)(2) as Regulatory Flexibility Act (RFA) (5 unfunded, EPA must provide OMB, in paragraphs (a)(3) and (a)(4). U.S.C. 601 et seq.) do not apply. a separately identified section of the ii. By adding a new paragraph (b). Nevertheless, the Agency previously preamble to the rule, a description of assessed whether establishing the extent of EPA’s prior consultation § 180.473 Glufosinate Ammonium; tolerances, exemptions from tolerances, with representatives of affected tribal tolerances for residues. raising tolerance levels or expanding governments, a summary of the nature * * * * * exemptions might adversely impact of their concerns, and a statement (b) Section 18 emergency exemptions. small entities and concluded, as a supporting the need to issue the Time-limited tolerances are established generic matter, that there is no adverse regulation. In addition, Executive Order for combined residues of the herbicide economic impact. The factual basis for 13084 requires EPA to develop an (butanoic acid, 2-amino-4- the Agency’s generic certification for effective process permitting elected (hydroxymethylphosphinyl)- tolerance actions published on May 4, officials and other representatives of monoammonium salt and its metabolite, 1981 (46 FR 24950), and was provided Indian tribal governments ‘‘to provide 3-methylphosphinico-propionic acid in to the Chief Counsel for Advocacy of the meaningful and timely input in the connection with use of section 18 Small Business Administration. development of regulatory policies on emergency exemptions granted by EPA.

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The tolerances will expire and are Division, at the address shown below. change their programs and ask EPA to revoked on the date specified in the You can examine copies of the materials authorize the changes. Changes to State following table. submitted by the State of Louisiana programs may be necessary when during normal business hours at the Federal or State statutory or regulatory Parts Expiration/ following locations: EPA Region 6, 1445 authority is modified or when certain Commodity per mil- Revocation Ross Avenue, Dallas, Texas 75202–2733, other changes occur. Most commonly, lion date (214) 665–6444; or Louisiana States must change their programs Canola, meal ...... 1.1 12/1/99 Department of Environmental Quality, because of changes to EPA’s regulations H.B. Garlock Building, 7290 in 40 CFR parts 124, 260–266, 268, 270, Canola, seed ...... 0.4 12/1/99 Bluebonnet, Baton Rouge, Louisiana, 273, and 279. Corn, sweet, forage 4.0 12/1/99 70810, (504) 765–0617. C. What is the Effect of This Corn, sweet, kernels FOR FURTHER INFORMATION CONTACT: Authorization? and cobs with Alima Patterson (214) 665–8533. husks removed .... 4.0 12/1/99 This authorization should have little SUPPLEMENTARY INFORMATION: impact because the State’s requirements Corn, sweet, stover 6.0 12/1/99 A. What is Resource Conservation and are already effective. However, upon approval of the revisions, Texas will be * * * * * Recovery Act (RCRA) State Authorization? authorized to administer federal rules [FR Doc. 99–20869 Filed 8–17–99; 8:45 am] referred by EPA as RCRA Cluster V The RCRA, as amended by the BILLING CODE 6560±50±F (these rules are listed in a chart in this Hazardous and Solid Waste FR document). Currently, federal cluster Amendments of 1984 (HSWA), provides V rules are administered by the EPA. ENVIRONMENTAL PROTECTION for authorization of State hazardous AGENCY waste programs under subtitle C. Under D. What is the History of Texas’ Final RCRA Section 3006, EPA may authorize Authorization and Its Revisions 40 CFR Part 271 a State to administer and enforce the Texas received final authorization to [FRL±6424±1] RCRA hazardous waste program. See 40 implement its hazardous waste Code of Federal Regulations (CFR) part management program on December 12, Texas: Final Authorization of State 271. In fact, Congress designed RCRA so 1984, effective December 26, 1984 (49 Hazardous Waste Management that the entire subtitle C program would FR 48300). This authorization was Program Revisions eventually be administered by the States clarified in a notice published in the FR in lieu of the Federal Government. This on March 26, 1985 (50 FR 11858). Texas AGENCY: Environmental Protection is because the States are closer to, and received final authorization for Agency (EPA). more familiar with, the regulated revisions to its program in notices ACTION: Immediate final rule. community and therefore are in a better published in the FR on January 31, position to administer the programs and 1986, effective October 4, 1985 (51 FR SUMMARY: The State of Texas has respond to local needs effectively. 3952), on December 18, 1986, effective applied for final authorization to revise After receiving authorization, the February 17, 1987 (51 FR 45320). We its hazardous waste program under the State administers the program in lieu of authorized the following revisions: Resource Conservation and Recovery the Federal government, although EPA March 1, 1990, effective March 15, 1990 Act (RCRA). The EPA has determined retains enforcement authority under (55 FR 7318), on May 24, 1990, effective that these changes satisfy all RCRA sections 3008, 3013, and 7003. July 23, 1990 (55 FR 21383), on August requirements needed to qualify for final Authorized States are required to revise 22, 1991, effective October 21, 1991 (56 authorization. The EPA reviewed their programs when EPA promulgates FR 41626), on October 5, 1992, effective Texas’s application, and now makes an Federal Standards that are more December 4, 1992 (57 FR 45719) and on immediate final decision, subject to stringent or broader in scope than April 11, 1994, effective June 27, 1994, receipt of adverse written comment, that existing Federal standards. States are (59 FR 16987); on April 12, 1994, Texas’ Hazardous Waste Program not required to modify their programs to effective (59 FR 17273), September 12, revision satisfies all of the requirements address Federal changes that are less 1997, effective November 26, 1997, (62 necessary to qualify for final stringent than the existing Federal FR 47947), and on September 19, 1997, authorization. Consequently, EPA program or that reduce the scope of the effective December 3, 1997, (62 FR intends to grant Texas final existing Federal program. These changes 49163). Effective December 3, 1997 (62 authorization for the program are optional and are noted as such in the FR 49163), EPA incorporated by modifications contained in the revision. Federal Register (FR) documents. reference the State of Texas Base DATES: This action is effective on However, EPA encourages States to Program into CFR. On February 11, October 18, 1999 without further notice, adopt optional rules because they 1999, Texas submitted a final complete unless EPA receives relevant adverse provide benefit to environmental program revision application, seeking comments by September 17, 1999. If protection. authorization of its program revision in adverse comments are received, EPA B. Why are Revisions to State Programs accordance with 40 CFR 271.21. will publish a timely withdrawal of the In 1991, Texas Senate Bill 2 created Necessary? immediate final rule or identify the the TNRCC which combined the issues raised, respond to the comments, States which have received final functions of the former Texas Water and affirm that the immediate final rule authorization from EPA under RCRA Commission and the former Texas Air will take effect as scheduled. section 3006(b), 42 U.S.C. 6926(b), must Control Board. The transfer of functions ADDRESSES: Mail written comments to maintain a hazardous waste program to the TNRCC from the two agencies Alima Patterson, Region 6, Regional that is equivalent to, consistent with, became effective on September 1, 1993. Authorization Coordinator, Grants and and no less stringent than the Federal Under the Texas Solid Waste Disposal Authorization Section (6PD–G), Hazardous Waste Program. As the Act (codified in Chapter 361 of the Multimedia Planning and Permitting Federal program changes, States must Texas Health and Safety Code), the

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TNRCC has primary responsibility for will transfer from the TNRCC to the and the RRC. Effective May 31, 1998, administration of laws and regulations RRC. The EPA has designated the the TNRCC and the RRC signed a concerning hazardous waste. The TNRCC to be the lead agency to Memorandum of Understanding that TNRCC is authorized to administer the coordinate RCRA activities between the clarified the jurisdiction between the RCRA program. However, Under the two agencies. The EPA is responsible for agencies for waste associated with Texas Natural Resources Code, title 3, the regulation of hazardous waste for exploration, development, production and Texas Water Code, Chapter 27, which TNRCC has not been previously and refining of oil and gas. waste (both hazardous and authorized. nonhazardous) resulting from activities The TNRCC has rules necessary to E. What Revisions are we Approving associated with the exploration, implement EPA’s RCRA Cluster V With Today’s Action? development, or production of oil, gas, revisions to the Federal Hazardous Waste Program from July 1, 1994, to The State of Texas submitted a final or geothermal resources, is regulated by June 30, 1995. The TNRCC authority to complete program revision application, the Railroad Commission of Texas incorporate Federal rules by reference seeking authorization of their revisions (RRC). A list of activities that generate can be found at Texas Government Code in accordance with 40 CFR 271.21. wastes that are subject to the Annotated section 311.027 and adoption Texas’ revisions consist of regulations jurisdiction of the RRC is found at 16 of the hazardous waste rules in general which specifically govern Federal TAC sections 3.8(a)(30) and at 30 TAC are pursuant to the following statutory Hazardous Waste promulgated from July 335.1. Such wastes are termed ‘‘oil and provisions: (1) Texas Water Code 1, 1994 to June 30, 1995 ( RCRA Cluster gas wastes.’’ The TNRCC has Annotated section 5.103 (Vernon 1988 & V). Texas requirements are listed on the responsibility to administer the RCRA Supplement 1998), effective September chart included in this document. The program, however, hazardous waste 1995, as amended, (2) Texas Health and EPA is now making an immediate final generated at natural gas or natural gas Safety Code Annotated section 361.024 decision, subject to receipt of written liquids processing plants or reservoir (Vernon 1992 & supplement 1998), comments that oppose this action, that pressure maintenance or repressurizing effective September 1, 1995, as plants are subject to the jurisdiction of Texas’ hazardous waste program amended, (3) Texas Health and Safety revision satisfies all of the requirements the TNRCC until the RRC is authorized Code Annotated section 361.078 necessary to qualify for final by EPA to administer RCRA. When the (Vernon 1992), effective September 1, authorization. Therefore, we grant Texas RRC is authorized by EPA to administer 1989. RCRA program for these wastes, In this authorization the EPA has also final authorization for the following jurisdiction over such hazardous waste clarified the jurisdiction of the TNRCC program revisions:

Federal citation State analog

1. Identification and Listing of Hazardous Texas Water Code Annotated (TWCA) §§ 5.102, 5.103 (Vernon 1988 & Supplement (Supp.) 1998), Waste; Amendments to Definition of effective September 1, 1995, as amended; § 5.105 (Vernon 1988) effective September 1, 1985; Solid Waste; Recovered Oil Exclusion, Texas Health and Safety Code Annotated (THSCA) § 361.003 (Vernon 1992 & Supp. 1998), effec- [59 FR 38536±38545] July 28, 1994. tive September 1, 1997, as amended, THSCA § 361.017 and 361.024 (Vernon 1992 & Supp. (Checklist 135). 1998), effective September 1, 1995, as amended, THSCA § 361.078 (Vernon 1992) effective Sep- tember 1, 1989; 30 Texas Administrative Code (TAC) §§ 335.1(56), 335.1(119), 335.24, and 335.221, effective October 19, 1998, as amended. 2. Removal of the Conditional Exemption TWCA §§ 5.102 (Vernon 1988 & Supp. 1998), effective September 1, 1985, as amended; TWCA for Certain Slag Residues, [59 FR 5.103 (Vernon 1988 & 1998), effective 1, 1995, as amended; TWCA 5.105 (Vernon 1988) effective 43496±43500] August 24, 1994. September 1, 1985, TWCA 26.011 (Vernon 1988 & Supp. 1998), effective March 28, 1991, as (Checklist 136). amended; THSCA §§ 361.017 (Vernon 1992 & Supp. 1998), effective September 1, 1995, as amended; THSCA 361.024 (Vernon 1992 & Supp. 1998), effective September 1, 1995, as amend- ed; THSCA 361.078 (Vernon 1992), effective September 1, 1989; 30 TAC §§ 335.211, and 335.431, effective October 19, 1998, as amended. 3. Universal Treatment Standards and TWCA §§ 5.102, 5.103, (Vernon 1988 & Supp. 1998), effective September 1, 1985, as amended, Treatment Standards for Organic Tox- TWCA § 5.105 (Vernon 1988), effective September 1, 1985; THSCA §§ 361.003, 361.017, 361.024, icity Characteristic Waste and Newly (Vernon 1992 & Supp. 1998), effective September 1, 1995, as amended, and 361.078 (Vernon Listed Wastes [59 FR 47982±48110] 1992), effective September 1, 1989; 30 TAC §§ 335.1(119), 335.18, 335.19, as amended, effective September 19, 1994, as amended at October 19, 1998; 335.20, as amended, effective May 29, 1986, 335.21, 335.41, 335.214, 335.221, [60 FR 242±302], January 3, 1995. and 335.431, as amended, effective October 19, 1998. At 40 CFR 268.7(a) (tolling agreements), (Checklist 137). the State regulations are more stringent than the Federal regulations because the State regulations do not contain an explicit provision analogous to 40 CFR part 268.79(a)(10). 4. Testing and Monitoring Activities TWCA §§ 5.102, 5.103, (Vernon 1988 & Supp. 1998), effective 1, 1985, as amended, 5.105, (Vernon Amendment I, [60 FR 3089±3095] 1988, effective September 1, 1985; THSCA §§ 361.017, 361.024, (Vernon 1992 & Supp. 1998), ef- January 13, 1995. (Checklist 139). fective September 1, 1995, as amended, 361.078, (Vernon 1992), effective September 1, 1989; 30 TAC § 335.31, effective October 19, 1998, as amended. 5. Carbamate Production Identification TWCA §§ 5.102, 5.103, (Vernon 1988 & Supp. 1998), effective September 1, 1985, as amended, and Listing of Hazardous Waste, [60 5.105, (Vernon 1988) effective September 1, 1985; THSCA §§ 361.003, 361.017, 361.024, 361.078 FR 7824±7859], February 9, 1995, as (Vernon 1992 & Supp. 1998), effective September 1, 1997, as amended, 361.078 (Vernon 1992), amended at [60 FR 19165], April 17, effective September 1, 1989; 30 TAC §§ 335.29, and 335.1(56), effective September 19, 1998, as 1995, and at [60 FR 25619], May 12, amended. The State statutory and regulatory definitions of hazardous waste incorporate by ref- 1995. (Checklist 140). erence the Federal definition, automatically including any changes. The State rule is broader in scope because the waste vacated by the November 1, 1996, decision by United States Court of Appeals For the District of Columbia Circuit in Dithiocarbamate Task Force v. EPA. However, this has no impact on the equivalency of the definition of hazardous waste.

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Federal citation State analog

6. Testing and Monitoring Activities TWCA §§ 5.102, 5.103 (Vernon 1988 & Supp. 1998), effective September 1, 1985, as amended, Amendment II, [60 FR 17001±17004], 5.105 (Vernon 1988), effective September 1, 1985; 26.011 (Vernon 1988 & Supp. 1998), effective April 4, 1995. (Checklist 141). March 28, 1991, as amended, THSCA §§ 361.017, 361.024 (Vernon 1992 & Supp. 1998), as amended, 361.078 (Vernon 1992), effective September 1, 1989; 30 TAC § 335.31, effective Octo- ber 19, 1998, as amended. 7. Universal Waste: General Provisions, TWCA §§ 5.102, 5.103 (Vernon 1988 & Supp. 1998), effective September 1, 1985, as amended, [60 FR 25492±25551] May 11, 1995. 5.105 (Vernon 1988), effective September 1, 1985; 26.011 (Vernon 1988 & Supp. 1998), effective (Checklist 142 A). March 28, 1991, as amended; THSCA §§ 361.003 (Vernon 1992 & Supp. 1998), effective Sep- tember 1, 1997, as amended, 361.017, 361.024 (Vernon 1992 & Supp. 1998), effective September 1, 1995, as amended, 361.078I (Vernon 1992), effective September 1, 1989; 30 TAC §§ 335.1, 335.2(I), 335.41(j), 335.61(g), 335.62, 335.78(c), (f), and (g), 335.261, 335.431, effective October 19, 1998, as amended. 8. Universal Waste Rule: Specific Provi- TWCA §§ 5.102, 5.103 (Vernon 1988 & Supp. 1998), effective September 1, 1985, as amended, sions for Batteries, [60 FR 25492± 5.105 (Vernon 1988), effective September 1, 1985, 26.011 (Vernon 1988 & Supp. 1998), effective 2551] May 11, 1995. (Checklist 142 B). March 28, 1991; THSCA §§ 361.003 (Vernon 1992 & Supp. 1998), effective September 1, 1997, as amended, 361.017, 361.024 (Vernon 1992 & Supp. 1998), effective September 1, 1995, 361.078 (Vernon 1992), effective September 1, 1989; 30 TAC §§ 335.1, 335.2(I), 335.24(c), 335.41(j), 335.251, 335.261, and 335.431, effective October 19, 1998. 9. Universal Waste Rule: Specific Provi- TWCA §§ 5.102 (Vernon 1988 & Supp. 1998), effective September 1, 1985, as amended, 5.103 sions for Pesticides, [60 FR 25492± (Vernon 1988 & Supp. 1998), effective September 1, 1995, 5.105 (Vernon 1988), effective Sep- 25551] May 11, 1995. (Checklist 142 tember 1, 1985, 26.011 (Vernon 1988 & supp. 1998), effective March 28, 1991, as amended; C). THSCA §§ 361.003 (Vernon 1992 & Supp. 1998), effective September 1, 1997, as amended, 361.017, 361.024, (Vernon 1992 & Supp. 1998), effective September 1, 1995 as amended, 361.078 (Vernon 1992), effective September 1, 1989; 30 TAC §§ 335.1, 335.2(I), 335.41(j) 335.261, and 335.431, effective October 19, 1998, as amended. 10. Universal Waste rule: Specific Provi- TWCA §§ 5.102 (Vernon 1988 & Supp. 1998), effective September 1, 1985, as amended, 5.103 sions for Thermostats, [60 FR 25492± (Vernon 1988 & Supp. 1998), effective September 1, 1995, as amended, 5.105 (Vernon 1988), ef- 25551] May 11, 1995. (Checklist 142 fective September 1, 1985, 26.011 (Vernon 1988 & Supp. 1998), effective March 28, 1991, as D). amended; THSCA §§ 361.003 (Vernon 1992 & Supp. 1998) effective September 1, 1997, as amended, 361.017, 361.024 (Vernon 1992 & Supp. 1998), effective September 1, 1995, 361.078 (Vernon 1992), effective September 1, 1989; 30 TAC 335.1, 335.2(I), 335.41(j), 335.261, 335.431, effective October 19, 1998. 11. Universal Waste Rule: Petition Provi- TWCA §§ 5.102 (Vernon 1988 & Supp. 1998), effective September 1, 1985, as amended, 5.103 sions to Add a New Universal Waste, (Vernon 1988 & Supp. 1998), effective September 1, 1995, as amended, 5.105 (Vernon 1988), ef- [60 FR 25492±25551] May 11, 1995. fective September 1, 1985, 26.011 (Vernon 1988 & Supp. 1998), effective March 28, 1991, as (Checklist 142 E). amended; THSCA §§ 361.003 (Vernon 1992 & Supp. 1998) effective September 1, 1997, as amended, 361.017, 361.024 (Vernon 1992 & Supp. 1998), effective September 1, 1995, 361.078 (Vernon 1992), effective September 1, 1989; 30 TAC §§ 20.15, effective June 6, 1996, as amend- ed, 335.261, effective October 19, 1998 as amended. 12. Removal of Legally Obsolete Rules, TWCA §§ 5.102 (Vernon 1988 & Supp. 1998), effective September 1, 1985, as amended, 5.103 [60 FR 33912±33915 June 29, 1995. (Vernon 1988 & Supp. 1998), effective September 1, 1995, as amended, 5.105 (Vernon 1988), ef- (Checklist 114). fective September 1, 1985, 26.011 (Vernon 1988 & Supp. 1998), effective March 28, 1991, as amended; THSCA §§ 361.003 (Vernon 1992 & Supp. 1998) effective September 1, 1997, as amended, 361.017, 361.024 (Vernon 1992 & Supp. 1998), effective September 1, 1995, 361.078 (Vernon 1992), effective September 1, 1989; 30 TAC §§ 305.42, 335.1, 335.221(a)(11), 335.221(a)(15), effective October 19, 1998, as amended, 305.50(4)(G), effective November 20, 1996, and 335.223(b), effective July 29, 1992.

F. What Decisions Have We Made? enforcement actions under sections The Texas regulations are broader in 3008, 3013, and 7003 of RCRA. scope because the waste listing vacated We conclude that Texas’ application by the November 1, 1996, decision by G. How Do the Revised State Rules for program revision meets all of the the United States Court of Appeals for Differ From the Federal Rules? statutory and regulatory requirements the District of Columbia Circuit in established by RCRA. Accordingly, EPA considers the following State Dithiocarbamate Task Force v. EPA, 98 Texas is granted final authorization to requirement to be more stringent than F. (D.C. Cir. 1996), remain reflected in operate its hazardous waste program as the Federal: The State section the State’s adoption by reference of the revised, assuming no adverse comments 335.431(c)(2) does not contain a explicit February 9, 1995, version of 40 CFR part are received as discussed above. Upon provision analogous to 40 CFR 261, appendix VII and VIII. However, effective final approval Texas will be 268.7(a)(10) (tolling agreement). These this has no impact on the equivalency responsible for permitting treatment, requirements are part of Texas’ of the definition of hazardous waste. storage, and disposal facilities within its authorized program and are federally Broader in scope requirements are not borders and for carrying out the aspects enforceable. In this authorization of the part of the authorized program and EPA of the RCRA program described in its State of Texas’ program revisions for cannot enforce them. revised program application, subject to RCRA Cluster V, the following H. Who Handles Permits After This the limitations of the HSWA. Texas also provisions are broader in scope: Authorization Takes Effect? will have primary enforcement Sections 335.29(4) and 335.29(5) which responsibilities, although EPA retains corresponds to 40 CFR part 261, Texas will issue permits for all the the right to conduct inspections under appendix VII and VIII, and section 20.15 provisions for which it is authorized section 3007 of RCRA, and to take which corresponds to 40 CFR 260.20(a). and will also administer program

VerDate 18-JUN-99 09:08 Aug 17, 1999 Jkt 183247 PO 00000 Frm 00022 Fmt 4700 Sfmt 4700 E:\FR\FM\A18AU0.042 pfrm07 PsN: 18AUR1 Federal Register / Vol. 64, No. 159 / Wednesday, August 18, 1999 / Rules and Regulations 44839 revisions for Federal rules promulgated L. When Will This Approval Take explain why the planned regulation is from July 1, 1994 to June 30, 1995 Effect? preferable to other potentially effective (RCRA Cluster V). EPA will continue to Unless EPA receives comments that and reasonably feasible alternatives administer any RCRA hazardous waste oppose this action, this final considered by the Agency. This rule is not subject to E.O. 13045 permits or portions of permits which it authorization approval will become because it is not an economically issued prior to the effective date of this effective without further notice on significant rule as defined by E.O. authorization until they expire or are October 18, 1999. terminated. EPA will not issue any more 12866, and because it does not involve permits or portions of permits for the M. Where Can I Review the State’s decisions based on environmental provisions listed in the Table above Application? health or safety risks. after the effective date of this You can view and copy the State of National Technology Transfer and authorization. EPA will continue to Texas’ application from 8:30 a.m. to Advancement Act implement and issue permits for HSWA 4:00 p.m. Monday through Friday at the Section 12(d) of the National requirements for which the State is not following addresses: Texas Natural Technology Transfer and Advancement yet authorized. HSWA requirements are Resource Conservation Commission, Act of 1995 (NTTAA), Pub. L. 104–113, effective in all States and are 1700 N. Congress Avenue, Austin TX section 12(d) (15 U.S.C. 272 note) administered by EPA until States are 78711–3087, (512) 239–6757 and EPA, directs the EPA to use voluntary authorized to do so. Region 6, 1445 Ross Avenue, Dallas, consensus standards in its regulatory Texas 75202–2733, (214) 665–6444. For activities unless to do so would be I. Why Wasn’t There a Proposed Rule further information contact Alima inconsistent with applicable law or Before Today’s Notice? Patterson, Region 6 Authorization otherwise impractical. Voluntary Coordinator, Grants and Authorization The EPA is authorizing the State’s consensus standards are technical Section (6PD–G), Multimedia Planning standards (e.g., materials specifications, changes through this immediate final and Permitting Division, EPA Region 6, action and is publishing this rule test methods, sampling procedures, and 1445 Ross Avenue, Dallas, Texas 75202– business practices) that are developed or without a prior proposal to authorize 2733, (214) 665–8533. the changes because EPA believes it is adopted by voluntary consensus standards bodies. The NTTAA directs not controversial and do not expect N. Now Does Today’s Action Affect the EPA to provide Congress, through comments that oppose this action. EPA Indian Country in Texas? OMB, explanations when the Agency is providing an opportunity for public Texas is not authorized to carry out its decides not to use available and comment now. In the proposed rules hazardous waste program in Indian applicable voluntary consensus section of today’s Federal Register we country within the State. This authority standards. are publishing a separate document that remains with EPA. Therefore, this This action does not involve technical proposes to authorize the State changes. action has no effect in Indian country. standards. Therefore, the EPA did not If EPA receives comments which oppose O. What is Codification? consider the use of any voluntary this authorization, that document will consensus standards. serve as a proposal to authorize the Codification is the process of placing changes. the State’s statutes and regulations that Unfunded Mandates Reform Act comprise the State’s authorized Title II of the Unfunded Mandates J. Where Do I Send My Comments and hazardous waste program into the CFR. Reform Act of 1995 (UMRA), Pub. L. When Are They Due? EPA does this by referencing the 104–4, establishes requirements for authorized State rules in 40 CFR part You should send written comments to Federal agencies to assess the effects of 272. EPA reserves the amendment of 40 Alima Patterson, Region 6 Authorization their regulatory actions on State, local CFR part 272, subpart SS for this Coordinator, Grants and Authorization and tribal governments and the private authorization of Texas’ program changes sector. Under section 202 and 205 of the Section (6PD–G), Multimedia Planning until a later date. and Permitting Division, EPA Region 6, UMRA, the EPA must prepare a written 1445 Ross Avenue, Dallas, Texas 75202– Administrative Requirements statement of economic and regulatory 2733, (214) 665–8533. Please refer to alternatives analyses for proposed and Compliance With Executive Order (E.O.) final rules with Federal mandates, as Docket Number TX–99–1. We must 12866 receive your comments by September defined by the UMRA, that may result 17, 1999. You may not have an The Office of Management and Budget in expenditures to State, local and tribal governments, in the aggregate, or to the opportunity to comment again. If you (OMB) has exempted this rule from the private sector, of $100 million or more want to comment on this action, you requirements of section 3 of E.O. 12866. in any one year. The EPA has must do so at this time. Compliance Executive Order 13045 determined that section 202 and 205 K. What Happens if EPA Receives Executive Order 13045, ‘‘Protection of requirements do not apply to today’s Comments Opposing This Action? Children from Environmental Health action because this rule does not Risks and Safety Risks’’ applies to any contain a Federal mandate that may If EPA receives comments which rule that: (1) the OMB determines is result in annual expenditures of $100 oppose this authorization, a second ‘‘economically significant’’ as defined million or more for State, local, and/or Federal Register notice will be under E.O. 12866, and (2) concerns an tribal governments in the aggregate, or published before the time the immediate environmental health or safety risk that the private sector. Costs to State, local final rule takes effect. The second notice the EPA has reason to believe may have and/or tribal governments already exist may withdraw the immediate final rule a disproportionate effect on children. If under the State of Texas’ program, and or identify the issues raised, respond to the regulatory action meets both criteria, today’s action does not impose any the comments and affirm that the the Agency must evaluate the additional obligations on regulated immediate final rule will take effect as environmental health or safety effects of entities. In fact, the EPA’s approval of scheduled. the planned rule on children and State programs generally may reduce,

VerDate 18-JUN-99 09:08 Aug 17, 1999 Jkt 183247 PO 00000 Frm 00023 Fmt 4700 Sfmt 4700 E:\FR\FM\A18AU0.043 pfrm07 PsN: 18AUR1 44840 Federal Register / Vol. 64, No. 159 / Wednesday, August 18, 1999 / Rules and Regulations not increase, compliance costs for the Pursuant to the provision at 5 U.S.C. containing significant unfunded private sector. Further, as it applies to 605(b), the Agency hereby certifies that mandates. the State, this action does not impose a this authorization will not have a This rule does not create a mandate Federal intergovernmental mandate significant economic impact on a on State, local or tribal governments. because UMRA does not include duties substantial number of small entities. The rule does not impose any arising from participation in a voluntary This authorization approves regulatory enforceable duties on these entities. Federal program. requirements under existing State law to Accordingly, the requirements of The requirements of section 203 of which small entities are already subject. section 1(a) of E.O. 12875 do not apply UMRA also do not apply to today’s It does not impose any new burdens on to this rule. action. Before the EPA establishes any small entities. This rule therefore, does Executive Order 13084 Consultation regulatory requirements that may not require a regulatory flexibility and Coordination With Indian Tribal significantly or uniquely affect small analysis. Governments governments, including tribal governments, section 203 of the UMRA Submission to Congress and the Under E.O. 13084, the EPA may not requires the EPA to develop a small Comptroller General issue a regulation that is not require by government agency plan. This rule The Congressional Review Act, 5 statute, that significantly or uniquely contains no regulatory requirements that U.S.C. 801 et seq., as added by the Small affects the communities of Indian tribal might significantly or uniquely affect Business Regulatory Enforcement governments, and that imposes small governments. Although small Fairness Act of 1996, generally provides substantial direct compliance costs on governments may be hazardous waste that before a rule may take effect, the those communities, unless the Federal generators, transporters, or own and/or agency promulgating the rule must government provides the funds operate hazardous waste treatments, submit a rule report, which includes a necessary to pay the direct compliance storage or disposal facilities (TSDFs), copy of the rule, to each House of the cost incurred by the tribal governments. they are already subject to the regulatory Congress and to the Comptroller General If the mandate is unfunded, the EPA requirements under the existing State of the United States. The EPA submitted must provide to the OMB, in a laws that are being authorized by the a report containing this rule and other separately identified section of the EPA, and thus, are not subject to any required information to the U.S. Senate, preamble to the rule, a description of additional significant or unique the U.S. House of Representatives and the extent of the EPA’s prior requirements by virtue of this program the Comptroller General of the United consultation with representatives of approval. States prior to publication of the rule in affected tribal governments, a summary today’s Federal Register. This rule is Certification Under the Regulatory of the nature of their concerns, and a not a ‘‘major rule’’ defined by 5 U.S.C. Flexibility Act statement supporting the need to issue 804(2). the regulation. In addition, E.O. 13084 Pursuant to the Regulatory Flexibility Paperwork Reduction Act requires the EPA to develop an effective Act (5 U.S.C. 601 et seq., as amended by process permitting elected and other the Small Business Regulatory Under the Paperwork Reduction Act, representatives of Indian tribal Enforcement Fairness Act of 1966), 44 U.S.C. 3501 et seq., Federal agencies governments ‘‘to provide meaningful whenever an agency is required to must consider the paperwork burden and timely input in the development of publish a notice of rulemaking for any imposed by any information request regulatory policies on matters that proposed or final rule, it must prepare contained in a proposed rule or a final significantly or uniquely affect their and make available for public comment rule. This rule will not impose any communities. a regulatory flexibility analysis that information requirements upon the This rule is not subject to E.O. 13084 describes the effect of the rule on small regulated community. because it does not significantly or entities (i.e. small businesses, small uniquely affect the communities of organizations, and small governmental Executive Order 12875 Enhancing Intergovernmental Partnerships Indian governments. The State of jurisdictions). This analysis is Louisiana is not authorized to unnecessary, however, if any agency’s Under E.O. 12875, the EPA may not implement the RCRA hazardous waste administrator certifies that the rule will issue regulation that is not required by program in Indian country. This action not have a significant economic impact statute and that creates a mandate upon has no effect on the hazardous waste on a substantial number of small a State, local or tribal government, program that the EPA implements in the entities. unless the Federal government provides Indian country within the State. The EPA has determined that this the funds necessary to pay the direct authorization will not have a significant compliance costs incurred by those List of Subjects in 40 CFR Part 271 economic impact on a substantial governments. If the mandate is Environmental protection, number of small entities. Such small unfunded, the EPA must provide to the Administrative practice and procedure, entities which are hazardous waste OMB a description of the extent of Confidential business information, generators, transporters, or which own EPA’s prior consultation with Hazardous materials transportation, and/or operate TSDFs are already representatives of affected State, local Hazardous waste, Indian lands, subject to the regulatory requirements and tribal governments, the nature of Intergovernmental relations, Penalties, under the existing State laws that are their concerns, copies of any written Reporting and recordkeeping now being authorized by EPA. The communications from the governments, requirements, Water pollution control, EPA’s authorization does not impose and a statement supporting the need to and Water supply. any significant additional burdens on issue the regulation. In addition, E.O. these small entities. This is because 12875 requires the EPA to develop an Authority EPA’s authorization would simply effective process permitting elected This document is issued under the result in an administrative change, officials and other representatives of authority of sections 2002(a), 3006, and rather than a change in the substantive State, local and tribal governments to 7004(b) of the Solid Waste Disposal Act requirements imposed on these small provide meaningful and timely input in as amended, 42 U.S.C. 6912(a), 6926, entities. the development of regulatory proposals 6974(b).

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Dated: July 30, 1999. recordkeeping requirements, mail the hospital inpatient prospective W.B. Hathaway, copies of comments directly to the payment system or in the calculation of Acting Regional Administrator, Region 6. following: the rate-of-increase limit for hospitals [FR Doc. 99–21423 Filed 8–17–99; 8:45 am] Health Care Financing Administration, excluded from the prospective payment BILLING CODE 6560±50±P Office of Information Services, system. Under section 1886(h) of the Security Standards Group, Division of Act and 42 CFR 413.86, hospitals are HCFA Enterprise Standards, Room paid for direct GME costs based on DEPARTMENT OF HEALTH AND N2–14–26, 7500 Security Boulevard, Medicare’s share of a hospital-specific HUMAN SERVICES Baltimore, Maryland 21244–1850; and per resident amount multiplied by the the number of full-time equivalent (FTE) Health Care Financing Administration Office of Information and Regulatory residents. Affairs, Office of Management and B. Indirect Medical Education (IME) 42 CFR Part 413 Budget, Room 10235, New Executive Medicare has made payments to Building, Washington, DC 20503, [HCFA±1001±IFC] short-term acute care hospitals under Attn: Allison Herron Eydt, HCFA section 1886(d) of the Act on the basis RIN 0938±AI27 Desk Officer. of the prospective payment system since Medicare Program; Graduate Medical FOR FURTHER INFORMATION CONTACT: 1983. Under the prospective payment Education (GME): Incentive Payments Rebecca Hirshorn, (410) 786–3411. system, hospitals receive a Under Plans for Voluntary Reduction in SUPPLEMENTARY INFORMATION: predetermined payment for each the Number of Residents Comments Medicare discharge. Section 1886(d)(5)(B) of the Act specifically AGENCY: Health Care Financing Because of staffing and resource directs the Secretary to provide an Administration (HCFA), HHS. limitations, we cannot accept comments additional payment under the inpatient ACTION: Interim final rule with comment by facsimile (FAX) transmission. In operating prospective payment system period. commenting, please refer to file code to hospitals for IME costs. This HCFA–1001–IFC. Comments received SUMMARY: This interim final rule with additional payment, which reflects the timely will be available for public comment period implements section higher operating costs associated with inspection as they are received, 1886(h)(6) of the Social Security Act, as GME, is based in part on the applicable generally beginning approximately 3 added by section 4626(a) of the IME adjustment factor. The adjustment weeks after publication of a document, Balanced Budget Act (BBA) of 1997. factor is calculated by using a hospital’s in Room 443–G of the Department’s Section 4626(a) of the BBA allows ratio of residents-to-beds in the formula offices at 200 Independence Avenue, qualifying hospitals to receive incentive set forth at section 1886(d)(5)(B)(iii) and SW, Washington, DC, on Monday payments over a 5-year period for specified in regulations at § 412.105. through Friday of each week from 8:30 Psychiatric and rehabilitation voluntarily reducing the size of their a.m. to 5 p.m. (phone: (202) 690–7890). hospitals and units as well as long-term residency programs. A hospital seeking care, cancer, and children’s hospitals incentive payments must submit, to I. Background are excluded from the prospective HCFA and its Medicare intermediary, an Since the inception of Medicare in payment system and are paid on a application that specifies reductions in 1965, the program has shared in the reasonable cost basis under section its number of residents by 20 to 25 costs of educational activities incurred 1861(v)(1)(A) of the Act, subject to a percent. by participating providers. Our rate-of-increase limit. Payments to DATES: Effective date: This interim final regulations at 42 CFR 413.85(b) define excluded hospitals for their IME costs rule with comment period is effective approved educational activities to mean are included in their payments for September 17, 1999. formally organized or planned programs operating costs and are therefore subject Comment Period: Comments will be of study usually engaged in by providers to the rate-of-increase limit. considered if we receive them at the in order to enhance the quality of Under section 1886(g) of the Act and appropriate address, as provided in the patient care in an institution. These § 412.322 of the existing regulations, we ADDRESSES section, no later than 5 p.m. activities include approved training also make capital GME payments to on October 18, 1999. programs for physicians, nurses, and hospitals on the basis of each respective ADDRESSES: Mail written comments (one certain allied health professionals. hospital’s ratio of residents to average original and three copies) to the Medicare makes payments for both the daily census. following address: Health Care direct and indirect costs of graduate Financing Administration, Department medical education (GME). Under C. The Balanced Budget Act of 1997 of Health and Human Services, section 1886(h) of the Social Security Section 4626(a) of the Balanced Attention: HCFA–1001–IFC, P.O. Box Act (the Act) and 42 CFR 413.86, Budget Act (BBA) of 1997, Public Law 9010, Baltimore, MD 21244–9010. Medicare pays hospitals for the costs of 105–33 (enacted on August 5, 1997), If you prefer, you may deliver your direct GME. Under 1886(d)(5)(B) of the added section 1886(h)(6) to the Act to written comments (one original and Act and 42 CFR 412.105, Medicare pays set forth provisions that allow Medicare three copies) to one of the following hospitals for the costs of indirect participating hospitals to receive addresses: medical education (IME). incentive payments over a 5-year period Room 443–G, Hubert H. Humphrey under approved plans for voluntarily Building, 200 Independence Avenue, A. Direct Graduate Medical Education reducing the number of residents that SW, Washington, DC 20201, or Under sections 1886 (a)(4) and are in their approved medical residency Room C5–16–03, Central Building, 7500 (d)(1)(A) of the Act and 42 CFR 412.113, training programs. Section 1886(h)(6)(C) Security Boulevard, Baltimore, direct GME costs are excluded from the of the Act defines the entities that may Maryland 21244–1850. definition of a hospital’s operating costs qualify for incentive payments under a For comments that relate to and, accordingly, are not included in voluntary reduction plan and section information collection and the calculation of payment rates under 1886(h)(6)(B) of the Act sets forth

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Therefore, we have voluntary resident reduction plan must one or more approved residency not included in this interim final be submitted in a form and manner training programs; regulation provisions related to specified by the Secretary and must be • Two or more hospitals that operate consortia and we will not be accepting received no later than November 1, one or more approved residency applications for voluntary residency 1999. Section 1886(h)(6)(B)(ii) of the Act training programs and apply for reduction plans from entities that may specifies that the application must treatment as a single qualifying entity; be qualifying consortia until we have provide for the operation of a plan for or established these additional criteria. If • reducing the number of FTE residents in A qualifying consortium as qualifying entities express an interest in approved medical residency training described in section 4628 of BBA. participating as a consortia, when the programs consistent with the Section 4628(b) of the BBA defines a criteria for consortia are finalized for the requirements of section 1886(h)(6)(D) of consortium as an entity that consists of demonstration project, we will publish the Act. a teaching hospital with one or more a regulation outlining how consortia Sections 1886(h)(6)(B)(iii) and (iv) of approved medical residency training qualify for the voluntary residency the Act provide that the applying programs and one or more of the reduction plan. However, until we have entity— following: established these additional criteria, we • Must elect in the application the —A school of allopathic or osteopathic are allowing a multihospital entity, that period of residency training years (not medicine. may later qualify as a consortium, to greater than 5) over which the reduction —Another teaching hospital, which may apply as a joint applicant. In addition, will occur; and be a children’s hospital. we are allowing an individual hospital • Must not reduce the proportion of —A Federally qualified health center. that may later qualify to participate as its residents in primary care (to the total —A medical group practice. a member of a consortium to apply as number of residents) below such —A managed care entity. an individual applicant. In both cases, proportion in effect as of the applicable —An entity furnishing outpatient participation of an individual hospital time described in section services. or a multihospital entity in the 1886(h)(6)(D)(v) of the Act. —Any other entity that the Secretary voluntary reduction plan does not The statute directs the Secretary to determines to be appropriate. preclude the entity from later applying determine whether the application, the The members of the consortium must to participate as a member(s) of a entity, and plan meet such other have agreed to participate in the GME consortium once the consortia requirements as the Secretary specifies programs that are operated by the demonstration criteria have been in regulations. entities in the consortium, and have finalized. We are considering whether to Sections 1886(h)(6) (D) and (E) of the agreed on a method of allocating the allow these applicants to modify their Act specify the requirements for payments among the members. The applications so that they can be treated percentage reductions in the number of consortium must meet such additional as a consortium for the remainder of residents and the manner in which the requirements as the Secretary may their individual or joint voluntary reductions are to take place. Section establish as necessary. residency reduction plans once the 1886(h)(6)(F) provides for a penalty for We are incorporating the provision of consortium definition is finalized. If we noncompliance with approved section 1886(h)(6)(C) of the Act in the were to allow this alternative, a voluntary residency reduction plans. regulations at § 413.88(b). Any hospital qualifying entity that is interested in Section 1886(h)(6)(G) specifies that the that is entitled to receive direct or downsizing its resident numbers in Secretary shall establish rules regarding indirect medical education payments, or accordance with the percentages the treatment of rotating residents as it both, from Medicare may participate in required under section 1886(h)(6) of the relates to providers participating in the the voluntary reduction plan as an Act would be able to participate and voluntary residency reduction plan. individual hospital. In addition, two or establish its base number of residents more hospitals that receive direct or prior to knowing whether it would II. Provisions of the Interim Final indirect medical education payments, or qualify as a consortium. Regulations both, from Medicare may participate as We are establishing interim final a single entity (joint applicant) and B. Submission of Applications and regulations under a new § 413.88 under apply for a collective annual resident Effective Date of Plans 42 CFR Part 413, to incorporate reduction target. Section 1886(h)(6)(B)(i) of the Act, as requirements for incentive payments Section 1886(h)(6)(C)(iii) of the Act added by the BBA, specifies that the under voluntary residency reduction cross refers the description of a application must be submitted ‘‘in a plans to implement section 1886(h)(6) of qualifying consortium for purposes of form and manner specified by the the Act, as added by section 4626(a) of making voluntary residency reduction Secretary and by not later than the BBA. The specific statutory incentive payments to the description November 1, 1999.’’ We are requiring provisions and the corresponding specified in section 4628 of the BBA. each qualifying entity to sign a regulatory provisions are described Section 4628 requires the Secretary to statement indicating voluntary below. establish a demonstration project under participation in the residency reduction which, instead of making GME plan (§ 413.88(d)(8)). We will accept A. Participation Criteria payments to individual teaching applications from qualifying entities at Participation in the residency hospitals, under section 1886(h) of the least one day prior to the first day of the reduction program under section Act, the payments would be made to period over which voluntary reduction 1886(h)(6) of the Act is voluntary. each consortium. will occur but in no case later than the Section 1886(h)(6)(A) of the Act At this time, we are in the initial November 1, 1999 application date specifies that each hospital that is part phase of developing the demonstration specified in the statute (§ 413.88(e)). We

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A primary care resident is the other hospital(s) in the affiliated that each qualifying entity must submit defined in the existing Medicare group. In addition, we are requiring its application to its Medicare fiscal regulations at § 413.86(b) as a resident under § 413.88(d)(6) that the qualifying intermediary for review. A copy of the enrolled in an approved medical entity, in its application, agree to application must also be sent to the residency training program in family comply with data submission HCFA Central Office at the following medicine, general internal medicine, requirements deemed necessary by address: Voluntary Residency Reduction general pediatrics, preventive medicine, HCFA to make annual incentive Plan, Health Care Financing geriatric medicine or osteopathic payments during the 5-year residency Administration, Plan and Provider general practice. We also are requiring reduction plan, and to fully cooperate Purchasing Policy Group, Division of the entity to submit its direct and with additional audit and monitoring Acute Care, Room C4–07–07, 7500 indirect FTE counts as of June 30, 1997. activities deemed necessary by HCFA. Security Boulevard, Baltimore, For joint applicants, these counts must Maryland 21244–1850. be provided individually and D. Definition of the Base Number of Interested entities may contact the collectively. This information will be Residents Division of Acute Care at (410) 786– verified by the fiscal intermediary. Under section 1886(h)(6)(D), the 3411 for questions on the application In addition, in § 413.88(d)(4) we are residency reduction requirement for a process. requiring the qualifying entity to qualifying entity depends on the entity’s Accordingly, we are specifying under submit, with the application, data on base number of residents. Section § 413.88(f) that residency reduction the annual and cumulative targets for 1886(h)(6)(D)(vi) of the Act, as added by plans that are submitted to the fiscal reducing the number of FTE residents section 4626(a) of the BBA, defines the intermediary on or after September 17, and the ratios of the number of primary term ‘‘base number of residents’’ to 1999 but on or before November 1, 1999, care residents to the total number of mean— may be effective for portions of cost residents for the year used to determine reporting periods beginning no earlier ** * with respect to a qualifying entity (or the base number and for each year in the its participating hospitals) operating than the day after the date of the 5-year reduction period. For joint approved medical residency training application. In other words, as long as applicants, these data must be provided programs, the number of full-time equivalent the application is submitted on or before individually and collectively. In the residents in such an entity’s programs (before November 1, 1999, the entity can choose case of joint applicants, the group of application of weighting factors) of the entity the effective date of the plan to be as participating hospitals will be held to a as of the most recent residency training year early as the day after the date of collective target. None of the ending before June 30, 1997 or, if less, for any application. participating hospitals will receive subsequent residency training year that ends before the date the entity makes application C. Contents and Format of Applications incentive payments unless the collective under this paragraph. target is met. In accordance with section In accordance with section Under § 413.88(g)(1) of these interim 1886(h)(6)(B) of the Act, we are 1886(h)(6)(D)(iii) of the Act, the final regulations, we define the base specifying in § 413.88(d) that the application must include an election of number of residents using the counting qualifying entity must submit an the period of residency training years rules for determining a hospital’s direct application that contains the statutorily during which the reductions will occur GME FTE count under existing § 413.86 specified information and agreements. (§ 413.88(d)(2)). The reductions must be with two changes to reflect the In addition, under the authority of fully implemented by not later than the provisions of section 4626 of the BBA. section 1886(h)(6)(B)(v) of the Act, we fifth residency training year in which First, consistent with section are establishing additional requirements the plan is effective. 1886(h)(6)(D)(vi), we specify that the for submittal of data to enable Under § 413.88(d)(5) and in base number of residents will be verification of compliance with the accordance with section determined on the basis of a July 1 to percentage reduction requirements of 1886(h)(6)(B)(iv) of the Act, we are June 30 ‘‘residency training year,’’ rather the statute by the fiscal intermediary requiring the qualifying entity in its than the hospital’s cost reporting period. and for annual monitoring and audit application to agree to not reduce the Second, under existing § 413.86(g), a purposes. proportion of its primary care residents weighting factor is applied to each Under § 413.88(d)(1), we require an to its total number of residents below resident included in a hospital’s direct application to include a description of the proportion that exists in the GME FTE count. Residents within an the operation of a plan for reducing the residency training program year that the initial residency period are weighted at FTE residents in the qualifying entity’s entity used to determine the base 1.0 FTE and residents beyond the initial approved medical residency training number of residents, as described in residency period are weighted at 0.5 programs, consistent with the section II.D. of this preamble. FTE. However, consistent with section percentage reduction requirements Under the Secretary’s authority under 1886(h)(6)(D)(vi) of the Act, in specified in section 1886(h)(6)(D) of the section 1886(h)(6)(B)(v) of the Act to determining the base number of Act and described under section II.E. of determine other requirements for residents for voluntary residency this preamble. To ensure that we have voluntary reduction plans and entities reduction plans, we are requiring under sufficient data and information to as necessary, we are requiring under § 413.88(g)(1)(i) that FTEs be counted ascertain that the voluntary reduction § 413.88(d)(7) that for a qualifying entity ‘‘before application of weighting plan meets the percentage reductions that is also member of an affiliated factors,’’ so that each resident will be specified in the statute, under group as defined in § 413.86(b), a weighted at 1.0 FTE.

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In summary, we are specifying in voluntary plan must specify a reduction percent. As indicated earlier, we are not § 413.88(g)(1)(i) that the base number of in the base number of residents by at accepting applications from consortia residents means the lesser of (1) The least 20 percent. until we have established criteria for number of FTE residents in all approved b. Hospitals with a base number of consortia under section 4628 of the BBA medical residency training programs of residents between 601 and 750. If an and have some experience with the the qualifying entity (before application individual hospital’s base number of demonstration project. Therefore, this of weighting factors under § 413.86(g)) residents exceeds 600 but is not in interim final rule does not contain for the most recent residency training excess of 750, the voluntary plan must provisions relating to consortia. year ending June 30, 1996; or (2) the specify a reduction in the base number However, until we have issued these number of FTE residents in all approved of residents by at least 150 residents. criteria, a qualifying entity that may medical residency training programs of Alternatively, the plan may specify a later qualify as a consortium may apply the qualifying entity (before application reduction of at least 20 percent if the in the interim as an individual hospital of weighting factors under § 413.86(g)) base number of residents in primary or multihospital joint applicant as for any subsequent residency training care is increased during the plan by at described above. year that ends before the date the entity least 20 percent. Under section 1886(h)(6)(B)(iv) of the submits its plan to the fiscal c. Hospitals with a base number of Act, a qualifying entity applicant may intermediary and HCFA. The residency residents that is 600 or fewer. Hospitals not reduce the base year proportion of training year used to determine the base with a base number of residents of 600 its primary care residents to its total number of residents is the ‘‘base year’’ or less have the option of reducing the number of residents below the for determining residency reduction base number of residents by at least 25 proportion that exists in the residency requirements described under section percent. Alternatively, the plan may training program year used to determine II.E. of this preamble. specify a reduction of at least 20 percent the base number of residents. In other if the number of primary care residents words, the proportion of residents in E. Residency Reduction Requirements is increased by at least 20 percent. primary care at the end of the plan must We have incorporated these Section 1886(h)(6)(D) of the Act, as be at least the same as or greater than provisions at § 413.88(g)(2). added by the BBA, specifies the the proportion of total residents in methodology for determining the 2. Qualifying Entities With Two or More primary care in the base number of number of FTE residents in all of the Hospitals (Joint Applicants) residents. We have incorporated these qualifying entity’s approved medical Joint applicants must reduce their provisions at § 413.88(g)(2)(ii)(B), residency training programs that must combined base number of residents by (g)(2)(iii)(B) and (g)(3)(ii). be reduced in order for each type of 25 percent; or if there is an increase in Section 1886(h)(6)(D)(iv) of the Act qualifying entity to receive incentive the combined base number of primary specifies that voluntary residency payments. care residents of at least 20 percent, by reductions in the base number of residents must be fully effective no later 1. Qualifying Entities That Are at least 20 percent. Section 413.88(g)(3) than the fifth residency training year in Individual Hospitals contains this provision. which the application is effective. The a. Hospitals with a base number of 3. Consortia Applicants following table illustrates the resident residents that is greater than 750. If an The statute specifies that consortia reduction options under the voluntary individual hospital’s base number of applicants must reduce the combined plans for the different types of residents exceeds 750 residents, the base number of residents by at least 20 qualifying entity applicants:

Reduction option Type of applicant (5 year plan)

Individual Hospitals: More than 750 Residents ...... ≥20%. 601 to 750 Residents ...... ≥150 Residents or ≥20% if primary care residents increase by ≥20%. 600 or fewer Residents ...... ≥25% or ≥20% if number of primary care residents increased by ≥20%. Joint Applicants ...... ≥25% or ≥20% if number of primary care residents increased by ≥20%. Consortia Applicants ...... ≥20%. All Applicants ...... May Not Reduce Primary Care/Total Resident Ratio.

F. Incentive Payments medical residency program year. If a hospital’s July 1, 2000 to June 30, 2001 hospital cost reporting period coincides cost reporting period. If a hospital’s cost Sections 1886(h)(6)(A) and (E) of the with a residency program training year, reporting period does not coincide with Act prescribe the formula for calculating incentive payments may begin at the a residency training year, the first year the amount of incentive payments. beginning of the first cost reporting in which incentive payments may be Although hospitals may participate as a period in which resident reductions are made under the voluntary residency joint applicant (or later as a consortium, made under the voluntary residency reduction plan would be the hospital’s as discussed earlier in this preamble), reduction plan. For instance, if a cost reporting period that overlaps the incentive payments will be made to hospital chooses to participate in the July 1, 2000 beginning date of the individual hospitals through the regular voluntary residency reduction plan for voluntary residency reduction plan. For Medicare payment process via cost the residency training year July 1, 2000 instance, if a hospital participates in the reports. to June 30, 2001 and the hospital has a residency reduction plan effective July Incentive payments will be made on July 1 to June 30 cost reporting period, 1, 2000, and the hospital has a January the basis of a cost reporting period even the first year in which Medicare may 1 to December 31 cost reporting period, though residency reductions under the make incentive payments for voluntary incentive payments may be made under plan are made on a July 1 to June 30 residency reductions would be the the voluntary residency plan beginning

VerDate 18-JUN-99 16:19 Aug 17, 1999 Jkt 481747 PO 00000 Frm 00028 Fmt 4700 Sfmt 4700 E:\FR\FM\18AUR1.XXX pfrm03 PsN: 18AUR1 Federal Register / Vol. 64, No. 159 / Wednesday, August 18, 1999 / Rules and Regulations 44845 in the hospital’s January 1, 2000 to update future annual targets for the does not coincide with the residency December 31, 2000 cost reporting remaining years of the plan in order to training program year. For instance, a period. If the hospital’s cost reporting comply with its cumulative target. We hospital participating in the voluntary period does not coincide with a July 1 would require the updated plan to be plan will be making reductions on the to June 30 residency training year, the submitted prior to the beginning of each basis of a July 1 to June 30 program year. applicable hold-harmless percentages July 1 medical residency training year If the hospital has a January 1 to described earlier would be prorated during the plan years. December 31 cost reporting period, the accordingly over the respective cost In accordance with section applicable hold-harmless percentages reporting period(s). In addition, if the 1886(h)(6)(A) of the Act, each will change on July 1 of each year, hospital’s cost reporting period does not individual entity participating in the which is in the middle of the hospital’s coincide with a July 1 to June 30 plan will receive incentive payments cost reporting period. For this reason, residency training year, for purposes of based on the following calculation (as the applicable hold-harmless percentage calculating the number of residents in specified under § 413.88(h)): The sum of for the cost reporting period will reflect each plan year, the number of FTE the entity’s direct and indirect GME a weighted average of the residency residents would be prorated over the payment based on 95 percent of the total reductions in each portion of the cost respective cost reporting periods. number of weighted residents in the reporting period. In addition, in In § 413.88(j), we specify that annual approved medical residency training calculating the incentive payments we incentive payments through cost reports programs of the qualifying entity on will apply weighting factors to the total will only be made to hospitals that are June 30, 1997 subtracted by the sum of resident count as of June 30, 1997 and the qualifying entity’s direct and or are part of qualifying entities over the for each plan year. This is consistent indirect GME payment based on 100 5-year reduction period if the qualifying with our existing policy under percent of the number of weighted FTE entity meets specified annual residency § 413.86(g) of applying weighting factors residents in each of the 5 plan years. reduction goals. An incentive payment to resident FTE counts. This difference will be multiplied by a will be made for any given year only decreasing hold-harmless percentage for We are providing the following when the participant meets or exceeds the given plan year, to arrive at an simplified example to illustrate the cumulative annual target applicable individual hospital’s incentive payment. application of the incentive payment to that year. Consistent with section In accordance with section calculation. 1886(h)(6)(F) of the Act, if a 1886(h)(6)(E) of the Act, the applicable participating entity fails to comply with Assume a hospital’s resident program hold-harmless percentages are as year is the same as its cost reporting its residency reduction plan by the end follows (as specified under § 413.88(i)): of the fifth residency training year, the year, and that it receives $10 million for direct and indirect GME based on 100 hospitals that comprise the qualifying Percent- entity will be liable for repayment of all Plan year age FTE residents as of June 30, 1997. Also incentive payments. assume that the hospital’s average We will allow an entity to update its 1 ...... 100 payment per resident for indirect and 2 ...... 100 direct GME of $100,000 (derived from annual targets as specified in its plan 3 ...... 75 only under limited circumstances. If the $10 million/100 residents) does not 4 ...... 50 change from June 30, 1997 to the end of entity has failed to meet any of its 5 ...... 25 annual targets in a plan year, it will not the 5-year reduction plan. If the hospital receive incentive payment for that As stated above, the applicable hold- agrees to reduce its FTE count by 5 particular plan year. To be eligible for harmless percentages must be prorated residents per year and 25 residents over future incentive payments for the over two hospital cost reporting periods 5 years, it would be paid as follows: duration of the plan, the entity may if the hospital’s cost reporting period BILLING CODE 4120±01±P

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BILLING CODE 4120±01±C

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As depicted in the preceding chart, in under the reduction plan after the provision would be in effect. The entity any year of the residency reduction completion of the plan. If the number of would be required to repay the entire plan, the hospital receives incentive FTE residents increases above the amount it received as incentive payments based on 95 percent of its number of residents permitted under the payments during the plan years. number of residents on June 30, 1997. voluntary reduction plan, the following However, the method of repayment is In each year of the plan, the incentive provisions of repayment apply: limited to the direct and indirect payment is based on a declining • In any postplan year, a qualifying payments the entity would have percentage (hold-harmless percentage, entity that successfully completed the received for the 161st resident. These line (i) in the preceding chart) of the reduction plan either as an individual direct and indirect GME payments are hospital’s direct and indirect GME hospital or a member of a joint applicant credited against the total repayment payment loss associated with residency is subject to the total repayment amount the entity is required to repay. reduction below 95 percent of its base provisions if its resident count exceeds • Once the total penalty is repaid, the number of residents line (h). In this the number of residents specified in the qualifying entity’s adjusted FTE cap example, the hospital’s revenues for voluntary residency reduction plan. reverts back to its original 1996 FTE indirect and direct GME would have • As contained in § 413.88(l)(1), the cap, since effectively all benefits of declined by a total of $7.5 million ($50 end-of-plan residency cap will equal the participating in the plan will have been million-$42.5 million) over a 5-year unweighted FTE count used for direct eliminated (§ 413.88(l)(2)(ii)). medical education payments for the last period if the hospital did not reduce the H. Related BBA Provisions and Their number of residents according to the residency training program year in Effect on Voluntary Plan Reduction plan. A hospital participating in the which a qualifying entity participates in Provisions voluntary plan, however, received $2.5 a plan. For each subsequent cost million in incentive payments. Of the $5 reporting year that ends after the end of Several other provisions of the BBA million difference ($7.5 million-$2.5 the reduction plan, the unweighted that were implemented in the Federal million), $2.5 million is due to the hold- direct FTE resident count will be Register on August 29, 1997 (62 FR harmless percentage (i) and the compared to the unweighted direct GME 46003 through 46007), and on May 12, remaining $2.5 million is due to the 5- FTE resident count for the last residency 1998 (63 FR 26318) have an effect on percent adjustment to the number of training program year. If the unweighted incentive payments under the voluntary residents on June 30, 1997. direct GME FTE resident count for a residency reduction plan. cost reporting period post plan exceeds Under section 1886(h)(6)(A) of the 1. Reduction in the Indirect Medical the resident count specified in the Act, the determination of the incentive Education Adjustment payments for any year must be made on voluntary residency reduction plan, the the basis of the Medicare payment qualifying entity is subject to the total Section 4621 of the BBA revised provisions ‘‘in effect on the application repayment provision. section 1886(d)(5)(B) of the Act to deadline date for the first calendar year • The repayment provision applies reduce the level of the IME adjustment to which the reduction plan applies.’’ until such time when a full credit has in effect prior to the enactment of the Thus, the amount of the incentive been made against the total amount of BBA (approximately 7.7 percent for payment depends on the Medicare incentive payments made to the every 10-percent increase in the provisions in effect on the application qualifying entity. For individual resident-to-bed ratio) over several years. deadline date (§ 413.88(h)(2)). As hospitals, the total incentive payment The schedule for the IME adjustment is specified earlier, applications must be amount equals all of the incentive as follows: 7.0 percent for discharges filed at least one day prior to the payments made to the hospital. For joint during FY 1998; 6.5 percent during FY effective date of the plan but no later participants, the total payment amount 1999; 6.0 percent during FY 2000; and than November 1, 1999. For example, if equals the sum of all incentive 5.5 percent during FY 2001 and a hospital wants the reduction plan payments made to the individual thereafter. In determining the voluntary provision to go into effect on September hospitals that make up the membership residency reduction incentive payment 1, 1999, the deadline for the application of the joint participant. calculation, the respective IME would be August 31, 1999. Therefore, • For the purpose of calculating the adjustment factors will apply for the the Medicare payment provisions in credit amount in each postplan year to number of FTE residents in each of the effect on August 31, 1999, would be which the total repayment provision 5 plan years and to the number of FTE used to calculate the amount of the applies, an individual hospital’s direct residents as of June 30, 1997. and indirect GME payments will be incentive payment. The latest date for 2. Caps on the Number of FTEs applying for incentive payments is calculated based on the hospital’s actual November 1, 1999. FTE resident counts in that year. Sections 4621 and 4623 of the BBA Payments are made to the hospital up to amended section 1886 of the Act to G. Repayment Penalty Provision the amount that applies to the end-of- limit the number of residents that a Section 1886(h)(6)(F)(ii) of the Act, as plan FTE resident count. The remainder hospital can count for purposes of added by the BBA, sets forth a is credited against the total repayment determining payment for indirect and repayment penalty following a amount. The total repayment amount is direct GME costs. For cost reporting qualifying entity’s completion of a equal to the actual annual incentive periods beginning on or after October 1, voluntary residency reduction plan in payments made during the voluntary 1997, the total number of allopathic and which the entity received incentive reduction plan years. An example osteopathic medical residents that a payments if the entity exceeds the would be a hospital that had a base hospital may include in its FTE count number of residents that it has agreed to number of 200 FTE residents and by the in either a hospital or nonhospital in its plan. We are specifying in end of the plan reduces its FTE count setting for IME payments is limited to § 413.88(k) that the entity is liable for to its cumulative target of 160 FTE the total number of such resident FTEs repayment for the total amount of the residents. If, at a later date after the included in the hospital’s most recent incentive payments if the number of completion of the plan, the entity cost reporting period ending on or FTE residents increases above the increases its FTE count from 160 FTEs before December 31, 1996. Similarly, for number of such residents permitted to 161 FTEs, the repayment penalty direct GME payments, the number of

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The allow all the time spent by residents in FTE count for cost reporting periods hospital’s IME FTE count for cost patient care activities under an beginning on or after October 1, 1997, is reporting periods beginning in FY 1999 approved medical residency training limited to the number included in the and subsequent years will be based on program in a nonhospital setting to be hospital’s most recent cost reporting an average of the FTE count for the cost counted towards the determination of period ending on or before December reporting period and the prior two cost FTEs for IME, if the hospital incurs all, 31, 1996. The August 29, 1997 final rule reporting periods. Similarly, section or substantially all, of the costs for the with comment period and the May 12, 1886(h)(4)(G) of the Act, as amended by training program in the nonhospital 1998 final rule amended §§ 412.105 and section 4623 of the BBA, provides that setting. In accordance with section 413.86 of the regulations to implement a hospital’s direct GME FTE resident 1886(h)(4)(E) of the Act, we are these provisions for indirect and direct count for a cost reporting period currently using the same criteria for GME, respectively. beginning during FY 1998 will be based determining whether a hospital may Since the counting rules for indirect on the average of number of residents include a resident in its FTE count for and direct GME in hospital cost reports for the cost reporting period and the direct GME. However, in the July 31, ending on or before December 31, 1996 prior cost reporting period. The 1998 Federal Register (63 FR 41005), we were different, the FTE caps may also be hospital’s direct GME FTE count for cost revised the definition of ‘‘all or different. Prior to enactment of the BBA, reporting periods beginning in FY 1999 substantially all of the costs’’ in order to a hospital’s IME FTE count could only and subsequent years will be based on implement section 4625 of the BBA, include residents working in inpatient an average of the FTE count for the cost which permits payment to certain areas of the hospital subject to the reporting period and the prior two cost nonhospital providers. The revised rule prospective payment system and reporting periods. requires the written agreement to hospital outpatient departments. We determine the level of payments indicate that the hospital will incur the Residents in nonhospital settings and for the cost reporting period using the costs of the resident’s compensation in areas of the hospital not subject to the number of residents as of June 30, 1997 the nonhospital site and provide prospective payment system could not without regard to averaging rules. reasonable compensation to the be counted. For direct GME, a hospital However, the averaging rules described nonhospital site for supervisory could include residents in all areas of above are applicable when determining teaching activities. If a hospital includes the hospital complex (including areas incentive payments for the hospital’s residents in nonhospital settings in its not subject to the prospective payment actual residents in a voluntary plan IME FTE count, consistent with section system) and nonhospital settings (if the year. 1886(d)(5)(B)(v) of the Act, the hospital criteria of § 413.86(f)(1)(iii) are met). 4. Capital IME Payment must include those residents in However, residents in subspecialty determining whether it has exceeded its training and residents otherwise beyond Section 1886(h)(6)(A) of the Act limits IME FTE cap. In addition, if a hospital the initial residency period included in the incentive payments to direct GME included residents in nonhospital a hospital’s direct GME FTE count are payments and operating IME payments. settings in its direct GME FTE count, the weighted at 0.5 FTE under § 413.86(g). However, under section 1886(g) of the hospital must include these residents in The BBA limits the FTE caps to Act and § 412.322 of the existing determining whether it has exceeded its allopathic and osteopathic medical regulations, we also make capital IME direct GME FTE cap. residents and does not apply FTE caps payments on the basis of the hospital’s A hospital that incurs ‘‘all or to podiatry and dentistry residents. For ratio of residents to average daily substantially all of the costs’’ and is purposes of the voluntary residency census. Since capital IME payments are counting the FTE for the time a resident reduction plans, the base number of also a function of the number of spends in a nonhospital site for residents under section 1886(h)(6)(D)(vi) residents in approved programs, we purposes of direct and indirect GME of the Act includes all of a hospital’s believe we have discretion to provide payments must also include the FTE in residents (including residents in incentive payments for capital IME the nonhospital site for purposes of dentistry and podiatry). Therefore, we using a methodology similar to the one counting the FTE in making the target will determine whether a hospital is used for determining operating IME reductions under the plan. In other eligible for incentive payments under payments under this interim final rule. words, qualifying entities that include the voluntary residency reduction plan We are including language in the FTE in nonhospital sites for GME by counting all residents participating § 413.88(h)(1)(iii) that will allow payment must also include it when in approved medical residency training hospitals participating in voluntary making the target reductions. programs. Accordingly, a hospital that residency reduction plans to receive 6. New Medical Residency Training receives incentive payments under the incentive payments for capital IME. Programs voluntary residency reduction plan 5. Counting FTEs in Nonhospital remains subject to the indirect and Section 1886(h)(5)(H) of the Act Settings direct GME FTE caps mandated under permits special rules in the case of sections 1886(d)(5)(B) and 1886(h)(4)(H) Under § 413.86(f)(1)(iii), on or after medical residency training programs of the Act and §§ 412.105 and 413.86 of July 1, 1987 and before January 1, 1999, established on or after January 1, 1995. the regulations. a resident may be included in a Under a final rule published in the hospital’s direct GME FTE count if the Federal Register on May 12, 1998 (63 3. Counting Residents Based on a 3-Year resident spends time in patient care FR 26333) such new medical residency Average in the Plan Year activities outside of the hospital and training programs are permitted to have Section 1886(d)(5)(B)(vi)(II) of the there is a written agreement between the an adjustment to the FTE cap. (We have Act, as amended by section 4621 of the hospital and the nonhospital entity that proposed to further clarify the BBA, provides that a hospital’s IME FTE the resident’s compensation for training requirements for receiving an resident count for a cost reporting time spent outside of the hospital adjustment to the FTE cap for new period beginning during FY 1998 will setting is to be paid by the hospital. medical residency training programs in

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The applicable section 1886(h)(6) of the Act does not must also agree to an aggregate cap percentages are 20 percent in 1998, 40 provide for adjustments to the FTE based on the 1996 FTE count of each percent in 1999, 60 percent in 2000, 80 counts, we will not adjust a hospital’s hospital in the affiliated group, adjusted percent in 2001, and 100 percent in base number of residents for for the participating hospital’s final FTE 2002 and subsequent years. adjustments that may be otherwise count under the voluntary residency The effect of this provision for made to hospital FTE caps for new reduction plan. However, in the event qualifying entities participating in medical residency training programs. that a qualifying entity increases its FTE voluntary residency reduction plans is For example, a hospital that had a 100 count above its target reduction and has that the level of payments for the cost FTE cap that qualifies for a new medical refunded all incentive payments reporting period will be determined residency training program adjustment received under the plan (since using the actual number of residents to raise its FTE cap to 120 FTE residents effectively all benefits of participation reflective of the additional indirect and would not be able to count the 20 FTE in the plan will have been eliminated), direct GME payments associated with adjustment for purposes of calculating the aggregate FTE cap would include Medicare+Choice discharges. The the base number of residents for the that entity’s FY 1996 FTE cap. difference between the hospital’s voluntary residency reduction plan. In accordance with the requirement payments using the number of residents established under § 413.88(g)(4), a as of June 30, 1997, and the actual 7. Hospitals That Meet the Definition of hospital participating in the voluntary Affiliated Groups number of residents in a voluntary residency reduction plan and is a residency reduction plan year, Section 1886(h)(5)(H)(ii) of the Act member of an affiliated group, may not including the effect of adjustments for allows the Secretary to prescribe rules achieve its residency reduction goals by payments associated with that allow institutions that are members rotating residents to other members of Medicare+Choice discharges, will be the of the same affiliated group to elect to the affiliated group that are not basis for the incentive payment apply the FTE caps on an aggregate participating in the voluntary residency calculation. basis. In the May 12, 1998 final rule (63 reduction plan. I. Other Issues FR 26358), an affiliated group is defined 8. Payments to Hospitals for Indirect as follows: 1. Mergers, Acquisitions, and Related • and Direct GME Costs Associated with Two or more hospitals located in Medicare+Choice Enrollees Changes the same urban or rural area (as those terms are defined in § 412.62(f)) or in Section 4622 of the BBA added We recognize that hospitals contiguous areas if individual residents section 1886(d)(11) to the Act to provide participating in an approved voluntary work at each of the hospitals during the for IME payments to teaching hospitals residency reduction plan may undergo course of the program; or for discharges associated with hospital mergers, acquisitions, or related • If the hospitals are not located in Medicare+Choice enrollees for portions changes (for example, system the same or contiguous rural and urban of cost reporting periods occurring on or dissolution) that may affect the areas, hospitals that are jointly listed— after January 1, 1998. The additional qualifying entity. We invite comments ++ As sponsor, primary clinical site, payment is equal to an applicable on how we can most appropriately or major participating institution for one percentage of the estimated average per address such situations. discharge amount that would have been or more of the programs as those terms 2. Evaluation are used in the Graduate Medical made for the discharge for IME if the Education Directory, 1997–1998; or beneficiary were not enrolled in We do not have specific plans to ++ As the sponsor or under managed care. The applicable evaluate the impact of the voluntary affiliations and outside rotations for one percentage set forth in section residency reduction plans at this time. or more programs in operation in 1886(h)(3)(D)(ii) of the Act is equal to 20 However, we may request information Opportunities, Directory of Osteopathic percent in 1998, 40 percent in 1999, 60 from entities approved for participation Postdoctoral Education Programs; or percent in 2000, 80 percent in 2001, and in a voluntary residency reduction plan. • Hospitals that are under common 100 percent in 2002 and subsequent If a full evaluation is conducted, ownership. years. cooperation will be voluntary. For purposes of this interim final rule Section 4624 of the BBA amended III. Collection of Information with comment period, we will permit section 1886(h)(3) of the Act to provide Requirements applications from one or more hospitals a 5-year phase-in of the payments to that qualify as an affiliated group under teaching hospitals for direct GME costs Under the Paperwork Reduction Act § 413.86. A qualification that must be associated with services to of 1995, we are required to provide 60- met for affiliated groups that involve Medicare+Choice discharges for day notice in the Federal Register and one or more member hospitals portions of cost reporting periods solicit public comment before a participating in the voluntary residency occurring on or after January 1, 1998. collection of information requirement is reduction plan is that all members of the The amount of payment is equal to the submitted to the Office of Management affiliated group agree to an aggregate product of the per resident amount, the and Budget (OMB) for review and FTE cap that reflects the resident count total weighted number of FTE residents approval. In order to fairly evaluate during each plan year of the hospital working in all areas of the hospital (and whether an information collection that is in the voluntary reduction plan. nonhospital settings in certain should be approved by OMB, section As stated earlier, section circumstances) subject to the limit on 3506(c)(2)(A) of the Paperwork 1886(h)(6)(F)(ii) of the Act requires a the number of FTE residents under Reduction Act (PRA) of 1995 requires qualifying entity to refund all incentive section 1886(h)(4)(F) of the Act and the that we solicit comment on the payments if it has more residents after averaging rules under section following issues:

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• The need for the information (5) An agreement to not reduce the if an agency finds good cause that prior collection and its usefulness in carrying proportion of its primary care residents notice-and-comment procedures are out the proper functions of our agency. to its total number of residents below impracticable, unnecessary, or contrary • The accuracy of our estimate of the the proportion that exists in the base to the public interest, and incorporates information collection burden. year; a statement of the finding and its • The quality, utility, and clarity of (6) An agreement to comply with data reasons in the rule. As explained below, the information to be collected. submission requirements deemed we find for good cause that it would be • Recommendations to minimize the necessary by HCFA to make annual impracticable to undertake prior notice- information collection burden on the incentive payments during the 5-year and-comment procedures with respect affected public, including automated residency reduction plan, and to fully to this rule before the provisions of the collection techniques. cooperate with additional audit and rule take effect. Section 413.88(d) of this document monitoring activities deemed necessary The BBA was enacted on August 5, contains information collection by HCFA; and 1997. In section 4626(c), the Congress requirements. However, given that we (7) For a qualifying entity that is also specifically authorized (but did not anticipate the submission of less than 10 member of an affiliated group as defined require) the Secretary to promulgate applications on an annual basis, these in § 413.86(b), a statement that all interim final rules ‘‘by not later than 6 collection requirements are not subject members of the affiliated group—that months after the date of the enactment to the PRA. Therefore, at this time we are not part of the qualifying entity— of [the BBA].’’ Thus, if the Secretary had are not submitting a copy of this agree to an aggregate FTE cap that published this document by February 5, document to OMB for its review of these reflects the resident count during each 1998, the Secretary could have issued information collection requirements. If year of the qualifying entity’s plan and this rule on an interim final basis by we determine, at a later date, that we the 1996 FTE count of the other exercising the specific authority in will receive more than 10 applications hospital(s) in the affiliated group; and section 4626(c) of the BBA, rather than prior to the November 1, 1999 (8) A statement indicating voluntary waiving notice-and-comment application submission deadline, we participation in the plan under the procedures in accordance with the APA. Because of the numerous obligations will submit these information collection terms of this section, signed by each imposed by the BBA, we were not able requirements to the OMB, as required by hospital that is part of the applying to promulgate this rule by February 5, section 3504(h) of the PRA. entity. Each applicant will determine its own 1998. The BBA required development of Although we believe that these annual and cumulative targets for the complex regulations establishing, information collection requirements are number of FTE reductions. Annual and among other things: hospital specific not subject to the PRA, we still welcome collective targets must be included in FTE caps; aggregate FTE caps in public comment on each of the the application. In the case of a joint affiliated group arrangements; GME following issues for the section of this applicant, the group of participating payments to nonhospital providers; and document that contains information hospitals will be held to a collective adjustment to FTE caps for new collection requirements: target. None of the participating residency programs. Each of these Section 413.88(d) requires that a hospitals will receive incentive represented a significant and complex qualified entity must submit a voluntary payments unless the collective target is change affecting Medicare payment for residency reduction plan application met. indirect and direct GME. that contains the following information Qualifying entities with approved Nevertheless, we believe that the or documents: voluntary resident reduction plans will Congress’ grant of specific authority to (1) A description of the operation of be required to submit data on annual issue interim final rules evinces an a plan for reducing the FTE residents in and cumulative targets deemed intent to allow hospitals to begin its approved medical residency training necessary by HCFA. Qualifying entities participating in the voluntary residency programs, consistent with the will also be required to submit update reduction plans at the earliest percentage reduction requirements plan if annual targets are not met and if practicable date; if we undertook prior described under section II.E. of this the qualifying entities wish to request notice-and-comment procedures now, preamble. that future annual targets be adjusted to we would have to allow for a 60 day (2) An election of the period of comply with their cumulative targets. comment period before publishing final residency training years during which We anticipate that on average it will regulations, and this would further the reductions will occur; require 15 hours for an applicant to delay the effective date of this rule. (3) FTE counts for the base number of complete and submit the required We also find good cause to waive the residents, with a breakdown of the information. prior notice of proposed rulemaking number of primary care residents Organizations and individuals that with respect to the provisions of this compared to the total number of wish to submit comments on the document concerning capital IME. residents; and the direct and indirect information collection and Capital IME payments—like operating GME FTE counts for the entity on June recordkeeping requirements set forth in IME and direct GME payment—are a 30, 1997. For joint applicants, these this interim final rule should direct function of the number of residents in counts must be provided individually them to HCFA and OMB officials whose approved programs. Consistent with our and collectively; names appear in the ADDRESSEES section broad authority to implement the capital (4) Data on the annual and cumulative of this preamble. prospective payment system, this targets for reducing the number of FTE interim final rule with comment period residents and the ratios of the number IV. Waiver of Proposed Rulemaking provides that the amount of incentive of primary care residents to the total We ordinarily publish a notice of payments reflects the effect of the number of residents for the base year proposed rulemaking in the Federal residency reduction on capital IME. and for each year in the 5-year reduction Register and invite public comment on Given that we find good cause to waive period. For joint applicants, these data the proposed rule. Under the prior notice and comment procedures must be provided individually and Administrative Procedure Act (APA), with respect to the other provisions of collectively; however, this procedure can be waived this rule, and given our interest in

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BILLING CODE 4120±01±C

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These examples are simplified but do resident reduction in the first 2 years of In summary, we do not believe many illustrate the impact on hospital the plan than hospitals are likely to hospitals are likely to participate in the revenues from various reduction options make. voluntary residency reduction plans assuming fixed Medicare per resident In example 2, all of the variables are because the 3-year average count payment amounts under several the same as example 1 except the provides similar incentives without reduction options. The examples do not hospital does not participate in the mandating reductions of 20 to 25 take into account any changes in IME voluntary plan. Since the hospital does percent, non-receipt of incentive payments, updates to the per resident not participate in the voluntary plan, it payments for the first 5 percent of amounts, changes in Medicare does not receive incentive payments resident reduction, and full refund of all utilization or other factors that affect and its total payments are $850,000 less incentive payments if a hospital ever Medicare payment for direct and over 5 years than the hospital in increases its number of residents in indirect GME. However, generally IME example 1. This hospital can training. We believe that only hospitals payments are twice the amount of direct subsequently increase its residents to its that anticipate making reductions of 20 GME payments for the average hospital. FTE caps and will not be liable for any to 25 percent over the next 5 years are In each of these examples, the hospital’s refunds. likely to consider participating. payments under current law are based In example 3, all of the variables are on a 3-year average of the FTEs. The the same as example 2 except the C. Rural Hospital Impact hospital’s Medicare direct GME hospital reduces its number of residents payments are equal to the product of the from the count as of June 30, 1997 by Section 1102(b) of the Social Security average FTEs and the Medicare per 19 percent. In this example, the hospital Act requires us to prepare a regulatory resident payment amount. The receives slightly higher payments than impact analysis for any interim final difference between the payments based the hospital in example 2 because it has rule with comment period that may on the number of residents on June 30, more residents over 5 years. Its have a significant impact on the 1997 and plan year payments are payments are $816,500 lower than the operations of a substantial number of multiplied by the hold-harmless hospital that participated in the small rural hospitals. Such an analysis percentage to determine incentive voluntary plan. Again, this hospital can must conform to the provisions of payments. The incentive payments are increase its residents to its FTE cap section 603 of the R.F.A. For purposes added to the hospital’s Medicare direct level without being liable for refunds of of section 1102(b) of the Act, we define GME payments to determine total incentive payments to Medicare. a small rural hospital as a hospital that payments. In example 4, the hospital does not is located outside a Metropolitan In example 1, the hospital participates participate in the voluntary plan and Statistical Area and has fewer than 50 in the voluntary residency reduction reduces its number of residents from the beds. plan under the 20-percent option (this count on June 30, 1997 by 15 percent. We are not preparing a rural hospital option would also require an increase in In this example, the hospital actually impact statement since we have the number of primary care residents by receives higher total payments than the 20 percent which is not illustrated). The hospital in any of the previous determined, and certify, that this hospital achieves its residency examples, including the hospital interim final rule with comment period reduction under the plan by reducing 4 participating in the voluntary residency will not have a significant economic percent per year from the base number reduction plan because of Medicare impact on a substantial number of small of residents. The incentive payments are revenues associated with a higher count entities or a significant impact on the based on the difference in payments of residents. operations of a substantial number of using 95 percent of the count of We recognize that there are many small rural hospitals. residents as of June 30, 1997, and rate factors that may induce a hospital to In accordance with the provisions of year payments using the 3-year average participate in the voluntary residency Executive Order 12866, this interim count of residents. In example 1, the reduction plan. Medicare direct and final rule with comment period was hospital does not receive an incentive indirect medical education revenues are reviewed by the Office of Management payment during the first 2 years of the only one factor in deciding whether to and Budget. plan because its average count of FTEs participate. We urge hospitals to is more than 95 percent of its number carefully consider all factors before We have reviewed this interim final of residents as of June 30, 1997. The deciding whether to participate in the rule with comment period under the hospital receives incentive payments for voluntary plans. However, we believe threshold criteria of Executive Order the remaining 3 years of the voluntary Medicare incentive payments for 12612. We have determined that it does plan and its total incentive payments resident reductions made under this not significantly affect States’ rights, are $850,000. Its total direct GME provision may not provide a strong roles, and responsibilities. payments over the 5 plan years are incentive to participate in the voluntary List of Subjects in 42 CFR Part 413 $46.72 million. If the hospital increases plan unless a hospital is already residents above the level it has at the planning permanent residency Health facilities, Kidney diseases, end of the plan, the hospital will be reductions of 20 to 25 percent even in Medicare, Puerto Rico, Reporting and required to refund $850,000. Although the absence of the voluntary residency recordkeeping requirements. the hospital could receive higher reduction plan. Even if the hospital is incentive payments by making larger planning residency reductions of 20 to 42 CFR Part 413 is amended as set reductions in year 1 and year 2 of the 25 percent, it may be reluctant to forth below: plan, our experience indicates that participate in the plan because of the hospitals are actually planning smaller requirement that the hospital refund all reductions in the first 2 years of the plan incentive funds if the hospital increases because of prior commitments made to its residents higher than the level residents. In fact, we believe this permitted under its voluntary residency example may actually present a larger reduction plan.

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PART 413ÐPRINCIPLES OF the reductions will occur. The beginning no earlier than the day after REASONABLE COST reductions must be fully implemented the date of the application. REIMBURSEMENT; PAYMENT FOR by not later than the fifth residency (g) Residency reduction END-STAGE RENAL DISEASE training year in which the plan is requirements—(1) Base number of SERVICES; OPTIONAL effective; residents defined. (i) ‘‘Base number of PROSPECTIVELY DETERMINED (3) FTE counts for the base number of residents’’ means the lesser of— PAYMENT RATES FOR SKILLED residents, as defined in paragraph (g)(1) (A) The number of FTE residents in NURSING FACILITIES of this section, with a breakdown of the all approved medical residency training number of primary care residents programs of the qualifying entity (before 1. The authority citation for part 413 compared to the total number of application of weighting factors under continues to read as follows: residents; and the direct and indirect § 413.86(g)) for the most recent Authority: Secs. 1102, 1861(v)(1)(A), and FTE counts of the entity on June 30, residency training year ending June 30, 1871 of the Social Security Act (42 U.S.C. 1997. For joint applicants, these counts 1996; or 1302, 1395x(v)(1)(A), and 1395hh). must be provided individually and (B) The number of FTE residents in all 2. A new § 413.88 is added to subpart collectively; approved medical residency training F to read as follows: (4) Data on the annual and cumulative programs of the qualifying entity (before targets for reducing the number of FTE application of weighting factors under § 413.88 Incentive payments under plans residents and the ratios of the number § 413.86(g)) for any subsequent for voluntary reduction in number of of primary care residents to the total residency training year that ends before medical residents. number of residents for the base year the date the entity submits its plan to (a) Statutory basis. This section and for each year in the 5-year reduction the fiscal intermediary and HCFA. implements section 1886(h)(6) of the period. For joint applicants, these data (ii) The residency training year used Act, which establishes a program under must be provided individually and to determine the base number of which incentive payments may be made collectively; residents is the ‘‘base year’’ for to qualifying entities that develop and (5) An agreement to not reduce the determining reduction requirements. implement approved plans to proportion of its primary care residents (iii) The qualifying entity’s base voluntarily reduce the number of to its total number of residents below number of residents may not be adjusted residents in medical residency training. the proportion that exists in the base to reflect adjustments that may (b) Qualifying entity defined. year, as specified in paragraph (g)(1) of otherwise be made to the entity’s FTE ‘‘Qualifying entity’’ means: this section; caps for new medical residency training (1) An individual hospital that is (6) An agreement to comply with data programs. operating one or more approved medical submission requirements deemed (2) Qualifying entity consisting of residency training programs as defined necessary by HCFA to make annual individual hospital. The base number of in § 413.86(b) of this chapter; or incentive payments during the 5-year FTE residents in all the approved (2) Two or more hospitals that are residency reduction plan, and to fully medical residency training programs operated by or through a qualifying operating approved medical residency cooperate with additional audit and entity consisting of an individual training programs as defined in monitoring activities deemed necessary § 413.86(b) of this chapter and that hospital must be reduced as follows: by HCFA; (i) If the base number of residents submit a residency reduction (7) For a qualifying entity that is a exceeds 750, residents, by at least 20 application as a single entity. member of an affiliated group as defined percent of the base number. (c) Conditions for payments. (1) A in § 413.86(b), a statement that all qualifying entity must submit an (ii) If the base number of residents members of the group agree to an exceeds 600 but is less than or equal to application for a voluntary residency aggregate FTE cap that reflects— reduction plan that meets the 750 residents— (i) The reduction in the qualifying (A) By 150 residents; or requirements and conditions of this entity’s FTE count as specified in the (B) By 20 percent, if the qualifying section in order to receive incentive plan during each year of the plan; and entity increases the number of primary payments for reducing the number of (ii) The 1996 FTE count of the other care residents included in the base residents in its medical residency hospital(s) in the affiliated group. number by at least 20 percent. training programs. (8) A statement indicating voluntary (iii) If the base number of residents is (2) The incentive payments will be participation in the plan under the 600 or less residents— determined as specified under terms of this section, signed by each (A) By 25 percent; or paragraph (g) of this section. hospital that is part of the applying (B) By 20 percent, if the qualifying (d) Requirements for voluntary plans. entity. entity increases the number of primary In order for a qualifying entity to receive (e) Deadline for applications. A care residents included in the base incentive payments under a voluntary qualifying entity must submit an number of residents by at least 20 residency reduction plan, the qualifying application that meets the requirements percent. entity must submit an application that of paragraph (d) of this section at least (3) Qualifying entity consisting of two contains the following information, one day prior to the first day of the or more hospitals. The base number of documents, and agreements— period to which the plan would be FTE residents in the aggregate for all the (1) A description of the operation of effective but no later than November 1, approved medical residency training a plan for reducing the full-time 1999. The application must be programs operated by or through a equivalent (FTE) residents in its submitted to the fiscal intermediary, qualifying entity consisting of two or approved medical residency training with a copy to HCFA. more hospitals must be reduced— programs, consistent with the (f) Effective dates of plans. Residency (i) By 25 percent; or percentage reduction requirements reduction plans that are submitted to (ii) By 20 percent, if the qualifying specified in paragraphs (g)(2) and (g)(3) the fiscal intermediary on or after entity increases the number of primary of this section; September 17, 1999 but on or before care residents included in the base (2) An election of the period of November 1, 1999, may be effective for number of residents by at least 20 residency training years during which portions of cost reporting periods percent.

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(4) Treatment of rotating residents. A percent reduction in the number of FTE count used for direct GME payments for qualifying entity will not be eligible for residents in the approved medical the last residency training year in which incentive payments for a reduction in education training programs of the a qualifying entity participates. the base number of residents if the hospital as of June 30, 1997, exceeds the (2) Penalty imposed. Upon reduction is a result of the entity payment amount made under § 412.322 completion of the voluntary residency rotating residents to another hospital of this chapter in each year under the reduction plan— that is not a part of its voluntary voluntary residency reduction plan, (i) During repayment period. If a residency reduction plan. taking into account the actual reduction penalty is imposed under paragraph (5) Updates to annual and cumulative in the number of FTE residents. (k)(2) of this section, during the period targets.—(i) Except as provided in (iv) Step 4. Multiply the sum of the of repayment, the qualifying entity’s paragraph (g)(5)(ii) of this section an amounts determined under paragraph FTE count is as specified in paragraph entity with an approved voluntary (h)(i), (ii), and (iii) of this section by the (l)(1) of this section. residency reduction plan may not applicable hold harmless percentages (ii) After repayment period. Once the change the annual and cumulative specified in paragraph (i) of this section. penalty repayment is completed, the reduction targets that are specified in its (2) The determination of the amounts qualifying entity’s FTE reverts back to plan in accordance with paragraphs under paragraph (h)(1) of this section for its original 1996 FTE cap. (g)(2) and (g)(3) of this section. any year is based on the applicable (ii) An entity may update annual (Catalog of Federal Domestic Assistance Medicare statutory provisions in effect Program No. 93.773, Medicare—Hospital reduction targets specified in its plan on the application deadline date for the Insurance) only if— voluntary reduction plan specified Dated: July 7, 1999. (A) It has failed to meet a specified under paragraph (e) of this section. Nancy-Ann Min DeParle, annual target for a plan year in the 5- (i) Applicable hold-harmless year period; and percentage. The applicable hold- Administrator, Health Care Financing Administration. (B) It wishes to adjust future annual harmless percentages for each year in targets for the remaining years of the which the residency reduction plan is in Dated: July 27, 1999. plan in order to comply with its effect are as follows: Donna E. Shalala, cumulative target. (1) 100 percent for the first and Secretary. (iii) An updated plan allowed under second residency training years; [FR Doc. 99–21322 Filed 8–17–99; 8:45 am] paragraph (g)(5)(ii) of this section must (2) 75 percent for the third year; BILLING CODE 4120±01±P be submitted prior to the beginning of (3) 50 percent for the fourth year; and each July 1 medical residency training (4) 25 percent for the fifth year. year during the plan years. (j) Payments to qualifying entities. (h) Computation of incentive payment Annual incentive payments through FEDERAL COMMUNICATIONS amount. (1) Incentive payments to cost reports will be made to each COMMISSION qualifying entities that meets the hospital that is or is part of a qualifying 47 CFR PART 73 requirements and conditions of entity over the 5-year reduction period paragraphs (d) and (g) of this section if the qualifying entity meets the annual [MM Docket No. 97±234, GC Docket No. 92± will be computed as follows: and cumulative reduction targets 52, and GEN Docket No. 90±264; FCC 99± (i) Step 1. Determine the amount (if specified in its voluntary reduction 201] any) by which the payment amount that plan. would have been made under (k) Penalty for noncompliance—(1) Implementation of Competitive Bidding § 413.86(d) if there had been a 5-percent Nonpayment. No incentive payment for Commercial Broadcast and reduction in the number of FTE may be made to a qualifying entity for Instructional Television Fixed Service residents in the approved medical a residency training year if the Licenses education training programs of the qualifying entity has failed to reduce the AGENCY: Federal Communications hospital as of June 30, 1997, exceeds the number of FTE residents according to its Commission. amount of payment that would have voluntary residency reduction plan. ACTION: Final rule. been made under § 413.86(d) in each (2) Repayment of incentive amounts. year under the voluntary residency The qualifying entity is liable for SUMMARY: This document concludes that reduction plan, taking into account the repayment of the total amount of it is appropriate for the Federal reduction in the number of FTE incentive payments it has received if the Communications Commission to residents under the plan. qualifying entity— attribute the mass media interests of (ii) Step 2. Determine the amount (if (i) Fails to reduce the base number of investors holding more than a 33% any) by which the payment amount that residents by the percentages specified in equity and/or debt interest in a would have been made under § 412.105 paragraphs (g)(2) and (g)(3) of this broadcast auction bidder claiming a of this chapter if there had been a 5- section by the end of the fifth residency New Entrant Bidding Credit, even if percent reduction in the number of FTE training year; or such an interest is non-voting. residents in the approved medical (ii) Increases the number of FTE DATES: The effective date is August 18, education training programs of the residents above the number of residents 1999. hospital as of June 30, 1997, exceeds the permitted under the voluntary residency payment amount made under § 412.105 reduction plan as of the completion date FOR FURTHER INFORMATION CONTACT: of this chapter in each year under the of the plan. Shaun Maher, Video Services Division, voluntary residency reduction plan, (l) Postplan determination of FTE Mass Media Bureau at (202) 418–1600. taking into account the actual reduction caps for qualifying entities—(1) No SUPPLEMENTARY INFORMATION: This item in the number of FTE residents. penalty imposed. Upon completion of a contains information collections (iii) Step 3. Determine the amount (if voluntary residency reduction plan, if requirements for which we have any) by which the payment amount that no penalty is imposed, the qualifying received OMB approval, OMB Control would have been made under § 412.322 entity’s 1996 FTE count is permanently Number 3060–0896. This Memorandum of this chapter if there had been a 5- adjusted to equal the unweighted FTE Opinion and Order concludes that it is

VerDate 18-JUN-99 09:08 Aug 17, 1999 Jkt 183247 PO 00000 Frm 00040 Fmt 4700 Sfmt 4700 E:\FR\FM\A18AU0.021 pfrm07 PsN: 18AUR1 Federal Register / Vol. 64, No. 159 / Wednesday, August 18, 1999 / Rules and Regulations 44857 appropriate for the Federal thus limited to issues addressed in this entrant status, even if such an interest Communications Commission to Memorandum Opinion and Order. This is nonvoting. attribute the mass media interests of Second Supplemental FRFA conforms II. Significant Issues Raised by Public in investors holding more than a 33% to the RFA, as amended by the Contract Response to Final Regulatory Flexibility equity and/or debt interest in a with America Advancement Act of Analysis broadcast auction bidder claiming a 1996, Public Law No. 104–121, 110 Stat. New Entrant Bidding Credit, even if 847 (1996) (CWAAA); see generally 5 No petitions or comments were such an interest is non-voting. This U.S.C. 601 et seq. Title II of the CWAAA received in response to the FRFA or the action is a further refinement of the is the Small Business Regulatory First Supplemental FRFA. Small eligibility standards for the New Entrant Enforcement Fairness Act of 1996 business-related issues were raised Bidding Credit available to bidders in (SBREFA). indirectly by some parties filing broadcast auctions created by the petitions for reconsideration against the I. Need For and Objectives of Action Commission as a means to promote and First Report and Order. These issues facilitate the diversification of In the First Report and Order in this were addressed in detail in the previous ownership in the mass media. In an proceeding, the Commission adopted Memorandum Opinion and Order and earlier Memorandum Opinion and rules and procedures to implement the First Supplemental FRFA. provisions of the Balanced Budget Act Order, 64 FR 24523 (May 7, 1999), the III. Description and Estimate of the of 1997 expanding its competitive Commission revised the eligibility Number of Small Entities Involved standards for the New Entrant Bidding bidding authority, under Sections 309(j) Credit to ensure that those standards are and 309(l) of the Communications Act In the FRFA and First Supplemental consistent with the Commission’s of 1934, 47 U.S.C. 309(j), 309(l), to FRFA, the Commission utilized the general attribution standards. In this include, inter alia, the commercial definition of ‘‘small business’’ Memorandum Opinion and Order, the broadcast services. In a recent promulgated by the Small Business Commission determined that it was Memorandum Opinion and Order Administration (SBA), even though, as appropriate to attribute the mass media resolving numerous petitions for discussed in detail in the FRFA, we interests held by very substantial reconsideration filed against the First tentatively believed that the SBA’s investors in any broadcast auction Report and Order the Commission definition of ‘‘small business’’ applicant claiming a New Entrant generally upheld its previous overstated the number of radio and Bidding Credit. The Commission determinations made with respect to television broadcast stations that were explained that it was taking this action auction rules and procedures for the small businesses and was not to ensure that only true new entrants various broadcast services. That particularly suitable for our purposes. qualify for the bidding credit, because Memorandum Opinion and Order did, No petitions or comments were received holders of otherwise nonattributable however, refine the eligibility standards concerning the Commission’s use of the interests may well have a ‘‘realistic for the ‘‘new entrant’’ bidding credit, SBA’s small business definition for potential’’ to influence bidders claiming which, as adopted in the First Report purposes of the FRFA and First new entrant status. The Commission and Order, provides a tiered credit for Supplemental FRFA, and we will further determined, based upon a broadcast auction bidders with no, or therefore continue to employ such review of the record in the broadcast very few, other media interests. In definition for this Second Supplemental attribution proceeding and the particular, the Commission concluded FRFA. As we are utilizing the same precedent provided by its long-standing in its previous Memorandum Opinion definition of small business for this cross-interest policy, that setting the and Order that the eligibility standards Second Supplemental FRFA, the attribution threshold at 33% is for the new entrant bidding credit description and number of small entities appropriate in the new entrant context. should be amended to be consistent affected by the rule change adopted in with the general broadcast attribution this Memorandum Opinion and Order Supplemental Regulatory Flexibility standards, by which the Commission should be the same as the entities Analysis (FRFA) defines what constitutes an attributable described in both the FRFA and First As required by the Regulatory interest in applying the broadcast Supplemental FRFA, and include, Flexibility Act (RFA), 5 U.S.C. 603, a multiple ownership rules. In addition to specifically, commercial broadcast Final Regulatory Flexibility Analysis attributing mass media interests for stations (television, low power (FRFA) was incorporated in Appendix B purposes of the new entrant bidding television, television translator, AM, FM of the First Report and Order, 63 FR credit to the same extent that such and FM translator stations). 48615 (September 11, 1998) in this media interests are considered proceeding. In addition, a Supplemental attributable for purposes of the IV. Description of Projected Reporting, Final Regulatory Flexibility Analysis broadcast multiple ownership rules, the Recordkeeping and Other Compliance (First Supplemental FRFA) was Commission determined in that Requirements incorporated in Appendix B of the Memorandum Opinion and Order to The First Report and Order adopted a Memorandum Opinion and Order, 64 also consider, in a further order, number of rules that included reporting, FR 24523 (May 7, 1999) in this whether to attribute the mass media recordkeeping and compliance proceeding that resolved various interests of any individual or entity who requirements. These requirements were petitions for reconsideration filed holds a significant equity and/or debt described in detail in the FRFA, and, as against the First Report and Order. The interest in a broadcast auction bidder discussed in the First Supplemental Commission’s Supplemental Final claiming new entrant status, even if FRFA, generally remained unchanged Regulatory Flexibility Analysis (Second such an interest is nonvoting. The by the rule amendments adopted in the Supplemental FRFA) in this above-referenced Memorandum previous Memorandum Opinion and Memorandum Opinion and Order Opinion and Order does in fact Order. The rule change adopted in this reflects revised or additional determine to attribute the mass media Memorandum Opinion and Order does information to that contained in the interests of investors holding more than not include any additional or different FRFA and First Supplemental FRFA. a 33% equity and/or debt interest in a reporting or recordkeeping This Second Supplemental FRFA is broadcast auction bidder claiming new requirements, but only affects the

VerDate 18-JUN-99 09:08 Aug 17, 1999 Jkt 183247 PO 00000 Frm 00041 Fmt 4700 Sfmt 4700 E:\FR\FM\A18AU0.034 pfrm07 PsN: 18AUR1 44858 Federal Register / Vol. 64, No. 159 / Wednesday, August 18, 1999 / Rules and Regulations standards for qualifying for the new Regulatory Enforcement Fairness Act of (defined as the aggregate of all equity entrant bidding credit. 1996. See 5 U.S.C. 801(a)(1)(A). In plus all debt) of the winning bidder. V. Steps Taken to Minimize Significant addition, the Commission will send a [FR Doc. 99–21471 Filed 8–17–99; 8:45 am] copy of the Memorandum Opinion and Economic Impact on Small Entities, and BILLING CODE 6712±01±P Significant Alternatives Considered Order, including the Second Supplemental FRFA, to the Chief The FRFA and First Supplemental Counsel for Advocacy of the Small DEPARTMENT OF COMMERCE FRFA described in considerable detail Business Administration. A copy of the the steps taken in the First Report and Memorandum Opinion and Order and Order and in the previous Memorandum National Oceanic and Atmospheric Second Supplemental FRFA (or Administration Opinion and Order to minimize summaries thereof) will also be significant economic impact on small published in the Federal Register. See 50 CFR Part 679 entities and the alternatives considered. 5 U.S.C. 604(b). The rule amendment adopted in this [Docket No. 990304062±9062±01; I.D. Memorandum Opinion and Order Authority for issuance of this 081399A] further refines the eligibility standards Memorandum Opinion and Order is for the new entrant bidding credit. The contained in Sections 4 (i) and (j), 301, Fisheries of the Exclusive Economic Commission believes that attributing the 303(f), 303(g), 303(h), 303(j), 303(r), Zone Off Alaska; Northern Rockfish in mass media interests (if any) held by 307(c), 308(b), 309(j), 309(l) and 403 of the Western Regulatory Area of the very substantial investors in bidders the Communications Act of 1934, as Gulf of Alaska claiming new entrant status will help amended, 47 U.S.C. 154(i), 154(j), 301, AGENCY: National Marine Fisheries properly limit the scope of the bidding 303(f), 303(g), 303(h), 303(j), 303(r), Service (NMFS), National Oceanic and credit to those truly new entities 307(c), 308(b), 309(j), 309(l) and 403. Atmospheric Administration (NOAA), intended to benefit from the credit (and Commerce. who are likely to be small businesses). List of Subjects in 47 CFR Part 73 ACTION: Closure. In addition, adoption of this attribution Radio broadcasting, Reporting and policy should reduce the likelihood of recordkeeping requirements, Television SUMMARY: NMFS is prohibiting directed bidder manipulation of the eligibility broadcasting. fishing for northern rockfish in the standards for the bidding credit. Western Regulatory Area of the Gulf of Federal Communications Commission. The Commission also believes that Alaska (GOA). This action is necessary setting this attribution benchmark at Magalie Roman Salas, to prevent exceeding the 1999 total 33% reasonably balances its interest in Secretary. allowable catch (TAC) of northern capturing investor relationships that rockfish in this area. provide a realistic potential to influence Rule Change DATES: Effective 1200 hrs, Alaska local the core operating functions of Part 73 of Title 47 of the Code of time (A.l.t.), August 13, 1999, through broadcast auction applicants, and the Federal Regulations is amended as 2400 hrs, A.l.t., December 31, 1999. needs of prospective auction applicants follows: (including small businesses) to obtain FOR FURTHER INFORMATION CONTACT: financing. This 33% equity/debt Thomas Pearson, 907–481–1780 or PART 73ÐRADIO BROADCAST [email protected]. attribution standard does not preclude SERVICES an individual or entity (including any SUPPLEMENTARY INFORMATION: NMFS manages the groundfish fishery in the existing broadcaster) from investing any 1. The authority citation for part 73 GOA exclusive economic zone amount in a prospective broadcast continues to read as follows: auction applicant. Nor does this 33% according to the Fishery Management equity/debt standard require an Authority: 47 U.S.C. 154, 303, 334, and Plan for Groundfish of the Gulf of applicant claiming new entrant status to 336. Alaska (FMP) prepared by the North contribute a minimum amount of Pacific Fishery Management Council 2. Section 73.5008 is amended by equity, or otherwise affect an applicant’s under authority of the Magnuson- revising paragraph (c) to read as follows: right to participate in a broadcast Stevens Fishery Conservation and auction. Because this standard only § 73.5008 Definitions applicable for Management Act. Regulations governing establishes that the attributable media designated entity provisions. fishing by U.S. vessels in accordance with the FMP appear at subpart H of 50 interests (if any) of an investor who * * * * * holds more than a 33% equity and/or CFR part 600 and 50 CFR part 679. debt interest in a broadcast auction (c) An attributable interest in a The 1999 TAC of northern rockfish in bidder will be attributable to that bidder winning bidder or in a medium of mass the Western Regulatory Area of the Gulf for determining its status as a new communications shall be determined in of Alaska was established by the Final entrant, the Commission concludes that accordance with § 73.3555 and Note 2. 1999 Harvest Specifications of adoption of the 33% equity/debt In addition, the attributable mass media Groundfish for the GOA (64 FR 12094, standard should not unduly hinder the interests, if any, held by an individual March 11, 1999) as 840 metric tons (mt), ability of broadcast licensees generally, or entity with an equity and/or debt determined in accordance with or broadcast auction applicants interest(s) in a winning bidder shall be § 679.20(c)(3)(ii). specifically, to obtain capital. attributed to that winning bidder for In accordance with § 679.20(d)(1)(i), purposes of determining its eligibility the Administrator, Alaska Region, VI. Report to Congress for the new entrant bidding credit, if the NMFS (Regional Administrator), has The Commission will send a copy of equity (including all stockholdings, determined that the 1999 TAC for this Memorandum Opinion and Order, whether voting or nonvoting, common northern rockfish has been reached. including this Second Supplemental or preferred) and debt interest or Therefore, the Regional Administrator is FRFA, in a report to be sent to Congress interests, in the aggregate, exceed thirty- establishing a directed fishing pursuant to the Small Business three (33) percent of the total asset value allowance of 740 mt, and is setting aside

VerDate 18-JUN-99 09:08 Aug 17, 1999 Jkt 183247 PO 00000 Frm 00042 Fmt 4700 Sfmt 4700 E:\FR\FM\A18AU0.035 pfrm07 PsN: 18AUR1 Federal Register / Vol. 64, No. 159 / Wednesday, August 18, 1999 / Rules and Regulations 44859 the remaining 100 mt as bycatch to DEPARTMENT OF COMMERCE as 820 metric tons (mt), determined in support other anticipated groundfish accordance with § 679.20(c)(3)(ii). fisheries. In accordance with National Oceanic and Atmospheric The Administrator, Alaska Region, § 679.20(d)(1)(iii), the Regional Administration NMFS, has established a directed fishing allowance of 670 mt, and set Administrator finds that this directed 50 CFR Part 679 fishing allowance has been reached. aside the remaining 150 mt as bycatch Consequently, NMFS is prohibiting [Docket No. 990304062±9062±01; I.D. to support other anticipated groundfish directed fishing for northern rockfish in 081299A] fisheries. The fishery for Pacific ocean the Western Regulatory Area. perch in the West Yakutat District of the Fisheries of the Exclusive Economic GOA was closed to directed fishing Maximum retainable bycatch amounts Zone Off Alaska; Pacific Ocean Perch under § 679.20(d)(1)(iii) on July 19, may be found in the regulations at in the West Yakutat District 1999, (64 FR 39090, July 21, 1999). § 679.20(e) and (f). AGENCY: National Marine Fisheries NMFS has determined that as of July Classification Service (NMFS), National Oceanic and 31, 1999, 217 mt remain in the directed Atmospheric Administration (NOAA), fishing allowance. Therefore, NMFS is This action responds to the best Commerce. terminating the previous closure and is available information recently obtained ACTION: Modification of a closure. opening directed fishing for Pacific from the fishery. It must be ocean perch in the West Yakutat District implemented immediately to prevent SUMMARY: NMFS is opening directed of the GOA. overharvesting the 1999 TAC of fishing for Pacific ocean perch in the Classification northern rockfish for the Western West Yakutat District of the Gulf of Regulatory Area of the GOA. A delay in Alaska management area (GOA). This All other closures remain in full force the effective date is impracticable and action is necessary to fully utilize the and effect. This action responds to the contrary to the public interest. Further 1999 total allowable catch (TAC) of best available information recently Pacific ocean perch in this area. delay would only result in overharvest. obtained from the fishery. It must be NMFS finds for good cause that the DATES: Effective 1200 hrs, Alaska local implemented immediately in order to implementation of this action should time (A.l.t.), August 15, 1999. allow full utilization of the Pacific not be delayed for 30 days. Accordingly, FOR FURTHER INFORMATION CONTACT: ocean perch TAC. Providing prior notice under 5 U.S.C. 553(d), a delay in the Mary Furuness, 907–586–7228. and opportunity for public comment for effective date is hereby waived. SUPPLEMENTARY INFORMATION: NMFS this action is impracticable and contrary manages the groundfish fishery in the to the public interest. NMFS finds for This action is required by 50 CFR GOA exclusive economic zone good cause that the implementation of 679.20 and is exempt from review under according to the Fishery Management this action cannot be delayed for 30 E.O. 12866. Plan for Groundfish of the Gulf of days. Accordingly, under 5 U.S.C. Authority: 16 U.S.C. 1801 et seq. Alaska (FMP) prepared by the North 553(d), a delay in the effective date is Pacific Fishery Management Council hereby waived. Dated: August 13, 1999. under authority of the Magnuson- This action is required by § 679.20 Bruce C. Morehead, Stevens Fishery Conservation and and is exempt from review under E.O. Acting Director, Office of Sustainable Management Act. Regulations governing 12866. Fisheries, National Marine Fisheries Service. fishing by U.S. vessels in accordance Authority: 16 U.S.C. 1801 et seq. [FR Doc. 99–21434 Filed 8–13–99; 3:14 pm] with the FMP appear at subpart H of 50 Dated: August 13, 1999 BILLING CODE 3510±22±F CFR 600 and 50 CFR part 679. The 1999 TAC of Pacific ocean perch Richard W. Surdi, in the West Yakutat District of the GOA Acting Director, Office of Sustainable was established by the Final 1999 Fisheries, National Marine Fisheries Service. Harvest Specifications of Groundfish for [FR Doc. 99–21433 Filed 8–13–99; 3:14 pm] the GOA (64 FR 12094, March 11, 1999) BILLING CODE 3510±22±F

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Proposed Rules Federal Register Vol. 64, No. 159

Wednesday, August 18, 1999

This section of the FEDERAL REGISTER about the interactive rulemaking site, III. Discussion contains notices to the public of the proposed contact Ms. Carol Gallagher at 301–415– 1. Fire Barrier Penetration Seals issuance of rules and regulations. The 5905; or by e-mail at [email protected]. purpose of these notices is to give interested Comments received may also be viewed Appendix R, Section III.M currently persons an opportunity to participate in the and downloaded electronically at this states: ‘‘Penetration seal designs shall rule making prior to the adoption of the final utilize only noncombustible materials rules. Web site. Single copies of NUREG–1552, ‘‘Fire and shall be qualified by tests that are Barrier Penetration Seals in Nuclear comparable to tests used to rate fire NUCLEAR REGULATORY Power Plants,’’ and NUREG–1552, barriers.’’ The NRC is proposing to COMMISSION Supp. 1, which are related to this amend Appendix R, Section III.M, by rulemaking, may be obtained by writing removing the words ‘‘shall utilize only 10 CFR Part 50 to U.S. Nuclear Regulatory Commission, noncombustible materials and . . .’’ Reproduction and Distribution Services The technical basis for removing the RIN 3150±AG22 Section, OCIO, Washington, DC 20555– noncombustibility requirement for fire 0001; or by fax at 301–415–5272. barrier penetration seal materials is Elimination of the Requirement for documented in NUREG–1552 and FOR FURTHER INFORMATION CONTACT: Noncombustible Fire Barrier NUREG–1552, Supplement 1. A Daniele Oudinot, Office of Nuclear Penetration Seal Materials and Other summary of the technical basis for this Reactor Regulation, U.S. Nuclear Minor Changes action follows. Regulatory Commission, Washington, NRC requirements and guidelines for AGENCY: Nuclear Regulatory DC 20555–0001, telephone 301–415– Commission. penetration seals appear in a number of 3731; e-mail [email protected] documents. In 1971, the NRC ACTION: Proposed rule. SUPPLEMENTARY INFORMATION: promulgated General Design Criterion SUMMARY: The Nuclear Regulatory I. Background (GDC) 3, ‘‘Fire protection,’’ and Commission (NRC) is proposing to subsequently developed specific The NRC conducted a technical guidance for implementing GDC 3; amend its fire protection regulations to assessment of fire barrier penetration remove the requirement that fire barrier Branch Technical Position (BTP) seals. The NRC documented the results Auxiliary Power Conversion Systems penetration seal materials be of its assessment in SECY–96–146, noncombustible, and to make other Branch (APCSB) 9.5–1, ‘‘Guidelines for ‘‘Technical Assessment of Fire Barrier Fire Protection for Nuclear Power minor changes. The proposed rule Penetration Seals in Nuclear Power would also include editorial changes to Plants,’’ May 1, 1976; and Appendix A Plants,’’ July 1, 1996; in NUREG–1552, to BTP APCSB 9.5–1, ‘‘Guidelines for comply with the Presidential ‘‘Fire Barrier Penetration Seals in memorandum dated June 1, 1998, Fire Protection for Nuclear Power Plants Nuclear Power Plants,’’ July 1996; and Docketed Prior to July 1, 1976,’’ entitled, ‘‘Plain Language in in NUREG–1552, Supplement 1, January Government Writing.’’ February 24, 1977. Most licensees 1999. In these reports, the NRC stated complied with most of the DATES: Submit comments by November that, on the basis of its findings, the implementing guidance. To resolve the 1, 1999. Comments received after this noncombustibility criterion for contested issues, the NRC published the date will be considered if it is practical penetration seal materials that is final fire protection rule (§ 50.48) and to do so, but the Commission is able to specified in the NRC fire protection Appendix R to 10 CFR Part 50 on assure consideration only for comments regulation and review guidance does not November 10, 1980 (45 FR 76602). It is received on or before this date. contribute significantly to safety, and important to note that Appendix R is ADDRESSES: Mail comments to The recommended that this not a set of generically applicable fire Secretary of the Commission, U.S. noncombustibility criterion be deleted. protection requirements and applies Nuclear Regulatory Commission, II. Proposed Action only to plants that were operating before Washington, DC 20555–0001. Attention: January 1, 1979. Rulemakings and Adjudications Staff, The NRC is proposing to amend the The record for Appendix R does not Mail Stop O–16C1. regulations governing fire protection in disclose technical basis for including Deliver comments to One White Flint § 50.48, and Appendix R to Part 50 of the noncombustibility criterion in North, 11555 Rockville Pike, Rockville, Title 10 of the Code of Federal Appendix R. The noncombustibility Maryland, 20852, between 7:30 a.m. and Regulations (Appendix R). The criterion is not included in BTP APCSB 4:15 p.m. on Federal workdays. proposed amendments would remove 9.5–1, Appendix A to BTP APCSB 9.5– Copies of comments received may be the words ‘‘shall utilize only 1, or in the industry fire endurance test examined at NRC Public Document noncombustible materials and’’ in 10 standards. Also, § 50.48 does not Room, 2120 L Street, NW (Lower Level), CFR Part 50, Appendix R, Section III.M, address the use of combustible Washington, DC. ‘‘Fire Barrier Cable Penetration Seal materials. Although GDC 3 states that You may also submit comments via Qualification;’’ remove footnote 3 from noncombustible and heat-resistant the NRC’s interactive rulemaking Web § 50.48(a); remove footnote 4 from materials must be used wherever site through the NRC home page . This site provides (e); correct a spelling error in footnote use of combustible materials. In fact, the availability to upload comments as 2 of Appendix R, Section III.G., ‘‘fire combustible materials are installed in files (any format), if your Web browser protection of safe shutdown capability;’’ nuclear power plants. In general, when supports that function. For information and make editorial changes. these materials are incorporated as

VerDate 18-JUN-99 17:20 Aug 17, 1999 Jkt 183247 PO 00000 Frm 00001 Fmt 4702 Sfmt 4702 E:\FR\FM\18AUP1.XXX pfrm03 PsN: 18AUP1 Federal Register / Vol. 64, No. 159 / Wednesday, August 18, 1999 / Proposed Rules 44861 integral components of the plant fire throughout the commercial nuclear but typically include a number of other protection program, including the fire power industry. In presenting the guidance documents that the NRC hazard analysis, they are acceptable. results of its evaluation in NUREG–1552 issued after it promulgated § 50.48. In Fire barrier penetration seals are one and in NUREG–1552, Supplement 1, the addition, the licensees included the fire element of the defense-in-depth concept NRC concluded the following: protection licensing basis for each at nuclear power plants. The objectives (1) Properly tested, configured, reactor in the Updated Final Safety of the defense-in-depth concept are to: installed, and maintained silicone-based Analysis Report for the facility. (1) Prevent fires from starting; penetration seals are not credible fire Footnotes 3 and 4 have served their (2) Promptly detect, control, and hazards. purpose and are not needed by the NRC extinguish those fires that do occur; and (2) Despite the fact that a silicone- or the licensees to maintain the fire (3) Protect structures, systems, and based penetration seal could contribute protection licensing bases for the components important to safety so that some fuel to a fire, its relative reactors. a fire that is not extinguished promptly contribution to overall fire severity The proposed rule change would not will not prevent the safe shutdown of would be negligible. affect or change the licensing basis for the plant. (3) Qualified silicone-based fire any plant. However, it would make 10 To achieve defense in depth, each barrier penetration seals can accomplish CFR 50.48 consistent with other reactor operating reactor maintains an NRC- their intended design function; and regulations that do not identify approved fire protection program. (4) The benefits of the silicone-based guidance documents. It would also Nuclear power plants are divided into penetration seal materials outweigh any eliminate the need to update the separate areas by structural fire barriers, potential concerns regarding material footnotes to include the large number of such as walls and floor-ceiling combustibility. guidance documents that the NRC has assemblies whose fire-resistance rating, 2. Footnotes 3 and 4 in § 50.48 issued since it promulgated § 50.48 and typically 1, 2, or 3 hours, is determined to conduct future rulemakings to add by testing. The function of these Footnote 3 in § 50.48(a) states that new guidance documents as they are structural barriers is to prevent a fire basic fire protection guidance for issued. The proposed change would also that starts in one area from spreading to nuclear power plants is contained in resolve an inconsistency between the another area. Penetration seals are used two NRC documents: Branch Technical information in footnote 3 to § 50.48 and to close openings through the structural Position (BTP) Auxiliary Power the regulatory requirements of fire barriers. The intended design Conversion System Branch (APCSB) § 50.34(g)(1)(ii). Specifically function of the penetration seal is to 9.5–1, ‘‘Guidelines for Fire Protection § 50.34(g)(1)(ii) states, in part, that confine a fire to the area in which it for Nuclear Power Plants’’ (for new ‘‘Applications for light water cooled started and to protect important plants docketed after July 1, 1976), nuclear power plant construction equipment within an area from a fire dated May 1976, and Appendix A to permits, manufacturing licenses, and outside the area. As for other fire BTP APCSB 9,5–1, ‘‘Guidelines for Fire preliminary or final design approvals for barriers, the fire-resistance rating of the Protection for Nuclear Power Plants standard plants docketed after May 17, penetration seals is determined by Docketed Prior to July 1, 1976’’ (for 1982, shall include an evaluation of the testing. plants that were operating or in various facility against the SRP * * *,’’ The ability of a particular penetration stages of design or construction before whereas, footnote 3 indicates that the seal to achieve its intended design July 1, 1976), dated August 23, 1976. fire protection portions of these function (i.e., to contain a fire), as Footnote 3 also refers to footnote 4 in applications would be reviewed against determined by a fire endurance test § 50.48(b), that lists four additional BTP APCSB 9.5–1. conducted in accordance with an documents related to permissible 3. Implementation Requirements in industry standard, is the foremost alternatives to satisfy Appendix A to § 50.48 (c), (d), and (e) design consideration. In the report BTP APCSB 9.5–1. The six documents documenting the results of the fire that are referred to in footnotes 3 and 4 Paragraphs (c) and (d) of § 50.48 barrier penetration seal reassessment, no longer reflect accurately the guidance currently list schedule requirements the NRC concluded the following: documents published by the NRC. that were added to the Code of Federal (1) There are no reports of fires that Footnotes 3 and 4 were not intended Regulations when Appendix R became challenged the ability of nuclear power to be rulemaking requirements but effective on February 17, 1981. These plant fire-rated penetration seals to rather statements of fact. The footnotes requirements apply to nuclear power confine a fire. reflected the Commission’s approval of plants licensed before January 1, 1979, (2) A large body of fire endurance the NRC staff’s practice, as reflected in and involve fire protection installation tests had established the fire-resistive Branch Technical Position (BTP) APCSB modifications, revisions of capabilities of the penetration seal 9.5–1 and in its Appendix A, that the administrative controls, manpower materials, designs, and configurations date of the docketing of the construction changes, and training. These installed in nuclear power plants. permit would determine the NRC staff’s requirements were to be completed on (3) If penetration seals are properly review criteria for verifying compliance a schedule determined by the provisions designed, tested, configured, installed, with General Design Criterion (GDC) 3, specified in § 50.48 (c) and (d). All inspected, and maintained, there is and that compliance with the guidance schedular requirements of § 50.48 (c) reasonable assurance that they will of BTP APCSB 9.5–1 or its Appendix A and (d) have been implemented and provide the fire resistance of the tested and the other listed guidance need not be retained. configuration, maintain the fire-resistive documents would establish compliance Paragraph (e) of § 50.48 currently integrity of the fire barriers in which with GDC 3. The NRC has completed its specifies that nuclear power plants they are installed, and confine the fire review of the fire protection programs at licensed after January 1, 1979, shall to the area of origin. all operating reactors and has issued complete all fire protection The NRC evaluated silicone-based license conditions that establish the modifications needed to satisfy GDC 3 penetration seal materials that are licensing bases for each reactor. The of Appendix A to 10 CFR Part 50 in combustible and are the most widely licensing bases may include the accordance with the provisions of their used materials for penetration seals documents listed in footnotes 3 and 4 licenses. License conditions pertaining

VerDate 18-JUN-99 09:44 Aug 17, 1999 Jkt 183247 PO 00000 Frm 00002 Fmt 4702 Sfmt 4702 E:\FR\FM\A18AU2.049 pfrm07 PsN: 18AUP1 44862 Federal Register / Vol. 64, No. 159 / Wednesday, August 18, 1999 / Proposed Rules to fire protection have been 2. Need for the Rulemaking Action the seals are qualified by fire endurance implemented at all plants. Therefore, The technical basis for removing the tests conducted in accordance with an § 50.48(e) has been implemented and noncombustibility requirement for fire industry standard. Under the current need not be retained. barrier penetration seal materials is rule, licensees who choose penetration seals made of silicone-based materials 4. Grammatical Correction documented in NUREG–1552, ‘‘Fire Barrier Penetration Seals in Nuclear for the replacement of existing seals or Footnote 2 to Section III.G.3 of Power Plants,’’ July 1996; and in the installation of new seals must Appendix R currently reads, NUREG–1552, Supplement 1, January request exemptions from the ‘‘Alternative shutdown capability is 1999. In these reports, the NRC staff requirement of Section III.M of provided by rerouting, relocating, or stated that the noncombustibility Appendix R to the extent that the silicone-based material is combustible. modificating of existing systems; criterion for penetration seal materials These requests for exemption would dedicated shutdown capability is specified in the NRC fire protection increase the regulatory burden on both provided by installing new structures regulations and review guidance does the NRC and on the licensees, and and systems for the function of post-fire not contribute significantly to safety and would present no safety benefit. No shutdown.’’ This amendment would recommended that this regulatory action regarding the removal replace the words ‘‘modificating of’’ noncombustibility criterion be deleted. of footnote 3 in § 50.48(a), footnote 4 in with ‘‘modifying.’’ In a staff requirements memorandum § 50.48 (b), and §§ 50.48 (c), (d), and (e) dated June 30, 1998, the Commission IV. Plain Language would have a negative regulatory impact directed the NRC staff to amend Section for the following reasons. Footnotes 3 The Presidential memorandum dated III.M of Appendix R to Part 50 of Title June 1, 1998, entitled, ‘‘Plain Language and 4 in § 50.48 are inaccurate and 10 of the Code of Federal Regulations incomplete. In addition, the information in Government Writing,’’ directed that (Appendix R) to eliminate the in footnote 3 is inconsistent with the the Federal Government’s writing be in noncombustibility requirement for regulatory requirements contained in plain language (63 FR 31883, June 10, penetration seal material and to make § 50.34(g)(1)(ii). The requirements in 1998). In compliance with this directive, other minor changes to the fire §§ 50.48 (c), (d), and (e) have been editorial changes have been made in protection regulations. These minor implemented and need not be retained. these proposed amendments to improve changes include the deletion of No regulatory action regarding the the readability of the existing language references that no longer reflect correction of a grammatical error in of the provisions being revised. These accurately the guidance documents footnote 2 to Section III.G.3 of Appendix types of changes are not discussed published by the NRC in footnotes 3 and R to Part 50, which is administrative in further in this document. The NRC 4 of § 50.48, the deletion of schedular nature, would not have any regulatory requests comments on this proposed requirements that have been impact. rule specifically with respect to the implemented in § 50.48(c) and (d), and clarity and effectiveness of the language a grammatical correction in footnote 2 to 4. Environmental Impacts of the used in this notice. Comments on the Section III.G.3 of Appendix R. The NRC Proposed Amendment and the language used should be sent to the is also taking advantage of this Alternative NRC as indicated under the ADDRESSES rulemaking to make editorial changes to The environmental impacts of the heading. comply with the Presidential proposed amendment, as well as the V. Finding of No Significant memorandum dated June 1, 1998, alternative, are considered negligible by Environmental Impact entitled, ‘‘Plain Language in the NRC. The NRC has determined that Government Writing.’’ The proposed the ability of a particular penetration Environmental Assessment change would remove a requirement seal to achieve its intended design that does not contribute significantly to function (i.e., to contain a fire), as The NRC has determined, in safety. It constitutes a burden reduction determined by a fire endurance test accordance with the National for the NRC and for the licensees. conducted in accordance with an Environmental Policy Act of 1969, as industry standard, is the foremost amended, and the Commission’s 3. ‘‘No Regulatory Action’’ Alternative design consideration. The proposed regulations in Subpart A of 10 CFR Part No regulatory action would continue amendment would not impact the 51, that the proposed amendments, if the regulatory burden on licensees and ability to shut down the plant safely in adopted, would not be a major Federal on the NRC. Silicone-based material is the event of a fire and would provide a action significantly affecting the quality currently the material of choice for fire level of safety equivalent to that attained of the human environment; therefore, an barrier penetration seals and is by compliance with Section III.M of environmental impact statement is not combustible. The NRC has performed an Appendix R to 10 CFR Part 50. There is required. assessment of silicone-based penetration no environmental impact associated 1. The Proposed Action seal materials and concluded that the with the other changes which are benefits of the silicone-based materials administrative in nature. On this basis, The NRC is proposing to amend its in penetration seals, such as high- the NRC concludes that there are no regulations that require fire barrier temperature stability, flexibility, and radiological environmental impacts penetration seal materials to be resistance to the effects of radiation associated with this proposed noncombustible and to make minor exposure and aging, outweigh any amendment. If no regulatory action were changes to § 50.48 and to Appendix R. potential concerns regarding material taken in regard to the noncombustibility These minor changes are to remove combustibility. In the past, licensees requirement of Section III.M of footnote 3 from § 50.48(a) and footnote using silicone-based penetration seal Appendix R there would be no 4 from § 50.48(b); remove paragraphs materials have requested and been radiological environmental impact, the (c), (d), and (e) from § 50.48; correct a granted exemptions from the same as the proposed action. No grammatical error in footnote 2 to requirement of Section III.M of regulatory action regarding the changes Section III.G.3 of Appendix R; and make Appendix R to Part 50, regarding the use in § 50.48 (and the correction of an error editorial changes. of noncombustible materials, provided in footnote 2 to Section III.G.3 of

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Appendix R, which is administrative in materials be noncombustible. In 6. Decision Rationale nature) would have no radiological addition, this rule would remove certain The NRC reviewed the requirement of impact on the environment. parts of § 50.48, correct a grammatical Section III.M of Appendix R during its With regard to potential error in Appendix R, and make editorial reassessment of fire barrier penetration nonradiological impacts, the proposed changes. seals and determined that this amendment does not affect 3. Alternative requirement does not contribute nonradiological plant effluents and has significantly to safety. The removal of no other environmental impact. The alternative of no regulatory action would continue the unnecessary the requirement of Section III.M would Therefore, the NRC concludes that there reduce the regulatory burden on the are no significant nonradiological regulatory burden on licensees and on the NRC. licensee without reducing safety. In environmental impacts associated with addition, the proposed rule would make the proposed amendment. 4. Consequences the following minor changes: remove 5. List of Agencies and Persons Removing the requirement that fire footnote 3 from § 50.48(a) and footnote Consulted barrier penetration seal materials be 4 from § 50.48(b); remove paragraphs Much of the technical information noncombustible from Section III.M of (c), (d), and (e) from § 50.48; correct an required for this rulemaking was Appendix R to Part 50 would lessen the error in footnote 2 to Section III.G.3 of obtained directly from technical experts unnecessary regulatory burden on Appendix R; and make editorial changes within the NRC. No other agencies were licensees and on the NRC staff. It would to comply with the Presidential consulted in preparing this allow licensees to use combustible memorandum dated June 1, 1998, environmental assessment. materials in penetration seals without entitled, ‘‘Plain Language in requesting an exemption from the Government Writing.’’ The other VI. Paperwork Reduction Act requirement in Section III.M of changes as discussed above would not Statement Appendix R regarding the change the regulatory burden on the This proposed rule does not contain noncombustibility of penetration seal licensees and do not affect safety. materials, provided the seals are a new or amended information VIII. Regulatory Flexibility Act qualified by fire endurance tests collection requirement subject to the Certification Paperwork Reduction Act of 1995 (44 comparable to those used to rate fire U.S.C. 3501 et seq.). Existing barriers and conducted in accordance As required by the Regulatory requirements were approved by the with an industry standard. The other Flexibility Act of 1980 (5 U.S.C. 605(b)), Office of Management and Budget, minor changes are administrative and the Commission certifies that this approval number 3150–0011. would not affect the regulatory burden proposed rule if adopted would not on licensees. have a significant impact on a Public Protection Notification substantial number of small entities. 5. Value Impact Analysis If a means used to impose an Nuclear power plant licensees do not information collection does not display The value (benefit) and impact (cost) fall within the definition of small a currently valid OMB control number, of the proposed changes are estimated businesses as defined in Section 3 of the the NRC may not conduct or sponsor, below. Section III.M of Appendix R to Small Business Act (15 U.S.C. 632) or and a person is not required to respond 10 CFR Part 50 applies to the plants that the Commission’s size standards at 10 to, the information collection. were operating before January 1, 1979, CFR 2.810 (60 FR 18344; April 11, and had open items when Appendix R 1995). VII. Regulatory Analysis was published. As detailed in NUREG– IX. Backfit Analysis The NRC has prepared the following 1552, Supplement 1, Section III.M of regulatory analysis for the proposed Appendix R applies to 5 operating The NRC has determined that these rule. reactors. In order to estimate the benefit amendments do not involve any of the proposed change, the NRC provisions that would impose backfits 1. Statement of the Problem assumed that the licensees for these because it does not meet the definition The NRC is proposing to amend its plants may replace some of their of backfit contained in § 50.109(a)(1) for regulations regarding the requirement penetration seals with penetration seals the following reasons. The removal of for fire barrier penetration seal materials made of silicone-based combustible the requirement that fire barrier to be noncombustible and is also material and that these licensees request penetration seals be noncombustible is proposing to make minor changes to an exemption from the technical a permissive relaxation of an existing § 50.48 and to Appendix R to 10 CFR requirements of Section III.M of requirement and does not constitute Part 50. The proposed changes would Appendix R. Labor cost is $145/hr for a imposition of a new requirement. The remove footnote 3 from § 50.48(a) and power reactor licensee and $75/hr for removal of footnotes 3 and 4 from footnote 4 from § 50.48(b); remove NRC. The change to Section III.M of § 50.48 does not affect the licensing paragraphs (c), (d), and (e) from § 50.48; Appendix R would save licensees the basis for existing plants, does not correct a grammatical error in footnote cost of preparing an exemption request constitute a change in design 2 to Section III.G.3 of Appendix R; and and would save the NRC the cost of requirements for existing plants, and is make editorial changes to comply with preparing a safety evaluation and not applicable to future plants. The the Presidential memorandum dated processing the request. Assuming a cost schedular requirements contained in June 1, 1998, entitled, ‘‘Plain Language saving of approximately $7500 for paragraphs (c) and (d) of § 50.48 apply in Government Writing.’’ licensees and approximately $2500 for to plants licensed before February 17, NRC for each exemption request, the 1981, and have been implemented at 2. Objectives of the Rulemaking total cost saving from the change to these plants. The requirements The main objective of the proposed Section III.M would be approximately contained in paragraph (e) of § 50.48 rule is to remove the requirement of $50,000. There would be no benefit or apply to existing plants and have been Section III.M of Appendix R to 10 CFR cost associated with the other proposed implemented at all applicable plants. Part 50 that fire barrier penetration seal changes. Therefore, the removal of paragraphs (c),

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(d), and (e) from § 50.48 does not affect PART 50ÐDOMESTIC LICENSING OF important to safety so that the capability the licensing basis and does not PRODUCTION AND UTILIZATION to shut down the plant safely is ensured. constitute a change in design or optional FACILITIES (3) The licensee shall retain the fire requirements for these plants. The protection plan and each change to the 1. The authority citation for Part 50 correction of a grammatical error in plan as a record until the Commission continues to read as follows: footnote 2 to Section III.G.3 of Appendix terminates the reactor license. The R and the changes in the language of Authority: Secs. 102, 103, 104, 105, 161, licensee shall retain each superseded § 50.48 in accordance with the 182, 183, 186, 189, 68 Stat. 936, 937, 938, revision of the procedures for 3 years 948, 953, 954, 955, 956, as amended, sec. from the date it was superseded. Executive Order on Plain English are 234, 83 Stat. 444, as amended, (42 U.S.C. administrative changes that do not (b) Appendix R to this part establishes 2132, 2133, 2134, 2135, 2201, 2232, 2233, fire protection features required to change any requirement and need not be 2236, 2239, 2282); secs. 201, as amended, satisfy Criterion 3 of appendix A to this considered in this backfit 202, 206, 88 Stat. 1242, as amended, 1244, part with respect to certain generic determination. For the reasons stated 1246 (42 U.S.C. 5841, 5842, 5846). issues for nuclear power plants licensed above, a backfit analysis need not be Section 50.7 also issued under Pub. L. 95– to operate before January 1, 1979. prepared. 601, sec. 10, 92 Stat. 2951 (42 U.S.C. 5851). Section 50.10 also issued under secs. 101, (1) Except for the requirements of X. Voluntary Consensus Standards 185, 68 Stat. 955 as amended (42 U.S.C. 2131, Sections III.G, III.J, and III.O, the 2235), sec. 102, Pub. L. 91–190, 83 Stat. 853 provisions of appendix R to this part do The National Technology Transfer Act (42 U.S.C. 4332). Sections 50.13, 50.54(dd), not apply to nuclear power plants of 1995, Pub. L.104–113, requires that and 50.103 also issued under sec. 108, 68 licensed to operate before January 1, Federal agencies use technical standards Stat. 939, as amended (42 U.S.C. 2138). Section 50.23, 50.35, 50.55, and 50.56 also 1979, to the extent that— that are developed or adopted by issued under sec. 185, 68 Stat. 955 (42 U.S.C. (i) Fire protection features proposed voluntary consensus standards bodies 2235). Sections 50.33a, 50.55a, and Appendix or implemented by the licensee have unless the use of such a standard is Q also issued under sec. 102, Pub. L. 91–190, been accepted by the NRC staff as inconsistent with applicable law or 83 Stat. 853 (42 U.S.Q. 4332). Sections 50.34 satisfying the provisions of appendix A otherwise impractical. The NRC and 50.54 also issued under sec. 204, 88 Stat. to Branch Technical Position (BTP) proposes to delete the Government- 1245 (42 U.S.Q. 5844). Sections 50.58, 50.91, APCSB 9.5–1 reflected in NRC fire and 50.92 also issued under Pub. L. 97–415, unique standard in 10 CFR Part 50, protection safety evaluation reports 96 Stat. 2073 (42 U.S.Q. 2239). Section 50.78 issued before the effective date of Appendix R, Section III.M, which also issued under sec. 122, 68 Stat. 939 (42 requires that fire barrier penetration U.S.Q. 2152). Sections 50.80–50.81 also February 19, 1981; or seals utilize only noncombustible issued under sec. 184, 68 Stat. 954, as (ii) Fire protection features were materials. The NRC is not aware that amended (42 U.S.Q. 2234). Appendix F also accepted by the NRC staff in deletion of this requirement is issued under sec. 187, 68 Stat. 954 (42 U.S.Q. comprehensive fire protection safety 2237). evaluation reports issued before inconsistent with any voluntary appendix A to Branch Technical consensus standard. The NRC will 2. In § 50.48, paragraphs (a), (b), and Position (BTP) APCSB 9.5–1 was consider using a voluntary consensus (f) are revised to read as follows: published in August 1976. standard if an appropriate standard is § 50.48 Fire protection. (2) With respect to all other fire identified. If a voluntary consensus (a)(1) Each operating nuclear power protection features covered by appendix standard is identified for consideration, plant must have a fire protection plan R, all nuclear power plants licensed to the submittal should explain how the that satisfies Criterion 3 of appendix A operate before January 1, 1979, must voluntary consensus standard supports to this part. This fire protection plan satisfy the applicable requirements of retention of the Government-unique must: appendix R to this part, including standard or is otherwise inconsistent (i) Describe the overall fire protection specifically the requirements of Sections with deletion of the requirement and program for the facility; III.G, III.J, and III.O. why the voluntary consensus standard (ii) Identify the various positions * * * * * should be used in lieu of implementing within the licensee’s organization that (f) Licensees that have submitted the the action to delete the identified are responsible for the program; certifications required under Government-unique standard. (iii) State the authorities that are § 50.82(a)(1) shall maintain a fire List of Subjects in 10 CFR Part 50 delegated to each of these positions to protection program to address the implement those responsibilities; and potential for fires that could cause the Antitrust, Classified information, (iv) Outline the plans for fire release or spread of radioactive Criminal penalties, Fire prevention, protection, fire detection and materials (i.e., that could result in a Intergovernmental relations, Nuclear suppression capability, and limitation of radiological hazard). power plants and reactors, Radiation fire damage. (1) The objectives of the fire protection, Reactor siting criteria, (2) The plan must also describe protection program are to— Reporting and recordkeeping specific features necessary to implement (i) Reasonably prevent such fires from requirements. the program described in paragraph occurring; (a)(1) of this section such as— (ii) Rapidly detect, control, and For the reasons given in the preamble (i) Administrative controls and extinguish those fires that do occur and and under the authority for the Atomic personnel requirements for fire that could result in a radiological Energy Act of 1954, as amended, the prevention and manual fire suppression hazard; and Energy Reorganization Act of 1974, as activities; (iii) Ensure that the risk of fire- amended, and 5 U.S.C. 553, the NRC is (ii) Automatic and manually operated induced radiological hazards to the proposing to adopt the following fire detection and suppression systems; public, environment and plant amendments to 10 CFR Part 50. and personnel is minimized. (iii) The means to limit fire damage to (2) The licensee shall assess the fire structures, systems, or components protection program on a regular basis.

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The licensee shall revise the plan as DEPARTMENT OF TRANSPORTATION acknowledge receipt of their comments appropriate throughout the various on this action must submit with those stages of facility decommissioning. Federal Aviation Administration comments a self-addressed, stamped (3) The licensee may make changes to postcard on which the following 14 CFR Part 71 statement is made: ‘‘Comments to the fire protection program without NRC Airspace Docket No. 99–ASO–14.’’ The approval if these changes do not reduce [Airspace Docket No. 99±ASO±14] postcard will be date/time stamped and the effectiveness of fire protection for Proposed Amendment to Class D and returned to the commenter. All facilities, systems, and equipment that Establishment of Class E2 Airspace; communications received before the could result in a radiological hazard, Fort Rucker, AL specified closing date for comments will taking into account the be considered before taking action on decommissioning plant conditions and AGENCY: Federal Aviation the proposed rule. The proposal activities. Administration (FAA), DOT. contained in this notice may be changed 3. In Appendix R, footnote 2 to ACTION: Notice of proposed rulemaking. in light of the comments received. All Section III.G.3 and Section III.M are comments submitted will be available SUMMARY: This action proposes to revised to read as follows: for examination in the Office of the amend Class D hours of operation and Regional Counsel for Southern Region, Appendix R to Part 50—Fire Protection establish Class E2 airspace at Fort Room 550, 1701 Columbia Avenue, Program for Nuclear Power Facilities Rucker, AL, for the Cairns Army Air College Park, Georgia 30337, both before Operating Before January 1, 1979 Field. The control tower at Cairns Army and after the closing date for comments. Air Field is now open 0600–0100 daily. A report summarizing each substantive * * * * * Therefore, the Class D airspace hours of public contact with FAA personnel III. Specific Requirements * ** operation are amended from continuous concerned with this rulemaking will be to part time. This action requires G. * * * filed in the docket. establishment of Class E2 surface area 3. Alternative of dedicated shutdown airspace when the tower is closed and Availability of NPRMs capability and its associated circuits,2 approach control service is provided by independent of cables, systems or Any person may obtain a copy of this Cairns Army Radar Approach Control components in the area, room, zone under Notice of Proposed Rulemaking (NPRM) consideration should be provided: * ** Facility. by submitting a request to the Federal 2 Alternative shutdown capability is DATES: Comments must be received on Aviation Administration, Manager, provided by rerouting, relocating, or or before September 17, 1999. Airspace Branch, ASO–520, Air Traffic modifying existing systems; dedicated ADDRESSES: Send comments on the Division, P.O. Box 20636, Atlanta, shutdown capability is provided by installing proposal in triplicate to: Federal Georgia 30320. Communications must new structures and systems for the function Aviation Administration, Docket No. identify the docket number of this of post-fire shutdown. 99–ASO–14, Manager, Airspace Branch, NPRM. Persons interested in being ASO–520, P.O. Box 20636, Atlanta, placed on a mailing list for future * * * * * NPRMs should also request a copy of M. Fire barrier cable penetration seal Georgia 30320. The official docket may be examined Advisory Circular No. 11–2A which qualification. Penetration seal designs must describes the application procedure. be qualified by tests that are comparable to in the Office of the Regional Counsel for tests used to rate fire barriers. The acceptance Southern Region, Room 550, 1701 The Proposal criteria for the test must include the Columbia Avenue, College Park, Georgia The FAA is considering an following: 30337, telephone (404) 305–5627. amendment to part 71 of the Federal 1. The cable fire barrier penetration seal FOR FURTHER INFORMATION CONTACT: Aviation Regulations (14 CFR part 71) to has withstood the fire endurance test without Nancy B. Shelton, Manager, Airspace amend Class D hours of operation and passage of flame or ignition of cables on the Branch, Air Traffic Division, Federal establish Class E2 surface area airspace unexposed side for a period of time Aviation Administration, P.O. Box at Fort Rucker, AL, for the Cairns Army equivalent to the fire resistance rating 20636, Atlanta, Georgia 30320; Air Field. The control tower at Cairns required of the barrier; telephone (404) 305–5627. Army Air Field is open 0600–0100 2. The temperature levels recorded for the SUPPLEMENTARY INFORMATION: daily. Therefore, the Class D airspace unexposed side are analyzed and would be amended from continuous to demonstrate that the maximum temperature Comments Invited part time. This action would also is sufficiently below the cable insulation Interested parties are invited to establish Class E2 surface area airspace ignition temperature; and participate in this proposed rulemaking when the tower is closed and approach 3. The fire barrier penetration seal remains by submitting such written data, views intact and does not allow projection of water control service is provided by Cairns or arguments as they may desire. beyond the unexposed surface during the Army Radar Approach Control Facility. Comments that provide the factual basis hose stream test. Class D airspace designations and Class supporting the views and suggestions E airspace areas designated as a surface * * * * * presented are particularly helpful in area for an airport are published in Dated at Rockville, Maryland, this 11th day developing reasoned regulatory Paragraphs 5000 and 6002 respectively of August, 1999. decisions on the proposal. Comments of FAA Order 7400.9F, dated September For the Nuclear Regulatory Commission. are specifically invited on the overall 10, 1998, and effective September 16, regulatory, aeronautical, economic, Annette Vietti-Cook, 1998, which is incorporated by environmental, and energy-related reference in 14 CFR 71.1. The Class D Secretary of the Commission. aspects of the proposal. and Class E airspace designations listed [FR Doc. 99–21396 Filed 8–17–99; 8:45 am] Communications should identify the in this document would be published BILLING CODE 7590±01±P airspace docket and be submitted in subsequently in the Order. triplicate to the address listed above. The FAA has determined that this Commenters wishing the FAA to proposed regulation only involves an

VerDate 18-JUN-99 09:44 Aug 17, 1999 Jkt 183247 PO 00000 Frm 00006 Fmt 4702 Sfmt 4702 E:\FR\FM\A18AU2.053 pfrm07 PsN: 18AUP1 44866 Federal Register / Vol. 64, No. 159 / Wednesday, August 18, 1999 / Proposed Rules established body of technical Paragraph 6002 Class E Airspace and that the waste process DuraTherm regulations for which frequent and Designated as Surface Areas. uses will substantially reduce the routine amendments are necessary to ASO AL E2 Fort Rucker, AL [New] likelihood of migration of hazardous keep them operationally current. It, Within a 5-mile radius of lat. 31°18′30′′ N., constituents from this waste. Their therefore: (1) Is not a ‘‘significant long. 85°42′20′′ W. This Class E surface area process also minimizes short-term and regulatory action’’ under Executive airspace is effective during the specific days long-term threats from the petitioned order 12866; (2) is not a ‘‘significant and times established in advance by a Notice waste to human health and the rule’’ under DOT Regulatory Policies to Airmen. The effective days and times will environment. and Procedures (44 FR 11034; February thereafter be continuously published in the DATES: We will accept comments until 26, 1979); and (3) does not warrant DOD IFR—Supplement Airport/Facility October 4, 1999. We will stamp Directory. preparation of a Regulatory Evaluation comments postmarked after the close of as the anticipated impact is so minimal. * * * * * the comment period as ‘‘late.’’ These Since this is a routine matter that will Issued in College Park, Georgia, on August ‘‘late’’ comments may not be considered 3, 1999. only affect air traffic procedures and air in formulating a final decision. navigation, it is certified that this rule, Nancy B. Shelton, ADDRESSES: Please send three copies of when promulgated, will not have a Acting Manager, Air Traffic Division, your comments: Send two copies to significant economic impact on a Southern Region. William Gallagher, Delisting Section, substantial number of small entities [FR Doc. 99–21037 Filed 8–17–99; 8:45 am] Multimedia Planning and Permitting under the criteria of the Regulatory BILLING CODE 4910±13±M Division (6PD–O), Environmental Flexibility Act. Protection Agency, 1445 Ross Avenue, Lislt of Subjects in 14 CFR Part 71 Dallas, Texas 75202. Send the third ENVIRONMENTAL PROTECTION copy to the Texas Natural Resource Airspace, Incorporation by Reference, AGENCY Conservation Commission, 12100 Park Navigation (Air). 40 CFR Part 261 35 Circle, Austin, Texas 78753. Identify The Proposed Amendment your comments at the top with this [SW±FRL±6424±4] regulatory docket number: ‘‘F–99– In consideration of the foregoing, the TXDEL–DURATHERM.’’ Federal Aviation Administration Hazardous Waste Management You should address requests for a proposes to amend 14 CFR part 71 as System; Proposed Exclusion for hearing to the Acting Director, Robert E. follows: Identifying and Listing Hazardous Hannesschlager, Multimedia Planning Waste and Permitting Division (6PD), PART 71ÐDESIGNATION OF CLASS A, AGENCY: Environmental Protection Environmental Protection Agency, 1445 CLASS B, CLASS C, CLASS D, AND Agency (EPA). Ross Avenue, Dallas, Texas 75202. CLASS E AIRSPACE AREAS; ACTION: Proposed rule and request for Your requests for a hearing must AIRWAYS; ROUTES; AND REPORTING comment. reach EPA by September 2, 1999. The POINTS request must contain the information SUMMARY: The EPA (also, ‘‘the Agency’’ prescribed in § 260.20(d). 1. The authority citation for 14 CFR or ‘‘we’’ in this preamble) is proposing FOR FURTHER INFORMATION CONTACT: part 71 continues to read as follows: For to grant a petition submitted by technical information concerning this Authority: 49 U.S.C. 106(g), 40103, 40113, DuraTherm, Incorporated (DuraTherm). notice, contact Michelle Peace, 40120; E.O. 10854, 24 FR 9565, 3 CFR, 1959– DuraTherm petitioned the Agency to Multimedia Planning and Permitting 1963 Comp., p. 389. exclude (or delist) desorber solid waste Division, Environmental Protection generated at its recycling facility from § 71.1 [Amended] Agency, Region 6, 1445 Ross Avenue, the lists of hazardous wastes contained Dallas, TX 75202, (214) 665–7430. 2. The incorporation by reference in in 40 CFR 261.24, 261.31, and 261.32. SUPPLEMENTARY INFORMATION: The 14 CFR 71.1 of Federal Aviation DuraTherm submitted the petition information in this section is organized Administration Order 7400.9F, Airspace under §§ 260.20 and 260.22(a). Section as follows: Designations and Reporting Points, 260.20 allows any person to petition the dated September 10, 1998, and effective Administrator to modify or revoke any I. Overview Information September 16, 1998, is amended as provision of §§ 260 through 266, 268 A. What action is EPA proposing? follows: and 273. Section 260.22(a) specifically B. Why is EPA proposing to approve this provides generators the opportunity to delisting? Paragraph 5000 Class D Airspace petition the Administrator to exclude a C. How will DuraTherm manage the waste * * * * * if it is delisted? waste on a ‘‘generator specific’’ basis D. When would the proposed delisting ASO AL D Fort Rucker, AL [Revised] from the hazardous waste lists. exclusion be finalized? The Agency bases its proposed Cairns Army Air Field, AL E. How would this action affect states? (Lat. 31°16′14′′ N., long. 85°43′58′′ W.) decision to grant the petition on an II. Background evaluation of waste-specific information A. What is the history of the delisting That airspace extending upward from the provided by the petitioner. This program? surface to and including 2,800 feet MSL B. What is a delisting petition, and what within a 5-mile radius of lat. 31°18′30′′ N. proposed decision, if finalized, ° ′ ′′ conditionally excludes the petitioned does it require of a petitioner? long. 85 42 20 W. This Class D airspace area C. What factors must EPA consider in is effective during the specific dates and waste from the requirements of hazardous waste regulations under the deciding whether to grant a delisting times established in advance by a Notice to petition? Airmen. The effective date and time will Resource Conservation and Recovery III. EPA’s Evaluation of the Waste Data thereafter be continuously published in the Act (RCRA). A. What wastes did DuraTherm petition DOD IFR—Supplement Airport/Facility We believe that DuraTherm’s EPA to delist? Directory. petitioned waste is nonhazardous with B. Who is DuraTherm, and what process do * * * * * respect to the original listing criteria they use?

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C. How did DuraTherm sample and waste to be hazardous. These factors Administrative Procedure Act, 5 U.S.C. analyze the waste data in this petition? included, (1)whether the waste is 553(d). D. What were the results of DuraTherm’s considered acutely toxic; (2) the toxicity E. What States Would Be Affected By analysis? of the constituents, (3) the concentration E. How did EPA evaluate the risk of This Action? of the constituents in the waste, (4) the delisting this waste? F. What did EPA conclude about waste constituent’s tendency to migrate Because EPA is issuing today’s DuraTherm’s analysis? and to bioaccumulate, (5) its persistence exclusion under the Federal RCRA G. What other factors did EPA consider? in the environment once released from delisting program, only States subject to H. What is EPA’s final evaluation of this the waste, (6) plausible and specific Federal RCRA delisting provisions delisting petition? types of management of the petitioned would be affected. This would exclude IV. Next Steps waste, (7) the quantity of waste two categories of States: States having a A. With what conditions must the produced, and (8) waste variability. dual system that includes Federal RCRA petitioner comply? The EPA believes that the petitioned requirements and their own B. What happens if DuraTherm violates the waste does not meet the criteria for requirements, and States who have terms and conditions? which we listed the waste, and V. Public Comments received our authorization to make their A. How may I as an interested party submit therefore, should be delisted. The EPA’s own delisting decisions. comments? decision to delist waste from Here are the details: We allow states B. How may I review the docket or obtain DuraTherm’s facility is based on the to impose their own non-RCRA copies of the proposed exclusions? description of the thermal desorption regulatory requirements that are more treatment system and analytical data stringent than EPA’s, under section I. Overview Information from the San Leon facility submitted to 3009 of RCRA. These more stringent a. What Action is EPA Proposing? support today’s rule. requirements may include a provision The EPA is proposing: C. How Will DuraTherm Manage the that prohibits a federally issued (1) To grant DuraTherm’s petition to Waste if It Is Delisted? exclusion from taking effect in the State. have their desorber solids excluded, or Because a dual system (that is, both If the petitioned waste is delisted, Federal (RCRA) and State (non-RCRA) delisted, from the definition of a DuraTherm intends to manage it in one hazardous waste; and (2) to use a fate programs) may regulate a petitioner’s of three off-site municipal solid waste waste, we urge petitioners to contact the and transport model to evaluate the landfills. If the waste is stabilized, potential impact of the petitioned waste State regulatory authority to establish DuraTherm must ensure that the the status of their wastes under the State on human health and the environment. stabilized waste will also meet the The Agency uses this model to predict law. delisting levels. DuraTherm currently The EPA has also authorized some the concentration of hazardous disposes of the petitioned waste States (for example, Louisiana, Georgia, constituents released from the (desorber solids) generated at its facility Illinois) to administer a delisting petitioned waste once it is disposed. in two off-site RCRA hazardous waste program in place of the Federal B. Why is EPA Proposing To Approve landfills that are not owned/operated by program, that is, to make State delisting This Delisting? DuraTherm. decisions. Therefore, this exclusion DuraTherm petitioned the Agency to D. When Would the Proposed Delisting does not apply in those authorized exclude, or delist, the desorber solids Exclusion Be Finalized? States. If DuraTherm transports the petitioned waste to or manages the because they do not believe that the The HSWA specifically requires the waste in any State with delisting petitioned waste meets the criteria for EPA to provide notice and an authorization, DuraTherm must obtain which EPA listed it. DuraTherm also opportunity for comment before delisting authorization from that State believes no additional constituents or granting or denying a final exclusion. before they can manage the waste as factors could cause the wastes to be Thus, EPA will not grant the exclusion nonhazardous in the State. hazardous. until it addresses all timely public Based on our review, described comments (including those at public II. Background below, the EPA agrees with the hearings, if any) on today’s proposal. petitioner that the waste is This rule, if finalized, will become A. What Is the History of the Delisting nonhazardous with respect to the effective immediately upon final Program? original listing criteria. (If our review publication. The HSWA amended The EPA published an amended list had found that the waste remained § 3010 of RCRA allows rules to become of hazardous wastes from nonspecific hazardous based on the factors for effective in less than six months when and specific sources on January 16, which DuraTherm originally listed the the regulated community does not need 1981, as part of its final and interim waste, we would have proposed to deny the six-month period to come into final regulations implementing Section the petition.) compliance. That is the case here, 3001 of RCRA. The EPA has amended In reviewing this petition, we because this rule, if finalized, would this list several times and published it considered the original listing criteria reduce the existing requirements for in §§ 261.31 and 261.32. and the additional factors required by persons generating hazardous wastes. We list these wastes as hazardous the Hazardous and Solid Waste The EPA believes that this exclusion because: (1) they typically and Amendments of 1984 (HSWA). See should be effective immediately upon frequently exhibit one or more of the § 222 of HSWA, 42 U.S.C. 6921(f), and final publication because a six-month characteristics of hazardous wastes 40 CFR 260.22(d)(2)–(4). We evaluated deadline is not necessary to achieve the identified in Subpart C of Part 261 (that the petitioned waste against the listing purpose of § 3010, and a later effective is, ignitability, corrosivity, reactivity, criteria and factors cited in date would impose unnecessary and toxicity) or (2) they meet the criteria §§ 261.11(a)(2) and (a)(3). hardship and expense on this petitioner. for listing contained in §§ 261.11(a)(2) We also evaluated the waste for other These reasons also provide a basis for or (a)(3). factors or criteria to assess whether making this rule effective immediately, Individual waste streams may vary, these additional factors could cause the upon final publication, under the however, depending on raw materials,

VerDate 18-JUN-99 09:44 Aug 17, 1999 Jkt 183247 PO 00000 Frm 00008 Fmt 4702 Sfmt 4702 E:\FR\FM\A18AU2.062 pfrm07 PsN: 18AUP1 44868 Federal Register / Vol. 64, No. 159 / Wednesday, August 18, 1999 / Proposed Rules industrial processes, and other factors. respectively. These wastes are also Leaching Procedure (TCLP) extract for Thus, while a waste described in these eligible for exclusion and remain volatiles, semivolatiles, and metals; regulations generally is hazardous, a hazardous wastes until excluded. (4) results for reactive sulfide, specific waste from an individual The ‘‘mixture’’ and ‘‘derived-from’’ (5) results for reactive cyanide, facility meeting the listing description rules are now final, after having been (6) results for pH, may not be. vacated, remanded, and reinstated. On (7) results of the metals For this reason, §§ 260.20 and 260.22 December 6, 1991, the U.S. Court of concentrations in the Multiple provide an exclusion procedure, called Appeals for the District of Columbia Extraction Procedure extract, and delisting, which allows persons to vacated the ‘‘mixture/derived from’’ (8) results of ignitability. demonstrate that EPA should not rules and remanded them to the EPA on DuraTherm tested and analyzed the regulate a specific waste from a procedural grounds. See Shell Oil Co. v. waste stream under five conditions to particular generating facility as a EPA., 950 F.2d 741 (D.C. Cir. 1991). On properly account for variables in the hazardous waste. March 3, 1992, EPA reinstated the waste stream: during start-up mixture and derived-from rules, and operations, shut-down operations, slow B. What Is a Delisting Petition, and solicited comments on other ways to feed rates, fast feed rates, and normal What Does It Require of a Petitioner? regulate waste mixtures and residues operations. For wastes that failed to A delisting petition is a request from (57 FR 7628). These rules became final meet the estimated delisting levels, a facility to EPA or an authorized State on October 30, 1992 (57 FR 49278). DuraTherm stabilized the wastes to to exclude wastes from the list of Consult these references for more prevent leaching metal constituents hazardous wastes. The facility petitions information about mixtures derived from the wastes. The facility submitted the Agency because they do not from wastes. results from the Multiple Extraction consider the wastes hazardous under Procedure run on the stabilized RCRA regulations. III. EPA’s Evaluation of the Waste materials. In a delisting petition, the petitioner Information and Data C. Who Is DuraTherm, and What must show that wastes generated at a A. What Wastes Did DuraTherm Petition Process Do They Use To Generate the particular facility do not meet any of the EPA To Delist? Petitioned Waste? criteria for the listed wastes. The criteria for which EPA lists a waste are in On November 6, 1998, DuraTherm in DuraTherm is an environmental waste § 261.11 and in the background San Leon, Texas, petitioned the EPA for management and resource recovery documents for the listed wastes. a standard exclusion of 20,000 cubic company specializing in separation In addition, a petitioner must yards of desorber solids, per calendar technologies applicable to hydrocarbon demonstrate that the waste does not year, resulting from its thermal contaminated wastes. The company has exhibit any of the hazardous waste desorption treatment process. The operated a RCRA Part B permitted characteristics (that is, ignitability, Agency has presently listed the thermal desorber facility since 1994. reactivity, corrosivity, and toxicity) and resulting waste under § 261.3(c)(2)(I) The facility processes large volumes of present sufficient information for the (the ‘‘derived from’’ rule), as EPA hazardous waste from petroleum EPA to decide whether factors other Hazardous Waste No. F037, F038, K048, industries. The DuraTherm process than those for which the waste was K049, K050 and K051. Table 1 lists the recovers hydrocarbons from listed warrant retaining it as a constituents of concern for these waste hydrocarbon contaminated soils and hazardous waste. See § 260.22, 42 U.S.C. codes. sludges and reduces the volume of § 6921(f) and the background documents solids requiring landfill disposal. The for the listed wastes. TABLE 1.ÐHAZARDOUS WASTE CODES thermal desorption process uses high Generators remain obligated under ASSOCIATED WITH WASTE STREAMS temperatures to volatilize organics from RCRA to confirm whether their waste a waste matrix in a nonoxidizing remains nonhazardous based on the Waste atmosphere, while pulverizing the waste Code Basis for Characteristics/Listing hazardous waste characteristics even if material. EPA has ‘‘delisted’’ the wastes. F037 ...... Benzene, benzo(a)pyrene, Chry- The thermal desorption system: (1) Consists of a rotating drum that a C. What Factors Must EPA Consider in sene, lead, chromium. F038 ...... Benzene, benzo(a)pyrene, Chry- gas-fired convection heater externally Deciding Whether To Grant a Delisting sene, lead, chromium. heats. Petition? K048 ...... Hexavalent Chromium, Lead (2) Has support systems for feed, Besides considering the criteria in K049 ...... Hexavalent Chromium, Lead. vapor condensation, recovery and phase § 260.22(a), in 42 U.S.C. 6921(f), and in K050 ...... Hexavalent Chromium. separation of liquids, solids, cooling and the background documents for the listed K051 ...... Hexavalent Chromium, Lead. handling and airs pollution control wastes, EPA must consider any factors devices. (including additional constituents) other B. What Information and Analyses Did (3) Uses countercurrent inert gas or than those for which we listed the waste DuraTherm Submit To Support This nitrogen purge/sweep to maintain if a reasonable basis exists that these Petition? oxygen levels below those required for additional factors could cause the waste To support its petition, DuraTherm combustion. The purge/sweep system to be hazardous. See the Hazardous and submitted: also directs volatilized contaminants to Solid Waste Amendments (HSWA) of (1) Descriptions of its thermal the vapor exit. 1984. desorption processes associated with (4) Uses a continuous feed system. The EPA must also consider as petitioned wastes; Feed rates can vary from 2,000 to 8,000 hazardous wastes mixtures containing (2) results of the total constituent list pounds per hour depending on moisture listed hazardous wastes and wastes for 40 CFR part 264 Appendix IX content. Weight scales in the hopper derived from treating, storing, or volatiles, semivolatiles, and metals monitor the feed rates. disposing of listed hazardous waste. See except pesticides, herbicides, and PCBs; Hot air that is circulated around the §§ 261.3(a)(2)(iv) and (c)(2)(I), called the (3) results of the constituent list for drum heats the rotary drum. A high ‘‘mixture’’ and ‘‘derived-from’’ rules, Appendix IX on Toxicity Characteristic temperature fan pulls the hot air away

VerDate 18-JUN-99 09:44 Aug 17, 1999 Jkt 183247 PO 00000 Frm 00009 Fmt 4702 Sfmt 4702 E:\FR\FM\A18AU2.064 pfrm07 PsN: 18AUP1 Federal Register / Vol. 64, No. 159 / Wednesday, August 18, 1999 / Proposed Rules 44869 from the enclosed burner box through TABLE 2. MAXIMUM TOTAL CON- DuraTherm Used To Quantify the stationary heater shell and across These Methods STITUENT AND LEACHATE CON- the finned section of the rotary drum. CENTRATIONS DESORBER SOLIDS 1 SW±846 Method The total constituent The solids are removed from the drum 8260A, 8270B, concentrations of 40 by water jacketed hollow shaft screw Total and 6010. CFR, part § 264 Ap- constituent Leachate conveyors that are split to two parallel pendix IX Volatiles Constituents analyses analyses lines and then discharged through an air Appendix IX (mg/kg) (mg/l) lock into roll-off containers. These Semivolatiles (exclud- containers are sealed under ing PCBs, Pesticides, Antimony ...... 107 0.14 hydraulically controlled lids to Herbicides) and Ap- Arsenic ...... 67.1 0.67 eliminate particulate emissions. The pendix IX Metals. Barium ...... 7,750 2.86 SW±846 Methods The TCLP concentra- facility moves roll-off containers of Benzene ...... 5.56 0.0129 1311, 8260A, tions of constituents Benzo (a) anthra- 0.241 ND filled with desorber solids to a container 8270B, 6010, in the extract. cene. storage area. 8290. Beryllium ...... 4.73 0.006 DuraTherm then samples and tests the SW±846 1320 ...... The concentration of Bis ethylhexyl 0.356 ND desorber solids. They ship the waste metal constituents in phthalate. when the analysis is complete and the extract after the Butanone (MEK) ... 1.76 0.0315 Cadmium ...... 7.19 0.11 results indicate the materials meet Multiple Extraction Procedure. Carbon Disulfide ... 0.67 ND applicable land disposal restrictions. SW±846 Methods Mercury. Chromium ...... 987 0.18 DuraTherm sells the recovered oil that 7470A, 7471A. Chrysene ...... 0.08 ND meets the used oil specifications as SW±846 9071A ..... Total oil and grease. o-Cresol ...... 0.134 0.0044 product. The company sells the oil that SW±846 9045A ..... pH. m,p cresols ...... 0.088 0.0053 fails the used oil specifications to SW±846 9030 ...... Reactive Sulfide. Ethylbenzene ...... 0.15 ND Fluoranthene ...... 0.166 ND SW±846 9010A ..... Reactive Cyanide. petroleum refiners for use in the Lead ...... 3,910 0.23 refining process. Nickel ...... 1,310 2.37 E. What Were the Results of D. How Did DuraTherm Sample and Phenanthrene ...... 0.284 ND DuraTherm’s Analysis? Phenol ...... 0.259 0.0135 Analyze the Data in This Petition? Pyrene ...... 0.153 ND The Desorber Solids do not meet the Selenium ...... 58.8 0.22 DuraTherm generated the waste definitions for characteristic waste as Silver ...... 8.05 0.02 samples from the thermal desorption defined by §§ 261.21–261.24. Table 2 Styrene ...... 0.38 ND unit under five different operating presents the maximum total constituent Toluene ...... 1.16 0.0008 conditions: at start-up, shutdown, high Vanadium ...... 3,760 0.11 feed rates, low feed rates, and under and leachate concentrations for the Xylene ...... 0.17 ND normal operating conditions. Desorber Solids. Zinc ...... 6,290 26.5 Reactive sulfide .... 60 For sampling, DuraTherm developed Twenty-six of the forty samples tested exceeded the maximum allowable Total sulfide ...... 21,800 a list of constituents of concern from Total cyanide ...... 2.3 comparing a list of all raw materials leachate concentration for antimony. Oil and grease ...... 4,700 used in the plant that could potentially For this petition the maximum pH ...... 5.97±12.4 appear in the petitioned waste with allowable leachate concentration for antimony is 0.162 mg/L. The EPA did ND Denotes that the constituent was not de- those in 40 CFR Appendix IX part 264. tected at the detection limit specified in the not base its listing of F037, F038, K048, During a twenty-one day operational table. K049, K050 or K051 on the presence of 1 These levels represent the highest con- period, DuraTherm conducted its antimony. One of the twenty-six waste centration of each constituent found in any sampling. Using the list of constituents sample. These levels do not necessarily rep- of concern, DuraTherm developed a samples exceeded the maximum resent the specific levels found in one sample. sampling list based on the availability of allowable leachate concentration for F. How Did EPA Evaluate the Risk of test methods and process knowledge. lead (0.405 mg/L). We eliminated these Delisting This Waste? DuraTherm analyzed the forty samples from the delisting evaluation. composite samples: The EPA evaluated fourteen samples of The EPA considered the waste. We believe that these fourteen (1) For the total concentrations (that appropriateness of alternative waste samples are representative of the waste is, the mass of a particular constituent management scenarios for DuraTherm’s per mass of waste) of selected volatiles codes to be delisted. DuraTherm also desorber solids. Based on the and semivolatiles, and metals from anticipated the failures, stabilized the information provided in the petition, we Appendix IX. waste with Portland Cement, and decided that disposing of the desorber analyzed three of these samples using solids in a municipal solid waste (2) to determine whether the waste the Multiple Extraction Procedure. The landfill is the most reasonable, worse- exhibited ignitable, corrosive, or Multiple Extraction Procedure detected case scenario for the desorber solids. reactive properties as defined under 40 metals concentrations for zinc (3.98 mg/ Under a landfill disposal scenario, the CFR 261.21, 261.22, and 261.23, l), antimony (0.15 mg/l), barium (3.37 major exposure route of concern for any including analysis for total constituent mg/l), chromium (0.01 mg/l), and hazardous constituents would be concentrations of cyanide, sulfide, ingestion of contaminated ground water. reactive cyanide, and reactive sulfide. vanadium (0.03 mg/l). These concentrations were below the The EPA, therefore, evaluated (3) for TCLP concentrations (that is, maximum allowable leachate DuraTherm’s petitioned wastes using the mass of a particular constituent per concentrations EPA sets as delisting the modified EPA Composite Model for Landfills/Surface Impoundments unit volume of extract) of selected criteria. volatiles, semivolatiles, and metals on (EPACML). The model predicts the the Appendix IX list. potential for ground water

VerDate 18-JUN-99 09:44 Aug 17, 1999 Jkt 183247 PO 00000 Frm 00010 Fmt 4702 Sfmt 4702 E:\FR\FM\A18AU2.066 pfrm07 PsN: 18AUP1 44870 Federal Register / Vol. 64, No. 159 / Wednesday, August 18, 1999 / Proposed Rules contamination from wastes disposed of The maximum reported or calculated deposition of particulates and in a landfill. leachate concentrations of barium, subsequent ingestion of the soil/waste You can find a detailed description of benzene, and selenium in the desorber mixture. the EPACML model, the disposal solids yielded compliance point We believe that exposure to airborne assumptions, and the modifications concentrations below the health-based contaminants from DuraTherm’s made for delisting in 56 FR 32993 (July levels used in the delisting decision- petitioned wastes is unlikely. 18, 1991), 56 FR 67197 (December 30, making. DuraTherm’s waste should have no 1991) and the RCRA public docket. This The EPA did not evaluate the mobility appreciable air releases under the model includes both unsaturated and of the remaining constituents (for proposed disposal conditions. saturated zone transport modules. It example, anthracene and pyrene) from The results of this worse-case analysis uses the reasonable worse-case DuraTherm’s waste because DuraTherm suggested no substantial present or contaminant levels in ground water at a did not detect them in the leachate potential hazard to human health from compliance point; that is, a receptor using the appropriate analytical test airborne exposure to constituents from well serving as a drinking-water supply. methods (see Table 2). As explained DuraTherm’s desorber solids. Specifically, the model estimates the above, we do not evaluate nondetectable The estimated levels of the hazardous dilution/attenuation factor (DAF) concentrations of a constituent of constituents of concern released into the resulting from subsurface processes concern in a petitioner’s modeling air are below health-based levels for such as three-dimensional dispersion efforts for delisting. human health, ingestion, and inhalation and dilution from ground water We believe the TCLP is the levels of concern, and the EPA recharge for a specific volume of waste. appropriate analytical method to use in Concentration-Based Exemption Criteria The EPA requests comments on using evaluating this petition. DuraTherm’s for Soils (57 FR 21450, May 20, 1992). the EPACML to evaluate DuraTherm’s waste streams range in pH between 5.97 For a description of the EPA’s desorber solids. and 12.4. We also know the disposal assessment of the potential impact of To evaluate DuraTherm’s petitioned scenarios used. The EPA believes that DuraTherm’s waste on airborne waste, we used the EPACML to evaluate the TCLP will adequately predict the dispersion of waste contaminants, see the mobility of the hazardous leachability of constituents in the waste. the RCRA public docket for today’s constituents detected in the extract of To confirm that the waste will not leach proposed rule. samples of DuraTherm’s desorber solids. at concentrations that may affect human Potential Impact Via Surface Run-off Typically, the EPA uses the maximum health and the environment, EPA will Water Routes annual waste volume to derive a require DuraTherm to analyze the petition-specific DAF. The DAFs are constituents in the waste at varying pH The EPA also considered the potential currently calculated assuming that an conditions during the verification impact of the petitioned wastes via a ongoing process generates wastes for 20 testing. surface water route. The EPA believes years. The DAF for the waste volume of those containment structures at desorber solids is 20,000 cubic yards/ G. What Did EPA Conclude About municipal solid waste landfills can year, assuming 20 years is 27. DuraTherm’s Analysis? effectively control surface water runoff, The EPA’s evaluation of the desorber After reviewing DuraTherm’s as the Subtitle D regulations prohibit solids using a DAF of 27, an estimated processes, the EPA concludes that: pollutant discharges into surface waters. maximum waste volume of 20,000 cubic (1) No additional hazardous See 56 FR 50978, October 9, 1991. yards, and the maximum reported TCLP constituents of concern are likely to be The concentrations of any hazardous concentrations (see Table 2), yielded present or formed as reaction products constituents dissolved in the run-off compliance point concentrations (see or by-products in DuraTherm’s waste. might be lower than the levels in the Table 3) that are below the current (2) the petitioned waste does not TCLP leachate analyses reported in health-based levels. exhibit any of the characteristics of today’s notice due to the aggressive ignitability, corrosivity, or reactivity. acidic medium used for extraction in TABLE 3.ÐCOMPLIANCE POINT See §§ 261.21, 261.22, and 261.23, the TCLP. CONCENTRATIONS respectively. We believe leachate derived from the waste is unlikely to directly enter a Compliance H. What Other Factors Did EPA surface water body. The leachate will Regulatory Consider in Its Evaluation? Constituents point con- limit not enter a surface water body without centration During the evaluation of DuraTherm’s first traveling through the saturated subsurface where dilution and Antimony ...... 0.005 0.006 petition, the EPA also considered the Arsenic ...... 0.02 0.05 potential impact of the petitioned waste attenuation of hazardous constituents Barium ...... 0.106 2 via air emission and surface run-off. will also occur. Leachable Benzene ...... 0.0005 0.005 concentrations provide a direct measure Beryllium ...... 0.0002 0.004 Potential Impact Via Air Emission of solubility of a toxic constituent in Butanone (MEK) 0.0012 20 The Agency evaluated the potential water. The leachable concentration Cadmium ...... 0.004 0.005 hazards resulting from airborne shows the fraction of the constituent Chromium ...... 0.006 0.1 exposure to the hazardous constituents that mobilizes in surface water and o Cresol ...... 0.002 2 m,p cresols ...... 0.009 0.2 released from the desorber solids. We ground water. Lead ...... 0.008 0.015 investigated the potential hazard from For the reasons discussed above, EPA Nickel ...... 0.087 0.1 exposure to particulates released from believes that the contamination of Phenol ...... 0.009 20 the surface of an open landfill. surface water through runoff from the Selenium ...... 0.008 0.05 We considered exposure to hazardous waste disposal area is very unlikely. Silver ...... 0.0007 0.2 constituents through: (1) Inhalation of Nevertheless, we evaluated the potential Styrene ...... 0.0002 0.1 particulates and absorption into the impacts on surface water if release of Toluene ...... 0.0004 1 lungs, (2) ingestion of particulates constituents of DuraTherm’s waste by Vanadium ...... 0.004 0.2 Zinc ...... 0.981 10 eliminated from respiratory passages runoff and erosion occurs. See the and subsequently swallowed, and (3) air RCRA public docket for today’s

VerDate 18-JUN-99 09:44 Aug 17, 1999 Jkt 183247 PO 00000 Frm 00011 Fmt 4702 Sfmt 4702 E:\FR\FM\A18AU2.068 pfrm07 PsN: 18AUP1 Federal Register / Vol. 64, No. 159 / Wednesday, August 18, 1999 / Proposed Rules 44871 proposed rule. The estimated levels of IV. Next Steps quarterly. If EPA approves this request the hazardous constituents of concern in in writing, then DuraTherm may begin A. With What Conditions Must the surface water are below health-based verification testing quarterly. Petitioner Comply? levels for human health and the EPA The EPA believes that an initial Chronic Water Quality Criteria for The petitioner, DuraTherm, must period of 60 days is adequate for a aquatic organisms (EPA, OWRS, 1987). comply with the requirements in 40 facility to collect sufficient data to verify CFR part 261, Appendix IX, Tables 1 that the data provided for the desorber The EPA, therefore, concluded that and 2. The text below gives the rationale solids, in the 1998 petition, is DuraTherm’s desorber solids waste is and details of those requirements. representative. not a substantial or potential hazard to We are requiring DuraTherm to human health and the environment via (1) Delisting Levels conduct a multiple pH analysis because surface water exposure. This paragraph provides the levels of in our experience more leaching can I. What Is EPA’s Final Evaluation of constituents that DuraTherm must test occur from disposed waste when the pH This Delisting Petition? the leachate from the desorber solids, of the waste is extremely acidic or basic. below which these wastes would be DuraTherm’s desorber solids vary The descriptions of the DuraTherm considered nonhazardous. greatly in pH, from 5.97 to 12.4. The pH hazardous waste process and analytical The EPA selected the set of inorganic of the desorber solid cannot exceed a pH characterization, with the proposed and organic constituents specified in of 12.5 when measured using SW–846, verification testing requirements (as Paragraph (1) because of information in Method 9045C. DuraTherm must discussed later in this notice), provide the petition. We compiled the list from analyze 10 samples of the desorber a reasonable basis for EPA to grant the the composition of the waste, solids using a multiple pH extraction exclusion. We conclude DuraTherm’s descriptions of DuraTherm’s treatment procedure. The 10 waste samples process will substantially reduce the process, previous test data provided for should consist of both the non- likelihood of migration of hazardous the waste, and the respective health- stabilized and stabilized residual solids constituents from the petitioned waste. based levels used in delisting decision- samples. If none of the samples Their process also minimizes short-term making. collected during the 60 day test period and long-term threats from the We established the proposed delisting need to be stabilized, DuraTherm petitioned waste to human health and levels by calculating the Maximum should provide multiple pH data on the the environment. Allowable Leachate (MALs) first sample of stabilized wastes concentrations from the Health-based generated. The multiple pH test is Thus, EPA believes we should grant levels (HBL) for the constituents of similar to the TCLP, but the test uses DuraTherm a conditional exclusion for concern and the EPACML chemical- different pH extraction fluids. the desorber solids. The EPA believes specific DAF of 27, that is, MAL = HBL DuraTherm should design the analytical the data submitted in support of the × DAF. We also limited the MALs so the test to show that the petitioned waste petition show DuraTherm’s process can concentrations would not exceed non when disposed of in an acidic and basic render the desorber solids waste water concentrations in the Land landfill environment would not leach nonhazardous. Disposal Restriction treatment standards concentrations above the levels of We have reviewed the sampling for F037, F038, K048, K049, K050, and regulatory concern. The third condition procedures used by DuraTherm and K051 in 40 CFR part 268. These should reflect how the petitioned waste have determined they satisfy EPA delisting levels correspond to the will behave when it is disposed in a criteria for collecting representative allowable levels measured in the TCLP landfill environment similar to the pH samples of variable constituent extract of the waste. of the waste. The EPA believes that concentrations in the desorber solids. evaluating the leachate generated from (2) Waste Holding and Handling The data submitted in support of the using extraction fluids over a range of petition show that constituents in The purpose of this paragraph is to pHs can simulate general disposal DuraTherm’s waste are presently below ensure that DuraTherm manages and conditions and provide added assurance the compliance point concentrations disposes of any desorber solids that that the waste will remain used in the delisting decision-making might contain hazardous levels of nonhazardous when disposal conditions and would not pose a substantial hazard inorganic and organic constituents change. The petitioner must perform to the environment. The EPA believes according to Subtitle C of RCRA. these analyses to confirm that the that DuraTherm has successfully Holding the desorber solids until leachate concentrations do not exceed demonstrated that the desorber solids characterization is complete will protect the concentrations in Paragraph 1 over are nonhazardous. against improper handling of hazardous a wide pH range. While the waste’s pH material. If EPA determines that the data does vary, the Agency believes that The EPA therefore, proposes to grant collected under this Paragraph do not under the various pH conditions the a conditional exclusion to the support the data provided for in the waste will remain stable, and thus will DuraTherm Corporation, in San Leon, petition, the exclusion will not cover proceed with the promulgation of the Texas, for the desorber solids described the petitioned waste. The exclusion is proposed decision. in its petition. The EPA’s decision to effective when we sign it, but the If we determine that the data collected conditionally exclude this waste is disposal cannot begin until the under this Paragraph do not support the based on descriptions of the treatment verification sampling is completed. data provided for the petition, the activities associated with the petitioned exclusion will not cover the generated waste and characterization of the (3) Verification Testing Requirements wastes. If the data from the initial desorber solids. (A) Initial Verification Testing: verification period demonstrate that the If we finalize the proposed rule, the If the EPA determines that the data treatment process is effective, Agency will no longer regulate the from the initial verification period DuraTherm may request quarterly petitioned waste under parts 262 shows the treatment process is effective, testing. EPA will notify DuraTherm, in through 268 and the permitting DuraTherm may request that EPA allow writing, if and when they may replace standards of part 270. it to conduct verification testing the testing conditions in paragraph

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(3)(A)(i) with the testing conditions in equipment or change in operating procedure, if the waste sample in the (3)(B). conditions) to improve its treatment annual testing fails to meet the levels (B) Subsequent Verification Testing: process. However, DuraTherm must found in Paragraph 1. This provision The EPA believes that the prove the effectiveness of the modified will allow EPA to reevaluate the concentrations of the constituents of process and request approval from the exclusion if a source provides new or concern in the desorber solids may vary EPA. DuraTherm must manage wastes additional information to the Agency. over time. As a result, to ensure that generated during the new process The EPA will evaluate the information DuraTherm’s treatment process can demonstration as hazardous waste until on which we based the decision to see effectively handle any variation in they have obtained written approval and if it is still correct, or if circumstances constituent concentrations in the waste, Paragraph (3) is satisfied. have changed so that the information is we are proposing a subsequent no longer correct or would cause EPA to verification testing condition. (5) Data Submittals deny the petition if presented. The proposed subsequent testing To provide appropriate This provision expressly requires would verify that DuraTherm operates documentation that DuraTherm’s DuraTherm to report differing site the thermal desorption as it did during facility is properly treating the waste, conditions or assumptions used in the the initial verification testing. It would DuraTherm must compile, summarize, petition in addition to failure to meet also verify that the desorber solids do and keep delisting records on-site for a the annual testing conditions within 10 not exhibit unacceptable levels of toxic minimum of five years. They should days of discovery. If EPA discovers such constituents. The EPA is proposing to keep all analytical data obtained information itself or from a third party, require DuraTherm to analyze through Paragraph (3) including quality it can act on it as appropriate. The representative samples of the desorber control information for five years. language being proposed is similar to solids quarterly during the first year of Paragraph (5) requires that DuraTherm those provisions found in RCRA waste generation. DuraTherm would furnish these data upon request for regulations governing no-migration begin quarterly sampling on the inspection by any employee or petitions at § 268.6. anniversary date of the final exclusion representative of EPA or the State of The EPA believes that we have the as described in Paragraph (3)(B). They Texas. authority under RCRA and the must also use the multiple pH If the proposed exclusion is made Administrative Procedures Act, 5 U.S.C. extraction procedure for samples final, it will apply only to 20,000 cubic 551 (1978) et seq., to reopen a delisting collected during the quarterly and yards of desorber solids, generated decision. We may reopen a delisting annual sampling. annually at the DuraTherm facility after decision when we receive new (C) Termination of Organic Testing: successful verification testing. information that calls into question the The EPA is proposing to end the We would require DuraTherm to file assumptions underlying the delisting. subsequent testing conditions for a new delisting petition under any of The Agency believes a clear statement organics during the first year in the following circumstances: of its authority in delistings is merited Paragraph (1)(C) after DuraTherm has (a) If they significantly alter the in light of Agency experience. See demonstrated that the waste thermal desorption treatment system Reynolds Metals Company at 62 FR consistently meets the delisting levels. except as described in Paragraph (4) 37694 and 62 FR 63458 where the Annual testing requires the full list of (b) If they use any new manufacturing delisted waste leached at greater components in Paragraph 1. or production process(es), or concentrations in the environment than If the annual testing of the waste does significantly change from the current the concentrations predicted when not meet the delisting requirements in process(es) described in their petition; conducting the TCLP, thus leading the Paragraph 1, DuraTherm must notify the or Agency to repeal the delisting. If an Agency according to the requirements in (c) If they make any changes that immediate threat to human health and Paragraph 6. We will take the could affect the composition or type of the environment presents itself, EPA appropriate actions necessary to protect waste generated. will continue to address these situations human health and the environment. The DuraTherm must manage waste case by case. Where necessary, EPA will facility must provide sampling results volumes greater than 20,000 cubic yards make a good cause finding to justify that support the rationale that the of desorber solids as hazardous until we emergency rulemaking. See APA 553 delisting exclusion should not be grant a new exclusion. (b). withdrawn. When this exclusion becomes final, To confirm that the characteristics of DuraTherm’s management of the wastes (7) Notification Requirements the waste do not change significantly covered by this petition would be In order to adequately track wastes over time, DuraTherm must continue to relieved from Subtitle C jurisdiction. that have been delisted, EPA is analyze a representative sample of the DuraTherm must either treat, store, or requiring that DuraTherm provide a waste for organic constituents annually. dispose of the waste in an on-site one-time notification to any State If operating conditions change as facility. If not, DuraTherm must ensure regulatory agency through which or to described in Paragraph (4); DuraTherm that it delivers the waste to an off-site which the delisted waste is being must reinstate all testing in Paragraph storage, treatment, or disposal facility carried. DuraTherm must provide this (1)(A). They must prove through a new that has a State permit, license, or notification within 60 days of demonstration that their waste meets register to manage municipal or commencing this activity. the conditions of the exclusion. industrial solid waste. D. What Happens if DuraTherm Violates DuraTherm must continue organic (6) Reopener Language the Terms and Conditions? testing of the desorber solids for the exclusion of that waste. The purpose of Paragraph 6 is to If DuraTherm violates the terms and require DuraTherm to disclose new or conditions established in the exclusion, (4) Changes in Operating Conditions different information related to a the Agency will start procedures to Paragraph (4) would allow condition at the facility or disposal of withdraw the exclusion. Where there is DuraTherm the flexibility of modifying the waste if it is pertinent to the an immediate threat to human health its processes (for example, changes in delisting. DuraTherm must also use this and the environment, the Agency will

VerDate 18-JUN-99 09:44 Aug 17, 1999 Jkt 183247 PO 00000 Frm 00013 Fmt 4702 Sfmt 4702 E:\FR\FM\A18AU2.070 pfrm07 PsN: 18AUP1 Federal Register / Vol. 64, No. 159 / Wednesday, August 18, 1999 / Proposed Rules 44873 continue to evaluate these events on a Because there is no additional impact explains in the final rule why it was not case-by-case basis. The Agency expects from today’s proposed rule, this selected or it is inconsistent with law. DuraTherm to conduct the appropriate proposal would not be a significant Before EPA establishes regulatory waste analysis and comply with the regulation, and no cost/benefit requirements that may significantly or criteria explained above in Paragraphs assessment is required. The Office of uniquely affect small governments, 3, 4, 5 and 6 of the exclusion. Management and Budget (OMB) has also including tribal governments, it must V. Public Comments exempted this rule from the requirement develop under section 203 of the UMRA for OMB review under Section (6) of a small government agency plan. The A. How May I as an Interested Party E.O. 12866. Submit Comments? plan must provide for notifying VII. Regulatory Flexibility Act potentially affected small governments, The EPA is requesting public giving them meaningful and timely Under the Regulatory Flexibility Act, comments on this proposed decision input in the development of EPA 5 U.S.C. 601–612, whenever an agency and on the applicability of the fate and regulatory proposals with significant transport model used to evaluate the is required to publish a general notice of rulemaking for any proposed or final Federal intergovermental mandates, and petition. informing, educating, and advising them Please send three copies of your rule, it must prepare and make available on compliance with the regulatory comments: Send two copies to William for public comment a regulatory requirements. Gallagher, Delisting Section, flexibility analysis which describes the Multimedia Planning and Permitting impact of the rule on small entities (that The UMRA generally defines a Division (6PD–O), Environmental is, small businesses, small Federal mandate for regulatory purposes Protection Agency, 1445 Ross Avenue, organizations, and small governmental as one that imposes an enforceable duty Dallas, Texas 75202. Send the third jurisdictions). No regulatory flexibility upon state, local, or tribal governments copy to the Texas Natural Resource analysis is required, however, if the or the private sector. Conservation Commission, 12100 Park Administrator or delegated The EPA finds that today’s delisting 35 Circle, Austin, Texas 78753. Identify representative certifies that the rule will decision is deregulatory in nature and your comments at the top with this not have any impact on a small entities. does not impose any enforceable duty regulatory docket number: F–99– This rule, if promulgated, will not on any State, local, or tribal TXDEL–DURATHERM. have an adverse economic impact on governments or the private sector. In You should address requests for a small entities since its effect would be addition, the proposed delisting hearing to the Acting Director, Robert E. to reduce the overall costs of EPA’s decision does not establish any Hannesschlager, Multimedia Planning hazardous waste regulations and would and Permitting Division (6PD), regulatory requirements for small be limited to one facility. Accordingly, governments and so does not require a Environmental Protection Agency, 1445 I hereby certify that this proposed Ross Avenue, Dallas, Texas 75202. small government agency plan under regulation, if promulgated, will not have UMRA section 203. B. How May I Review the Docket or a significant economic impact on a Obtain Copies of the Proposed substantial number of small entities. X. Executive Order 12875 Exclusion? This regulation, therefore, does not require a regulatory flexibility analysis. Under E.O. 12875, EPA may not issue You may review the RCRA regulatory a regulation that is not required by docket for this proposed rule at the VIII. Paperwork Reduction Act statute and that creates a mandate upon Environmental Protection Agency Information collection and record- a state, local, or tribal government, Region 6, 1445 Ross Avenue, Dallas, keeping requirements associated with unless the Federal government provides Texas 75202. It is available for viewing this proposed rule have been approved the funds necessary to pay the direct in the EPA Freedom of Information Act by the OMB under the provisions of the compliance costs incurred by those Review Room from 9:00 a.m. to 4:00 Paperwork Reduction Act of 1980 governments. If the mandate is p.m., Monday through Friday, excluding (Public Law (Pub. L.) 96–511, 44 U.S.C. unfunded, EPA must provide to the Federal holidays. Call (214) 665–6444 OMB a description of the extent of for appointments. The public may copy 3501 et seq.) and have been assigned EPA’s prior consultation with material from any regulatory docket at OMB Control Number 2050–0053. representatives of affected state, local, no cost for the first 100 pages, and at IX. Unfunded Mandates Reform Act and tribal governments, the nature of fifteen cents per page for additional their concerns, copies of written copies. Under section 202 of the Unfunded Mandates Reform Act of 1995 (UMRA), communications from the governments, VI. Regulatory Impact Pub. L. 104–4, which was signed into and a statement supporting the need to Under Executive Order (E.O.) 12866, law on March 22, 1995, EPA generally issue the regulation. In addition, E.O. EPA must conduct an ‘‘assessment of must prepare a written statement for 12875 requires EPA to develop an the potential costs and benefits’’ for all rules with Federal mandates that may effective process permitting elected ‘‘significant’’ regulatory actions. result in estimated costs to State, local, officials and other representatives of The proposal to grant an exclusion is and tribal governments in the aggregate, state, local, and tribal governments ‘‘to not significant, since its effect, if or to the private sector, of $100 million provide meaningful and timely input in promulgated, would be to reduce the or more in any one year. the development of regulatory proposals overall costs and economic impact of When such a statement is required for containing significant unfunded EPA’s hazardous waste management EPA rules, under section 205 of the mandates.’’ Today’s rule does not create regulations. This reduction would be UMRA EPA must identify and consider a mandate on state, local or tribal achieved by excluding waste generated alternatives, including the least costly, governments. The rule does not impose at a specific facility from EPA’s lists of most cost-effective, or least burdensome any enforceable duties on these entities. hazardous wastes, thus enabling a alternative that achieves the objectives Accordingly, the requirements of facility to manage its waste as of the rule. The EPA must select that section 1(a) of E.O. 12875 do not apply nonhazardous. alternative, unless the Administrator to this rule.

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XI. Executive Order 13045 If the mandate is unfunded, EPA must standard bodies. Where EPA does not The E.O. 13045 is entitled ‘‘Protection provide to the Office Management and use available and potentially applicable of Children from Environmental Health Budget, in a separately identified voluntary consensus standards, the Risks and Safety Risks’’ (62 FR 19885, section of the preamble to the rule, a NTTAA requires that Agency to provide April 23, 1997). This order applies to description of the extent of EPA’s prior Congress, through the OMB, an any rule that EPA determines: (1) Is consultation with representatives of explanation of the reasons for not using economically significant as defined affected tribal governments, a summary such standards. under Executive Order 12866, and (2) of the nature of their concerns, and a This rule does not establish any new the environmental health or safety risk statement supporting the need to issue technical standards, and thus the addressed by the rule has a the regulation. Agency has no need to consider the use disproportionate effect on children. If In addition, E.O. 13084 requires EPA of voluntary consensus standards in the regulatory action meets both criteria, to develop an effective process developing this rule. the Agency must evaluate the permitting elected and other List of Subjects in 40 CFR Part 261 environmental health or safety effects of representatives of Indian tribal the planned rule on children, and governments ‘‘to meaningful and timely Environmental protection, Hazardous explain why the planned regulation is input’’ in the development of regulatory waste, Recycling, Reporting and preferable to other potentially effective policies on matters that significantly or recordkeeping requirements. and reasonably feasible alternatives uniquely affect their communities of Indian tribal governments. This action Authority: Sec. 3001(f) RCRA, 42 U.S.C. considered by the Agency. This 6921(f) proposed rule is not subject to E.O. does not involve or impose any 13045 because this is not an requirements that affect Indian Tribes. Dated: July 13, 1999. economically significant regulatory Accordingly, the requirements of Robert E. Hannesschlager, action as defined by E.O. 12866. section 3(b) of E.O. 13084 do not apply Acting Division Director, Multimedia to this rule. Planning and Permitting Division. XII. Executive Order 13084 XIII. National Technology Transfer and For the reasons set out in the Because this action does not involve Advancement Act preamble, 40 CFR Part 261 is proposed any requirements that affect Indian to be amended as follows: Tribes, the requirements of section 3(b) Under section 12(d) if the National of E.O. 13084 do not apply. Technology Transfer and Advancement PART 261ÐIDENTIFYING AND LISTING Under E.O. 13084, EPA may not issue Act (NTTAA), the Agency is directed to HAZARDOUS WASTE a regulation that is not required by use voluntary consensus standards in its statute, that significantly affects or regulatory activities unless doing so 1. The authority citation for Part 261 uniquely affects that communities of would be inconsistent with applicable continues to read as follows: Indian tribal governments, and that law or otherwise impractical. Authority: 42 U.S.C. 6905, 6912(a), 6921, imposes substantial direct compliance Voluntary consensus standards are 6922, and 6938. costs on those communities, unless the technical standards (for example, Federal government provides the funds materials specifications, test methods, 2. In Tables 1 and 2, of Appendix IX necessary to pay the direct compliance sampling procedures, business of Part 261 it is proposed to add the costs incurred by the tribal practices, etc.) that are developed or following waste stream in alphabetical governments. adopted by voluntary consensus order by facility to read as follows:

Appendix IX to Part 261—Wastes Excluded Under §§ 260.20 and 260.22

TABLE 1.ÐWASTES EXCLUDED FROM NON-SPECIFIC SOURCES

Facility and address Waste description

******* DuraTherm, Incorporated Desorber solids, (at a maximum generation of 20,000 cubic yards per calendar year) generated by DuraTherm San Leon, Texas. using the thermal desorption treatment process, (EPA Hazardous Waste No. F037 and F038) and that is dis- posed of in Subtitle D landfills after [publication date of the Final exclusion]. For the exclusion to be valid, DuraTherm must implement a testing program that meets the following Paragraphs: (1) Delisting Levels: All leachable concentrations for those constituents must not exceed the following levels (ppm). The petitioner must use an acceptable leaching method, for example SW-846, Method 1311 to measure constituents in the waste leachate. Desorber solidsÐ (i) Inorganic Constituents ArsenicÐ1.35; AntimonyÐ0.162; Barium-21.0; BerylliumÐ0.108; Cadmium-0.135; Chromium-2.7; Lead-0.405; NickelÐ2.7; Selenium-0.82; Silver-0.43; Vanadium-4.3; Zinc-270. (ii) Organic Constituents AnthraceneÐ0.28; BenzeneÐ0.135; Benzo(a) anthraceneÐ0.059; Benzo(b)fluorantheneÐ0.11; Benzo(a)pyreneÐ0.061;Bis-ethylhexylphthalateÐ0.28; Carbon DisulfideÐ3.8; ChlorobenzeneÐ0.057; ChryseneÐ0.059; o,m,p CresolsÐ54; Dibenzo(a,h) anthraceneÐ0.055; 2,4 Di- methyl phenolÐ18.9; Dioctyl phthalateÐ0.017; EthylbenzeneÐ0.057; FluorantheneÐ0.068; FluoreneÐ 0.059; NaphthaleneÐ0.059; PhenanthreneÐ0.059; PhenolÐ6.2; PyreneÐ0.067; StyreneÐ2.7; Trichloro- ethyleneÐ0.054; TolueneÐ0.08; XyleneÐ0.032 (2) Waste Holding and Handling: DuraTherm must store the desorber solids as described in its RCRA permit, or continue to dispose of as hazardous all desorber solids generated, until they have completed verification test- ing described in Paragraph (3)(A) and (B), as appropriate, and valid analyses show that paragraph (1) is satis- fied. (B) Levels of constituents measured in the samples of the desorber solids that do not exceed the levels set forth in Paragraph (1) are nonhazardous. DuraTherm can manage and dispose the nonhazardous desorber solids according to all applicable solid waste regulations.

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TABLE 1.ÐWASTES EXCLUDED FROM NON-SPECIFIC SOURCESÐContinued

Facility and address Waste description

(C) If constituent levels in a sample exceed any of the delisting levels set in Paragraph (1), DuraTherm must re- treat or stabilize the batches of waste used to generate the representative sample until it meets the levels. DuraTherm must repeat the analyses of the treated or stabilized waste. (D) If the facility has not treated or stabilized the waste, DuraTherm must manage and dispose the waste gen- erated under Subtitle C of RCRA. (3) Verification Testing Requirements: DuraTherm must perform sample collection and analyses, including quality control procedures, according to SW±846 methodologies. If EPA judges the process to be effective under the operating conditions used during the initial verification testing, DuraTherm may replace the testing required in Paragraph (3)(A) with the testing required in Paragraph (3)(B). DuraTherm must continue to test as specified in Paragraph (3)(A) until and unless notified by EPA in writing that testing in Paragraph (3)(A) may be replaced by Paragraph (3)(B). (A) Initial Verification Testing: After EPA grants the final exclusion, DuraTherm must do the following: (i) Collect and analyze composites of the desorber solids. (ii) Make two composites of representative grab samples collected. (iii) Analyze the waste, before disposal, for all of the constituents listed in Paragraph 1. (iv) Sixty (60) days after this exclusion becomes final, report the operational and analytical test data, includ- ing quality control information. (v) Submit the test plan for conducting the multiple pH leaching procedure to EPA for approval at least 10 days before conducting the analysis. (vi) Conduct a multiple pH leaching procedure on 10 samples collected during the sixty-day test period. (vii) The ten samples should include both non-stabilized and stabilized residual solids. If none of the samples collected during the sixty-day test period need to be stabilized, DuraTherm should provide multiple pH data on the first sample of stabilized wastes generated. (vii) Perform the toxicity characteristic leaching procedure using three different pH extraction fluids to simu- late disposal under three conditions. Simulate an acidic landfill environment, basic landfill environment, and a landfill environment similar to the pH of the waste. (B) Subsequent Verification Testing: Following written notification by EPA, DuraTherm may substitute the testing conditions in (3)(B) for (3)(A)(i). DuraTherm must continue to monitor operating conditions, and analyze rep- resentative samples each quarter of operation during the first year of waste generation. The samples must rep- resent the waste generated in one quarter. DuraTherm must run the multiple pH procedure on these waste samples. (C) Termination of Organic Testing: (i) DuraTherm must continue testing as required under Paragraph (3)(B) for organic constituents in Para- graph (1)(A)(ii), until the analytical results submitted under Paragraph (3)(B) show a minimum of two con- secutive samples below the delisting levels in Paragraph (1)(A)(i), DuraTherm may then request that EPA stop quarterly organic testing. After EPA notifies DuraTherm in writing, the company may end quarterly or- ganic testing. (ii) Following cancellation of the quarterly testing, DuraTherm must continue to test a representative com- posite sample for all constituents listed in Paragraph (1) annually (by twelve months after final exclusion). (4) Changes in Operating Conditions: If DuraTherm significantly changes the process described in its petition or starts any processes that generate(s)the waste that may or could affect the composition or type of waste gen- erated as established under Paragraph (1) (by illustration, but not limitation, changes in equipment or operating conditions of the treatment process), they must notify EPA in writing; they may no longer handle the wastes generated from the new process as nonhazardous until the wastes meet the delisting levels set in Paragraph (1) and they have received written approval to do so from EPA. (5) Data Submittals: DuraTherm must submit the information described below. If DuraTherm fails to submit the required data within the specified time or maintain the required records on-site for the specified time, EPA, at its discretion, will consider this sufficient basis to reopen the exclusion as described in Paragraph 6. DuraTherm must: (A) Submit the data obtained through Paragraph 3 to Mr. William Gallagher, Chief, Region 6 Delisting Program, EPA, 1445 Ross Avenue, Dallas, Texas 75202±2733, Mail Code, (6PD-O) within the time specified. (B) Compile records of operating conditions and analytical data from Paragraph (3), summarized, and maintained on-site for a minimum of five years. (C) Furnish these records and data when EPA or the State of Texas request them for inspection. (D) Send along with all data a signed copy of the following certification statement, to attest to the truth and accu- racy of the data submitted: Under civil and criminal penalty of law for the making or submission of false or fraudulent statements or rep- resentations (pursuant to the applicable provisions of the Federal Code, which include, but may not be limited to, 18 U.S.C. § 1001 and 42 U.S.C. § 6928), I certify that the information contained in or accompanying this document is true, accurate and complete. As to the (those) identified section(s) of this document for which I cannot personally verify its (their) truth and ac- curacy, I certify as the company official having supervisory responsibility for the persons who, acting under my direct instructions, made the verification that this information is true, accurate and complete. If any of this information is determined by EPA in its sole discretion to be false, inaccurate or incomplete, and upon conveyance of this fact to the company, I recognize and agree that this exclusion of waste will be void as if it never had effect or to the extent directed by EPA and that the company will be liable for any actions taken in contravention of the company's RCRA and CERCLA obligations premised upon the company's reliance on the void exclusion. (6) Reopener LanguageÐ

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TABLE 1.ÐWASTES EXCLUDED FROM NON-SPECIFIC SOURCESÐContinued

Facility and address Waste description

(A) If, anytime after disposal of the delisted waste, DuraTherm possesses or is otherwise made aware of any en- vironmental data (including but not limited to leachate data or groundwater monitoring data) or any other data relevant to the delisted waste indicating that any constituent identified for the delisting verification testing is at level higher than the delisting level allowed by the Regional Administrator or his delegate in granting the peti- tion, then the facility must report the data, in writing, to the Regional Administrator or his delegate within 10 days of first possessing or being made aware of that data. (B) If the annual testing of the waste does not meet the delisting requirements in Paragraph 1, DuraTherm must report the data, in writing, to the Regional Administrator or his delegate within 10 days of first possessing or being made aware of that data. (C) If DuraTherm fails to submit the information described in paragraphs (5),(6)(A) or (6)(B) or if any other infor- mation is received from any source, the Regional Administrator or his delegate will make a preliminary deter- mination as to whether the reported information requires Agency action to protect human health or the environ- ment. Further action may include suspending, or revoking the exclusion, or other appropriate response nec- essary to protect human health and the environment. (D) If the Regional Administrator or his delegate determines that the reported information does require Agency action, the Regional Administrator or his delegate will notify the facility in writing of the actions the Regional Administrator or his delegate believes are necessary to protect human health and the environment. The notice shall include a statement of the proposed action and a statement providing the facility with an opportunity to present information as to why the proposed Agency action is not necessary. The facility shall have 10 days from the date of the Regional Administrator or his delegate's notice to present such information. (E) Following the receipt of information from the facility described in paragraph (6)(D) or (if no information is pre- sented under paragraph (6)(D)) the initial receipt of information described in paragraphs (5), (6)(A) or (6)(B), the Regional Administrator or his delegate will issue a final written determination describing the Agency actions that are necessary to protect human health or the environment. Any required action described in the Regional Administrator or his delegate's determination shall become effective immediately, unless the Regional Adminis- trator or his delegate provides otherwise. (7) Notification Requirements: DuraTherm must do following before transporting the delisted waste: Failure to provide this notification will result in a violation of the delisting petition and a possible revocation of the deci- sion. (A) Provide a one-time written notification to any State Regulatory Agency to which or through which they will transport the delisted waste described above for disposal, 60 days before beginning such activities. (B) Update the one-time written notification if they ship the delisted waste into a different disposal facility.

TABLE 2.ÐWASTES EXCLUDED FROM SPECIFIC SOURCES

Facility and address Waste description

******* DuraTherm, Incorporated San Desorber Solids, (at a maximum generation of 20,000 cubic yards per calendar year) generated by Leon, Texas. DuraTherm using the treatment process to treat the Desorber solids, (EPA Hazardous Waste No. K048, K049, K050, and K051 and disposed of in a Subtitle D landfill. DuraTherm must implement the testing program found in Table 1. Wastes Excluded From Non-Specific Sources, for the petition to be valid.

[FR Doc. 99–21422 Filed 8–17–99; 8:45 am] (TNRCC) for its hazardous waste a second Federal Register document BILLING CODE 6560±50±P program revisions, specifically, will be published before the time the revisions needed to meet Resource immediate final rule takes effect. The Conservation and Recovery Act (RCRA) second document may withdraw the ENVIRONMENTAL PROTECTION Cluster V, which contains Federal rules immediate final rule or identify the AGENCY promulgated between July 1, 1994 to issues raised, respond to the comments June 30, 1995. In the ‘‘Rules and and affirm that the immediate final rule 40 CFR Part 271 Regulations’’ section of this Federal will take effect as scheduled. Any [FRL±6423±9] Register (FR), EPA is authorizing the parties interested in commenting on this State’s program revisions as an action should do so at this time. Hazardous Waste Management immediate final rule without prior DATES: Written comments must be Program: Final Authorization of State proposal because the EPA views this received on or before September 17, Hazardous Waste Management action as noncontroversial and 1999. Program Revisions for State of Texas anticipates no adverse comments. The ADDRESSES: Mail written comments to AGENCY: Environmental Protection Agency has explained the reasons for Alima Patterson, Region 6, Regional Agency (EPA). this authorization in the preamble to the Authorization Coordinator, Grants and ACTION: Proposed rule. immediate final rule. If the EPA does Authorization Section (6PD–G), not receive adverse written comments, Multimedia Planning and Permitting SUMMARY: The EPA (also, ‘‘the Agency’’ the immediate final rule will become Division, at the address shown below. in this preamble) is proposing to grant effective and the Agency will not take You can examine copies of the materials final authorization to the Texas Natural further action on this proposal. If the submitted by the State of Louisiana Resource Conservation Commission EPA receives adverse written comments, during normal business hours at the

VerDate 18-JUN-99 09:44 Aug 17, 1999 Jkt 183247 PO 00000 Frm 00017 Fmt 4702 Sfmt 4702 E:\FR\FM\A18AU2.075 pfrm07 PsN: 18AUP1 Federal Register / Vol. 64, No. 159 / Wednesday, August 18, 1999 / Proposed Rules 44877 following locations: EPA Region 6, 1445 and reporting requirements. In this 418–0384 or Andy Mulitz, Accounting Ross Avenue, Dallas, Texas 75202–2733, comprehensive review, we plan to Safeguards Division, Common Carrier (214) 665–6444; or Louisiana reevaluate our existing accounting and Bureau, (202) 418–0850. For additional Department of Environmental Quality, reporting requirements to determine information concerning the information H.B. Garlock Building, 7290 whether they should be modified or collections contained in this NPRM Bluebonnet, Baton Rouge, Louisiana, eliminated as changes occur in the contact Judy Boley at 202–418–0214, or 70810, (504) 765–0617. industry. We also consider the via the Internet at [email protected]. FOR FURTHER INFORMATION CONTACT: appropriate timing of accounting and SUPPLEMENTARY INFORMATION: Alima Patterson (214) 665–8533. reporting changes to assure that we will This is a summary of the SUPPLEMENTARY INFORMATION: For continue to have the information we Commission’s Notice of Proposed additional information, please see the need to make informed decisions. Rulemaking (NPRM), CC Docket 99–253, immediate final rule published in the DATES: Interested parties may file adopted on July 13, 1999, and released ‘‘Rules and Regulations’’ section of this written comments on the proposed on July 14, 1999. It has been submitted Federal Register. information collections by August 23, to the Office of Management and Budget 1999 and reply comment on or before Dated: July 30, 1999. (OMB) for review under the PRA. OMB, September 9, 1999. Written comments W.B. Hathaway, the general public, and other Federal must be submitted by the Office of agencies are invited to comment on the Acting Regional Administrator, Region 6. Management and Budget (OMB) on the proposed information collections [FR Doc. 99–21424 Filed 8–17–99; 8:45 am] proposed information collections on or contained in this proceeding. The full BILLING CODE 6560±50±P before October 18, 1999. text of the NPRM is available for ADDRESSES: Office of the Secretary, inspection and copying during normal Room TW–B204, Federal business hours in the FCC Reference FEDERAL COMMUNICATIONS Communications Commission, 445 12th Center (Room CY–A257), 445 12th COMMISSION Street, NW., Washington, DC 20554. In Street NW., Washington, DC 20554. The addition to filing comments with the complete text may also be purchased 47 CFR Parts 32, 43, and 64 Secretary, a copy of any comments on from the Commission’s copy contractor, [CC Docket No. 99±253; FCC 99±174] the information collections contained International Transcription Service, herein should be submitted to Judy Inc., 1231 20th Street, Washington, DC Comprehensive Review of the Boley, Federal Communications 20036, telephone (202) 857–3800. Accounting Requirements and ARMIS Commission, Room 1–C804, 445 12th OMB Approval No.: None. Reporting Requirement for Incumbent Street, NW., Washington, DC 20054, or Title: Comprehensive Review of the Local Exchange Carriers: Phase 1 via the Internet to [email protected], and to Accounting Requirements and ARMIS AGENCY: Federal Communications Timothy Fain, OMB Desk Officer, 10236 Reporting Requirements for Incumbent Commission. NEOB, 725–17th Street, NW., Local Exchange Carriers: Phase 1, CC Washington, DC 20503 or via the Docket No. 99–253 (NPRM). ACTION: Notice of proposed rulemaking. Internet to [email protected]. Form No.: FCC Report 43–02. SUMMARY: In this document, the FOR FURTHER INFORMATION CONTACT: Type of Review: New Collections. Commission is initiating a Mika Savir, Accounting Safeguards Respondents: Business or other for comprehensive review of its accounting Division, Common Carrier Bureau, (202) profit.

Estimated Title No. of hours per Total annual respondents response burden

Uniform Systems of Accounts ...... 239 9540 2,280,080 Annual Auditors Attestations ...... 19 268 5,100 ARMIS USOA Report ...... 52 284 14,770 Allocation of Cost, Cost Allocation Manual ...... 18 300 10,800 Implementation of the Telecommunications Act of 1996: Accounting Safeguards Under the Telecommunications Act of 1996 (Affiliate Transaction Only) ...... 20 24 480

Total Annual Burden: 2,311,230. Commission can fulfill its statutory which will begin in the last quarter of Estimated Costs Per Respondent: responsibilities and obligations. 1999, will examine the current accounting and reporting structure and $1,200,000. Summary of Notice of Proposed address long-term changes needed as Needs and Uses: In CC Docket No. Rulemaking 99–253, the Commission is initiating a local exchange markets become comprehensive review of its accounting We are performing this competitive. During this process, the and reporting requirements. The comprehensive review in two phases. Common Carrier Bureau will continue Commission seeks comment on its Phase 1, which commences with this to work closely with the National proposals to reduce or further Notice of Proposed Rulemaking (NPRM) Association of Regulatory Utility streamline its recordkeeping and will conclude by the end of the Commissioners (NARUC) and state requirements for common carriers, audit year, will address accounting and commissioners so that, in addition to requirements for the large incumbent reporting reform measures that can be eliminating unnecessary reporting LECs and reduce filing requirements of implemented without delay and still requirements, the Commission and accounting record changes on the part of retain sufficient information for the states will focus on further steps affected common carriers. The Commission and state commissions to necessary to eliminate unnecessary information is needed so that the meet their responsibilities. Phase 2,

VerDate 18-JUN-99 09:44 Aug 17, 1999 Jkt 183247 PO 00000 Frm 00018 Fmt 4702 Sfmt 4702 E:\FR\FM\A18AU2.038 pfrm07 PsN: 18AUP1 44878 Federal Register / Vol. 64, No. 159 / Wednesday, August 18, 1999 / Proposed Rules overlap of Federal and state reporting expense in the analysis of service safeguards, prescribed in § 64.904 of the requirements. quality. Furthermore, carriers, Commission’s rules, is that carriers In this first phase of the competitors, and the Commission use obtain an independent audit of reported comprehensive review, we seek the pole rents information detailed in cost allocation data. Before adoption of comment on the following accounting the expense matrix in the formula to the Accounting Reductions Report and issues: eliminating or revising the calculate carriers’ pole attachment rates. Order, our rules required that the audit matrix used to classify expenses in the We tentatively conclude that we can be performed annually for ILECs Uniform System of Accounts (USOA); eliminate the expense matrix or reduce required to file cost allocation manuals, reducing the audit burdens on it to the minimum amount necessary to that it provide a positive opinion, that incumbent local exchange carriers meet other regulatory purposes. We the reported data is presented fairly in (ILECs); adopting a de minimis believe that this information could be all material respects, and that it be exception to our affiliate transactions provided by the carriers on an as- conducted in accordance with generally rules; eliminating the 15-day prefiling needed basis even if the Commission accepted auditing standards. for cost pool changes; eliminating the did not prescribe it to be maintained. In the Accounting Reductions Report notifications and approvals required in We seek comment on this tentative and Order, we revised the audit §§ 32.13(a)(3) and 32.25; and revising conclusion. Commenters should discuss requirement for mid-sized ILECs. Under the accounting requirements for whether it would be more burdensome rules adopted in that Order, mid-sized §§ 32.2002 and 32.2003. In addition, we to maintain and file the expense matrix ILECs are required to obtain a less seek comment on streamlining the or to keep such data, at the same level stringent attestation every two years reporting requirements in the ARMIS of disaggregation, for several years, to (covering the prior two year period) 43–02 USOA Report. Specifically, we provide to the Commission if requested. instead of an annual financial audit seek comment on eliminating certain We seek comment on whether, as an requiring a positive opinion. The corporate information collected in the alternative, the reporting burden would financial audit requires that an ILEC’s ‘‘C’’ series tables and on consolidating be alleviated by reducing the expense independent auditor provide assurance certain information into one table. We matrix to two classifications: (1) salary that the reported data are fairly also seek comment on eliminating and wages and (2) other. Commenters reported. An attestation requires that the certain information concerning balance should specifically address whether this auditor provide assurance that specific sheet accounts reported in the ‘‘B’’ would affect the analysis of the price management assertions are fairly stated. series tables and income statement cap performance/productivity factor An attestation generally provides less accounts reported in the ‘‘I’’ series calculations. In addition, we seek assurance and is governed by less tables. comment on whether, and how, stringent standards of testing, reporting, elimination of the expense matrix and expression of opinion than the A. Accounting Rules would affect the jurisdictional financial audits required by § 64.904 for 1. Expense Matrix separations process, universal service large ILECs. support calculations, or service quality We tentatively conclude that, if Section 32.5999(f) of the studies. properly implemented, a less stringent Commission’s rules requires carriers to In the Accounting Reductions Report audit requirement for the large ILECs maintain disaggregated financial data in and Order, FCC No. 99–106, released will provide the necessary assurance subsidiary record categories to be June 30, 1999, we required mid-sized that the carriers’ cost allocations are reported in an expense matrix. The ILECs to maintain subsidiary record consistent with our rules and at the Commission uses the detailed data categories to capture the pole same time result in significant savings contained in the carriers’ expense attachment data currently provided in in both time and money for the carriers. subsidiary record categories in the Class A accounts. We believe it is We note that in other instances the performing studies and trend analyses, necessary to require subsidiary records Commission requires something less and in its overall monitoring efforts. The for data needed in pole attachment than a positive opinion audit. For additional information provided by the formulas to assure that the data is example, we have new audit expense matrix helps the Commission publicly available, uniformly requirements specifically for § 272 analyze a carrier’s expenses. In maintained among the carriers, and affiliates. Section 272 of the Act permits particular, the Commission has relied maintained in a manner that can be a BOC to manufacture equipment, heavily upon the salaries and wages and audited. We propose that, if the expense originate in-region, interLATA rent data detailed in the expense matrix. matrix is eliminated, carriers maintain telecommunications services, and For example, when the Financial subsidiary records to provide the data provide interLATA information services Accounting Standards Board (FASB) used in the pole attachment formulas only if it does so through one or more promulgated new accounting standards and report in their ARMIS reports the separate affiliates. The BOC and its for post-employment benefits and post- information necessary for the affiliate(s) must, among other things, retirement benefits other than pensions, Commission, carriers, and competitors obtain a joint Federal/State audit every the Commission used the salaries and to calculate pole attachment rates. We two years conducted by an independent wages data in its analysis of the seek comment on this proposal. auditor. Our rules require that the reasonableness of carrier projections independent auditor perform an agreed- related to implementation of the new 2. Audits upon procedures engagement as accounting standards. The Commission The Commission has established specified by the regional Federal/State also uses the salaries and wages data in accounting safeguards governing the biennial oversight team. calculating productivity factors used to allocation of costs between the carriers’ We tentatively conclude that we can adjust price cap indices. This expense regulated and nonregulated activities. reduce our audit requirements for the data would be needed for future These safeguards are designed to large ILECs—the BOCs and GTE—by productivity studies if the price cap promote fair cost allocations and to extending the same audit requirements formula is revised. Expense matrix data protect regulated ratepayers from to the large ILECs that we adopted for is also used in tracking the salaries and absorbing the costs of nonregulated mid-sized ILECs in the Accounting wages and rents portion of maintenance activities. One of the accounting Reductions Report and Order, i.e.,

VerDate 18-JUN-99 09:44 Aug 17, 1999 Jkt 183247 PO 00000 Frm 00019 Fmt 4702 Sfmt 4702 E:\FR\FM\A18AU2.054 pfrm07 PsN: 18AUP1 Federal Register / Vol. 64, No. 159 / Wednesday, August 18, 1999 / Proposed Rules 44879 allowing carriers to obtain an determination of fair market value for tentatively conclude that this 30-day attestation, instead of an annual each service in which the total annual notification is not necessary because financial audit requiring a positive value of transactions for that service is other accounting safeguards, such as opinion. We seek comment on this less than $250,000. We propose that in ARMIS reporting and our audit tentative conclusion. Furthermore, we such cases the service should be program, together with our ability to seek comment on whether we should recorded at fully distributed cost, and obtain additional information as adopt an audit requirement similar to carriers should continue to report such necessary, are sufficient for our the § 272 biennial audit, an agreed-upon transactions in their cost allocation regulatory oversight. Accordingly, we procedures engagement, for the large manuals and ARMIS reports. propose to modify § 32.13(a)(3) by ILECs. Commenters should discuss We seek comment on our proposals eliminating the notification whether these alternatives would and tentative conclusions. We also seek requirement. We seek comment on our provide the necessary assurance that the comment on whether a different tentative conclusion and proposal. reported cost allocation data is an threshold should serve to delineate the 6. Revision to Section 32.25, Unusual accurate reflection of the carrier’s CAM de minimis treatment. Commenters Items and Contingent Liabilities and the Commission’s rules. proposing a different threshold should Commenters should also discuss any explain why their proposed threshold Section 32.25 of the Commission’s other alternatives to an annual financial should be higher or lower than rules requires carriers to submit journal audit requiring a positive opinion. In $250,000. In addition, commenters entries detailing extraordinary items, addition, commenters should address should address whether affiliate contingent liabilities, and material prior whether the new audit procedure transaction services conducted pursuant period adjustments for Commission should be an annual requirement. to §§ 260, and 271–276 of the Act approval before recording them in their should be included in the services books of account. This requirement was 3. Affiliate Transactions Rules eligible for the de minimis exception. established as a safeguard to prevent In the Accounting Safeguards Order, carriers from inflating their rate base 62 FR 02918 (January 21, 1997) the 4. Elimination of 15-Day Prefiling for through the use of accounting Commission amended the affiliate Cost Pool Changes adjustments. We tentatively conclude transactions rules for services provided Section 64.903 of the Commission’s that prior Commission review of journal by a carrier to its affiliate and services rules requires that carriers update their entries is not necessary for the received by a carrier from its affiliate CAMs at least annually except that Commission’s regulatory oversight, and that are not subject to: (1) an existing changes to the cost apportionment table that other accounting safeguards, such tariff rate, (2) a publicly-filed agreement and time-reporting procedures must be as the ARMIS reporting and our audit or statement, or (3) a qualified filed at least 15 days before the carrier program, together with our ability to prevailing price valuation. Services plans to implement changes. Once a obtain additional information as provided by a carrier to its affiliate must CAM change has been filed, the Chief, necessary, are sufficient to assure that be recorded at the higher of fair market Common Carrier Bureau may suspend carriers will comply with our value or fully distributed cost. Services any such changes for a period not to accounting requirements. We tentatively received by a carrier from its affiliate exceed 180 days, and may thereafter conclude, therefore, that it is no longer must be recorded at the lower of fair allow the change to become effective. necessary to require the routine filing of market value or fully distributed cost. BellSouth claims that the 15-day special these journal entries. Accordingly, we The Commission further required filing requirement for changes in cost propose to eliminate the § 32.25 filing carriers to make a good faith pools discloses sensitive competitive requirement. We seek comment on our determination of fair market value in service information. We tentatively tentative conclusion and proposal. those instances when a fair market value conclude that we should eliminate the 7. Revision to Section 32.2002, Property was not readily available so that the 15-day pre-filing requirement in order to Held for Future Telecommunications carrier could assign the appropriate eliminate any disclosure of sensitive Use value to the service when recording its data in advance of implementation of a value under the affiliate transactions service. If we adopt this proposal, Section 32.2002 of the Commission’s rules. carriers would file the necessary CAM rules requires that carriers record to Based on our experience enforcing changes contemporaneous with the Account 2002 the costs of property held these requirements over the past two implementation of the change. We seek for no longer than two years under a years, we tentatively conclude that comment on this tentative conclusion. definite plan for use in when the total annual value of telecommunications service. After two transactions for that service is de 5. Revision to Section 32.13, Accounts— years, § 32.2002 requires that the carrier minimis, the regulatory benefits of General reclassify the cost of the property to requiring carriers to make a good faith Section 32.13(a)(3) of the Account 2006, Nonoperating plant. determination of the fair market value of Commission’s rules permits carriers to BellSouth states that this reclassification a service are outweighed by the establish temporary or experimental is burdensome and that the property administrative cost and effort of making accounts provided they notify the could remain recorded in Account 2002, such a determination. We tentatively Commission of the nature and purpose but be removed from the ratebase in a conclude that such a de minimis of the accounts within 30 days of less burdensome manner. We tentatively exception will not lessen the establishing them. This requirement was conclude that we should allow carriers effectiveness of the Commission’s adopted to allow the Commission to to maintain the costs in Account 2002 affiliate transactions rules, and at the review the nature of the proposed but we should require carriers to same time, will reduce the burden temporary or experimental accounts exclude the cost of such property, and associated with the requirement that prior to the effective date. Carriers use the associated depreciation reserve, carriers make a good faith determination these temporary accounts as clearing from the ratebase. The depreciation of fair market value. We, therefore, accounts, which are closed each expense associated with such property propose to eliminate the requirement financial period and do not alter the should also be excluded from that carriers make a good faith Part 32 accounting structure. We ratemaking considerations. These

VerDate 18-JUN-99 09:44 Aug 17, 1999 Jkt 183247 PO 00000 Frm 00020 Fmt 4702 Sfmt 4702 E:\FR\FM\A18AU2.055 pfrm07 PsN: 18AUP1 44880 Federal Register / Vol. 64, No. 159 / Wednesday, August 18, 1999 / Proposed Rules amounts would be reported in the valuation, and depreciation rates of underlying source data and can be ARMIS 43–01, column (e) All Other regulated carriers. The ARMIS 43–02 readily provided by the carrier upon Adjustments and ARMIS 43–03, column USOA Report contains a total of 27 request. Although we continue to (l) Other Adjustments. We believe that tables, and is one of the most believe that access to information is adoption of this tentative conclusion voluminous reporting requirements in crucial for our processes as well as for will provide the same protection for ARMIS. The tables are set out in three the state commissions, we believe ratepayers while alleviating the burden series: (1) the ‘‘C’’ series, which access to this information may be more on carriers to reclassify these costs to includes 5 tables that provide corporate efficiently obtained through other Account 2006. We seek comment on information; (2) the ‘‘B’’ series, which sources. We also believe that the need this tentative conclusion. includes 15 tables that provide for obtaining certain data on a regular information about the balance sheet basis may not be so vital to regulatory 8. Revisions to Section 32.2003, accounts of the carrier; and (3) the ‘‘I’’ mandates as to outweigh the burden Telecommunications Plant Under series, which includes 7 tables that imposed on the ILECs in reporting this Construction provide information about the carriers’ information. We seek comment on these Section 32.2003 of the Commission’s income and expenses. overall tentative conclusions. rules requires that carriers record to In light of the objectives we seek to 2. ARMIS 43–02 USOA Report: Table C Account 2003 the original cost of achieve in Phase 1 of our Reductions construction projects including all comprehensive review, we are related direct and indirect costs as proposing significant reductions in The ‘‘C’’ series tables of the ARMIS provided under § 32.2000(c). If the reporting requirements in the ARMIS 43–02 USOA Report include five tables construction project has been 43–02 USOA Report for the largest containing carrier and stockholder suspended for six months or more, the ILECs. For the reasons discussed below, information. We believe we could cost of the project must be reclassified we tentatively conclude that the filing reduce the burdens imposed on the to Account 2006, Nonoperating plant. If burden imposed on the largest ILECs by carriers by modifying these tables. We the project is eventually abandoned, ARMIS 43–02 USOA Report should be believe that most of the data contained these costs must be charged to Account reduced by eliminating the requirement in C–1 (Identity of Respondent), C–2 7370, Special charges. BellSouth states to file 14 of 27 tables, adding one short- (Control Over Respondent), and C–4 that this reclassification is burdensome form table, and changing the threshold (Stockholders), are available in public and that the property could remain level of reporting required in 3 of the filings. Our experience suggests that recorded in Account 2003 but be remaining 13 tables. We propose routine filing of information contained excluded from the ratebase in a less eliminating or modifying the reporting in C–3 (Board of Directors and General burdensome manner. We tentatively requirements for the following tables: Officers) may not be needed if the conclude that carriers be permitted to C–1 (Identity of Respondent); C–2 information is made available upon maintain the costs in Account 2003 and (Control Over Respondent); C–3 (Board request. We tentatively conclude that that carriers be required to remove the of Directors and General Officers); C–4 because carriers must publicly file most cost of suspended projects after six (Stockholders); C–5 (Important Changes of the information in these tables with months from the ratebase. Additionally, During the Year); B–8 (Capital Leases); the SEC in their Form 10–K Annual carriers would be required to B–9 (Deferred Charges); B–11 (Long- Reports, which are available on the discontinue capitalization of allowance Term Debt); B–12 (Net Deferred Income Internet, and because we may request for funds used during construction Taxes); B–13 (Other Deferred Credits); and obtain this information as under § 32.2000(c)(2)(x) until B–14 (Capital Stock); and B–15 (Capital necessary, streamlining these reporting construction is resumed. These amounts Stock and Funded Debt Reacquired or requirements will not impair our ability would be reported in the ARMIS 43–01, Retired During the Year); I–3 (Pension to perform necessary oversight functions but will reduce the filing burden on column (e) All Other Adjustments and Costs); I–4 (Operating Other Taxes); I–5 large ILECs. Certain basic information ARMIS 43–03, column (l) Other (Prepaid Taxes and Accruals); I–6 contained in these reports, however, Adjustments. Carriers would still charge (Special Charges); and I–7 (Donations or may be needed for purposes of Account 7370 if the project were Payments for Services Rendered by efficiency in administering and abandoned. We believe that adoption of Persons Other Than Employees). We seek comment generally on our managing the database. Thus, we this tentative conclusion will provide tentative proposal to streamline the tentatively propose to consolidate all the same protection for ratepayers while ARMIS 43–02 USOA Report for the basic information into one table, which alleviating the burden on carriers to largest ILECs. Specifically, we seek would generally provide information on reclassifying these costs to Account comment on whether alternative sources the carrier’s name, carrier’s address, 2006. We seek comment on this of information would provide sufficient operating states, and executive officers. tentative conclusion. protection against the potentially anti- We seek comment on these proposals B. ARMIS Reporting Requirements competitive practices we identified in and tentative conclusions. the ARMIS Reductions Report and Table C–5 (Important Changes During 1. Reductions to ARMIS 43–02 USOA Order, FCC No. 99–107, released June the Year) provides information on Report 30, 1999. For instance, we believe that significant events, such as extensions of In the ARMIS 43–02 USOA Report, much of the information contained in systems, substantial portions of property carriers report their annual operating the series ‘‘C’’ tables can be obtained sold, changes in direct and indirect results for every account in the USOA. from the carrier’s Form 10-K Annual control of the carrier, important The USOA contains both balance sheet Report filed with the Securities and contracts or agreements entered into, and income statement accounts which Exchange Commission (SEC), as well as and important changes in service and report the results of operational and in other publicly available reports. We rate schedules. We believe the reporting financial events. Information provided also believe that, to a large extent, requirements for table C–5 could be by these accounts is used to review the balance sheet and income statement streamlined by eliminating the overall investment and expense levels, information reported in the series ‘‘B’’ requirement to report certain affiliate transactions, property and ‘‘I’’ tables may be obtained from information. For instance, we believe

VerDate 18-JUN-99 09:44 Aug 17, 1999 Jkt 183247 PO 00000 Frm 00021 Fmt 4702 Sfmt 4702 E:\FR\FM\A18AU2.056 pfrm07 PsN: 18AUP1 Federal Register / Vol. 64, No. 159 / Wednesday, August 18, 1999 / Proposed Rules 44881 that the data reported on changes in address this concern and whether information reported in table I–7 direct and indirect control may no information concerning these accounts requires that carriers report all amounts longer be needed on a recurring basis. are readily available from other sources, paid to academia; amounts exceeding We believe this information may be such as in the carrier’s Annual 10–K $250,000 paid for advertising and available in the carrier’s Form 10–K Report or through other internal records. information services, clerical and office Annual Reports or in the carrier’s cost We also ask parties to identify specific services, computer and data processing allocation manuals, and where needs for this information and whether services, personnel services, printing necessary, could be obtained from the alternative sources of information and design services, and security carrier upon request. Thus, we provide sufficient level of detail to meet services; amounts exceeding $25,000 tentatively conclude that the reporting these needs. paid for audit and accounting services, requirements concerning changes in 4. ARMIS 43–02 USOA Report: Table I consulting and research services, direct and indirect control of the carrier Reductions financial services, and legal services; be eliminated. We seek comment on this and amounts exceeding $10,000 for tentative conclusion and proposal to We have also examined the membership fees and dues. Again, in modify table C–5 in this manner. We continuing need for routine reporting of light of the tremendous growth in ILEC also believe that the information information contained in the ‘‘I’’ series revenues, the reporting thresholds may collected in table C–5 could be reduced tables, specifically I–3 (Pension Costs); now be too low. We seek comment, further by collecting information only I–4 (Operating Other Taxes); and I–5 therefore, on whether the reporting where the change involves a significant (Prepaid Taxes and Accruals). For the thresholds for each of the above or material change. Thus, we seek reasons stated above with respect to the mentioned payments to outside vendors comment on whether we should adopt accounts reported in the ‘‘B’’ series, we should be raised to a higher amount a threshold amount for items reported in tentatively conclude that carriers should and, if so, what amounts to establish as table C–5 (such as important contracts no longer be required to report the the reporting thresholds. or agreements entered into, or important information required in tables I–3, I–4, changes in service and rate schedules), and I–5 annually to the Commission. IV. Procedural Issues and if so, what an appropriate threshold We believe that as long as we have A. Ex Parte Presentations level would be. We seek comment on continued access to underlying data and the above proposals for streamlining source documents supporting these This is a permit but disclose table C–5 reporting requirements. tables, this information can be obtained rulemaking proceeding. Ex parte from the ILECs on an as-needed basis. presentations are permitted, except 3. ARMIS 43–02 USOA Report: Table B We seek comment on these tentative during the Sunshine Agenda period, Reductions conclusions and proposals. provided that they are disclosed as The ‘‘B’’ series tables contain data Our review of table I–6 (Special provided in the Commission’s rules. See about the balance sheet accounts. Table Charges) finds that the information generally 47 CFR 1.1202, 1.1203, and B–1 (Balance Sheet) and Table B–2 reported in this table continues to be 1.1206. (Statement of Cash Flows) are basic essential. Data reported in this table are B. Final Regulatory Flexibility below-the-line amounts, i.e., are not an financial statements that are essential to Certification our analysis of a carrier’s financial allowable expense to be charged against condition. Several other supporting regulated revenues. Special Charges The Regulatory Flexibility Act (RFA) tables are important in our analysis of reported on this table include lobbying requires that an initial regulatory investment in and transactions with expenses, membership fees and dues, flexibility analysis be prepared for affiliates and in evaluating carrier abandoned construction projects notice-and-comment rulemaking depreciation reserves. We are not amounting to $100,000 or more, proceedings, unless the agency certifies proposing changes in these tables. We penalties and fines amounting to that ‘‘the rule will not, if promulgated, believe, however, that several other $100,000 or more, and charitable, social, have a significant economic impact on tables in the ‘‘B’’ series need not be or other community welfare expenses. a substantial number of small entities.’’ routinely reported as long as we have We find it necessary to maintain routine The RFA generally defines ‘‘small continued access to the underlying data reporting of these items to ensure that entity’’ as having the same meaning as and source documents supporting these these expenses, especially if material, the terms ‘‘small business,’’ ‘‘small tables. Further, we believe that the are properly recorded on the ILECs’ organization,’’ and ‘‘small governmental carrier’s own accounting practices, books. The $100,000 reporting jurisdiction.’’ In addition, the term which are governed by standard threshold, however, for reporting ‘‘small business’’ has the same meaning accounting practices and procedures abandoned construction projects, as the term ‘‘small business concern’’ and subject to internal and external penalties and fines may be relatively under the Small Business Act. A small audits, should assure that these immaterial in light of the strong revenue business concern is one which: (1) is accounts are properly maintained. Thus, growth since the outset of ARMIS in independently owned and operated; (2) we propose to eliminate the following 1989. We seek comment, therefore, on is not dominant in its field of operation; ‘‘B’’ tables: B–8: (Capital Leases); B–9 whether the reporting threshold should and (3) satisfies any additional criteria (Deferred Charges); B–11 (Long-Term be raised to a higher amount and, if so, established by the Small Business Debt); B–12 (Net Deferred Income what amount to establish as the Administration (SBA). Taxes); B–13 (Other Deferred Credits); reporting threshold. This Notice of Proposed Rulemaking B–14 (Capital Stock); and B–15 (Capital Similarly, our review finds that proposes to eliminate or revise the Stock and Funded Debt Reacquired or information reported in table I–7 matrix used to classify expenses in the Retired During the Year). We seek (Donations or Payments for Services by Uniform System of Accounts (USOA); comment on these tentative conclusions Persons Other than Employees) reduce the audit burdens on incumbent and proposals. We are concerned that continues to be essential for regulatory local exchange carriers (ILECs); adopt a we not eliminate information that may monitoring purposes to ensure that de minimis exception to the be needed to carry out our material costs claimed against regulated Commission’s affiliate transactions responsibilities. We ask parties to revenues are appropriate. The rules; eliminate the 15-day prefiling for

VerDate 18-JUN-99 09:44 Aug 17, 1999 Jkt 183247 PO 00000 Frm 00022 Fmt 4702 Sfmt 4702 E:\FR\FM\A18AU2.057 pfrm07 PsN: 18AUP1 44882 Federal Register / Vol. 64, No. 159 / Wednesday, August 18, 1999 / Proposed Rules cost pool changes; eliminate the C. Paperwork Reduction Act must submit two additional copies for notifications and approvals required in This NPRM contains either a each additional docket or rulemaking §§ 32.13(a)(3) and 32.25; and revise the proposed or modified information number. All filings must be sent to the accounting requirements for §§ 32.2002 collection. As part of our continuing Commission’s Secretary, Magalie Roman and 32.2003. In addition, with respect to effort to reduce paperwork burdens, we Salas, Office of the Secretary, Federal ARMIS reporting requirements, the invite the general public to take this Communications Commission, 445 12th Notice of Proposed Rulemaking seeks opportunity to comment on information Street, S.W., Washington, D.C. 20554. Parties who choose to file by paper comment on eliminating certain collections contained in this Notice of should also submit their comments on corporate information collected in the Proposed Rulemaking, as required by diskette. These diskettes should be ‘‘C’’ series tables and on consolidating the Paperwork Reduction Act of 1995, certain information into one table. The submitted to: Ernestine Creech, Public Law 104–13. Public and agency Accounting Safeguards Division, 445 Notice of Proposed Rulemaking also comments are due at the same time as seeks comment on eliminating certain 12th Street, S.W., Washington, D.C. other comments on this Notice of 20554. Such a submission should be on information concerning balance sheet Proposed Rulemaking. Comments accounts reported in the ‘‘B’’ series a 3.5 inch diskette formatted in an IBM should address: (a) whether the compatible format using WordPerfect tables and income statement accounts proposed collection of information is reported in the ‘‘I’’ series tables. 5.1 for Windows or compatible software. necessary for the proper performance of The diskette should be accompanied by Neither the Commission nor SBA has the functions of the Commission, a cover letter and should be submitted developed a definition of ‘‘small entity’’ including whether the information shall in ‘‘read only’’ mode. The diskette specifically applicable to LECs. The have practical utility; (b) the accuracy of should be clearly labelled with the closest definition under SBA rules is the Commission’s burden estimates; (c) commenter’s name, proceeding that for establishments providing ways to enhance the quality, utility, and (including the docket number, in this ‘‘Telephone Communications, Except clarity of the information collected; and case CC Docket No. 99–253, type of Radiotelephone,’’ which is Standard (d) ways to minimize the burden of the pleading (comment or reply comment), Industrial Classification (SIC) code collection of information on the date of submission, and the name of the 4813. Under this definition, a small respondents, including the use of electronic file on the diskette. The label entity is one that, including affiliates of automated collection techniques or should also include the following the entity, employs no more than 1,500 other forms of information technology. phrase ‘‘Disk Copy—Not an Original.’’ persons. For the purpose of this present D. Comment Filing Procedures Each diskette should contain only one certification we would assume that an party’s pleadings, preferably in a single ILEC can be characterized as non Pursuant to §§ 1.415 and 1.419 of the electronic file. In addition, commenters dominant for the purpose of analysis Commission’s rules, 47 CFR 1.415, must send diskette copies to the under the Regulatory Flexibility Act. 1.419, interested parties may file Commission’s copy contractor, comments on or before August 23, 1999, International Transcription Service, We certify that the proposals in this and reply on or before September 9, Notice of Proposed Rulemaking, if Inc., 1231 20th Street, N.W., 1999. Comments may be filed using the Washington, D.C. 20037. adopted, will not have a significant Commission’s Electronic Comment economic impact on a substantial Written comments by the public on Filing System (ECFS) or by filing paper the proposed information collections are number of small entities. Pursuant to copies. long-standing rules, ILECs with annual due on or before August 23, 1999. Comments filed through the ECFS can Written comments must be submitted by operating revenues equal to or be sent as an electronic file via the exceeding the indexed revenue the Office of Management and Budget Internet to . Generally, only one copy of Commission’s record keeping rules and information collections on or before an electronic submission must be filed. October 18, 1999. In addition to filing CAM audit requirements. The If multiple docket or rulemaking Commission proposes to reduce certain comments with the Secretary, a copy of numbers appear in the caption of this any comments on the information of these CAM and record retention proceeding, however, commenters must requirements. These changes should be collections contained herein should be transmit one electronic copy of the submitted to Judy Boley, Federal easy and inexpensive for ILECs to comments to each docket or rulemaking implement and will not require costly or Communications Commission, Room 1– number referenced in the caption. In C804, 445 12th Street, S.W., burdensome procedures. We therefore completing the transmittal screen, expect that the potential impact of the Washington, DC 20554, or via the commenters should include their full Internet to [email protected] and to proposal rules, if such are adopted, is name, Postal Service mailing address, beneficial and does not amount to a Timothy Fain, OMB Desk Officer, 10236 and the applicable docket or rulemaking NEOB, 725–17th Street, N.W., possible significant economic impact on number. Parties may also submit an affected entities. If commenters believe Washington, DC 20503 or via the electronic comment by Internet e-mail. Internet to [email protected]. that the proposals discussed in the To get filing instructions for e-mail Notice require additional RFA analysis, comments, commenters should send an V. Ordering Clauses they should include a discussion of e-mail to [email protected], and should Accordingly, it is ordered that, these issues in their comments. include the following words in the body pursuant to the authority contained in The Commission’s Office of Public of the message, ‘‘get form ’’ A sample form and 403 of the Communications Act of 1934, will send a copy of this Notice of directions will be sent in reply. as amended, 47 U.S.C. 154(i), 154(j), Proposed Rulemaking, including this Parties who choose to file by paper 161, 201(b), 303(r), and 403, this Notice initial certification, to the Chief Counsel must file an original and four copies of of Proposed Rulemaking is adopted. for Advocacy of the Small Business each filing. If more than one docket or It is further ordered that the Administration. A copy will also be rulemaking number appear in the Commission’s Office of Public Affairs, published in the Federal Register. caption of this proceeding, commenters Reference Operations Division, shall

VerDate 18-JUN-99 09:44 Aug 17, 1999 Jkt 183247 PO 00000 Frm 00023 Fmt 4702 Sfmt 4702 E:\FR\FM\A18AU2.058 pfrm07 PsN: 18AUP1 Federal Register / Vol. 64, No. 159 / Wednesday, August 18, 1999 / Proposed Rules 44883 send a copy of this Notice of Proposed DATES: Comments must be postmarked U.S. Forest Service. We are accepting Rulemaking, including the Initial or emailed by September 25, 1999. finalized chapters of this report into the Regulatory Flexibility Certification, to ADDRESSES: Written comments and administrative record. The report the Chief Counsel for Advocacy of the materials concerning this proposal contains new information pertinent to Small Business Administration, 5 U.S.C. should be sent to the Field Supervisor, our findings and conclusions in the 605(b). U.S. Fish and Wildlife Service, Montana proposed rule. The information List of Subjects Field Office, 100 N. Park Avenue, Suite contained within available chapters of 320, Helena, Montana 59601; or email this report and all comments received in 47 CFR Part 32 . response to this information will be Communications common carriers, FOR FURTHER INFORMATION CONTACT: considered in our final decision on Reporting and recordkeeping Kemper McMaster, Field Supervisor whether to list the Canadian lynx under requirements, Telephone, Uniform (see ADDRESSES section) (telephone 406/ the Endangered Species Act. System of Accounts 449–5225, facsimile 406/449–5339). The At this time, three chapters of the Internet is the fastest method for report are final and available to the 47 CFR Part 43 obtaining a copy of the report. Finalized public. These three chapters represent Communications common carriers, chapters from the report can be Radio, Reporting and recordkeeping retrieved from the Internet at . to the scientific basis for our findings and conclusion regarding our final SUPPLEMENTARY INFORMATION: 47 CFR Part 64 decision on whether to list the Canadian Communications common carriers, Background lynx under the Endangered Species Act. Federal Communications Commission, On July 8, 1998 (63 FR 36994), we Additional chapters of the report are Radio, Reporting and recordkeeping published a proposed rule to list the expected to be finalized and released to requirements, Telegraph, Telephone contiguous United States distinct the public throughout the comment Federal Communications Commission. population of the Canada lynx (Lynx period. This will be the only notice of Magalie Roman Salas, canadensis) as threatened under the the availability of chapters of this Secretary. Endangered Species Act of 1973, as report. [FR Doc. 99–21402 Filed 8–17–99; 8:45 am] amended. As described in the proposed Finalized chapters from the report can rule, the range of the lynx included BILLING CODE 6701±12±P be retrieved from the Internet at . The Internet is the Oregon, Idaho, Montana, Utah, best method for making the report Wyoming, Colorado, Minnesota, DEPARTMENT OF THE INTERIOR rapidly available. If you cannot get the Wisconsin, Michigan, Maine, New report through the Internet, please call Hampshire, Vermont, New York, Fish and Wildlife Service the Montana Field Office (see Pennsylvania, and Massachusetts. ADDRESSES section). Please check this 50 CFR Part 17 Threats to this population segment of the Canada lynx were considered to be website regularly or call the Montana RIN 1018±AF03 human alteration of forests, low Field Office to obtain new chapters, numbers as a result of past which will be made available as soon as Endangered and Threatened Wildlife they are finalized. Your written and Plants: Reopening of Comment overexploitation, expansion of the range of competitors (bobcats (Felis rufus) and comments on the proposal based on Period for Proposed Rule To List the new information contained in this Contiguous United States Distinct coyotes (Canis latrans)), and elevated report must be postmarked or e-mailed Population Segment of the Canada levels of human access into lynx habitat. by September 24, 1999, to the Montana Lynx The rule also proposed to list the captive population of Canada lynx Office (see ADDRESSES section above). AGENCY: Fish and Wildlife Service, within the coterminous United States Author Interior. (lower 48 States) as threatened due to ACTION: Proposed rule; notice of similarity of appearance and permitted The author of this notice is Lori reopening of comment period. the continued export of captive-bred Nordstrom (see ADDRESSES section.) Canada lynx. SUMMARY: We are reopening the We published notice of a 6-month Authority comment period on the proposal to list extension on the proposed rule to list the contiguous United States distinct the lynx on July 8, 1999 (64 FR 36836). The authority for this action is the population segment of the Canada lynx The final decision on the proposal is Endangered Species Act of 1973, as to invite comment from all interested now due January 8, 2000. amended (16 U.S.C. 1531 et seq.). parties on new information contained Dated August 12, 1999. Public Comments Solicited within a U.S. Forest Service science Mary L. Gessner, report that we are accepting into the We are reopening the comment period Regional Director. administrative report. This report on our July 8, 1998, proposal to list the contains new information pertinent to contiguous United States distinct [FR Doc. 99–21391 Filed 8–17–99; 8:45 am] our findings and conclusions of the population segment of the Canada lynx. BILLING CODE 4310±55±M proposed rule of July 8, 1998. The We are seeking additional comment on information contained within available our proposal based on new information chapters of this report and all comments contained within a report, ‘‘The received in response to this information scientific basis for lynx conservation in will be considered in our final decision the contiguous United States.’’ This on whether to list the Canada lynx report is being completed by a team led under the Endangered Species Act. by Rocky Mountain Research Station,

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DEPARTMENT OF COMMERCE receiving a plan or amendment from a information on bycatch for all fisheries Council, immediately publish a within the Council’s area of jurisdiction. National Oceanic and Atmospheric document in the Federal Register NMFS intends to improve bycatch Administration stating that the plan or amendment is reporting by requiring it in all available for public review and commercial logbooks by January 1, 50 CFR Part 622 comment. This document constitutes 2001. [I.D. 072699D] such notice for the SFA Amendment. The SFA Amendment specifies In 1998, NMFS published the fishing targets and overfishing RIN 0648±AL81 National Standard Guidelines to assist thresholds for each FMP. For stocks Regional Fishery Management Councils other than shrimp and spiny lobster, Fisheries of the Caribbean, Gulf of in: Describing fisheries and fishing static spawning potential ratio (SPR) Mexico, and South Atlantic; communities; establishing criteria to proxies are used to define maximum Compliance with Sustainable Fisheries determine when a stock is overfished; sustainable yield (MSY), optimal yield Act Provisions for Management Plans proposing measures to prevent or end (OY), and maximum fishing mortality in the Gulf of Mexico; Generic overfishing and rebuild overfished thresholds (MFMT). For penaeid Amendment to the Fishery stocks: and assessing bycatch and shrimp, MSY, OY, and MFMT are Management Plans of the Gulf of proposing measures to minimize specified in numbers of spawning Mexico Region bycatch (63 FR 24212, May 1, 1998). individuals remaining after the fishery. AGENCY: National Marine Fisheries The Council developed its SFA For royal red shrimp, MSY is specified Service (NMFS), National Oceanic and Amendment based on these guidelines. as a range in pounds/kilograms, as Atmospheric Administration (NOAA), The SFA Amendment describes Gulf recommended by the Crustacean Stock Commerce. of Mexico fishing communities; these Assessment Panel; however, in its ACTION: Notice of availability of a descriptions are based on existing U.S. discussion of MSY, the Council generic amendment to fishery Census data and information about expresses its view that the proposed management plans for the Gulf of regional landings and about fishing MSY may be an underestimate of the Mexico Region; request for comments. participants in various fisheries for each true MSY. For spiny lobster, MSY, OY, of the Gulf of Mexico coastal states. The and MFMT are specified as transitional SUMMARY: NMFS announces that the Council believes that these community SPR based on spawning biomass per Gulf of Mexico Fishery Management descriptions are based on the best recruit rather than based on fecundity. Council (Council) has submitted to available information and comply with For stone crab, SPR is identified as NMFS its Generic Sustainable Fisheries the national standard guidelines. realized egg production per recruit as a Act Amendment (SFA Amendment) to The SFA Amendment describes percentage of potential egg production the fishery management plans of the bycatch in Gulf fisheries and reflects the in the unfished state. In general, SPR Gulf of Mexico for review, approval, and Council’s conclusion that measures proxies for OY are greater than those for implementation. This amendment currently in place already minimize MSY, and MFMT is a fishing mortality would set standards regarding bycatch and bycatch mortality to the rate set at the SPR rate equal to MSY overfishing levels and stock rebuilding extent practicable. Under the Fishery (i.e. FMSY). The SPR proxies for the on which future management measures Management Plan for the Shrimp parameters MSY, OY, and MFMT will be based. Written comments are Fishery of the Gulf of Mexico, the within each of the following fisheries— requested from the public. Council has required bycatch reduction shrimp, red drum, Nassau grouper, devices to minimize bycatch of red DATES: Written comments must be jewfish, and stone crab—are the same. snapper and other species in shrimp received on or before October 18, 1999. The SPR values for the three parameters trawls fished in the exclusive economic for the above listed species are higher ADDRESSES: Comments must be mailed zone west of Cape San Blas, Florida. than those for other stocks, i.e., they are to the Southeast Regional Office, NMFS, Under the FMP for stone crab, the more conservative than those for other 9721 Executive Center Drive N., St. Council’s SFA Amendment proposes stocks. For shrimp, MSST is specified as Petersburg, FL 33702. changes in the construction of stone Requests for copies of the the number of spawning individuals crab pots intended to reduce finfish remaining after the annual fishery; for amendment, which includes a bycatch. Under the Fishery Management stone crab an SPR proxy is specified for regulatory impact review and an Plan for the Reef Fish Resources of the MSST. MSST is not specified for other environmental assessment, should be Gulf of Mexico, the Council is phasing stocks but will be incorporated through sent to the Gulf of Mexico Management out fish traps in the reef fish fishery by the framework procedures of the Council, The Commons at Rivergate, 2007, in part to reduce bycatch. Under Council’s FMPs as MSST estimates are 3018 U.S. Highway 301 North, Suite the Fishery Management Plan for derived. 1000, Tampa, FL 33619–2266; phone: Coastal Migratory Pelagic Species of the The SFA Amendment would establish 813–228–2815; fax: 813–225–7015. Gulf of Mexico and South Atlantic, rebuilding periods for red snapper FOR FURTHER INFORMATION CONTACT: Roy minimum mesh sizes are required for (period of 1999–2033) and Gulf-group Crabtree, NMFS; phone: 727-570-5305; gillnets in the coastal migratory pelagics king mackerel (period of 1999–2009). fax 727–570–5583. fishery to reduce bycatch. The Council states that data are SUPPLEMENTARY INFORMATION: The NMFS’ Marine Recreational Fisheries insufficient to develop rebuilding Magnuson-Stevens Fishery Statistics Survey provides information schedules for Nassau grouper, jewfish, Conservation and Management Act on bycatch in the recreational fisheries. or red drum but that such schedules (Magnuson-Stevens Act) requires The SFA Amendment discusses would be specified and implemented Regional Fishery Management Councils additional measures to improve bycatch through the framework procedures of its to submit proposed fishery management reporting. The Council anticipates that FMPs as such schedules are developed. plans (plans) or amendments to NMFS cooperative state-Federal programs The SFA Amendment briefly for review and approval, disapproval, or developed or under development by the addresses the Magnuson-Stevens Act partial approval. The Magnuson-Stevens Gulf States Marine Fisheries requirement to describe fishing sectors Act also requires that NMFS, upon Commission will provide adequate and to quantify trends in landings by

VerDate 18-JUN-99 09:44 Aug 17, 1999 Jkt 183247 PO 00000 Frm 00025 Fmt 4702 Sfmt 4702 E:\FR\FM\A18AU2.061 pfrm07 PsN: 18AUP1 Federal Register / Vol. 64, No. 159 / Wednesday, August 18, 1999 / Proposed Rules 44885 sector. The SFA Amendment states that DEPARTMENT OF COMMERCE The public hearing locations are: with the exception of the charter sector, 1. Silver Spring (Wednesday, trends in landings have been previously National Oceanic and Atmospheric September 1, 1999), NMFS, SSMC III - quantified for all FMPs except those for Administration Room 4527, 1315 East-West Highway, stone crab and spiny lobster. The Silver Spring, MD 20910. 50 CFR Part 635 amendment includes recently prepared 2. Fairhaven (Tuesday, September 7, descriptions of the Florida west-coast [Docket No. 990811217±9217±01; I.D. 1999), Seaport Inn, 110 Middle Street, stone crab fishery and the Florida spiny 061899A] Fairhaven, MA 02719. lobster fishery. RIN 0648±AM82 FOR FURTHER INFORMATION CONTACT: Mark Murray-Brown, 978–281–9260. The SFA Amendment would adopt the construction characteristics of stone Atlantic Highly Migratory Species SUPPLEMENTARY INFORMATION: Atlantic Fisheries; Atlantic Bluefin Tuna crab traps set forth in Chapter 46– tunas are managed under the dual Fishery; Regulatory Adjustment 13.002(2)(a) of Florida law. authority of the Magnuson-Stevens Fishery Conservation and Management AGENCY: The SFA Amendment would modify National Marine Fisheries Act (Magnuson-Stevens Act) and the the existing Council FMPs’ framework Service (NMFS), National Oceanic and Atlantic Tunas Convention Act (ATCA). procedures for regulatory adjustments. Atmospheric Administration (NOAA), ATCA authorizes the Secretary of These framework procedures provide a Commerce. Commerce (Secretary) to implement streamlined rulemaking process that ACTION: Proposed rule; public hearings; binding recommendations of the allows the Council to propose request for comments. International Commission for the additional or modified measures under Conservation of Atlantic Tunas (ICCAT). SUMMARY: NMFS proposes to amend the The authority to issue regulations under an FMP and for NMFS to approve and regulations governing the Atlantic the Magnuson-Stevens Act and ATCA implement them without an FMP highly migratory species (HMS) has been delegated from the Secretary to amendment. The amendment would fisheries to remove the 250 metric ton the Assistant Administrator for add the following measures to those that (mt) limit on allocating Atlantic bluefin Fisheries, NOAA (AA). Within NMFS, can be implemented under the tuna (BFT) landings quota to the Purse daily responsibility for management of framework procedures: Biomass-based Seine category. Without this restriction, Atlantic HMS fisheries rests with the estimates for MSY, OY, and MSST; new the annual allocation of BFT to the Office of Sustainable Fisheries, and is estimates of MFMT; and rebuilding Purse Seine category would be 18.6 administered by the HMS Management schedules for reef fish. The Council percent of the total landings quota Division. would use the modified framework available to the United States. The procedures when estimates of these proposed regulatory amendments are Background added measures are provided by NMFS, necessary to achieve domestic Based on the 1998 revised stock reviewed by the Stock Assessment management objectives for HMS assessment, parties at the 1998 meeting Panels, and adopted by the Council. fisheries. NMFS received extensive of ICCAT adopted a 20-year west In accordance with the Magnuson- comment on this issue during the Atlantic BFT rebuilding program, Stevens Act, NMFS is evaluating the comment period for the rule to beginning in 1999 and continuing implement the Fishery Management proposed rule to determine whether it is through 2018. ICCAT has adopted an Plan for Atlantic Tunas, Swordfish, and consistent with the SFA Amendment, annual total allowable catch (TAC) for Sharks (FMP) and during a recent western Atlantic BFT of 2,500 mt whole the Magnuson-Stevens Act, and other meeting of the HMS Advisory Panel applicable law. Comments received by weight (ww), inclusive of dead discards, (AP). However, NMFS will hold two to be applied annually until such time [insert date 60 days after date of public hearings to receive additional publication in the FEDERAL as the TAC is changed based on advice comments from fishery participants and from the Standing Committee on REGISTER], whether specifically other members of the public regarding directed to the amendment or the Research and Statistics. The annual these proposed amendments. landing quota allocated to the United proposed rule, will be considered by DATES: Comments are invited and must NMFS in its decision to approve, States was set at 1,387 mt ww. be received on or before September 27, Regulations at 50 CFR 635.27 subdivide disapprove, or partially approve the 1999. The public hearings dates are: the U.S. BFT quota recommended by SFA Amendment. NMFS will not 1. Wednesday, September 1, 1999, ICCAT among the various domestic consider comments received after that 3:30–6:00 p.m. in Silver Spring, MD. fishing categories. date in this decision. NMFS will 2. Tuesday, September 7, 1999, 7:00– On May 28, 1999, NMFS published in address in the final rule all comments 9:00 p.m. in Fairhaven, MA. the Federal Register (64 FR 29090) final received on the amendment or the ADDRESSES: Comments on the proposed regulations, effective July 1, 1999, proposed rule during their respective rule should be sent to, Rebecca Lent, implementing the HMS FMP that was comment periods. Chief, Highly Migratory Species adopted and made available to the Authority: 16 U.S.C. 1801 et seq. Management Division (F/SF1), NMFS, public in April 1999. The HMS FMP 1315 East-West Highway, Silver Spring, and the implementing regulations Dated: August 12, 1999. MD 20910–3282. Copies of supporting established percentage quota shares for Bruce C. Morehaed, documents, including a Draft the ICCAT-recommended U.S. BFT Acting Director, Office of Sustainable Environmental Assessment (EA), which landing quota for each of the domestic Fisheries, National Marine Fisheries Service. includes a Draft Regulatory Impact fishing categories. These percentage [FR Doc. 99–21468 Filed 8–17–99; 8:45 am] Review (RIR), are available from Pat shares were based on historical BILLING CODE 3510±22±F Scida, Highly Migratory Species allocations as had been adjusted in Management Division, Northeast recent years. In the final rule, NMFS Regional Office, NMFS, One Blackburn adopted a limit (cap) on the amount of Drive, Gloucester, MA 01930. the annual quota that would be

VerDate 18-JUN-99 09:44 Aug 17, 1999 Jkt 183247 PO 00000 Frm 00026 Fmt 4702 Sfmt 4702 E:\FR\FM\A18AU2.061 pfrm07 PsN: 18AUP1 44886 Federal Register / Vol. 64, No. 159 / Wednesday, August 18, 1999 / Proposed Rules allocated to the Purse Seine category, access does not promote the objectives is an appropriate regulatory action in establishing a percentage share of 18.6 of limited access management systems, order to meet the goals and objectives of percent of the overall U.S. BFT landings and (3) retention of a cap on the Purse the FMP. quota, or 250 mt, whichever is less. Seine category’s BFT quota allocation After reviewing public comments and Under this cap, if 18.6 percent of the may cause purse seine vessels to additional information or data that may total ICCAT recommended annual increase fishing effort on yellowfin tuna, be available, NMFS will, if appropriate, landings quota would exceed 250 mt, which is an important commercial and make final determinations regarding the only the 250 mt would be allocated to recreational species for vessels in other consistency of this proposed measure the Purse Seine category and the Atlantic tunas permit categories, and for with the objectives of the FMP, the amount over 250 mt would be allocated which there is an ICCAT national standards of the Magnuson- to the Reserve. recommendation in place to limit Stevens Act, and other applicable law. In the final HMS FMP it was noted effective fishing effort. Technical Correction that discussions held at the HMS AP After considering the input from the meetings were not conclusive regarding HMS AP, NMFS transferred 8 mt of BFT When NMFS first established a the purse seine category allocation with quota from the Reserve to the Purse limited access and individual vessel respect to a situation of increased quotas Seine category (64 FR 36818, July 8, allocation system for the Purse Seine from ICCAT. NMFS indicated that 1999) for the 1999 fishing year. As a category, the vessel allocations were although the final HMS FMP had result of this transfer, the adjusted Purse made transferable. Initially, the adopted the cap of 250 mt, further Seine category quota for 1999 is 260 mt. allocations were transferable in whole, discussions with the HMS AP were but in subsequent rulemaking, the Proposed Management Measure needed to clarify the issue, especially allocations were made transferable in since ICCAT had recommended a small In addition to its commitment to whole or in part (61 FR 30187, June 14, increase in landings quota available to considering the AP’s advice on this 1996). The allowance for partial the U.S. in 1999. NMFS therefore stated issue, as stated in the FMP and its transfers was made to reduce bycatch in the HMS FMP that, after later implementing regulations, NMFS is mortality during the last few sets as consultation with the HMS AP, the concerned that Purse Seine category vessels approached the limits of purse seine cap could be adjusted by vessels may increase fishing effort on individual allocations. In the final regulatory amendment under the yellowfin tuna if the cap is retained. As consolidated rule to implement the framework provisions of the FMP. mentioned earlier, yellowfin tuna is an HMS FMP, NMFS inadvertently Pending that consultation with the HMS important commercial and recreational reissued the older procedures for AP, NMFS proceeded to issue final BFT species for vessels in other Atlantic notification of transfer of the entire quota specifications for the 1999 fishing tunas permit categories, and for which allocation from one permitted purse year. there is an ICCAT recommendation in seine vessel to another, omitting the place to limit effective fishing effort. As newer procedures for notification of Purse Seine Quota Specification yellowfin tuna is considered a fully- partial transfers. The proposed rule The ICCAT-recommended 1999 U.S. exploited species, and the latest ICCAT would reinstate updated notification BFT landings quota is 1,387 mt, 18.6 Standing Committee on Research and procedures for transfers. percent of which is 258 mt, or 8 mt over Statistics report indicates that the the cap. NMFS indicated in the HMS current fishing mortality may be higher Public Hearings and Special FMP that the additional 8 mt would be than that which would support Accommodations held in reserve until after the AP had maximum sustainable yield on a The public hearing sites are discussed the issue. Thus, under the continuing basis, any additional fishing physically accessible to people with regulatory cap, the Purse Seine category effort directed at yellowfin tuna could disabilities. Requests for sign language was initially allocated a 250 mt BFT have adverse impacts on optimum yield interpretation or other auxiliary aids landings quota for 1999, and the in that fishery. should be directed to Mark Murray- additional 8 mt were allocated to the Removing the cap on the Purse Seine Brown (see FOR FURTHER INFORMATION Reserve category. Given the regulatory category is also consistent with the CONTACT) at least 7 days prior to the provisions for interannual adjustments, Magnuson-Stevens Act in that it hearing. an additional 2 mt Purse Seine category contributes to the goal of allocating The public is reminded that NMFS quota that was not harvested in 1998 restrictions needed to prevent expects participants at the public was added to the category’s quota for overfishing and recovery benefits from hearings to conduct themselves 1999, for an adjusted Purse Seine rebuilding fairly and equitably among appropriately. At the beginning of each category quota of 252 mt (64 FR 29806, sectors of the fishery, in that no one public hearing, a NMFS representative June 3, 1999). quota category would be restricted in its will explain the ground rules (e.g., The AP met in Silver Spring, MD on allocation while others would not. It is alcohol is prohibited from the hearing June 10 and June 11, 1999, and also consistent with the objectives of the room, attendees will be called to give discussed, among other things, the FMP to preserve traditional fisheries their comments in the order in which Purse Seine category cap. After and historical fishing patterns, in the they registered to speak, each attendee extensive discussion, a majority favored fact that the Purse Seine fishery is a will have an equal amount of time to removal of the cap. The AP provided historical component of the overall U.S. speak, attendees should not interrupt information and advice to NMFS on the Atlantic BFT fishery, participating in one another). The NMFS representative issue of fairness in the context of the fishery since the 1950’s. will attempt to structure the hearing so allocation to the Purse Seine category. NMFS proposes this action to remove that all attending members of the public Among the points used by the AP in the purse seine allocation cap under the are able to comment, if they so choose, support of removing the cap were the framework provisions described in the regardless of the controversiality of the following: (1) a cap on one category and FMP. NMFS believes that the allocation subject(s). Attendees are expected to not on others is not fair and equitable, of a percentage of the BFT landings respect the ground rules, and if they do (2) a cap on the only category in the quota, without a cap, is consistent with not, they will be asked to leave the fishery which is managed under limited management measures in the FMP, and hearing.

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Classification The proposed rule would remove the 250 reached for the other fisheries which are metric ton (mt) maximum allocation allocated BFT quota - the Atlantic This proposed rule is published under restriction (cap) on the Purse Seine fishery the authority of the Magnuson-Stevens pelagic longline fishery and the for Atlantic bluefin tuna (BFT), establishing harpoon, hand gear, and rod and reel Act, 16 U.S.C. 1801 et seq., and the the Purse Seine category BFT quota Atlantic Tunas Convention Act, 16 allocation at 18.6 percent of the overall U.S. fisheries for Atlantic HMS. U.S.C. 971 et seq. Preliminarily, the AA BFT landings quota (1,347 metric tons for This proposed rule would remove the has determined that the regulations 1999). Because the overall U.S. BFT landings 250 mt cap on the annual Purse Seine contained in this proposed rule are quota would remain the same, and the category BFT quota allocation. Because consistent with the FMP, the Magnuson- amount of BFT quota that would be allocated the only fisheries which may be affected Stevens Act, and the 1998 ICCAT to the Purse Seine category through this by this proposed rule are Category III proposed action (8 metric tons) was fisheries, the proposed rule is not recommendation (ICCAT Rebuilding previously allocated to the Reserve, and not Program). expected to increase endangered species to any particular fishing category, additional or marine mammal interaction rates. NMFS prepared a draft EA for this revenues would accrue to small businesses proposed rule with a preliminary associated with the purse seine fishery The area in which this proposed finding of no significant impact on the without directly affecting other fishing action is planned has been identified as human environment. In addition, a draft categories. essential fish habitat (EFH) for species managed by the New England Fishery RIR was prepared with a preliminary Because of this certification, an Initial Management Council, the Mid-Atlantic finding of no significant impact. The Regulatory Flexibility Analysis was not Fishery Management Council and the reasons this action is being considered prepared. and the objectives of, and legal basis for, This proposed rule has been Highly Migratory Species Division of the proposed rule are as stated in the determined to be not significant for NMFS. It is not anticipated that this preamble here. There are no relevant purposes of E.O. 12866. action will have any adverse impacts to Federal rules which duplicate, overlap, NMFS initiated formal consultation EFH and therefore no consultation is or conflict with the proposed rule. on the HMS and billfish fisheries on required. NMFS considered alternatives to the May 12, 1998. The consultation request List of Subjects in 50 CFR Part 635 preferred alternative, including: no concerned the possible effects of Fisheries, Fishing, Reporting and action (maintaining cap of 250 mt for management measures in the HMS FMP recordkeeping requirements, Treaties. the Purse Seine category), removal of and Billfish Amendment. On April 23, the cap on the Purse Seine category, and 1999, NMFS issued a Biological Dated: August 12, 1999. reduction of the Purse Seine category Opinion (BO) under section 7 of the Andrew A. Rosenberg, percentage share allocation by 50 Endangered Species Act. The BO Deputy Assistant Administrator for Fisheries, percent. applies to the Atlantic pelagic fisheries National Marine Fisheries Service. Notwithstanding any other provision for tunas, sharks, swordfish, and For the reasons set out in the of law, no person is required to respond billfish. preamble, 50 CFR part 635 is proposed to, nor shall any person be subject to a The BFT purse seine fishery is to be amended as follows: penalty for failure to comply with, a currently listed as a category III fisheries collection-of-information subject to the under the Marine Mammal Protection PART 635ÐATLANTIC HIGHLY requirements of the Paperwork Act. This fishery was observed in 1996, MIGRATORY SPECIES Reduction Act (PRA), unless that with near 100–percent coverage. Six 1. The authority citation for part 635 collection of information displays a pilot whales, one humpback whale, and continues to read as follows: currently valid Office of Management one minke whale were observed as and Budget (OMB) control number. encircled by the nets during the fishery. Authority: 16 U.S.C. 971 et seq. and 16 This proposed rule restates an All were released alive or dove under U.S.C. 1801 et seq. information collection requirement the nets and escaped before being 2. In § 635.27, introductory paragraph relating to purse seine landings quota pursed. Purse seines are set when a (a) and paragraphs (a)(4)(i) and (iii) are allocations. Written requests for purse school of fish is located, after which the revised to read as follows: seine allocations for Atlantic tunas and vessel pays out the net in a circle notification of transfers as required around the school. This affords § 635.27 Quotas. under § 635.27 are not currently considerable control over what is (a) BFT. Consistent with ICCAT approved by OMB. However, requests encircled by the net and the net does recommendations, NMFS will subtract for purse seine allocations and transfer not remain in the water for any any allowance for dead discards from notifications are not subject to the PRA considerable amount of time. Therefore, the fishing year’s total U.S. quota for because, under current regulations, a this gear-type is not likely to result in BFT that can be caught and allocate the maximum of five vessels could be mortality or serious injury of marine remainder to be retained, possessed, or subject to reporting under this mammals or sea turtles. landed by persons and vessels subject to requirement. Since it is impossible for The BO states that after reviewing the U.S. jurisdiction. The total landing 10 or more respondents to be involved, current status of the subject species, the quota will be divided among the the information collection is exempt environmental baseline for the action General, Angling, Harpoon, Purse Seine, from the PRA clearance requirement. area, the effects of the continued Longline, and Trap categories. The Chief Counsel for Regulation of operation of the Atlantic HMS fisheries Consistent with these allocations and the Department of Commerce has and associated management actions, and other applicable restrictions of this part, certified to the Chief Counsel for the cumulative effects, it is NMFS’ BO BFT may be taken by persons aboard Advocacy of the Small Business that the continued operation of the vessels issued Atlantic Tunas permits or Administration that the proposed rule, purse seine fishery may adversely affect, HMS Charter/Headboat permits. if implemented, would not have a but is not likely to jeopardize the Allocations of the BFT landings quota significant economic impact on a continued existence of any endangered will be made according to the following substantial number of small entities as or threatened species under NMFS percentages: General - 47.1 percent; follows: jurisdiction. A similar conclusion was Angling - 19.7 percent, which includes

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Notices Federal Register Vol. 64, No. 159

Wednesday, August 18, 1999

This section of the FEDERAL REGISTER provisions of the Paperwork Reduction our own internal processing efficiencies. contains documents other than rules or Act (44 U.S.C. chapter 35). These questions will be asked only proposed rules that are applicable to the Agency: U.S. Census Bureau. during the 1999 ASM collection. public. Notices of hearings and investigations, Title: Annual Survey of Manufactures. We are also still working on the exact committee meetings, agency decisions and Form Number(s): MA–1000(L), MA– wording and structure of the questions. rulings, delegations of authority, filing of petitions and applications and agency 1000(S). The basic content will not change and statements of organization and functions are Agency Approval Number: 0607– is included with this submission. We examples of documents appearing in this 0449. will continue to refine the wording of section. Type of Request: Revision of a these questions over the next few weeks. currently approved collection. We estimate that these questions can be Burden: 190,080 hours. completed without referring to company DEPARTMENT OF AGRICULTURE Number of Respondents: 55,000. records and can be completed in five Avg Hours Per Response: Three and a minutes or less. Forest Service half hours. Affected Public: Businesses or other Needs and Uses: The Census Bureau for-profit organizations. Blue Mountains Natural Resources has conducted the Annual Survey of Frequency: Annually. Institute, Board of Directors, Pacific Manufactures (ASM) since 1949 to Respondent’s Obligation: Mandatory. Northwest Research Station, Oregon provide key measures of manufacturing Legal Authority: Title 13 U.S.C., AGENCY: Forest Service, USDA. activity during intercensal periods. In Sections 182, 224, and 225. OMB Desk Officer: Linda Hutton, ACTION: Notice of meeting. census years ending in ‘‘2’’ and ‘‘7’’, we mail and collect the ASM as part of the (202) 395–7858. SUMMARY: The Blue Mountains Natural census of manufactures. This survey is Copies of the above information Resources Institute (BMNRI) Board of an integral part of the Government’s collection proposal can be obtained by Directors will meet on September 15, statistical program. The ASM furnishes calling or writing Linda Engelmeier, 1999, at Island City Hall, 10605 Island up-to-date estimates of employment and DOC Forms Clearance Officer, (202) Avenue, La Grande, Oregon. The payrolls, hours and wages of production 482–3272, Department of Commerce, meeting will begin at 9:00 a.m. and workers, value added by manufacture, room 5033, 14th and Constitution continue until 3:30 p.m. Agenda items cost of materials, value of shipments by Avenue, NW, Washington, DC 20230 (or to be covered will include: (1) product class, inventories, and via the Internet at [email protected]). Discussion and decision on new expenditures for both plant and Written comments and Institute direction, and (2) public equipment and structures. The survey recommendations for the proposed comments. All BMNRI Board Meetings provides data for most of these items for information collection should be sent are open to the public. Interested each of the 474 industries as defined in within 30 days of publication of this citizens are encouraged to attend. the North American Industry notice to Linda Hutton, OMB Desk Members of the public who wish to Classification System (NAICS). It also Officer, room 10201, New Executive make a brief oral presentation at the provides geographic data by state at a Office Building, Washington, DC 20503. meeting should contact Lynn Starr, more aggregated industry level. Dated: August 13, 1999. BMNRI, 1401 Gekeler Lane, La Grande, The survey also provides valuable Linda Engelmeier, Oregon 97850, 541–962–6548, no later information to private companies, Departmental Forms Clearance Officer, Office than 5:00 p.m. September 10, 1999, to research organizations, and trade of the Chief Information Officer. have time reserved on the agenda. associations. Industry makes extensive [FR Doc. 99–21462 Filed 8–17–99; 8:45 am] FOR FURTHER INFORMATION CONTACT : use of the annual figures on product BILLING CODE 3510±07±P Direct questions regarding this meeting class shipments at the U.S. level in its to Lynn Starr, Acting Manager, BMNRI, market analysis, product planning, and 1401 Gekeler Lane, La Grande, Oregon investment planning. The ASM data are DEPARTMENT OF COMMERCE 97850, 541–962–6548. used to benchmark and reconcile Dated: August 9, 1999. monthly and quarterly data on Census Bureau manufacturing production and Lynn Starr, Survey of Program DynamicsÐ2000 Acting Manager. inventories. The content of the questionnaires for [FR Doc. 99–21430 Filed 8–17–99; 8:45 am] ACTION: Proposed collection; comment the 1999–2001 ASM is identical to the request. BILLING CODE 3410±11±M 1998 ASM report forms with the exception of our plans to use the ASM SUMMARY: The Department of to collect some very basic base-line Commerce, as part of its continuing DEPARTMENT OF COMMERCE information about manufacturers use of effort to reduce paperwork and Submission For OMB Review; e-commerce and e-business. We are still respondent burden, invites the general Comment Request in the process of determining whether to public and other federal agencies to take include the questions on the bottom of this opportunity to comment on DOC has submitted to the Office of the current ASM form or to put them on proposed and/or continuing information Management and Budget (OMB) for a separate one-page flier. We will make collections, as required by the clearance the following proposal for that determination based on how best to Paperwork Reduction Act of 1995, Pub. collection of information under the reach the appropriate respondent and L. 104–13 (44 U.S.C. 3506(c)(2)(A)).

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DATES: Written comments must be plus extended measures of child well- (including hours and cost) of the submitted on or before October 18, being. The 1998 SPD included an proposed collection of information; (c) 1999. adolescent self-administered ways to enhance the quality, utility, and ADDRESSES: Direct all written comments questionnaire. A bridge survey using the clarity of the information to be to Linda Engelmeier, Departmental Current Population Survey March collected; and (d) ways to minimize the Forms Clearance Officer, Department of questionnaire was conducted in the burden of the collection of information Commerce, Room 5033, 14th and spring of 1997 to provide a link to on respondents, including through the Constitution Avenue, NW, Washington, baseline data for the period prior to the use of automated collection techniques DC 20230 (or via the Internet at implementation of the welfare reform or other forms of information [email protected]). activities. technology. Comments submitted in response to FOR FURTHER INFORMATION CONTACT: II. Method of Collection Requests for additional information or this notice are summarized and/or copies of the information collection The SPD is a longitudinal study of included in the request for OMB instrument and instructions should be welfare-related activities with the approval of this information collection; directed to Michael McMahon, U.S. sample respondents originally selected they also will become a matter of public Census Bureau, FOB 3, Room 3375, from 1992 and 1993 SIPP panels. record. Washington, DC 20233–0001, (301) 457– Interviews were conducted in 1997, Dated: August 13, 1999. 3819. 1998, and 1999. Subsequent data Linda Engelmeier, collections are scheduled for 2000 to SUPPLEMENTARY INFORMATION: Departmental Forms Clearance Officer, Office 2002. Data are collected using a of the Chief Information Officer. computer-assisted interviewing (CAI) I. Abstract [FR Doc. 99–21463 Filed 8–17–99; 8:45 am] instrument from a nationally The Survey of Program Dynamics BILLING CODE 3510±07±P (SPD) is a household-based survey representative sample of the designed as a data collection vehicle noninstitutionalized resident that can provide the basis for an overall population living in the U.S. for all DEPARTMENT OF COMMERCE evaluation of how well welfare reforms persons, families, and households. are achieving the aims of the Persons who are at least 15 years of age Census Bureau at the time of the interview will be Administration and the Congress and Annual Capital Expenditures Survey meeting the needs of the American eligible to be in the survey. A small sample of households is people. ACTION: Proposed collection; comment scheduled for reinterview. The The SPD is a large, longitudinal, request. nationally-representative study that reinterview process assures that all measures participation in welfare households were properly contacted SUMMARY: The Department of programs, including both programs that and that the data are valid. Commerce, as part of its continuing are being reformed and those that III. Data effort to reduce paperwork and respondent burden, invites the general remain unchanged. The SPD measures OMB Number: 0607–0838. other important social, economic, public and other Federal agencies to Form Number: CAI Automated take this opportunity to comment on demographic, and family changes that Instrument. will allow analysis of the effectiveness proposed and/or continuing information Type of Review: Regular. collections, as required by the of the welfare reforms. Affected Public: Individuals or With the August 22, 1996, signing of Paperwork Reduction Act of 1995, Pub. Households. L. 104–13 (44 U.S.C. 3506(c)(2)(A)). the Personal Responsibility and Work Estimated Number of Household DATES: Written comments must be Opportunity Reconciliation Act of 1996 Respondents: 42,000. (Pub L. 104–193), the Census Bureau is Estimated Number of Reinterview submitted on or before October 18, required to conduct the SPD, using as Respondents: 1,500. 1999. the sample the households from the Estimated Time Per Response: 36 ADDRESSES: Direct all written comments 1992 and 1993 Survey of Income and minutes per respondent, 10 minutes per to Linda Engelmeier, Departmental Program Participation (SIPP). The reinterview. Forms Clearance Officer, Department of information obtained will be used to Estimated Total Annual Burden Commerce, Room 5033, 14th and evaluate the impact of this law on a Hours: 25,150. Constitution Avenue, NW, Washington, sample of previous welfare recipients Estimated Total Annual Cost: No DC 20230 (or via the Internet at and future recipients of assistance under costs to the respondents other than their [email protected]). new state programs funded under this time. FOR FURTHER INFORMATION CONTACT: law as well as assess the impact on Respondent’s Obligation: Voluntary. Requests for additional information or other low-income families. Issues of Legal Authority: Title 13, United copies of the information collection particular attention include welfare States Code, section 182, and Pub. L. instrument(s) and instructions should dependency, the length of welfare 104–193, Section 414 (signed 8/22/96), be directed to Charles Funk, Census spells, the causes of repeat welfare Title 42, United States Code, Section Bureau, Room 1285–3, Washington, DC spells, educational enrollment and work 614. 20233, (301) 457–3324. training, health care utilization, out-of- SUPPLEMENTARY INFORMATION: wedlock births, and the status of IV. Request for Comments children. Comments are invited on: (a) Whether I. Abstract The 2000 SPD is the third year of data the proposed collection of information The Census Bureau plans the collection using the same core is necessary for the proper performance continuing information collection for questions. A one-time topical module of the functions of the agency, including the 1999 through 2001 Annual Capital will collect the residential histories of whether the information shall have Expenditures Survey (ACES). The basic children. The previous wave, conducted practical utility; (b) the accuracy of the annual survey collects data on fixed in the spring of 1999, collected core data agency’s estimate of the burden assets and depreciation, sales and

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Employer and The Census Bureau will use mail out/ is necessary for the proper performance nonemployer businesses are included in mail back survey forms to collect data. of the functions of the agency, including the survey. Respondent companies are permitted to whether the information shall have The Bureau of Economic Analysis respond via facsimile machine to our practical utility; (b) the accuracy of the (BEA), the primary Federal user of our toll-free number. Companies will be agency’s estimate of the burden annual program statistics, uses the asked to respond to the survey within (including hours and cost) of the information in refining and evaluating 30 days of the initial mailing. Letters proposed collection of information; (c) annual estimates of investment in and/or telephone calls encouraging ways to enhance the quality, utility, and structures and equipment in the participation will be directed to clarity of the information to be national income and product accounts, respondents that have not responded by collected; and (d) ways to minimize the compiling annual input-output tables, the designated time. burden of the collection of information and computing gross domestic product on respondents, including through the (GDP) by industry. The Federal Reserve III. Data use of automated collection techniques Board (FRB) uses the data to improve OMB Number: 0607–0782. or other forms of information estimates of investment indicators for Form Number: ACE–1 (Sent to technology. monetary policy. The Bureau of Labor employer companies reporting payroll Comments submitted in response to Statistics (BLS) uses the data to improve to the Internal Revenue Service), ACE– this notice will be summarized and/or estimates of capital stocks for 2 (Sent to nonemployer businesses), and included in the request for OMB productivity analysis. ACE–B (Sent to employer and approval of this information collection; Industry analysts use these data for nonemployer businesses for E-business they also will become a matter of public market analysis, economic forecasting, information). record. identifying business opportunities, Type of Review: Regular Review. Dated: August 13, 1999. product development, and business Affected Public: Businesses or other Linda Engelmeier, planning. for-profit organizations, non-profit Departmental Forms Clearance Officer, Office Changes from the previous ACES are institutions, small businesses or of the Chief Information Officer. the elimination of detailed capital organizations, and self-employed [FR Doc. 99–21464 Filed 8–17–99; 8:45 am] expenditures by type of structure and individuals. BILLING CODE 3510±07±P type of equipment, the incorporation of the North American Industry Estimated Number of Respondents: There are 57,000 (42,000 employer Classification System (NAICS) into the DEPARTMENT OF COMMERCE ACES, and a supplemental companies, and 15,000 nonemployer businesses) under NAICS for the basic questionnaire requesting information on Foreign-Trade Zones Board electronic business (E-business) annual survey. The increase of 11,000 processes used by businesses. respondents is due to the expansion of [Docket 40±99] Detailed capital expenditures by type industries under the NAICS. All 57,000 businesses will receive the E-business Foreign-Trade Zone 8ÐToledo, Ohio of structure and type of equipment data Area Application for Expansion were collected last year in the 1998 supplement. ACES. These data, collected together Estimated Time Per Response: The An application has been submitted to once every five years, are not scheduled average for all respondents is 1.234 the Foreign-Trade Zones (FTZ) Board to be requested again until the 2003 hours. For companies completing form (the Board) by the Toledo-Lucas County ACES. ACE–1, the range is 2 to 16 hours, Port Authority, grantee of Foreign-Trade Previous year’s estimates of capital averaging 2.857 hours. For companies Zone 8, requesting authority to expand expenditures were published on the completing form ACE–2, the range is its zone in the Toledo, Ohio area, within Standard Industrial Classification (SIC) less than 1 hour to 2 hours, averaging the Toledo/Sandusky Customs port of basis. Beginning with the 1999 ACES, 1 hour. For companies completing the entry. The application was submitted we will publish data on the NAICS. Due ACE–B, the range is estimated at less pursuant to the provisions of the to the major restructuring of industries than five minutes to ten minutes, Foreign-Trade Zones Act, as amended that occurred under the NAICS, we will averaging six minutes (.10 hours). (19 U.S.C. 81a-81u), and the regulations collect and publish data for Estimated Total Annual Burden of the Board (15 CFR part 400). It was approximately 132 industries. This is an Hours: The total annual burden is formally filed on August 5, 1999. increase from 97 industries under the 140,700 hours. FTZ 8 was approved on October 11, SIC system. Estimated Total Annual Cost: The 1960 (Board Order 51, 25 FR 9909, 10/ We are planning a supplemental total cost to all respondents is estimated 15/60) and expanded on January 22, questionnaire requesting information on to be $1,968,393 based on the hourly 1973 (Board Order 92, 38 FR 3015, 1/31/ E-business processes used by salary of $13.99 for entry level 73); January 11, 1985 (Board Order 277, businesses. Although questions are not accountants and auditors. (Occupational 50 FR 2702,1/18/85); and, August 19, yet finalized, we anticipate collecting Employment Statistics—Bureau of Labor 1991 (Board Order 532, 56 FR 42026, 8/ check-box information on whether Statistics 1997 National Occupational 26/91). The general-purpose zone businesses use or plan to use E-business Employment and Wage Estimates for currently consists of 2 sites (487 acres) processes for activities such as Professional, Paraprofessional, and in the Toledo area: Site 1 (150 acres)— procurement, production control, Technical Occupations). http:// within the Port of Toledo complex at the automated stock replenishment, stats.bls.gov/oes/national/oeslprof.htm Overseas Cargo Center, Toledo; and, Site marketing, electronic selling, payment Respondents’ Obligation: Mandatory. 2 (337 acres)—at the Toledo Express

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Airport, in Swanton, Ohio, some 5 miles determined that there were no entries of the date of publication of notice of west of Toledo. the subject merchandise made by Icdas initiation of the requested review. Given The applicant is now requesting Celik Enerji Tersane ve Ulasim Sanayi, that the review has not progressed authority to expand the general-purpose A.S. during the period of review, we are substantially and there would be no zone to include an additional site: rescinding the 1998—1999 undue burden on the parties or the Proposed Site 3 (10 acres)—at the First administrative review of certain steel Department, the Department has Choice Packaging warehouse facility concrete reinforcing bars from Turkey. determined that it is reasonable to (owned by Eveready Battery Company, EFFECTIVE DATE: August 18, 1999. accept Colakoglu’s withdrawal of Inc.), 1501 West State Street, Fremont. FOR FURTHER INFORMATION CONTACT: request for review. The facility will be operated by First Shawn Thompson or Irina Itkin, AD/ Pursuant to 19 CFR 351.213(d)(3), the Choice as a public warehouse facility CVD Enforcement Group I, Import Department will rescind an with packaging services. Administration, International Trade administrative review, in whole or in No specific manufacturing requests Administration, U.S. Department of part, if it determines that there have are being made at this time. Such Commerce, 14th Street and Constitution been no shipments of subject requests would be made to the Board on Avenue, NW, Washington, DC 20230; merchandise during the POR. The a case-by-case basis. telephone (202) 482–1776 or (202) 482– Department has determined that no In accordance with the Board’s 0656, respectively. subject merchandise produced or regulations, a member of the FTZ Staff exported by ICDAS entered into the has been designated examiner to Applicable Statute and Regulations United States for consumption during investigate the application and report to Unless otherwise indicated, all the POR and, thus, there are no entries the Board. citations to the Act are references to the subject to the review. Because ICDAS Public comment on the application is provisions effective January 1, 1995, the had no U.S. entries for consumption of invited from interested parties. effective date of the amendments made covered merchandise during the POR, Submissions (original and 3 copies) to the Act by the Uruguay Round there is no basis for continuing this shall be addressed to the Board’s Agreements Act (URAA). In addition, administrative review. Executive Secretary at the address unless otherwise indicated, all citations Therefore, the Department is below. The closing period for their to the Department’s regulations are to rescinding this review. This rescission receipt is October 18, 1999. Rebuttal the regulations codified at 19 CFR part of the administrative review and notice comments in response to material 351 (1998). are in accordance with section 751 of submitted during the foregoing period Background the Act and 19 CFR 351.213(d). may be submitted during the subsequent Dated: August 11, 1999. 15-day period (November 1, 1999). On April 30, 1999, Colakoglu A copy of the application and Metalurji A.S. (Colakoglu) requested Susan Kuhbach, accompanying exhibits will be available that the Department conduct an Acting Deputy Assistant Secretary for Import for public inspection at each of the administrative review of the Administration. following locations: antidumping duty order on certain steel [FR Doc. 99–21461 Filed 8–17–99; 8:45 am] Office of the Toledo-Lucas County, Port concrete reinforcing bars (rebar) from BILLING CODE 3510±DS±P Authority, One Maritime Plaza, 7th Turkey for the period April 1, 1998, through March 31, 1999. Also on April Floor, Toledo, OH 43604–1866 DEPARTMENT OF COMMERCE Office of the Executive Secretary, 30, 1999, ICDAS Celik Enerji Tersane ve Ulasim Sanayi A.S. (ICDAS) requested Foreign-Trade Zones Board, Room International Trade Administration 3716, U.S. Department of Commerce, that the Department conduct an 14th & Pennsylvania Avenue, NW, administrative review for the period [A±549±502] Washington, DC 20230 August 1, 1998, through March 31, 1999. No other interested party Notice of Extension of Time Limit for Dated: August 10, 1999. requested that the Department conduct Antidumping Duty Administrative Diane Finver, an administrative review. Review of Certain Welded Carbon Steel Acting Executive Secretary. On May 28, 1999, the Department Pipes and Tubes from Thailand [FR Doc. 99–21459 Filed 8–17–99; 8:45 am] published in the Federal Register a AGENCY: Import Administration, BILLING CODE 3510±DS±P notice of initiation of administrative review with respect to Colakoglu and International Trade Administration, ICDAS. See Initiation of Antidumping Department of Commerce. DEPARTMENT OF COMMERCE and Countervailing Duty Administrative EFFECTIVE DATE: August 18, 1999. Reviews and Request for Revocation in SUMMARY: The Department of Commerce International Trade Administration Part; 64 FR 28973 (May 28, 1999). (the Department) is extending the time [A±489±807] On June 18, 1999, ICDAS informed the Department that it made no sales of limit for the final results of the 1997– Certain Steel Concrete Reinforcing subject merchandise to the United 1998 antidumping duty administrative Bars from Turkey; Rescission of States during the period of review review for the antidumping order on Antidumping Duty Administrative (POR). On August 9, 1999, Colakoglu certain welded carbon steel pipes and Review withdrew its request for an tubes from Thailand, pursuant to the administrative review. Tariff Act of 1930, as amended by the AGENCY: Import Administration, Uruguay Round Agreements Act International Trade Administration, Rescission of Review (hereinafter, ‘‘the Act’’). Department of Commerce. Pursuant to 19 CFR 351.213(d)(1), the FOR FURTHER INFORMATION CONTACT: John SUMMARY: In response to a timely Department will rescind an Totaro, AD/CVD Enforcement Office 7, withdrawal of a request for a review by administrative review, in whole or in Import Administration, International Colakoglu Metalurji A.S. and because part, if a party that requested a review Trade Administration, U.S. Department the Department of Commerce has withdraws the request within 90 days of of Commerce, 14th Street and

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Constitution Avenue, NW, Washington, does not propose, to increase the 9925), and remain in effect until DC 20230, telephone (202) 482–1374. number of annual launches from December 31, 2003. SUPPLEMENTARY INFORMATION: Under Vandenberg that are authorized to take In accordance with the MMPA, as section 751(a)(3)(A) of the Act, the marine mammals under the LOA. amended, and implementing Department may extend the deadline for DATES: Comments and information must regulations, a 1-year LOA to take small completion of an administrative review numbers of seals and sea lions was be received no later than September 2, th if it determines that it is not practicable 1999. issued on April 2, 1999, to the 30 to complete the review within the Space Wing (64 FR 17145, April 8, ADDRESSES: Comments on the 1999). On August 3, 1999, the 30th Space statutory time limit of 365 days. In the application should be addressed to instant case, the Department has Wing requested NMFS to amend the Donna Wieting, Chief, Marine Mammal LOA to include a new rocket, the determined that it is not practicable to Division, Office of Protected Resources, complete the review within the Minotaur, to the list of rockets NMFS, 1315 East-West Highway, Silver authorized to take harbor seals and statutory time limit. See Memorandum Spring, MD 20910–3225. A copy of the from Richard O. Weible to Robert S. California sea lions incidental to request for modification, the LOA and activities at Vandenberg. LaRussa (August 11, 1999). the supporting documentation are Because it is not practicable to available for review during regular Discussion and Analysis complete this review within the time business hours in the following offices: Spaceport Systems International (SSI) limits mandated by the Act (245 days Office of Protected Resources, NMFS, wants to begin launching the OSP Space from the last day of the anniversary 1315 East-West Highway, Silver Spring, Launch Vehicle, the Minotaur rocket, month for preliminary results, 120 MD 20910, and the Southwest Region, from the California Commercial additional days for final results), in NMFS, 501 West Ocean Boulevard, Spaceport (CCS) on Vandenberg. The accordance with section 751(a)(3)(A) of Suite 4200, Long Beach, CA 90802. Minotaur contains 2 segments of the Act, the Department is extending the FOR FURTHER INFORMATION CONTACT: Minuteman II solid-fuel motors and 2 time limit for the final results until Orion upperstage motors. According to September 10, 1999. Kenneth R. Hollingshead, Office of Protected Resources, NMFS, (301) 713– SSI, the sound emitted during the Dated: August 11, 1999. 2055, or Christina Fahy, NMFS, (562) launch should be no more than what a Richard O. Weible, 980–4023. Minuteman II would emit. Acting Deputy Assistant Secretary for Import Because this is a new launch vehicle, SUPPLEMENTARY INFORMATION: Section Administration. it was not included in the LOA issued 101(a)(5)(A) of the MMPA (16 U.S.C. [FR Doc. 99–21460 Filed 8–17–99; 8:45 am] to Vandenberg on April 2, 1999. 1361 et seq.) directs NMFS to allow, on Therefore, in order for NMFS to BILLING CODE 3510±DS±P request, the incidental, but not authorize the takings by harassment intentional, taking of small numbers of incidental to this new rocket, NMFS marine mammals by U.S. citizens who DEPARTMENT OF COMMERCE must be assured that the takings will not engage in a specified activity (other than exceed the level of incidental National Oceanic and Atmospheric commercial fishing) within a specified harassment considered when it made its Administration geographical region if certain findings negligible impact finding on March 1, are made and regulations are issued. 1999 (64 FR 9925). First, Vandenberg is [I.D. 080599C] Under the MMPA, the term ‘‘taking’’ authorized to harass pinnipeds means to harass, hunt, capture, or kill or Taking and Importing Marine incidental to 10 missile launches from to attempt to harass, hunt, capture or Mammals; Taking Marine Mammals North Vandenberg and 20 rocket kill marine mammals. Incidental to Rocket Launches launches annually from South Permission may be granted for periods Vandenberg. This authorized level of AGENCY: National Marine Fisheries up to 5 years if NMFS finds, after launches for incidental takes of marine Service (NMFS), National Oceanic and notification and opportunity for public mammals will not be modified by Atmospheric Administration (NOAA), comment, that the taking will have a NMFS to add this additional rocket to Commerce. negligible impact on the species or the LOA. Second, as mentioned ACTION: Notice of proposed modification stock(s) of marine mammals and will previously, the Minotaur rocket consists to a letter of authorization; request for not have an unmitigable adverse impact of the first two segments of Minuteman comments. on the availability of the species or II solid-fuel motors and two Orion stock(s) for subsistence uses. In upperstage motors. For incidental takes SUMMARY: On August 3, 1999, the 30th addition, NMFS must prescribe of pinnipeds on the Vandenberg Space Wing, U.S. Air Force, requested a regulations that include permissible coastline, only the first one or two modification to the Letter of methods of taking and other means motors are important for assessing Authorization (LOA) issued to it on effecting the least practicable adverse impacts along the California coast. The April 2, 1999. The letter requests that a impact on the species and its habitat Minotaur, like the Minuteman II new rocket, the Minotaur, be added to and on the availability of the species for missiles launched from North the list of rockets authorized to take subsistence uses, paying particular Vandenberg, use Thiokol first-stage harbor seals and California sea lions attention to rookeries, mating grounds, rocket motor with 202,600 pounds (lbs) incidental to rocket launches from and areas of similar significance. The of thrust and a second-stage motor made Vandenberg Air Force Base regulations must include requirements by Aerojet with 60,000 lbs of thrust. As (Vandenberg) in California. Under the pertaining to the monitoring and a result, launch noises would be similar Marine Mammal Protection Act reporting of such taking. Regulations to those expected at North Vandenberg (MMPA), NMFS is requesting comments governing the taking of seals and sea during a Minuteman II launch. on its proposal to amend the LOA lions incidental to missile and rocket Third, Vandenberg has requested a issued to the 30th Space Wing to launches, aircraft flight test operations, small take of harbor seals (and possibly authorize this new rocket type. The U.S. and helicopter operations at Vandenberg a few California sea lions) by incidental Air Force has not requested, and NMFS were published on March 1, 1999 (64 FR harassment for this rocket launched

VerDate 18-JUN-99 18:18 Aug 17, 1999 Jkt 183247 PO 00000 Frm 00005 Fmt 4703 Sfmt 4703 E:\FR\FM\18AUN1.XXX pfrm11 PsN: 18AUN1 44894 Federal Register / Vol. 64, No. 159 / Wednesday, August 18, 1999 / Notices from the CCS, an area close to Space monitor the impacts of the Minotaur individual shipyards. Respondents are Launch Complex (SLC)–6. While the launches at CCS. Because this is a new businesses involved in shipbuilding CCS was identified in the 30th Space launch vehicle, the 30th Space Wing and/or repair. Wing’s July 11, 1997, application for a would be required under the LOA to Affected Public: Business or Other small take authorization and in the U.S. measure the noise profiles from the For-Profit. Air Force’s Programmatic Operations rocket at the time of its first launch and Frequency: Annually. Environmental Assessment for small to monitor impacts on marine mammals Respondent’s Obligation: Voluntary. takes of marine mammals, because the at nearby active, pinniped haulouts. OMB Desk Officer: Mr. Edward C. CCS was under construction at the time, Springer. Written comments and Information Solicited no rocket types were identified for recommendations on the proposed launching at that time of the application NMFS requests interested persons to information collection should be sent to to NMFS. As a result, an incidental take submit comments, and information, Mr. Springer at the Office of assessment could not be made for this concerning this request (see ADDRESSES). Management and Budget, Desk Officer location by either NMFS or the 30th Issuance of a modified LOA will be for DoD, Room 10236, New Executive Space Wing during the rulemaking. based on a finding that the total takings Office Building, Washington, DC 20503. However, impacts to pinnipeds from will have no more than a negligible DOD Clearance Officer: Mr. Robert launches at nearby SLC–6 by Lockheed impact on the seal and sea lion Cushing. Written requests for copies of Martin’s family of Athena rockets was populations off the Vandenberg coast the information collection proposal analyzed on July 21, 1998 (63 FR 39055) and on the Northern Channel Islands. should be sent to Mr. Cushing, WHS/ and previously (see 60 FR 24840, May Dated: August 12, 1999. DIOR, 1215 Jefferson Davis Highway, 10, 1995). Suite 1204, Arlington, VA 22202–4302. Finally, because the Minotaur rocket’s Art Jeffers, first stage solid-fuel booster is half the Deputy Director, Office of Protected Dated: August 12, 1999. size of the first-stage booster of the Resources, National Marine Fisheries Service. Patricia L. Toppings, Athena 1 launched from SLC–6, it can [FR Doc. 99–21469 Filed 8–17–99; 8:45 am] Alternate OSD Federal Register Liaison be expected to impact the nearby harbor BILLING CODE 3510±22±F Officer, Department of Defense. seal haulouts to a lesser, but unknown, [FR Doc. 99–21349 Filed 8–17–99; 8:45 am] level than the Athena. NMFS estimated BILLING CODE 5001±10±M that the Athena rocket would, under DEPARTMENT OF DEFENSE typical conditions, result in a sound pressure level (SPL) of 127 dB (107 Office of the Secretary DEPARTMENT OF DEFENSE dBA) re 20 µPa at the harbor seal Submission for OMB Review; haulouts at Rocky Point, which are Office of the Secretary Comment Request about 1.5 mi (2.4 km) to the south and [Transmittal No. 99±26] southwest of SLC–6. This level is ACTION: Notice. sufficient to cause harbor seals to leave 36(b)(1) Arms Sales Notification the beach at Point Arguello, Rocky The Department of Defense has Point, and Boathouse Flats. However, submitted to OMB for clearance, the AGENCY: Defense Security Cooperation because the CCS is only 1 mile (1.6 km) following proposal for collection of Agency, Department of Defense. information under the provisions of the from the closest haulout at Rocky Point ACTION: Notice. whereas SLC–6 is approximately 2.5 mi Paperwork Reduction Act (44 U.S.C. (4.0 km) away from the nearest haulout, Chapter 35). SUMMARY: The Department of Defense is NMFS expects that SPLs from the Title, Associated Form, and OMB publishing the unclassified text of a launch of the Minotaur will be similar Number: Facilities Available for the section 36(b)(1) arms sales notification. to levels expected from the Athena Construction or Repair of Ships; SF This is published to fulfill the rocket at the Rocky Point haulout. Form 17; OMB Number 0703–0006. requirements of section 155 of P.L. 104– Because the addition of the Minotaur Type of Request: Reinstatement. 164 dated 21 July 1996. Number of Respondents: 151. rocket to the launch list at Vandenberg FOR FURTHER INFORMATION CONTACT: Ms. will not result in an increase in the Responses Per Respondent: 1. J. Hurd, DSCA/COMPT/RM, (703) 604– Annual Response: 151. number of launches authorized to take 6575. Average Burden Per Response: 4.5 pinnipeds under the LOA, NMFS does The following is a copy of a letter to hours. not expect additional cumulative the Speaker of the House of Annual Burden Hours: 680. impacts to occur and therefore, NMFS Representatives, Transmittal 99–26 with Needs and Uses: This collection of has preliminarily determined that the attached transmittal, policy justification, information provides the Naval Sea takes will remain small and not have and Sensitivity of Technology. more than a negligible impact on seals Systems Command (NAVSEASYSCOM) and sea lions at Vandenberg. and the maritime Administration with a Dated: August 12, 1999. list of facilities available for L.M. Bynum, Monitoring and Reporting construction or repair of ships, and Alternate OSD Federal Register Liaison Under an amended LOA, if issued, the information utilized in a data base for Officer, Department of Defense. 30th Space Wing would be required to assessing the production capacity of the BILLING CODE 5001±10±M

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[FR Doc. 99–21350 Filed 8–17–99; 8:45 am] BILLING CODE 5001±10±C

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DEPARTMENT OF DEFENSE SUMMARY: The Department of Defense is The following is a copy of a letter to publishing the unclassified text of a the Speaker of the House of Office of the Secretary section 36(b)(1) arms sales notification. Representatives, Transmittal 99–28 with This is published to fulfill the attached transmittal, policy justification, [Transmittal No. 99±28] requirements of section 155 of P.L. 104– and Sensitivity of Technology. 36(b)(1) Arms Sales Notification 164 dated 21 July 1996. Dated: August 12, 1999. FOR FURTHER INFORMATION CONTACT: L.M. Bynum, AGENCY: Ms. Defense Security Cooperation Alternate OSD Federal Register Liaison Agency, Department of Defense. J. Hurd, DSCA/COMPT/RM, (703) 604– 6575. Officer, Department of Defense. ACTION: Notice. BILLING CODE 5001±10±M

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[FR Doc. 99–21351 Filed 8–17–99; 8:45 am] BILLING CODE 5001±10±C

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DEPARTMENT OF DEFENSE activities in a manner that maximizes groups and business associations, and the use of available training lands giving interested persons in January 1997 and Commander in Chief, U.S. Pacific consideration to environment impacts. June 1998. During the 45-day review Command Representative, Guam and This decision ensures the military period, oral and written comments were the Commonwealth of the Northern readiness of the multi-service forces by received from between 25 to 30 Mariana Islands (USCINCPAC REP providing varying terrain for field correspondents. After public Guam/CNMI); Record of Decision for training, amphibious landings, notification was provided in the Pacific Military Training in the Marianas supporting airfields, amphibious craft Daily News and Marianas Variety, and helicopter landing zones, parachute USCINCPAC REP GUAM/CNMI Introduction drop zones, live-fire small-arms conducted eight public hearings on The Department of Defense (DOD) weapons ranges, and underwater Saipan, Tinian, Rota and Guam to through Commander, U.S. Naval Forces demolition sites. The lands used for receive additional comments during Marianas (COMNAVMARIANAS), as specific training activities support day- March 1997. The responses to all public the designated USCINCPAC REP to-day training requirements, as well as comments were incorporated into the GUAM/CNMI, pursuant to Section 102 the more infrequent larger-scale Final EIS (FEIS) which was distributed (2) (C) of the National Environmental exercises. The environmental impacts of to the public on June 11, 1999 for a 30- Policy Act of 1969 (NEPA), 42 U.S.C activities have been fully evaluated in day review period and written 4332 (2) (C), and the regulations of the the Marianas Training Plan (MTP) responses were provided to seven Council on Environmental Quality that Environmental Impact Statement (EIS). correspondents with comments implement NEPA procedures, 40 CFR The areas controlled by regarding the preferred alternative and Parts 1500–1508, hereby announces its COMNAVMARIANAS include military mitigation measures. decision to continue to use suitable bases on Guam (Waterfront Annex, DOD controlled lands in the Mariana Ordnance Annex, and two Alternatives Considered Islands to support various specific Communications Annexes), the Military Four training land use alternatives military training activities to ensure the Lease Area (MLA) on Tinian, and represent a spectrum of training readiness of U.S. forces tasked with Farallon de Medinilla (FDM), where the possibilities: conducting no training; fulfilling regional readiness and leased island and a three-mile safety reducing existing training land uses; operational contingency missions. radius comprise Navy Training Range taking no (new) action; and increasing The Commander-in-Chief, U.S. Pacific 7201. Commander, 36 ABW, manages training activities and sites to Command (USCINCPAC) is responsible training lands at Andersen Air Force encompass all of the training for an area comprising 105 million Base including its Main Base, Northwest requirements that are identified in the square miles (272 million square Field, and Andersen South. The EIS also U.S Pacific Command’s ‘‘Marianas kilometers [km2]). The force structure evaluated a few smaller nonmilitary Training Plan’’ (MTP). The result of the assigned to USCINCPAC is comprised of properties on Guam, Tinian, and Rota evaluation is a fifth alternative, the approximately 100,000 personnel in all presently used for specific training Preferred Training Land Use Alternative of the military services. These military functions or proposed for new activities for the Mariana Islands, which retains forces include active duty, national with the express permission of the ongoing training activities and sites, and guard and reserve organizations landowners. adds a few of the new training stationed on Guam, multi-service forces The training lands available for requirements in the MTP to maximize assigned to the continental United training and applicable to this ROD training land value or to eliminate States, Alaska, Hawaii, the Republic of include the entire island of FDM (206 training deficiencies. The alternatives Korea, Japan, and Okinawa. Forces acres [83 hectares] of leased land); were based on the need to maintain a permanently assigned to Guam, 15,844 acres (6590 hectares) comprising high level of operational readiness and deployed forces in transit to the Western the MLA on Tinian; 18,100 acres (7,341 joint service operation capabilities Pacific and Indian oceans, and forces hectares) on Navy bases on Guam, and among units stationed and operating in tasked by USCINCPAC to participate in 17,534 acres (7,100 hectares) of Air the Western Pacific and Indian Ocean. large-scale joint or combined exercises Force property on Guam. training in the Mariana Islands. The No Training Land Use Alternative large exercises are designed for each Process Land areas presently in use would no military service to sustain its skills as USCINCPAC REP GUAM/CNMI longer be used for training. This part of a larger multi-service force. analyzed the potential impacts caused alternative could be selected for a Primary training management by multi-service military training portion of a training area if it were responsibility is assigned to activities in an Environmental Impact necessary to protect biological or Commander, U.S. Naval Forces Statement (EIS) as required by NEPA. cultural resources or to ensure public Marianas (COMNAVMARIANAS) as the Military training and support activities safety by totally restricting access. The USCINCPAC Representative. were evaluated on three islands in No Training Land Use Alternative is the Commander, 36 Air Base Wing (36 CNMI—Farallon de Medinilla (FDM), environmentally preferred alternative ABW), headquartered at Andersen Air Tinian and Rota—and the Territory of but is not the preferred alternative since Force Base on Guam, is also responsible Guam. it fails to meet the purpose and need for for training management and support, The Notice of Intent to develop the the proposed action. which includes the strategic and tactical EIS was published in the Pacific Daily Reduced Training Land Use Alternative movement of exercise personnel and News on November 18, 19 and 20, 1995, equipment. and the Federal Register on November Land areas presently in use would be 28, 1995. Public scoping meetings were used by fewer personnel or for less Record of Decision conducted on Tinian, Rota, and Guam intensive training activities. Selection of This Record of Decision (ROD) in December 1995. Two iterations of the this alternative was evaluated against addresses the continued use of suitable Draft EIS (DEIS) were distributed to ongoing training activities, which DoD-controlled lands in the Mariana federal, state, and local government comprise about 90 percent of the Islands to support various training agencies, elected officials, community evaluated training land uses. The EIS

VerDate 18-JUN-99 16:50 Aug 17, 1999 Jkt 183247 PO 00000 Frm 00016 Fmt 4703 Sfmt 4703 E:\FR\FM\A18AU3.226 pfrm11 PsN: 18AUN1 Federal Register / Vol. 64, No. 159 / Wednesday, August 18, 1999 / Notices 44905 did not determine that there were any shared use of Tinian’s municipal airport authorized. The use of live and blank environmental impacts of ongoing and harbor continue for exercise ammunition is not allowed so that activities that require reducing training support activities planned in concert unexpected, disturbing noises are on FDM, the MLA and Guam’s military with civilian and commercial curtailed. Potential loss of habitat is also bases as the preferred alternative. requirements. Live-fire training will be controlled by allowing no mechanized limited to Training in the Urban vegetation clearing and establishing the No New Training Land Use Alternative Environment (TRUE) scenarios using a maximum size of brush suitable as The ‘‘No Action Alternative’’ for this World War II structure. Logistic camouflage material. Flight altitude EIS can also be defined as a ‘‘no new activities will continue to be conducted restrictions have been established as action,’’ ‘‘ongoing training’’ or by Naval Special Warfare (NSW) units necessary to protect endangered species ‘‘continuing action’’ alternative. on Rota to support its special boat team habitat. No flights below 1,000-ft (305- Training activities within existing sites, training activities that are conducted m) above ground level (AGL) are existing mitigation measures and between Guam and FDM. authorized over known endangered training constraints would continue to Full use of Navy and Air Force bases Mariana crow habitat at Northwest be performed unchanged. on Guam will continue. The existing Field. No helicopter landings are Maximum Training Land Use live-fire ranges on Orote Peninsula will authorized except at designated landing Alternative be modified as proposed in the EIS to zones. provide a fire-and-maneuver capability NCRD areas are established to protect This alternative would include all of and stress course. A sniper range and known or potential cultural resources. the training activities and training sites jungle trail range will be constructed in Sub-surface disturbances are prohibited that were identified in the MTP, as well the Ordnance Annex. Additional sites in these areas. There will be no cross- as expand or introduce new activities for underwater demolition training, country, off-road vehicle travel, and and sites. This alternative proposed established offshore of Dadi Beach and vehicle parking is confined to surfaced expanding range training on FDM by at the Agat Drop Zone, will be used to areas and cleared road shoulders only. incorporating ground artillery, mortar, ease the frequency of underwater The use of pyrotechnics and demolition and anti-tank rocket firing. On Tinian, demolition training presently conducted charges is also restricted. No digging or this alternative proposed additional in and near the mouth of Apra Harbor. excavation is permitted without prior landing beaches in the MLA and the approval of COMNAVMARIANAS or 36 Training Constraints development of live-fire weapons ranges ABW environmental monitors. During and training structures. On Guam, this Limitations to training activities to major exercises on Tinian, authorized alternative proposed additional landing avoid generating significant impacts traffic routes through NCRD areas are beaches and underwater demolition have been established by marked with engineer tape to facilitate sites at Waterfront Annex, live-fire COMNAVMARIANAS and Commander, movement between the beaches and weapons training ranges modifications 36 ABW within certain portions of inland maneuver areas without impact. at Waterfront Annex, and new weapons training areas on FDM, Tinian, and NCRD constraints maps have been range development at Ordnance Annex. Guam. These constraints will continue included in a recently developed Andersen Air Force Base training to be used as the primary means to Programmatic Agreement and a activities would remain unchanged, but protect endangered and threatened Memorandum of Agreement executed to a new, permanent location would be species and areas of cultural protect cultural resources in the CNMI selected for ongoing rapid runway significance from impacts caused by and Guam. repair training. military personnel and equipment being Areas designated as NT are off-limits, introduced into training areas by meaning that there is absolutely no Preferred Training Land Use Alternative landing craft and amphibious vehicles, training allowed in these areas. Entry to The selected alternative is the result aircraft, and vehicles for subsequent some of these areas can be authorized of analyzing potential environmental maneuver, range training, and bivouacs. for administrative troop and vehicle impacts. This alternative encompasses a Constraints are also established to movement on designated roads or trails mitigated/constrained set of ongoing ensure the safety of personnel in or near only. NT areas have been established to training activities and the adoption of a active training areas. The constraints— protect both endangered species habitat few, but not all, of the new training No Wildlife Disturbance (NWD), No and areas of particularly sensitive initiatives to offset some existing Cultural Resource Disturbance (NCRD), cultural value. NT areas are also training area deficiencies. FDM (Navy and No Training (NT)—will be established for safety purposes in the Range 7201) will continue to be used for published in training orders, directives, vicinity of the munitions storage areas naval and aerial bombardment. Training and exercise plans as maps and overlays on Andersen Air Force Base and the frequency and amounts of munitions to and distributed to the units responsible Ordnance Annex. be expended on an annual basis have for day-to-day training and larger been determined. Impact areas have exercises. The restrictions on military Environmental Impacts been modified to protect migratory activities can be summarized as follows: USCINCPAC REP GUAM/CNMI has seabird colonies, and Micronesian Within areas designated as NWD, to analyzed the direct, indirect, and megapode habitat enhancement is protect vegetation and nesting sites, cumulative impacts of proposed training underway on Sarigan Island as forces are prohibited from conducting in the Mariana Islands across a compensatory mitigation. cross-country, off-road vehicle travel. spectrum of alternatives ranging from no The MLA on Tinian will continue to During the nesting season of the training activities to maximizing be a major field maneuver area, with threatened Tinian monarch (Monarchus training by adopting all of the activities two beaches suitable for landings by takasukasae), field maneuvers cannot be published in the MTP. Each alternative landing craft air-cushioned (LCAC) and conducted in tangantangan habitat was evaluated for potential effects on additional beaches suitable for small areas. To reduce the potential for field the physical environment (climate, inflatable raiding craft. North Field fires and loss of vegetation habitat, the geology and hydrology, water quality, runways will continue to be used for use of pyrotechnics or demolitions air quality, noise, visual setting/ airborne and airmobile exercises. The (except for emergency signaling) is not aesthetics, and natural hazards and

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The alternatives were also evaluated significant impacts are not anticipated, These and other mitigation measures with respect to their consistency with the activity may remain controversial identified in the FEIS are now in effect policies established by Executive Orders with respect to the commercial ocean and will be published in Navy and Air for Federal Actions to Address recreation sector and government Force training orders, directives, and Environmental Justice in Minority and agencies responsible for protection of plans. The BTS Control and Interdiction Low-Income Populations, Coral Reef endangered and threatened marine Plan will be updated and published as Protection, Protection of Wetlands, species. a COMNAVMARIANAS directive to Protection of Children from The continued use of FDM as a naval regulate routine as well as training Environmental Health Risks and Safety gunfire and aerial bombardment range is material/cargo movement from Guam. Risks, and Invasive Species. the third issue. Used as a bombardment With the exception of the continued From the outset, three training range since at least 1971, the island has use of FDM as a naval gunfire and aerial activities were identified as been the subject of a series of biological bombardment range, the Preferred environmentally controversial and evaluations by federal, commonwealth, Training Land Use Alternative does not potentially significant. One was the and military experts. Although the significantly impact listed threatened or potential for damage to nearshore coral bombardment of FDM may significantly endangered species. Impacts are caused by contact with landing craft impact endangered species and habitat reduced to nonsignificant levels by utility (LCU) and tracked assault vegetation, no alternative bombardment establishing training area boundaries, amphibian vehicles (AAVs) on Tinian range sites are available to USCINCPAC implementing mitigation measures and and Guam. Beaches free of nearshore forces for this training requirement. training constraints, and conducting coral and suitable for landing craft and Therefore, compensatory mitigation environmental monitoring and AAVs were identified at the Waterfront measures have been enacted in evaluation. Particular attention has Annex. No suitable site for cooperation with U.S. Department of focused on enhancing endangered displacement hull LCUs and AAVs was Interior, U.S. Fish and Wildlife Service Micronesian megapode (Megapodius found in the MLA on Tinian, and (USFWS) and CNMI Division of Fish laperous) habitat in the CNMI, therefore, LCU/AAV landings will and Wildlife (DFW) to enhance the protecting the threatened Tinian remain confined to Tinian Harbor. population of the endangered monarch (Monarcha takasukasae) Potential impacts to coral in shallow Micronesian megapode on Sarigan, during nesting seasons, restricting nearshore waters and reefs by landing another uninhabited island in the maneuver in areas of Mariana common craft, air-cushion (LCAC) were CNMI. Mitigation measures include moorhen (Gallinula chloropus guami) evaluated in a marine biological survey controlling the types and amounts of habitat, causing little or no disturbance at Unai Chulu, Tinian. No significant ordnance to be dropped and confining to the island swiflet (Aerodramus impacts are caused by the LCAC when the impact areas to minimize impacts on vanikorensis bartschi) and three species operated within acceptable parameters. biological resources. The Navy will of federal and Guam endangered fruit A similar marine biological survey will conduct aerial evaluations of vegetation bats, and restricting maneuver in areas be conducted to revalidate the lack of habitat and birds in conjunction with of Ordnance Annex recently identified impacts to shallow coral by LCAC major bombardment activities. The as habitat of tree snails being considered landings at Unai Dankulo, Tinian and condition of nearshore coral and the for federal listing. Mariana crow (Corvus Dadi Beach, Guam. Potentially effects of bombardment on the marine kubaryi) nests at Northwest Field will significant damage to nearshore coral environment will be surveyed annually continue to be monitored by Guam has been eliminated by identifying the for the next three years by USCINCPAC Division of Aquatics and Wildlife suitable types of craft that will be REP GUAM/CNMI in cooperation with Resources (DAWR). As nesting activities allowed to use each landing beach on National Marine Fisheries Service are found, this information will be made Tinian and Guam. (NMFS), USFWS, and CNMI DFW. known to Flight Operations to ensure no The second issue was underwater overflights at unauthorized altitudes. demolition training by Explosive Environmental Mitigation Protective measures for hawksbill Ordnance Disposal (EOD) and NSW COMNAVMARIANAS analyzed the turtles (Eretmochelys imbricata) and units that cause portions of Apra Harbor potential impacts of the selected action green sea turtles (Chelonia mydas) are to be temporarily closed to other uses on the following: natural or biological in place to minimize or avoid impacts and may have a significant impact on resources, cultural resources, on these species that may enter training marine species. Closure of the harbor, environmental quality, infrastructure beaches and open waters during which interferes with commercial deficiencies on Tinian, public safety, amphibious training and underwater boating and diving activities, will be and socioeconomic quality. demolitions. minimized by use of additional On FDM, migratory seabirds, federally underwater training sites in open ocean Natural Resources endangered Micronesian megapodes waters to lessen the frequency of use of In addition to identifying areas and Mariana fruit bats may be killed by Apra Harbor. Training site selection will subject to NWD or NT constraints, ordnance or displaced by a loss of favor the ocean sites unless weather mitigation measures to reduce training habitat. These impacts are mitigated by conditions dictate otherwise. impacts to nonsignificant levels include avoiding certain munitions and by USCINCPAC REP GUAM/CNMI adhering to operational requirements for relocating targets so that the majority of continues to work with Guam beach landing craft to minimize impacts ordnance delivered will avoid the most Environmental Protection Agency to shallow reefs and nearshore coral, sensitive areas for nesting and roosting (Guam EPA) and Division of Aquatic requiring qualified biologists to conduct birds. Formal consultation in and Wildlife Resources (DAWR) to pre-training surveys to ensure that accordance with Section 7 of the

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Endangered Species Act has been the ACHP identifies protective measures municipal landfill will not be used. completed and the protective measures to be carried out while developing live- Hazardous materials, used oils and recommended in the biological opinions fire weapons ranges in the Ordnance expended lithium batteries will be of USFWS and NMFS have been Annex and activities on Northwest handled as stipulated in exercise plans adopted. Field. The MOA also addresses the for removal from the island of Tinian to Due to the increased danger of field continued use of constraints maps as authorized waste streams. Maintenance fires being caused by training during one means to protect cultural resources activities that could generate hazardous periods of drought and high winds, fire from training impacts. materials will be minimized while on prevention and response plans will be Tinian, with scheduled maintenance Environmental Quality enforced at all ranges and maneuver conducted on military bases or while areas. During periods of high risk, The Preferred Training Land Use aboard ship. training activities with potential fire- Alternative would not have a significant causing effects will be suspended as impact on air quality, climate, geology, Public Safety necessary. Crash-fire-rescue (CFR) surface water quality, flooding, or The Preferred Training Land Use vehicles will be available during flight groundwater. Existing military standing Alternative would not have a significant operations in case of a crash and operating procedures (SOPs) and impact on public health and safety. The resulting fire. regulations prevent significant impacts COMNAVMARIANAS policy limiting on these resources. Major construction access to FDM remains in effect, Cultural Resources projects once proposed on Tinian that allowing only active duty, DoD-trained The Preferred Training Land Use could have impacted groundwater explosive-qualified personnel Alternative would not significantly quality will not be conducted at this responsible for range operations and impact sites listed or eligible for listing time. If any construction is proposed in maintenance. The proposal to expand in the National Register of Historic the future, appropriate environmental the range for firing ground weapons Places (NRHP). Such sites located on evaluations would be conducted. The such as artillery, mortars, and anti-tank land and off-shore could be damaged by concern that live-fire ranges could cause missiles is not approved due to the off-road vehicles, construction, rapid lead contamination in groundwater has existence of unexploded ordnance runway repair, excavation, vandalism, been eliminated since there will be no throughout the island. Biological small arms and mortar fire, and shock small arms range development. The surveys will continue to be conducted waves generated by deepwater military is also developing lead-free from the air by helicopter. explosives. These impacts will be small-arms ordnance for all range Range safety and control measures are mitigated to nonsignificant levels by training. presently in place on Guam at Orote designating areas with listed or eligible Peninsula, the Communications Annex NRHP sites as ‘‘No Training’’ or ‘‘No Tinian Infrastructure at Finegayan, and Andersen Air Force Cultural Resources Disturbance’’ areas, Wastewater disposal has been a major Base. Risks to public safety from which would prohibit digging within logistic issue for all large-scale projectiles from small arms and rifle three feet of historic structures with exercises. Tinian presently has no large- ranges will be avoided by adhering to concrete walls or in any cave, require scale municipal wastewater treatment range regulations, conducting required pre-training archaeological surveys in facility and there has been concern that range area sweeps and surveillance historic structures used for urban temporary overuse of the systems would during training on affected land and warfare scenarios, and require post- impact groundwater resources, air water areas, installing and maintaining training evaluation for evidence of quality, and public health. Leasing coastal warning devices of the presence impacts that would require additional portable toilets, contracting pumping of ranges, and temporarily restricting mitigation. The consultation process services and disposing wastes in range access when necessary. Prior to with the CNMI and Guam Historic municipal systems was the standard the activation of new and modified live- Preservation Offices has been completed practice to handle large quantities of fire training ranges on Guam, the ranges in accordance with Section 106 of the black-water wastes. The shared use of will be evaluated and certified by the National Historic Preservation Act of municipal septic tanks during major Naval Facilities Engineering Command. 1966, 16 U.S.C. 470f (1994). A exercises is no longer necessary. Navy At the Ordnance Annex, the design will Programmatic Agreement has been Public Works constructed a septic tank also be reviewed and approved by the signed by the USCINCPAC REP GUAM/ and leach field based on the Naval Ordnance Command. The CNMI, CNMI Historic Preservation requirement to support up to 2,500 orientation of the sniper firing range at Officer, and the Advisory Council on exercise personnel. This tank was first Ordnance Annex has been modified to Historic Preservation (ACHP) regarding available during Tandem Thrust 99 avoid intersection of the range’s Surface the conduct of military training on (March–April 1999). Its availability has Danger Zone and a public hiking trail Tinian. The agreement (signed in June eliminated concerns about cumulative that infringes Navy property. 1999), provides direction in the impacts on the island’s municipal The proposed small arms fire and identification of historic properties, system capacity. maneuver range will not be constructed establishment of constrained areas, Tinian has no EPA-approved solid on Tinian at this time. An alternative instructions to training participants, waste landfill and no hazardous waste fire-and-maneuver range site is being field mitigation and monitoring, or hazardous material handling facility. developed on a former small arms range coordination of training program Training activities routinely generate at Orote Point on Guam. This decision revisions, response to public objections, varying amounts of solid waste eliminates potential safety impacts to reporting requirements and proposed (primarily cardboard and paper) and civilians or non-training personnel who long-term site protection at Unai Chulu, may generate very small amounts of could encroach on the range training Tinian. A Memorandum of Agreement hazardous materials and used oil. area. (MOA) signed in June 1999 by the Collecting, compacting, and The proposed 60mm mortar range USCINCPACREP GUAM/CNMI, transporting solid wastes off Tinian will will not be developed on Tinian. This COMNAVMARIANAS, 36th ABW, continue as a requirement for any eliminates potential safety risks due to Guam Historic Preservation Officer, and military exercise on Tinian. The Tinian unexploded ordnance remaining in

VerDate 18-JUN-99 16:50 Aug 17, 1999 Jkt 183247 PO 00000 Frm 00019 Fmt 4703 Sfmt 4703 E:\FR\FM\A18AU3.228 pfrm11 PsN: 18AUN1 44908 Federal Register / Vol. 64, No. 159 / Wednesday, August 18, 1999 / Notices areas that could be encroached by the traffic control will be used as necessary Invasive Species, to ensure that training public and difficult to control access to move military convoys through will be conducted in compliance with restrictions to 100 percent certainty. Tinian town. AAVs using public roads said policies and that appropriate Proposed construction of a permanent will have track pads installed to avoid mitigation actions will be taken to shooting house or breacher trainer will damaging road surfaces. eliminate or reduce potentially not be undertaken on Tinian at this significant impacts. time. Whenever the former World War Socioeconomic Environment Preventive practices to address the Two Japanese Command Center is in Tinian’s relatively small population is potentially significant impacts that use as a shooting house, area access will isolated from many economic could be caused by brown tree snakes be restricted. Alternative urban training opportunities that are available to have been addressed and remain a facilities are also available on Guam. Saipan residents. Training activities subject of periodic review and updates Notice to Airmen (NOTAMS) and offer potential economic benefits to ensure that the latest proven methods Notice to Mariners (NOTMARS) will be through the purchase of local goods and have been incorporated. Appendix E of published and broadcast to forewarn of services. Temporary exclusion of tours the FEIS compiles the measures taken to naval gunfire and aerial bombardment at from active training sites in the EMUA prevent BTS impacts to date. An FDM. The island range and its three- could have a negative effect. One casino updated order defining BTS control/ mile radius surface danger zone will be hotel has opened and another is interdiction protocols will be published surveyed prior to commencing training planned, and cumulative socioeconomic by COMNAVMARIANAS. to ensure that the area is clear of all non- impacts may result from the The prevention of coral damage or training related activity. combination of military training and destruction was a primary criterion in Potential impacts between civilian increased tourism. selecting beaches for landings by and military aircraft will be avoided USCINCPAC REP GUAM/CNMI will displacement hull landing craft and through the coordinated efforts of continue to provide advance tracked amphibious assault vehicles. military and FAA air traffic controllers information to CNMI agencies and The lack of impact to shallow coral by in accordance with military SOPs and affected commercial enterprises LCACs was demonstrated at Unai FAA regulations. NOTAMS will be whenever military training safety Chulu, Tinian, and similar studies will published in advance of training that considerations require temporary be conducted at Unai Dankulo, Tinian, involves the use of airspace over FDM, restrictions to areas on Tinian normally and Dadi Beach, Guam, prior to final Tinian and Guam. open to the public. Affected agencies approval as LCAC landing sites. There will be no hazards to ordnance, and firms have requested at least a 30- fuel storage, and personnel from day notice, which in almost all Marianas Training Management electromagnetic radiation during instances can be accommodated. This Regulations training. Required clearance distances interaction will include the CNMI and Implementation of the Preferred are maintained between field emitter Tinian municipal governments, the Training Land Use Alternative requires sites and ordnance, fuel, and personnel. Commonwealth Port Authority, and the COMNAVMARIANAS and 36th There would be no risk to public health tourist agencies in advance of all ABW to implement mitigation measures caused by transmissions from the training on Tinian that may interfere and training constraints for their International Broadcasting Bureau’s site with tourist activities in the MLA, respective areas of responsibility and to recently constructed in the MLA on nearshore waters or the harbor. cooperate in monitoring and corrective Tinian. The acreage has been removed Whenever active training is not taking measures. The mitigation and from the areas in the MLA used for place in portions of the MLA, these constraints identified in the FEIS will be training. areas will be opened to visitors. incorporated into training orders and Impacts to boaters and divers from Underwater demolition by EOD and directives. Compliance with these shallow and deepwater mines will be NSW units in Guam’s Outer Apra directives is the responsibility of each avoided by continuing to clear and Harbor requires certain areas of the military organization involved in patrol demolition sites and exclusion harbor (including a number of popular Marianas training. The military will zones prior to all exercises. To avoid dive sites) to be closed to civilian conduct advance coordination as potential sympathetic detonation of activities once a month for needed with agencies of the territorial depth charges located on the Tokai approximately four hours. This public and commonwealth governments and Maru, a sunken Japanese World War II safety measure may cause loss of affected commercial enterprises to avoid vessel in Outer Apra Harbor, the present income to commercial boat and dive training area use conflicts. demolition site will remain unchanged operators. SOPs practiced by EOD and and the size of the explosive charge NSW units will continue to provide Comments Received on FEIS limited to ten pounds. advance information to affected The CNMI Historic Preservation Civilian ports of entry will not be commercial firms so that they can seek Officer (HPO) identified an additional significantly impacted. On Tinian and alternative dive, boating and fishing cultural resource site in the vicinity of Rota, approval from civilian authorities sites during the temporary closures. Unai Dankulo, Tinian. The training will be obtained 30 days prior to any This process will continue along with constraints map for Tinian training will exercise. To avoid significant impacts the use of NOTMARs and coordination be modified to incorporate an additional on customs and immigration services, with GEPA and DAWR to actively NCRD area south of the landing beach local authorities will be notified 30 days observe and monitor training. site. The HPO also expressed concern prior to large exercises. Noise impacts regarding the lack of an archaeological from training at Tipalao and Dadi Executive Orders survey on FDM. Conducting such a beaches will be temporary. To eliminate The FEIS considered federal policies survey is not feasible due to potential potentially significant impacts, training under Executive Orders pertaining to danger to the surveyors since the island will be conducted during the day. Environmental Justice, Protection of is an impact area and replete with The Preferred Training Land Use Children from Environmental Health unexploded ordnance. Alternative will not have a significant and Safety Risks, Protection of CNMI Department of Lands and impact on roadways and traffic. Military Wetlands, Coral Reef Protection, and Natural Resources (DLNR) commented

VerDate 18-JUN-99 16:50 Aug 17, 1999 Jkt 183247 PO 00000 Frm 00020 Fmt 4703 Sfmt 4703 E:\FR\FM\A18AU3.230 pfrm11 PsN: 18AUN1 Federal Register / Vol. 64, No. 159 / Wednesday, August 18, 1999 / Notices 44909 on the need to follow LCAC operational minimize environmental harm that SUMMARY: The Leader, Information protocols to protect the beach could be caused by military training. Management Group, Office of the Chief environment. The lessons learned The Preferred Training Land Use Information Officer, invites comments during LCAC operations at Unai Chulu, meets the purpose and need to train in on the proposed information collection Tinian during Tandem Thrust 99 will be the Mariana Islands while avoiding or requests as required by the Paperwork incorporated into COMNAVMARIANAS minimizing impacts on the existing Reduction Act of 1995. training orders. The department’s environment. The preferred alternative DATES: Interested persons are invited to Division of Fish and Wildlife (DFW) and its mitigation and constraints are suggested a change in the timing for submit comments on or before October fully responsive to the concerns 18, 1999. setting up portable BTS barriers at cargo expressed by regulatory agencies and points on Guam and Tinian. When members of the public, local economic SUPPLEMENTARY INFORMATION: Section updating the BTS Control/Interdiction conditions, and required levels of public 3506 of the Paperwork Reduction Act of protocols, the process for using portable safety. Although the ‘‘No Training 1995 (44 U.S.C. Chapter 35) requires snake barriers at ports of entry and Alternative’’ may be perceived as that the Office of Management and shipment will be defined by military causing no significant environmental Budget (OMB) provide interested representatives and CNMI, Guam, and impacts, it does not necessarily foster Federal agencies and the public an early federal regulators. continued stewardship in areas that will opportunity to comment on information U.S. Environmental Protection remain free of development, and does collection requests. OMB may amend or Agency, Region IX commented on the not meet the stated purpose and need waive the requirement for public BTS Control/Interdiction Plan update for maintaining the operational consultation to the extent that public requirement, compensatory mitigation readiness of USCINCPAC forces. participation in the approval process measures for impacted biological The EIS evaluated a mix of activities would defeat the purpose of the resources, and prevention of impacts by with variable schedules of activities at information collection, violate State or amphibious landings during coral each site, training event duration, and Federal law, or substantially interfere spawning. COMNAVMARIANAS will numbers and types of participating with any agency’s ability to perform its continue to monitor and mitigate these units. The findings of the EIS reflect this statutory obligations. The Leader, concerns as necessary. dynamic training environment and Information Management Group, Office Guam Environmental Protection potential changes to military training of the Chief Information Officer, Agency has concerns regarding training missions that require continuous publishes that notice containing at the Waterfront Annex’s Dadi Beach environmental monitoring and proposed information collection and instead, favors the use of the beach evaluation of direct, indirect, and requests prior to submission of these and waters at Tipalao for amphibious cumulative impacts. Training requests to OMB. Each proposed landings and underwater demolition management measures will be modified information collection, grouped by training. Site surveys and evaluations whenever (1) it is discovered that the office, contains the following: (1) Type between the Navy and GEPA will environmental effects of ongoing of review requested, e.g. new, revision, continue in regard to any activities at activities are significantly and extension, existing or reinstatement; (2) either beach. Title; (3) Summary of the collection; (4) U.S. Department of Agriculture, qualitatively different or more severe Description of the need for, and APHIS, Wildlife Services provided a list than predicted, and (2) a new training proposed use of, the information; (5) of lessons learned from Tandem Thrust activity represents a substantial change Respondents and frequency of 99 that will be incorporated in the from existing activities and has the collection; and (6) Reporting and/or updated BTS Control/Interdiction potential for generating significant Recordkeeping burden. OMB invites directive. environmental impacts. Under these U.S. Department of Interior, U.S. Fish circumstances, USCINCPAC REP public comment. and Wildlife also identified the need to GUAM/CNMI will review the issues The Department of Education is update the COMNAVMARIANAS BTS with appropriate regulatory agency especially interested in public comment Control/Interdiction Plan, initiate representatives to determine and addressing the following issues: (1) Is compensatory mitigation for impacts to implement appropriate mitigation this collection necessary to the proper migratory seabirds on FDM, and to measures. functions of the Department; (2) will initiate a Section 7 Endangered Species Accordingly, training in the Mariana this information be processed and used Act consultation for target placement on Islands will be conducted in a manner in a timely manner; (3) is the estimate FDM. This agency participated in the that is consistent with the Preferred of burden accurate; (4) how might the development of the 1996 BTS Control/ Training Land Use Alternative as Department enhance the quality, utility, Interdiction Plan and will be asked to identified in the Marianas Training and clarity of the information to be participate in the process to update the Environmental Impact Statement. collected; and (5) how might the plan as a COMNAVMARIANAS BTS Dated: July 28, 1999. Department minimize the burden of this Control/Interdiction directive. Rear Admiral J.W. Greenert, collection on the respondents, including Compensatory mitigation measures will USCINCPAC REP GUAM/CNMI. through the use of information technology. continue for endangered and threatened [FR Doc. 99–21375 Filed 8–17–99; 8:45 am] species. Target material selection and BILLING CODE 5001±01±P Dated: August 12, 1999. placement is an ongoing action, which William E. Burrow, will be incorporated in the update of the Leader, Information Management Group, BTS Control/Interdiction directive. Office of the Chief Information Officer. DEPARTMENT OF EDUCATION Conclusion Office of the Under Secretary USCINCPACREP GUAM/CNMI, in Notice of Proposed Information Type of Review: New. cooperation with federal, territorial and Collection Requests commonwealth regulatory agencies, will Title: Evaluation of Effective Adult conduct all necessary steps to avoid or AGENCY: Department of Education. Basic Education Programs and Practices.

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Frequency: Three times total for each consent for the Internal Revenue Service Office of Student Financial Assistance respondent: 1st month, 9th month, 21st to disclose certain tax return Programs month. information to the Department of Type of Review: Reinstatement. Affected Public: Individuals or Education and its agents for the purpose Title: William D. Ford Federal Direct households; Not-for-profit institutions; of calculating the borrower’s monthly Loan Program Statutory Forbearance State, local or Tribal Gov’t, SEAs or repayment amount. Forms. LEAs. Requests for copies of this Frequency: On occasion. Reporting and Recordkeeping Hour information collection should be Affected Public: Individuals or Burden: addressed to Vivian Reese, U.S. households. Responses: 1,385. Department of Education, 400 Maryland Reporting and Recordkeeping Burden: Avenue, SW, Room 5624, Regional Burden Hours: 3,923. Responses: 2,400. Abstract: This study will investigate Office Building 3, Washington, DC Burden Hours: 480. 20202–4651, or should be electronically the following research questions: (1) Abstract: Borrowers who receive How much do first-level adult learners mailed to the Internet address [email protected], or should be loans through the William D. Ford who participate in adult basic education Federal Direct Loan Program will use programs improve their reading skills faxed to 202–708–9346. For questions regarding burden and/ this form to request statutory and increase the frequency of their or the collection activity requirements, forbearance on their loans.. reading-related behaviors?; (2) What contact Joseph Schubart at 202–708– Requests for copies of this characteristics of first-level learners 9266 or electronically contact him at his information collection should be affect the amount of improvement that internet address [email protected]. addressed to Vivian Reese, U.S. they make in their reading skills or Individuals who use a Department of Education, 400 Maryland reading-related behaviors after telecommunications device for the deaf Avenue, SW, Room 5624, Regional participating in adult basic education (TDD) may call the Federal Information Office Building 3, Washington, DC programs?; (3) How are the operational Relay Service (FIRS) at 1–800–877– 20202–4651, or should be electronically and instructional characteristics of adult 8339. mailed to the Internet address basic education programs related to the [email protected], or should be amount of improvement in reading Office of Student Financial Assistance faxed to 202–708–9346. skills or reading-related behaviors Programs For questions regarding burden and/ among first-level learners? Type of Review: Reinstatement. or the collection activity requirements, Requests for copies of this Title: Income Contingent Repayment contact Joseph Schubart at 202–708– information collection should be Plan Alternative Documentation of 9266 or electronically contact him at his addressed to Vivian Reese, U.S. Income. internet address [email protected]. Department of Education, 400 Maryland Frequency: Annually. Individuals who use a Avenue, SW, Room 5624, Regional Affected Public: Individuals or telecommunications device for the deaf Office Building 3, Washington, DC households. (TDD) may call the Federal Information 20202–4651, or should be electronically Reporting and Recordkeeping Burden: Relay Service (FIRS) at 1–800–877– mailed to the Internet address Responses: 25,000. 8339. [email protected], or should be Burden Hours: 8,250. faxed to 202–708–9346. Office of Educational Research and Abstract: A William D. Ford Federal Improvement For questions regarding burden and/ Direct Loan Program borrower (and, if or the collection activity requirements, married, the borrower’s spouse) who Type of Review: Reinstatement. contact Jacqueline Montague at 202– chooses to repay under the Income Title: Designation of Exemplary and 708–5359 or electronically contact her Contingent Repayment Plan uses this Promising Programs. at her internet address form to submit alternative Frequency: Only required when [email protected]. Individuals documentation of income if the submitting program for review. who use a telecommunications device borrower’s adjusted gross income is not Affected Public: Businesses or other for the deaf (TDD) may call the Federal available or does not accurately reflect for-profit; Not-for-profit institutions; Information Relay Service (FIRS) at 1– the borrower’s current income. State, local or Tribal Gov’t, SEAs or 800–877–8339. Requests for copies of this LEAs information collection should be Reporting and Recordkeeping Hour Office of Student Financial Assistance Burden: Programs. addressed to Vivian Reese, U.S. Department of Education, 400 Maryland Responses: 200. Type of Review: Extension. Avenue, SW, Room 5624, Regional Burden Hours: 1,200. Title: Income Contingent Repayment Office Building 3, Washington, DC Abstract: The purpose of the expert Plan Consent to Disclosure of Tax 20202–4651, or should be electronically panel system is to oversee a valid and Information. mailed to the Internet address viable process for identifying and Frequency: Once every five years. [email protected], or should be designating promising and exemplary Affected Public: Individuals or faxed to 202–708–9346. educational programs so that households. For questions regarding burden and/ practitioners can make better-informed Reporting and Recordkeeping Burden: or the collection activity requirements, decisions in their ongoing efforts to Responses: 114,000. contact Joseph Schubart at 202–708– improve the quality of student learning. Burden Hours: 22,800. 9266 or electronically contact him at his The Office of Educational Research and Abstract: This form is the means by internet address [email protected]. Improvement (OERI) requires that each which a William D. Ford Federal Direct Individuals who use a program submit descriptive information Loan Program borrower (and, if married, telecommunications device for the deaf and an abstract in order to be the borrower’s spouse) who chooses to (TDD) may call the Federal Information considered for review. The information repay under the Income Contingent Relay Service (FIRS) at 1–800–877– submitted by the entity will serve as the Repayment Plan provides written 8339. basis upon which the expert panel will

VerDate 18-JUN-99 18:18 Aug 17, 1999 Jkt 183247 PO 00000 Frm 00022 Fmt 4703 Sfmt 4703 E:\FR\FM\18AUN1.XXX pfrm11 PsN: 18AUN1 Federal Register / Vol. 64, No. 159 / Wednesday, August 18, 1999 / Notices 44911 judge the program according to the of the Chief Information Officer, DEPARTMENT OF ENERGY selection criteria for promising and publishes that notice containing exemplary. proposed information collection Office of Science; Fusion Energy Written comments and requests for requests prior to submission of these Sciences Advisory Committee copies of the proposed information requests to OMB. Each proposed AGENCY: Department of Energy. collection request should be addressed information collection, grouped by ACTION: Notice of open meeting. to Vivian Reese, Department of office, contains the following: (1) Type Education, 400 Maryland Avenue, SW, of review requested, e.g. new, revision, SUMMARY: This notice announces a Room 5624, Regional Office Building 3, extension, existing or reinstatement; (2) meeting of the Fusion Energy Sciences Washington, DC 20202–4651, or should Title; (3) Summary of the collection; (4) Advisory Committee. The Federal be electronically mailed to the internet Description of the need for, and l Advisory Committee Act (Pub. L. 92– address Vivian [email protected] or proposed use of, the information; (5) 463, 86 Stat. 770) requires that public should be faxed to 202–708–9346. Respondents and frequency of notice of these meetings be announced For questions regarding burden and/ collection; and (6) Reporting and/or in the Federal Register. or the collection activity requirements, Recordkeeping burden. OMB invites DATES: Wednesday, September 8, 1999, contact Kathy Axt at 703–426–9692. public comment. Individuals who use a 9:00 a.m. to 5:30 p.m.; Thursday, telecommunications device for the deaf Dated: August 12, 1999. September 9, 8:30 a.m. to 12:30 p.m. (TDD) may call the Federal Information William E. Burrow, ADDRESSES: Holiday Inn/Goshen Hall; 2 Relay Service (FIRS) at 1–800–877– Leader, Information Management Group, Montgomery Village Avenue; 8339. Office of the Chief Information Officer. Gaithersburg, Maryland. FOR FURTHER INFORMATION CONTACT: [FR Doc. 99–21382 Filed 8–17–99; 8:45 am] Office of Postsecondary Education Albert L. Opdenaker, Office of Fusion BILLING CODE 4000±01±P Type of Review: New. Energy Sciences; U.S. Department of Energy; 19901 Germantown Road; Title: Program Evaluation of the DEPARTMENT OF EDUCATION Germantown, MD 20874–1290; European Community/United States of Telephone: 301–903–4927. America Joint Consortia for Cooperation Submission for OMB Review; SUPPLEMENTARY INFORMATION: Purpose of in Higher Education and Vocational Comment Request the Meeting: To finalize the Committee’s Education. report to the Department of Energy AGENCY: Department of Education. Frequency: One time. providing an assessment of the SUMMARY: The Leader, Information restructured Fusion Energy Sciences Management Group, Office of the Chief Affected Public: Not-for-profit institutions. Program, including recommendations Information Officer invites comments for further redirection given projected Reporting and Recordkeeping Burden: on the submission for OMB review as flat budgets in the future. The report required by the Paperwork Reduction Responses: 680. will also include recommendations on Act of 1995. Burden Hours: 422. the ongoing proof-of-principle DATES: Interested persons are invited to experiments and the balance between submit comments on or before Abstract: Program evaluation of the tokamak and non-tokamak physics and September 17, 1999. 1996, 1997, and 1998 fiscal year projects between magnetic and inertial fusion ADDRESSES: Written comments should in the EC/US Joint Consortia Program. energy. be addressed to the Office of The evaluation will gauge the Information and Regulatory Affairs, educational quality and cost Tentative Agenda Attention: Danny Werfel, Desk Officer, effectiveness of the student exchanges Wednesday, September 8, 1999 Department of Education, Office of and curriculum development programs and inform future grant competitions. 9:00 a.m. Discussion of Report to DOE Management and Budget, 725 17th on October 9, 1998 Charge Street, NW., Room 10235, New Requests for copies of this 1:30 p.m. Public Comment Executive Office Building, Washington, information collection should be 3:15 p.m. Finalize Report to DOE DC 20503 or should be electronically addressed to Vivian Reese, U.S. 5:30 p.m. Adjourn mailed to the internet address Department of Education, 400 Maryland [email protected]. Avenue, S.W., Room 5624, Regional Thursday, September 9, 1999 SUPPLEMENTARY INFORMATION: Section Office Building 3, Washington, DC 8:30 a.m. DOE Perspective 3506 of the Paperwork Reduction Act of 20202–4651, or should be electronically 10:00 a.m. Presentation of Findings to 1995 (44 U.S.C. Chapter 35) requires mailed to the Internet address Vivian— DOE that the Office of Management and [email protected], or should be faxed to 11:00 a.m. Other Business Budget (OMB) provide interested 202–708–9346. 12:30 p.m. Adjourn Federal agencies and the public an early For questions regarding burden and/ Public Participation: The meeting is opportunity to comment on information or the collection activity requirements, open to the public. If you would like to collection requests. OMB may amend or contact Joseph Schubart at 202–708– file a written statement with the waive the requirement for public 9266 or by e-mail at Committee, you may do so either before consultation to the extent that public [email protected]. Individuals or after the meeting. If you would like participation in the approval process who use a telecommunications device to make oral statements regarding any of would defeat the purpose of the for the deaf (TDD) may call the Federal the items on the agenda, you should information collection, violate State or Information Relay Service (FIRS) at 1– contact Albert L. Opdenaker at 301– Federal law, or substantially interfere 800–877–8339. 903–8584 (fax) or with any agency’s ability to perform its [email protected] statutory obligations. The Leader, [FR Doc. 99–21383 Filed 8–17–99; 8:45 am] (email). You must make your request for Information Management Group, Office BILLING CODE 4000±01±P an oral statement at least 5 business

VerDate 18-JUN-99 18:18 Aug 17, 1999 Jkt 183247 PO 00000 Frm 00023 Fmt 4703 Sfmt 4703 E:\FR\FM\18AUN1.XXX pfrm11 PsN: 18AUN1 44912 Federal Register / Vol. 64, No. 159 / Wednesday, August 18, 1999 / Notices days before the meeting. Reasonable Improvement Act of 1990 (Pub. L. 101– ADDRESSES: Mail comments to Tanya provision will be made to include the 440). Sadler, Office of Federal Energy scheduled oral statements on the Tentative Agenda: Briefings on, and Management Programs, EE–90, U.S. agenda. The Chairperson of the discussions of: Department of Energy, 1000 • Committee will conduct the meeting to Review of the release of the STEAB Independence Avenue, SW, facilitate the orderly conduct of Seventh Annual Report titled Washington, DC 20585–0121, or by e- business. Public comment will follow ‘‘Making Markets Work in Energy mail to [email protected]. the 10-minute rule. Efficiency and Renewable Energy’’ Electronic copies of the draft Guidelines • Deploying technology from DOE Minutes: The minutes of this meeting are available from the following Internet laboratories to the States; will be available for public review and web address: http://eande.lbl.gov/CBS/ • Status of Weatherization Assistance copying within 30 days at the Freedom femp/MVdoc.html. Printed copies will of Information Public Reading Room; Program and future funding be sent upon request. IE–190; Forrestal Building; 1000 • Federal efforts to market energy Independence Avenue, S.W.; efficiency and renewable energy FOR FURTHER INFORMATION CONTACT: Washington, D.C., between 9:00 a.m. technologies. Tanya Sadler, Program Manager for and 4:00 p.m., Monday through Friday, Public Participation: The meeting is Energy Savings Performance except Federal holidays. open to the public. Written statements Contracting, (202) 586–7755 by phone may be filed with the Board either Issued at Washington, D.C., on August 13, or (202) 586–3000 by fax. 1999. before or after the meeting. Members of the public who wish to make oral SUPPLEMENTARY INFORMATION: The Rachel M. Samuel, statements pertaining to agenda items Energy Policy Act of 1992 (EPACT) and Deputy Advisory Committee Management should contact William J. Raup at the the resulting energy savings Officer. address or telephone number listed performance contracting regulation, 10 [FR Doc. 99–21419 Filed 8–17–99; 8:45 am] above. Requests to make oral CFR Part 436, authorize Federal BILLING CODE 6450±01±P presentations must be received five days agencies to enter into contracts where prior to the meeting; reasonable the contractor incurs project costs and is provision will be made to include the paid from the energy cost savings DEPARTMENT OF ENERGY statements in the agenda. The Chair of resulting from the project. Energy cost the Board is empowered to conduct the savings are defined in 10 CFR Part 436 Office of Energy Efficiency and meeting in a fashion that will facilitate Renewable Energy as ‘‘reductions in cost * * * from a base the orderly conduct of business. cost * * * established through a State Energy Advisory Board Minutes: The minutes of the meeting methodology set forth in a contract will be available for public review and ** *’’ Further, 10 CFR 436.37 requires AGENCY: Office of Energy Efficiency and copying within 30 days at the Freedom an annual energy audit that ‘‘shall verify Renewable Energy, Department of of Information Public Reading Room, the achievement of annual energy cost Energy. 1E–190, Forrestal Building, 1000 savings.’’ FEMP provided detailed ACTION: Notice of open meeting. Independence Avenue, SW., Washington, DC, between 9 a.m. and 4 guidance on performing these SUMMARY: This notice announces a p.m., Monday through Friday, except procedures when it released the FEMP meeting of the State Energy Advisory Federal holidays. M&V Guidelines for Federal Energy Board (STEAB). The Federal Advisory Projects in 1996. The FEMP M&V Issued at Washington, DC, on August 13, Committee Act (Pub. L. 92–463, 86 Stat. 1999. Guidelines were designed to provide 770) requires that public notice of these specific instructions to Federal users on Rachel M. Samuel, meetings be announced in the Federal how to apply energy savings Register. Deputy Advisory Committee Management Officer. determination procedures that are defined in the industry-wide document, DATES: September 30, 1999 from 9:00 [FR Doc. 99–21421 Filed 8–17–99; 8:45 am] am to 5:00 pm, and October 1, 1999 the International Performance BILLING CODE 6450±01±P from 9:00 am to 12:00 pm. Measurement and Verification Protocol ADDRESSES: Shell Island Beach Resort (IPMVP). In the past three years, the Hotel, Wrightsville Beach, North DEPARTMENT OF ENERGY IPMVP has been updated to reflect Carolina. Phone: 800/689–6765 or 910/ lessons learned. In order to maintain 256–8696. Office of Energy Efficiency and consistency with the IPMVP, respond to FOR FURTHER INFORMATION CONTACT: Renewable Energy recommendations for improvements, William J. Raup, Office of Building and add new features for Federal agency Federal Energy Management Program Technology, State, and Community users, FEMP will release an update of Programs, Energy Efficiency and AGENCY: Department of Energy (DOE). the M&V Guidelines called FEMP M&V Renewable Energy, U.S. Department of ACTION: Notice. Guidelines for Federal Energy Projects, Energy (DOE), Washington, DC 20585, Version 2.1. The new version contains Telephone 202/586–2214. SUMMARY: DOE is releasing an updated the following updates to the 1996 SUPPLEMENTARY INFORMATION: Purpose of draft of the Federal Energy Management version: new M&V methods for the Board: To make recommendations to Program (FEMP) Measurement and cogeneration, new construction, the Assistant Secretary for Energy Verification (M&V) Guidelines for operations and maintenance, Efficiency and Renewable Energy Federal Energy Projects for public renewables, and water conservation regarding goals, objectives, comment. DOE will consider comments projects. FEMP plans to update the programmatic, and administrative and recommendations for the new Guidelines on an as needed basis. policies; and to otherwise carry out the version of the Guidelines. Board’s responsibilities as designated in DATES: Submit comments on or before the State Energy Efficiency Programs September 17, 1999.

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Issued in Washington, DC, on August 11, DEPARTMENT OF ENERGY Commission’s Order No. 587–I issued 1999. on September 29, 1998, in docket No. Dan W. Reicher, Federal Energy Regulatory RM96–1–009. 84 FERC ¶ 61,328 (1998). Assistant Secretary, Energy Efficiency and Commission In addition, Great Lakes requested a Renewable Energy. [Docket No. RP99±379±001] one-month extension, until October 1, [FR Doc. 99–21420 Filed 8–17–99; 8:45 am] 1999 to implement Internet nominations BILLING CODE 6450±01±P Dynegy Midstream Pipeline, Inc.; and scheduling as required by Order No. Notice of Compliance Filing 587–I and the implementation schedule August 12, 1999. established by the Gas Industry DEPARTMENT OF ENERGY Take notice that on August 6, 1999, Standards Board (GISB). In Order No. 587–I, the Commission Federal Energy Regulatory Dynegy Midstream Pipeline, Inc. (DMP), tendered for filing as part of its FERC extended the deadline for the complete Commission Gas Tariff, First Revised Volume No. 1, transition to Internet communications to the following tariff sheets, with an June 1, 2000, but required pipelines to [Docket No. RP99±348±001] effective date of August 1, 1999: implement the transition according to the schedule established by the Gas Arkansas Western Pipeline, L.L.C.; Substitute Second Revised Sheet Nos. 32 and Industry Standards Board (GISB). Under Notice of Compliance Filing 34 DMP states that it is submitting these GISB’s implementation schedule, each August 12, 1999. revised tariff sheets to comply with the pipeline must offer the nomination and scheduling process through its Internet Take notice that on August 9, 1999, Commission’s July 23 Order in the web site by September 1, 1999. Arkansas Western Pipeline, L.L.C. (AWP above-captioned proceeding. L.L.C.) tendered for filing to become Any person desiring to protest this Great Lakes states that it is proposing part of its FERC Gas Tariff, Second filing should file a protest with the the necessary revisions to its tariff to Revised Volume No. 1, the following Federal Energy Regulatory Commission, provide such capabilities. However, due revised tariff sheets, with an effective 888 first Street, N.E., Washington, D.C. to severe difficulties encountered in the 20426, in accordance with Section date of August 1, 1999: last phases of Great Lakes’ programming 385.211 of the Commission’s Rules and process, Great Lakes has determined Substitute First Revised Sheet No. 81 Regulations. All such protests must be that it will require an additional month Substitute First Revised Sheet No. 84 filed as provided in Section 154.210 of for the implementation of Internet Substitute First Revised Sheet No. 109 the Commission’s Regulations. Protests nominations and scheduling. will be considered by the Commission AWP L.L.C. asserts that the purpose of in determining the appropriate action to Any person desiring to be heard or to this filing is to comply with the be taken, but will not serve to make protest said filing should file a motion Commission’s Letter Order in this protestants parties to the proceedings. to intervene or a protest with the proceeding dated July 23, 1999. Copies of this filing are on file with the Federal Energy Regulatory Commission, Any person desiring to protest this Commission and are available for public 888 First Street, N.E., Washington, D.C. filing should file a protest with the inspection in the Public Reference 20426, in accordance with Sections Federal Energy Regulatory Commission, Room. This filing may be viewed on the 385.214 or 385.211 of the Commission’s 888 First Street, N.E., Washington, D.C. web at http://www.ferc.fed.us/online/ Rules and Regulations. All such motions 20426, in accordance with Section rims.htm (call 202–208–2222 for or protests must be filed in accordance 385.211 of the Commission’s Rules and assistance). with Section 154.210 of the Regulations. All such protests must be Linwood A. Watson, Jr., Commission’s Regulations. Protests will filed as provided in Section 154.210 of Acting Secretary. be considered by the Commission in the Commission’s Regulations. Protests [FR Doc. 99–21410 Filed 8–17–99; 8:45 am] determining the appropriate action to be will be considered by the Commission BILLING CODE 6717±01±M taken but will not serve to make in determining the appropriate action to protestants parties to the proceedings. be taken, but will not serve to make Any person wishing to become a party protestants parties to the proceedings. DEPARTMENT OF ENERGY must file a motion to intervene. Copies Copies of this filing are on file with the of this filing are on file with the Federal Energy Regulatory Commission and are available for public Commission and are available for public Commission inspection in the Public Reference inspection in the Public Reference Room. This filing may be viewed on the [Docket No. RP99±466±000] Room. This filing may be viewed on the web at http://www.ferc.fed.us/online/ web at http://www.ferc.fed.us/online/ Great Lakes Gas Transmission Limited rims.htm (call 202–208–2222 for rims.htm (call 202–208–2222 for Partnership; Notice of Proposed assistance). assistance). Changes in FERC Gas Tariff Linwood A. Watson, Jr., Linwood A. Watson, Jr., Acting Secretary. August 12, 1999 Acting Secretary. [FR Doc. 99–21408 Filed 8–17–99; 8:45 am] Take notice that on August 10, 1999, [FR Doc. 99–21412 Filed 8–17–99; 8:45 am] Great Lakes Gas Transmission Limited BILLING CODE 6717±01±M BILLING CODE 6717±01±M Partnership (Great Lakes) tendered for filing as part of its FERC Gas Tariff, Second Revised Volume No. 1, the tariff sheets listed on Appendix A of the filing. Great Lakes states that these tariff sheets are being filed to comply with the

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DEPARTMENT OF ENERGY No. CP99–597–000 an application Northern indicates that it currently pursuant to Section 7(b) of the Natural provides interruptible transportation Federal Energy Regulatory Gas Act (NGA), for permission and service on the subject facilities, on a Commission approval to abandon, by transfer to month-to-month basis. [Docket No. RP99±468±000] Sonat Exploration GOM, Inc. (Sonat), Any person desiring to be heard or to certain non-contiguous pipeline make any protest with reference to said High Island Offshore System, L.L.C.; facilities, with appurtenances, located application should on or before Notice of Tariff Sheet Filing in the Grand Isle Area, Offshore September 2, 1999, file with the Federal Louisiana. The subject facility is known Energy Regulatory Commission, August 12, 1999. as the Grand Isle Block 80 Lateral (GI 80 Washington, D.C. 20426, a motion to Take notice that on August 10, 1999, Lateral). Northern also requests intervene or a protest in accordance High Island Offshore System, L.L.C. approval, concurrent with the with the requirements of the (HIOS), tendered for filing a part of its conveyance of the facilities, to abandon, Commission’s Rules of Practice and FERC Gas Tariff, Third Revised Volume certain services rendered through the Procedure (18 CFR 385.214 or 385.211) No. 1, the following tariff sheets to be subject facilities, all as more fully set and the Regulations under the Natural effective September 1, 1999. forth in the application on file with the Gas Act (18 CFR 157.10). All protests First Revised Sheet No. 175 Commission and open to public filed with the Commission will be inspection. This filing may be viewed considered by it in determining the HIOS states that the purpose of this on the web at http://www.ferc.fed.us/ appropriate action to be taken but will tariff filing is to revise the Monthly online/rims.htm (call 202–208–2222 for not serve to make the protestants parties Imbalance provision of section 8.2 of the assistance). to the proceeding. Any person wishing General Terms and Conditions of HIOS’ Communications concerning this to become a party to a proceeding or to FERC Gas Tariff to reflect the OBAs that filing should be addressed to: Michele participate as a party in any hearing the Commission recently required HIOS Winckowsk, Senior Regulatory Analyst therein must file a motion to intervene to implement to its system. @ 402–398–7082 or Keith L. Petersen, in accordance with the Commission’s Any person desiring to be heard or to Director of Certificates and Reporting, Rules. protest said filing should file a motion Northern Natural Gas Company, Post Take further notice that, pursuant to to intervene or a protest with the Office Box 3330, Omaha, Nebraska the authority contained in any subject to Federal Energy Regulatory Commission, 68103–0330, Telephone: 402–398–7421, the jurisdiction conferred upon the 888 First Street, NE, Washington, DC Fax: 402–398–7592. Federal Energy Regulatory Commission 20426, in accordance with sections The GI 80 Lateral consists of by Sections 7 and 15 of the Natural Gas 385.214 or 385.211 of the Commission’s approximately 5.4 miles of 8-inch Act and the Commission’s Rules of rules and regulations. All such motions pipeline, with appurtenances, and Practice and Procedure, a hearing will or protests must be filed in accordance extends from Grand Isle Block 80 to an be held without further notice before the with section 154.210 of the underwater tap valve on Trunkline Gas Commission or its designee on this Commission’s regulations. Protests will Company’s facilities located in Grand application if no motion to intervene is be considered by the Commission in Isle Block 82. The subject facilities are filed within the time required herein, if determining the appropriate action to be located on the Outer Continental Shelf the Commission on its own review of taken, but will not serve to make (OCS) and are subject to Sections 5(e) the matter finds that permission and protestants parties to the proceedings. and 5(f) of the OCS Lands Act (OCSLA). approval for the proposed abandonment Any person wishing to become a party It is stated that the GI 80 Lateral was are required by the public convenience must file a motion to invervene. Copies initially installed to connect new gas and necessity. If a motion for leave to of this filing are on file with the supplies required for Northern’s intervene is timely filed, or if the Commission and are available for public merchant sales obligation, but that the Commission on its own motion believes inspection in the Public Reference subject facilities are no longer needed that a formal hearing is required, further Room. This filing may be viewed on the by Northern as its role in the notice of such hearing will be duly web at http://www.ferc.fed. us/online/ marketplace has changed from a given. rims.htm (call 202–208–2222 for merchant to a transponder of natural Under the procedure herein provided assistance). gas. Northern further states that the for, unless otherwise advised, it will be Linwood A. Watson, Jr., subject facilities are non-contiguous to unnecessary for Northern to appear or Acting Secretary. it’s traditional transmission pipeline be represented at the hearing. [FR Doc. 99–21414 Filed 8–17–99; 8:45 am] system, and that the Grand Isle 80 Linwood A. Watson, Jr., facilities were declared non- BILLING CODE 6717±01±M Acting Secretary. jurisdictional gathering pursuant to the [FR Doc. 99–21406 Filed 8–17–99; 8:45 am] Commission’s Order issued February 13, BILLING CODE 6717±01±M DEPARTMENT OF ENERGY 1995 in Docket No. CP92–498–005. Northern avers that on or about Federal Energy Regulatory November 4, 1998, a gas leak was DEPARTMENT OF ENERGY Commission discovered in the vicinity of the GI 80 Lateral. It was subsequently determined [Docket No. CP99±597±000] Federal Energy Regulatory that damage to the GI 80 Lateral had Commission caused the gas leak. After considering Northeren Natural Gas Company; [Docket No. RP99±430±001] Notice of Application the repair cost for the GI 80 Lateral, Northern negotiated to convey the Petal Gas Storage Company; Notice of August 12, 1999. subject facilities to Sonat. It is stated Proposed Changes in FERC Gas Tariff] Take notice that on August 4, 1999, that Sonat intends to repair the lateral Northern Natural Gas Company when it completes the drilling of its new August 12, 1999. (Northern), 111 South 103rd Street, production wells which will ultimately Take notice that on August 9, 1999, Omaha, Nebraska 68124, filed in Docket be connected to the GI 80 Lateral. Petal Gas Storage Company (Petal)

VerDate 18-JUN-99 16:50 Aug 17, 1999 Jkt 183247 PO 00000 Frm 00026 Fmt 4703 Sfmt 4703 E:\FR\FM\A18AU3.117 pfrm11 PsN: 18AUN1 Federal Register / Vol. 64, No. 159 / Wednesday, August 18, 1999 / Notices 44915 tendered for filing as part of its FERC and Procedure (18 CFR 385.211 and DEPARTMENT OF ENERGY Gas Tariff, First Revised Volume No. 1, 385.214). All such motions and protests Substitute Fourth Revised Sheet No. should be filed on or before August 23, Federal Energy Regulatory 129, with a proposed effective date of 1999. Protests will be considered by the Commission August 1, 1999. Commission to determine the Petal states that its filing is made in appropriate action to be taken, but will [Docket No. RP99±467±000] compliance with a July 26, 1999, letter not serve to make protestants parties to U±T Offshore System; Notice of order of the Office of Pipeline the proceedings. Any person wishing to Proposed Change in FERC Gas Tariff Regulation (OPR), which directed Petal become a party must file a motion to to revise Sheet No. 129 to reference the intervene. Copies of this filing are on August 12, 1999. GISB standards which it has file with the commission and are Take notice that on August 10, 1999 incorporated by reference as Version 1.3 available for public inspection. This U–T Offshore System (U–TOS) tendered standards. filing may also be viewed on the for filing as part of its FERC Gas Tariff, Petal states that Substitute Fourth Internet at http://www.ferc.fed.us/ Third Revised Volume No. 1, the Revised Sheet No. 129 has been revised online rims.htm (call 202–208–2222 for following tariff sheets, to become to make it clear that the standards and assistance). effective September 1, 1999: data sets incorporated by reference are Linwood A. Watson, Jr., First Revised Sheet No. 49A Version 1.3 standards and data sets. Acting Secretary. Any person desiring to protest this [FR Doc. 99–21404 Filed 8–17–99; 8:45 am] UTOS states that the purpose of this filing should file a protest with the tariff filing is to revise the Monthly BILLING CODE 6717±01±M Federal Energy Regulatory Commission, Imbalance provision of section 8.2 of the 888 First Street, N.E., Washington, D.C. General Terms and Conditions of UTOS’ 20426, in accordance with Section DEPARTMENT OF ENERGY FERC Gas Tariff to reflect the OBAs that 385.211 of the Commission’s Rules and the Commission recently required Regulations. All such protests must be Federal Energy Regulatory UTOS to implement on its systems. filed as provided in Section 154.210 of Commission Any person desiring to be heard or to the Commission’s Regulations. Protests protest said filing should file a motion will be considered by the Commission [Docket No. ER99±4055±000] to intervene or a protest with the in determining the appropriate action to Southern Company Services, Inc.; Federal Energy Regulatory Commission, be taken, but will not serve to make Notice of Filing 888 First Street, NE, Washington, DC protestants parties to the proceedings. 20426, in accordance with sections Copies of this filing are on file with the August 12, 1999. 385.214 or 385.211 of the Commission’s Commission and are available for public Take notice that on July 27, 1999, rules and regulations. All such motions inspection in the Public Reference Southern Company Services, Inc., as or protests should be filed as provided Room. This filing may be viewed on the agent for Alabama Power Company, in section 154.210 of the Commission’s web at http://www.ferc.fed.us/online/ Georgia Power Company, Gulf Power regulations. Protests will be considered rims.htm (call 202–208–2222 for Company, Mississippi Power Company by the Commission in determining the assistance). and Savannah Electric and Power appropriate action to be taken, but will Linwood A. Watson, Jr., Company (collectively Southern not serve to make protestants parties to Acting Secretary. Companies) tendered for filing an Offer the proceedings. Any person wishing to [FR Doc. 99–21411 Filed 8–17–99; 8:45 am] of Settlement. become a party must file a motion to BILLING CODE 6717±01±M Any person desiring to be heard or to intervene. Copies of this filing are on protest such filing should file a motion file with the Commission and are to intervene or protest with the Federal available for public inspection in the DEPARTMENT OF ENERGY Energy Regulatory Commission, 888 Public Reference Room. This filing may First Street, N.E., Washington, D.C. be viewed on the web at http:// Federal Energy Regulatory 20426, in accordance with Rules 211 www.ferc.fed.us/online/rims.htm (call Commission and 214 of the Commission’s Rules of (202) 208–2222 for assistance). Practice and Procedure (18 CFR 385.211 Linwood A. Watson, Jr., Puget Sound Energy, Inc.; Notice of and 385.214). All such motions and Filing Acting Secretary. protests should be filed on or before [FR Doc. 99–21413 Filed 8–17–99; 8:45 am] August 23, 1999. Protests will be [Docket No. ER99±3967±000] BILLING CODE 6717±01±M considered by the Commission to August 10, 1999. determine the appropriate action to be Take notice that on August 3, 1999, taken, but will not serve to make DEPARTMENT OF ENERGY Puget Sound Energy, Inc. (Puget), protestants parties to the proceedings. tendered for filing the Agreement Any person wishing to become a party Federal Energy Regulatory Regarding Canadian Entitlement must file a motion to intervene. Copies Commission between Puget and Public Utility of this filing are on file with the District No. 2 of Grant County (Grant). Commission and are available for public [Docket No. RP 99±376±011] A copy of the filing was served upon inspection. This filing may also be Grant. viewed on the Internet at http:// Venice Gathering System, L.L.C.; Any person desiring to be heard or to Notice of Compliance Filing protest such filing should file a motion www.ferc.fed.us/online/rims.htm (call to intervene or protest with the Federal 202–208–2222 for assistance). August 12, 1999. Energy Regulatory Commission, 888 Linwood A. Watson, Jr., Take notice that on August 6, 1999, First Street, NE, Washington, DC 20426, Acting Secretary. Venice Gathering System, L.L.C. (VGS), in accordance with Rules 211 and 214 [FR Doc. 99–21405 Filed 8–17–99; 8:45 am] tendered for filing as part of its FERC of the Commission’s Rules of Practice BILLING CODE 6717±01±M Gas Tariff, Original Volume No. 1, the

VerDate 18-JUN-99 16:50 Aug 17, 1999 Jkt 183247 PO 00000 Frm 00027 Fmt 4703 Sfmt 4703 E:\FR\FM\A18AU3.221 pfrm11 PsN: 18AUN1 44916 Federal Register / Vol. 64, No. 159 / Wednesday, August 18, 1999 / Notices following tariff sheets, with an effective Commission, the California Public CILCO requested an effective date of date of August 1. 1999: Utilities Commission and the Wyoming July 30, 1999. Second Revised Sheet No. 47 Public Service Commission. Copies of the filing were served on the Substitue Second Revised Sheet No. 50 Comment date: September 2, 1999, in affected customer and the Illinois VGS states that it is submitting these accordance with Standard Paragraph E Commerce Commission. tariff sheets to comply with the at the end of this notice. Comment date: August 23, 1999, in Commission’s July 23, 1999 Order in the 2. Duke Energy Trading and Marketing accordance with Standard Paragraph E above-captioned proceeding. L.L.C. and NP Energy, Inc. at the end of this notice. Any person desiring to protest this 6. Oklahoma Gas and Electric Company filing should file a protest with the [Docket No. ER96–2921–016 and ER97– 1315–011] Federal Energy Regulatory commission, [Docket No. ER99–3952–000] 888 First Street, NE, Washington, DC Take notice that on July 30, 1999, the Take notice that on August 3, 1999, 20426, in accordance with Section above-mentioned power marketers filed Oklahoma Gas and Electric Company 385.211 of the Commission’s Rules and quarterly reports with the Commission (OG&E), tendered for filing a service Regulations. All such protests must be in above-referenced proceedings for agreement for Central Illinois Light information only. These filings are filed as provided in Section 154.210 of Company (CILCO) to take service under available for public inspection and the Commission’s Regulations. Protests its short-term power sales agreement. copying in the Public Referenced Room will be considered by the Commission Copies of this filing have been served or on the web at www.ferc.fed.us/ in determining the appropriate action to on each of the affected parties, the online/rims.htm for viewing and be taken, but will not serve to make Oklahoma Corporation Commission and downloading (call 202–208–2222 for protestants parties to the proceedings. the Arkansas Public Service assistance). Copies of this filing are on file with the Commission. Commission and are available for public 3. Geysers Power Company, LLC Comment date: August 23, 1999, in accordance with Standard Paragraph E inspection in the Public Reference [Docket No. ER99–3863–000] Room. This filing may be viewed on the at the end of this notice. Take notice that on July 30, 1999, web at http://www.ferc.fed.us/online/ Geysers Power Company, LLC, tendered 7. Duquesne Light Company rims.htm (call 202–208–2222 for for filing a transaction report for quarter [Docket No. ER99–3953–000] assistance). ended June 30, 1999. Also take notice Take notice that on August 3, 1999, Linwood A. Watson, Jr., that on August 4, 1999, Geysers Power Duquesne Light Company (DLC), Acting Secretary. Company, LLC tendered for filing a tendered for filing a Service Agreement [FR Doc. 99–21409 Filed 8–17–99; 8:45 am] revised transaction report. dated August 2, 1999 with FPL Energy BILLING CODE 6717±01±M Comment date: August 24, 1999, in accordance with Standard Paragraph E Power Marketing, Inc., under DLC’s at the end of this notice. Open Access Transmission Tariff DEPARTMENT OF ENERGY (Tariff). The Service Agreement adds 4. Central Illinois Light Company FPL Energy Power Marketing, Inc., as a Federal Energy Regulatory [Docket No. ER99–3950–000]. customer under the Tariff. Commission Take notice that on August 3, 1999, DLC requests an effective date of August 2, 1999, for the Service [Docket No. EC99±103±000, et al.] Central Illinois Light Company (CILCO), 300 Liberty Street, Peoria, Illinois Agreement. K N Energy, Inc. and Kinder Morgan, 61202, tendered for filing with the Comment date: August 23, 1999, in Inc., et al.; Electric Rate and Corporate Commission an Index of Customers accordance with Standard Paragraph E Regulation Filings. under its Market Rate Power Sales Tariff at the end of this notice. and four service agreements with four 8. Duquesne Light Company August 10, 1999. new customers, Aquila Energy [Docket No. ER99–3954–000] Take notice that the following filings Marketing Corp., Constellation Power have been made with the Commission: Source, Inc., Koch Energy Trading Inc., Take notice that on August 3, 1999, Duquesne Light Company (DLC), 1. K N Energy, Inc., and Kinder and TransAlta Energy Marketing (U.S.). tendered for filing a Service Agreement Morgan, Inc. CILCO requested an effective date of July 30, 1999, for the Index. dated August 2, 1999 with FPL Energy [Docket No. EC99–103–000] Copies of the filing were served on the Power Marketing, Inc., under DLC’s Take notice that on August 3, 1999, affected customers and the Illinois Open Access Transmission Tariff pursuant to Section 203 of the Federal Commerce Commission. (Tariff). The Service Agreement adds Power Act and Part 33 of the Comment date: August 23, 1999, in FPL Energy Power Marketing, Inc., as a Commission’s Regulations, K N Energy, accordance with Standard Paragraph E customer under the Tariff. Inc., and Kinder Morgan, Inc., filed a at the end of this notice. DLC requests an effective date of joint application for approval of the August 2, 1999, for the Service 5. Central Illinois Light Company disposition of K N Energy’s indirect 50- Agreement. percent interest in Front Range Energy [Docket No. ER99–3951–000] Comment date: August 23, 1999, in Associates, L.L.C. (Front Range) as a Take notice that on August 3, 1999, accordance with Standard Paragraph E result of a proposed merger of K N Central Illinois Light Company (CILCO), at the end of this notice. Energy and Kinder Morgan. Front Range 300 Liberty Street, Peoria, Illinois 9. Public Service Company of New is developing an independent power 61202, tendered for filing with the Mexico production facility located in Colorado, Commission a substitute Index of and has been granted market-based rate Customers under its Coordination Sales [Docket No. ER99–3956–000] authority by the Commission. Tariff and one service agreement with Take notice that on August 3, 1999, This application has been served one new customer, TransAlta Energy Public Service Company of New Mexico upon the Colorado Public Utilities Marketing (U.S.). (PNM), tendered for filing executed

VerDate 18-JUN-99 18:18 Aug 17, 1999 Jkt 183247 PO 00000 Frm 00028 Fmt 4703 Sfmt 4703 E:\FR\FM\18AUN1.XXX pfrm11 PsN: 18AUN1 Federal Register / Vol. 64, No. 159 / Wednesday, August 18, 1999 / Notices 44917 service agreements, for point-to-point Services), on behalf of Entergy Gulf Service Tariff which has been accepted transmission service under the terms of States, Inc. (Entergy Gulf States), for filing by the Federal Energy PNM’s Open Access Transmission tendered for filing an Interconnection Regulatory Commission in Docket No. Service Tariff, with TXU Energy Trading and Operating Agreement between ER96–58–000. Company (2 agreements, for Non-Firm Entergy Gulf States and Air Liquide The proposed effective date under the and Short-Term Firm Service, dated July America Corporation (Air Liquide). Service Agreement is August 2, 1999. 29, 1999 and July 27, 1999, Entergy Services requests waiver of Copies of the filing have been respectively); and with Los Angeles the notice provisions necessary to provided to the Public Utilities Department of Water and Power permit the interconnection agreement to Commission of Ohio, the Pennsylvania Wholesale Marketing (2 agreements be made effective as of June 17, 1999. Public Utility Commission, the dated July 16, 1999, for Non-Firm and Comment date: August 23, 1999, in Maryland Public Service Commission, Short-Term Firm Service). accordance with Standard Paragraph E the Virginia State Corporation PNM’s filing is available for public at the end of this notice. Commission, and the West Virginia inspection at its offices in Albuquerque, Public Service Commission. 13. Entergy Services, Inc. New Mexico. Comment date: August 23, 1999, in Comment date: August 23, 1999, in [Docket No. ER99–3960–000] accordance with Standard Paragraph E accordance with Standard Paragraph E Take notice that on August 3, 1999, at the end of this notice. at the end of this notice. Entergy Services, Inc. (Entergy 17. Duquesne Light Company Services), on behalf of Entergy Gulf 10. Rochester Gas and Electric States, Inc. (EGSI), tendered for filing a [Docket No. ER99–3966–000] Corporation Generator Imbalance Agreement with Take notice that on August 3, 1999, [Docket No. ER99–3957–000] Sabine Cogen L.P. Duquesne Light Company (Duquesne), Take notice that on July 14, 1999, Comment date: August 23, 1999, in tendered for filing under Duquesne’s Rochester Gas and Electric Corporation accordance with Standard Paragraph E pending Market-Based Rate Tariff, (RG&E), tendered for filing a Market at the end of this notice. (Docket No. ER98–4159–000) executed Service Agreement at Market-Based Based Service Agreement between 14. Entergy Services, Inc. RG&E and Monroe County (Customer). Rates with Cargill-Alliant, LLC This Service Agreement specifies that [Docket No. ER99–3961–000] (Customer). the Customer has agreed to the rates, Take notice that on August 3, 1999, Duquesne has requested the term and conditions of RG&E’s FERC Entergy Services, Inc., on behalf of Commission waive its notice Electric Rate Schedule, Original Volume Entergy Gulf States, Inc., tendered for requirements to allow the Service No. 3 (Power Sales Tariff) accepted by filing an amendment to the Agreement to become effective as of the Commission. Interconnection Agreement between August 2, 1999. Copies of this filing were served upon RG&E requests waiver of the Entergy Gulf States, Inc. and Sabine Customer. Commission’s sixty (60) day notice Cogen L.P. Comment date: August 23, 1999, in requirements and an effective date of Comment date: August 23, 1999, in accordance with Standard Paragraph E July 14, 1999 for TransAlta Energy accordance with Standard Paragraph E at the end of this notice. Marketing (U.S.) Service Agreement. at the end of this notice. RG&E has served copies of the filing 18. Puget Sound Energy, Inc. 15. Entergy Services, Inc. on the New York State Public Service [Docket No. ER99–3968–000] Commission and on the Customer. [Docket No. ER99–3962–000] Take notice that on August 3, 1999, Comment date: August 23, 1999, in Take notice that on August 3, 1999, Puget Sound Energy, Inc. (Puget), accordance with Standard Paragraph E Entergy Services, Inc. (Entergy tendered for filing the Agreement at the end of this notice. Services), on behalf of Entergy Gulf Regarding Canadian Entitlement 11. Cinergy Services, Inc. States, Inc. (Entergy Gulf States), between Puget and Public Utility tendered for filing an Interconnection [Docket No. ER99–3955–000] District No. 2 of Grant County (Grant). and Operating Agreement between A copy of the filing was served upon Take notice that on August 3, 1999, Entergy Gulf States and Sabine Cogen Grant. Cinergy Services, Inc., collectively as L.P., (Sabine Cogen). Comment date: August 23, 1999, in agent for and on behalf of its utility Comment date: August 23, 1999, in accordance with Standard Paragraph E operating company affiliates, The accordance with Standard Paragraph E at the end of this notice. Cincinnati Gas & Electric Company and at the end of this notice. PSI Energy, Inc. (Cinergy), tendered for Standard Paragraphs 16. Allegheny Power Service filing a service agreement under Corporation, on Behalf of Monongahela E. Any person desiring to be heard or Cinergy’s Market-Based Power Sales Power Company, The Potomac Edison to protest such filing should file a Standard Tariff-MB (the Tariff) entered Company, and West Penn Power motion to intervene or protest with the into between Cinergy and TransAlta Company, (Allegheny Power) Federal Energy Regulatory Commission, Energy Marketing (U.S.) Inc. (TEMUS). 888 First Street, NE, Washington, DC Cinergy and TEMUS are requesting an [Docket No. ER99–3963–000] 20426, in accordance with Rules 211 effective date of July 5, 1999. Take notice that on August 3, 1999, and 214 of the Commission’s Rules of Comment date: August 23, 1999, in Allegheny Power Service Corporation Practice and Procedure (18 CFR 385.211 accordance with Standard Paragraph E on behalf of Monongahela Power and 385.214). All such motions or at the end of this notice. Company, The Potomac Edison protests should be filed on or before the 12. Entergy Services, Inc. Company and West Penn Power comment date. Protests will be Company (Allegheny Power), tendered considered by the Commission in [Docket No. ER99–3959–000] for filing Supplement No. 59 to add FPL determining the appropriate action to be Take notice that on August 3, 1999, Energy Services, Inc., to Allegheny taken, but will not serve to make Entergy Services, Inc. (Entergy Power Open Access Transmission protestants parties to the proceeding.

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Any person wishing to become a party proposes to drawdown Holter Lake, part applicant. If an agency does not file must file a motion to intervene. Copies of the Missouri-Madison Hydroelectric comments within the time specified for of these filings are on file with the Project. The lake would be lowered from filing comments, it will be presumed to Commission and are available for public its normal operating level of elevation have no comments. One copy of an inspection. This filing may also be 3,564 feet msl to the crest of the dam at agency’s comments must also be sent to viewed on the Internet at http:// elevation 3,548 feet msl—a total of the Applicant’s representatives. www.ferc.fed.us/online/rims.htm (call about 16 feet. The drawdown would Linwood A. Watson, Jr., 202–208–2222 for assistance). begin September 20, 1999. Water levels Acting Secretary. Linwood A. Watson, Jr., would be reduced over a two week [FR Doc. 99–21407 Filed 8–17–99; 8:45 am] period of time; the lake would be Acting Secretary. BILLING CODE 6717±01±M [FR Doc. 99–21381 Filed 8–17–99; 8:45 am] maintained at its minimum elevation of BILLING CODE 6717±01±P 3,548 feet msl for two days; then the lake would be refilled over the next ENVIRONMENTAL PROTECTION nineteen days. The drawdown would AGENCY DEPARTMENT OF ENERGY enable MPC to replace the dam’s deteriorating flashboards and support [FRL±6424±5] Federal Energy Regulatory stanchions. Commission k. Locations of the application: A Agency Information Collection copy of the application is available for Activities: Submission for OMB review; Notice of Application inspection and reproduction at the Comment Request; 1999 EPCRA Commission’s Public Reference Room at Implementation Status Questionnaire August 12, 1999. 888 First Street NE, Room 2A, for State Emergency Response Take notice that the following Washington, DC 20426, or by calling Commissions (SERCs), Local hydroelectric application has been filed (202) 208–1371. The application may be Emergency Planning Committees with the Commission and is available viewed on the web at http:// (LEPCs) and California Certified for public inspection: Unified Program Agencies (CUPAs) a. Application Type: Proposal To www.ferc.fed.us/online/rims.htm (call (202) 208–2222 for assistance). Lower Holter Lake. AGENCY: Environmental Protection b. Project No.: 2188–043. Comments, Protests, or Motions to Intervene—Anyone may submit Agency (EPA). c. Date Filed: August 2, 1999. ACTION: Notice. d. Applicant: Montana Power comments, a protest, or a motion to Company. intervene in accordance with the SUMMARY: In compliance with the e. Name of Project: Missouri-Madison requirements of Rules of Practice and Paperwork Reduction Act (44 U.S.C. Project. Procedure, 18 CFR 385.210, .211, .214. 3501 et seq.), this document announces f. Location: The Holter hydroelectric In determining the appropriate action to that the following Information dam which creates Holter Lake is on the take, the Commission will consider all Collection Request (ICR) has been Missouri River at river mile 2,211 about protests or other comments filed, but forwarded to the Office of Management 43 miles northeast of Helena in Lewis only those who file a motion to and Budget (OMB) for review and and Clark County, Montana. intervene in accordance with the approval: 1999 EPCRA Implementation g. Applicant Contact: Mr. John C. Van Commission’s Rules may become a Status Questionnaire for State party to the proceeding. Any comments, Daveer, Montana Power Company, 40 Emergency Response Commissions protests, or motions to intervene must East Broadway, Butte, MT 59701. (SERCs), Local Emergency Planning be received on or before the specified h. FERC Contact: Any questions on Committees (LEPCs), and California comment date for the particular this notice should be addressed to Steve Certified Unified Program Agencies application. Hocking, e-mail address: (CUPAs), EPA ICR No. 1905.01. The ICR [email protected], or telephone Filing and Service of Responsive Documents—Any filings must bear in describes the nature of the information (202) 219–2656. collection and its expected burden and i. Deadline for filing comments and all capital letters the title cost; where appropriate, it includes the recommendations, motions to intervene, ‘‘COMMENTS,’’ actual data collection instrument. and protests: September 8, 1999. ‘‘RECOMMENDATIONS FOR TERMS All documents (original and eight AND CONDITIONS,’’ ‘‘PROTEST,’’ DATES: Comments must be submitted on copies) should be filed with: David P. ‘‘MOTION TO INTERVENE,’’ as or before September 17, 1999. Boergers, Secretary, Federal Energy applicable, and the Project Number of FOR FURTHER INFORMATION: Contact Regulatory Commission, 888 First the particular application to which the Sandy Farmer at EPA by phone at (202) Street, NE, Washington, DC 20426. filing refers. Any of the above-named 260–2740, by email at The Commission’s Rules of Practice documents must be filed by providing [email protected], or download a and Procedure require all intervenors the original and the number of copies copy of the ICR off the Internet at http:/ filing documents with the Commission provided by the Commission’s /www.epa.gov/icr and refer to EPA ICR to serve a copy of that document on regulations to: The Secretary, Federal No.1905.01. each person whose name appears on the Energy Regulatory Commission, 888 SUPPLEMENTARY INFORMATION: Title: 1999 official service list for the project. First Street, NE, Washington, DC 20426. EPCRA Implementation Status Further, if an intervenor files comments A copy of any motion to intervene must Questionnaire for State Emergency or documents with the Commission also be served upon each representative Response Commissions (SERCs), Local relating to the merits of an issue that of the Applicant specified in the Emergency Planning Committees may affect the responsibilities of a particular application. (LEPCs) and California Certified Unified particular resource agency, they must Agency Comments—Federal, state, Program Agencies (CUPAs), EPA ICR also serve a copy of the document on and local agencies are invited to file No. 1905.01. This is a new collection. that resource agency. comments on the described application. Abstract: The Environmental j. Description of the Application: A copy of the application may be Protection Agency, Region IX, proposes Montana Power Company (MPC) obtained by agencies directly from the to conduct a Regional survey of State

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Emergency Response Commissions 15. The Federal Register document ENVIRONMENTAL PROTECTION (SERCs), Local Emergency Planning required under 5 CFR 1320.8(d), AGENCY Committees (LEPCs) and California soliciting comments on this collection [FRL±6424±8] Certified Unified Program Agencies of information, was published on 5/14/ (CUPAs). The information collected in 99 (FRL–6341–7). No comments were Availability of FY 98 Grant this survey will be used to assess the received. Performance Reports for Alabama, general progress, status, and activity Burden Statement: The annual public Florida, Georgia, Mississippi, North level of SERCs, LEPCs and CUPAs. The reporting and recordkeeping burden for Carolina, Tennessee and South information will also be used by Region this collection of information is Carolina IX staff to have a better understanding estimated to average one and a half hour of their Region’s actual implementation per response. Burden means the total AGENCY: Environmental Protection of EPCRA. time, effort, or financial resources Agency (EPA). The Emergency Planning and expended by persons to generate, ACTION: Notice of availability of grantee Community Right-to-Know Act of 1986 maintain, retain, or disclose or provide performance evaluation reports. (EPCRA) introduced a fundamental information to or for a Federal agency. change in the regulation of chemical SUMMARY: EPA’s grant regulations (40 This includes the time needed to review CFR 35.150) require the Agency to facilities and the prevention of and instructions; develop, acquire, install, preparedness for chemical accidents. evaluate the performance of agencies and utilize technology and systems for which receive grants. EPA’s regulations This law seeks to improve emergency the purposes of collecting, validating, preparedness and reduce the risk of for regional consistency (40 CFR 56.7) and verifying information, processing require that the Agency notify the chemical accidents by providing and maintaining information, and information to citizens about the public of the availability of the reports disclosing and providing information; of such evaluations. EPA recently chemicals in their community. EPCRA adjust the existing ways to comply with is premised on the concept that the performed end-of-year evaluations of any previously applicable instructions seven state air pollution control more informed local citizens are about and requirements; train personnel to be chemical hazards in their communities programs [Alabama Department of able to respond to a collection of the more involved they will be in Environmental Management, Florida information; search data sources; prevention and preparedness activities. Department of Environmental complete and review the collection of For this ‘‘informational regulation’’ to be Protection, Georgia Department of information; and transmit or otherwise effective, the public must receive Natural Resources, Mississippi Bureau disclose the information. accurate and reliable information, of Pollution Control, North Carolina which is easy to understand and Respondents/Affected Entities: Department of Environment and Natural practical to use. EPCRA sought to create SERCs, LEPCs, CUPAs. Resources, South Carolina Department partnerships between all levels of Estimated Number of Respondents: of Health and Environmental Control] government, the public and the 190. and 16 local programs [Knox County regulated community to identify, Frequency of Response: Once. Department of Air Pollution Control, prevent, plan, prepare and respond to Estimated Total Annual Hour Burden: TN; Chattanooga-Hamilton County Air hazardous material risks in our 285 hours. Pollution Control Bureau, TN; Memphis-Shelby County Health communities, and the purpose of this Estimated Total Annualized Capital survey is to obtain input from these Department, TN; Nashville-Davidson and Operating and Maintenance Cost County Metropolitan Health organizations to improve Region IX’s Burden: $0. EPCRA program. Department, TN; Jefferson County Air Send comments on the Agency’s need The primary goals of this research are Pollution Control District, KY; Western for this information, the accuracy of the to: (1) track the progress of SERCs, North Carolina Regional Air Pollution LEPCs and CUPAs by updating baseline provided burden estimates, and any Control Agency, NC; Mecklenburg data on a series of key performance suggested methods for minimizing County Department of Environmental indicators; and (2) probe current SERC, respondent burden, including through Protection, NC; Forsyth County LEPC and CUPA practices and the use of automated collection Environmental Affairs Department, NC; preferences regarding several important techniques to the following addresses: ( Palm Beach County Public Health Unit, sets of issues—particularly including please refer to EPA ICR No.1905.01 in FL; Hillsborough County Environmental communications with local citizens, any correspondence): Protection Commission, FL; Dade proactive accident prevention efforts, Ms. Sandy Farmer, U.S. Environmental County Environmental Resources and the effectiveness of selected Region Protection Agency, Office of Policy, Management, FL; Jacksonville Air IX products and services. Region IX Regulatory Information Division Quality Division, FL; Broward County wants to improve customer service and (2137), 401 M Street, SW, Environmental Quality Control Board, meet the changing needs of hazardous Washington, DC 20460; FL; Pinellas County Department of material prevention and emergency and Environmental Management, FL; City of response planning, which are Office of Information and Regulatory Huntsville Department of Natural influenced by new electronic Affairs, Office of Management and Resources, AL; Jefferson County capabilities and a rapidly expanding Budget, Attention: Desk Officer for Department of Health, AL]. The 23 knowledge base of environmental EPA, 725 17th Street, NW, evaluations were conducted to assess issues. Washington, DC 20503. the agencies’ performance under the An agency may not conduct or grants awarded by EPA under authority sponsor, and a person is not required to Dated: August 12, 1999. of section 105 of the Clean Air Act. EPA respond to, a collection of information Richard T. Westlund, Region 4 has prepared reports for each unless it displays a currently valid OMB Acting Director, Regulatory Information agency identified above and these control number. The OMB control Division. reports are now available for public numbers for EPA’s regulations are listed [FR Doc. 99–21426 Filed 8–17–99; 8:45 am] inspection. The Commonwealth of in 40 CFR Part 9 and 48 CFR Chapter BILLING CODE 6560±50±P Kentucky’s evaluation will be made

VerDate 18-JUN-99 16:50 Aug 17, 1999 Jkt 183247 PO 00000 Frm 00031 Fmt 4703 Sfmt 4703 E:\FR\FM\A18AU3.142 pfrm11 PsN: 18AUN1 44920 Federal Register / Vol. 64, No. 159 / Wednesday, August 18, 1999 / Notices available for public review at a later Protection Agency, 401 M St., SW, determine the docket control number date. Washington, DC 20460; telephone you need. ADDRESSES: The reports may be number: (703) 308–8004; e-mail address: examined at the EPA’s Region 4 office, [email protected]. 61 Forsyth Street, SW, Atlanta, Georgia SUPPLEMENTARY INFORMATION: 30303, in the Air, Pesticides, and Toxics Chemical name Docket control num- Management Division. I. General Information ber FOR FURTHER INFORMATION CONTACT: A. Does This Action Apply to Me? Ethoprop 34144B Linda Thomas, (404) 562–9064, at the This action applies to the public in Fenamiphos 34134A above Region 4 address, for information Phorate 34137A general. As such, the Agency has not concerning the state agencies in Terbufos 34139B Alabama, Florida, Mississippi, Georgia, attempted to specifically describe all the entities potentially affected by this and the local agencies in those states. The official record consists of the action. The Agency believes that a wide Vera Bowers, (404) 562–9053, at the documents specifically referenced in range of stakeholders will be interested above Region 4 address, for information this action, any public comments in technical briefings on concerning the state agencies in received during the applicable comment organophosphates, including Kentucky, North Carolina, South period, and other information related to environmental, human health, and Carolina, Tennessee, and the local this action, including information agricultural advocates, the chemical agencies in those states. claimed as Confidential Business industry, pesticide users, and members Information (CBI). This official record Dated: August 6, 1999. of the public interested in the use of includes the documents that are A. Stanley Meiburg, pesticides on food. If you have any physically located in the docket, as well Acting Regional Administrator, Region 4. questions regarding the applicability of as the documents that are referenced in [FR Doc. 99–21425 Filed 8–17–99; 8:45 am] this action to a particular entity, consult those documents. The public version of the person listed in the ‘‘FOR FURTHER BILLING CODE 6560±50±P the official record does not include any INFORMATION CONTACT’’ section. information claimed as CBI. The public ENVIRONMENTAL PROTECTION B. How Can I Get Additional version of the official record, which AGENCY Information, Including Copies of This includes printed, paper versions of any Document or Other Related Documents? electronic comments submitted during [OPP±34194; FRL±6099±5] the applicable comment period, is 1. Electronically. You may obtain available for inspection in Rm. 119, electronic copies of this document and Ethoprop, Fenamiphos, Phorate, and Crystal Mall #2, 1921 Jefferson Davis certain other available documents from Terbufos, Revised Organophosphate Hwy., Arlington, VA, from 8:30 a.m. to the EPA Internet Home Page at http:// Pesticide Risk Assessments; Notice of 4 p.m., Monday through Friday, www.epa.gov/. On the Home Page select Public Meeting excluding legal holidays. The Public ‘‘Laws and Regulations’’ and then look Information and Records Integrity AGENCY: Environmental Protection up the entry for this document under Branch telephone number is (703) 305– Agency (EPA). the ‘‘Federal Register—Environmental 5805. ACTION: Notice. Documents.’’ You can also go directly to the Federal Register listings at http:// II. What Action Has EPA Taken? SUMMARY: EPA will hold a public www.epa.gov/fedrgstr/. This document announces the meeting to present to interested A brief summary of the ethoprop, Agency’s intention to hold a technical stakeholders the revised risk fenamiphos, phorate, and terbufos briefing for the organophosphate assessments for four organophosphate revised risk assessments are now pesticides ethoprop, fenamiphos, pesticides: Ethoprop, fenamiphos, available at: http://www.epa.gov/ phorate, and terbufos. The Agency is phorate, and terbufos. This public pesticides/op/status.htm/, as well as in presenting the revised risk assessments meeting, called a ‘‘Technical Briefing,’’ paper as part of the public version of the for the chemicals listed in this notice to will provide an opportunity for official record as described in Unit I.B.2. interested stakeholders. Technical stakeholders to learn about the data, of this document. To access information briefings are designed to provide information, and methodologies that the about the revised risk assessments, stakeholders with an opportunity to Agency used in revising its risk which are scheduled for release on the become even more informed about an assessments for the four day of the technical briefing, for the four organophosphate’s risk assessment. EPA organophosphates mentioned in this organophosphates mentioned in this will describe in detail the revised risk notice. In addition, representatives of notice, go directly to the Home Page for assessments, including: The major the U.S. Department of Agriculture the Office of Pesticide Programs at http:/ points (e.g., contributors to risk (USDA) will provide ideas on possible /www.epa.gov/pesticides/op/. estimates); how public comment on the risk management for ethoprop, 2. In person. The Agency has preliminary risk assessments affected fenamiphos, phorate, and terbufos. established an official record for this the revised risk assessments; and the DATES: The technical briefing will be action under docket control number pesticide use information/data that was held on Thursday, September 2, 1999. OPP–34194. However, a docket control used in developing the revised risk ADDRESSES: The technical briefing will number was established for each of the assessments. Stakeholders will have an be held at the Ramada Plaza-Old Town, chemicals in this document by previous opportunity to ask clarifying questions. 901 North Fairfax St., Alexandria, VA, Federal Register documents. A In addition, representatives of the USDA (703) 683–6000. sequential alphabet designation is will provide ideas on possible risk FOR FURTHER INFORMATION CONTACT: added to the docket control number management for ethoprop, fenamiphos, Karen Angulo, Special Review and each time a new Federal Register phorate, and terbufos. Registration Division (7508C), Office of document in this subject category is Technical briefings are part of the Pesticide Programs, Environmental published. Use the table in this unit to pilot public participation process that

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EPA and USDA are now using for ENVIRONMENTAL PROTECTION listed in the ‘‘FOR FURTHER involving the public in the reassessment AGENCY INFORMATION CONTACT’’ section. of pesticide tolerances under the Food II. How Can I Get Additional Quality Protection Act (FQPA), and the [OPP±34170A; FRL±6095±3] Information, Including Copies of this reregistration of individual Document or Other Related Documents? organophosphate pesticides under the Chlorethoxyfos; Availability of Federal Insecticide, Fungicide, and Organophosphate Risk Assessment A. Electronically Rodenticide Act (FIFRA). The pilot You may obtain electronic copies of AGENCY: Environmental Protection this document and other related public participation process was Agency (EPA). developed as part of the EPA-USDA documents from the EPA Internet Home ACTION: Tolerance Reassessment Advisory Notice. Page at http://www.epa.gov/. To access this document, on the Home Page select Committee (TRAC), which was SUMMARY: This notices announces the established in April 1998 as a availability of the revised risk ‘‘Laws and Regulations’’ and then look subcommittee under the auspices of assessment and related documents for up the entry for this document under EPA’s National Advisory Council for one organophosphate pesticide, the ‘‘Federal Register—Environmental Environmental Policy and Technology. chlorethoxyfos. In addition, this notice Documents.’’ You can also go directly to A goal of the pilot public participation starts a 60-day public participation the Federal Register listings at http:// process is to find a more effective way period during which the public is www.epa.gov/fedrgstr/. To access information about for the public to participate at critical encouraged to submit risk management organophosphate pesticides and obtain ideas or proposals. These actions are in junctures in the Agency’s development electronic copies of the revised risk response to a joint initiative between of organophosphate risk assessment and assessment and related documents EPA and the Department of Agriculture risk management decisions. EPA and mentioned in this notice, you can also to increase transparency in the tolerance USDA began implementing this pilot go directly to the Home Page for the reassessment process for process in August 1998 in response to Office of Pesticide Programs (OPP) at organophosphate pesticides. Vice President Gore’s directive to http://www.epa.gov/pesticides/op/. increase transparency and opportunities DATES: Comments, identified by docket for stakeholder consultation. control number OPP–34170A, must be B. In Person received by EPA on or before October On the day of the technical briefing, The Agency has established an official 18, 1999. the Agency will also release for public record for this action under docket ADDRESSES: Comments may be viewing the ethoprop, fenamiphos, control number OPP–34170A. The submitted by mail, electronically, or in official record consists of the documents phorate, and terbufos revised risk person. Please follow the detailed specifically referenced in this action, assessments and related documents to instructions for each method as any public comments received during the Public Information and Records provided in Unit III. of the an applicable comment period, and Integrity Branch and the OPP Internet ‘‘SUPPLEMENTARY INFORMATION’’ other information related to this action, web site that are described in Unit I.B.1. section. To ensure proper receipt by including any information claimed as of this document. In addition, the EPA, it is imperative that you identify Confidential Business Information (CBI). Agency will issue a Federal Register docket control number OPP–34170A in This official record includes the notice to provide an opportunity for a the subject line on the first page of your documents that are physically located in 60-day public participation period response. the docket, as well as the documents during which the public may submit FOR FURTHER INFORMATION CONTACT: that are referenced in those documents. recommendations and proposals for Karen Angulo, Special Review and The public version of the official record transition. Reregistration Division (7508C), Office does not include any information claimed as CBI. The public version of III. Technical Briefing Schedule of Pesticide Programs, Environmental Protection Agency, 401 M St., SW., the official record, which includes Washington, DC 20460; telephone printed, paper versions of any electronic 8:30 a.m. to 10:00 a.m. Ethoprop number: (703) 308–8004; e-mail address: comments submitted during an 10:30 a.m. to 12:00 noon Fenamiphos [email protected]. applicable comment period, is available 12:00 noon to 1:00 p.m. Lunch SUPPLEMENTARY INFORMATION: for inspection in Rm. 119, Crystal Mall 1:00 p.m. to 2:30 p.m. Terbufos #2, 1921 Jefferson Davis Hwy., 3:00 p.m. to 4:30 p.m. Phorate I. Does This Action Apply to Me? Arlington, VA, from 8:30 a.m. to 4 p.m., This action is directed to the public Monday through Friday, excluding legal List of Subjects in general, nevertheless, a wide range of holidays. The Public Information and stakeholders will be interested in Records Integrity Branch (PIRIB) Environmental protection, Chemicals, obtaining the revised risk assessment telephone number is (703) 305–5805. Pesticides and pests. and submitting risk management III. How Can I Respond to this Action? Dated: August 12, 1999. comments on chlorethoxyfos, including environmental, human health, and A. How and to Whom Do I Submit Lois A. Rossi, agricultural advocates; the chemical Comments? Director, Special Review and Reregistration industry; pesticide users; and members You may submit comments through Division, Office of Pesticide Programs. of the public interested in the use of the mail, in person, or electronically. To [FR Doc. 99–21429 Filed 8–17–99; 8:45 am] pesticides. As such, the Agency has not ensure proper receipt by EPA, you must attempted to specifically describe all the identify docket control number OPP– BILLING CODE 6560±50±F entities potentially affected by this 34170A in the subject line on the first action. If you have any questions page of your response. regarding the applicability of this action 1. By mail. Submit comments to: to a particular entity, consult the person Public Information and Records

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Integrity Branch, Information Resources organophosphate, chlorethoxyfos. These participate in the organophosphate pilot and Services Division (7502C), Office of documents have been developed as part public participation process. EPA has a Pesticide Programs, Environmental of the pilot public participation process good familiarity with the stakeholder Protection Agency, 401 M St., SW., that EPA and the U.S. Department of groups associated with the use of Washington, DC 20460. Agriculture (USDA) are now using for chlorethoxyfos who may be interested 2. In person or by courier. Deliver involving the public in the reassessment in participating in the risk assessment/ comments to: Public Information and of pesticide tolerances under the Food risk management process, and will Records Integrity Branch, Information Quality Protection Act (FQPA), and the contact them individually to inform Resources and Services Division reregistration of individual them that no Technical Briefing will be (7502C), Office of Pesticide Programs, organophosphate pesticides under the held. EPA is willing to meet with Environmental Protection Agency, Rm. Federal Insecticide, Fungicide, and stakeholders to discuss the 119, Crystal Mall #2, 1921 Jefferson Rodenticide Act (FIFRA). The pilot chlorethoxyfos revised risk assessment. Davis Hwy., Arlington, VA. PIRIB is public participation process was Minutes of all meetings will be open 8:30 a.m. to 4 p.m., Monday developed as part of the EPA-USDA docketed. through Friday, excluding legal Tolerance Reassessment Advisory In addition, this notice starts a 60-day holidays. The PIRIB telephone number Committee (TRAC), which was public participation period during is (703) 305–5805. established in April 1998, as a which the public is encouraged to 3. Electronically. Submit electronic subcommittee under the auspices of submit risk management proposals or comments by e-mail to: ‘‘opp- EPA’s National Advisory Council for otherwise comment on risk management [email protected],’’ or you may mail or Environmental Policy and Technology. for chlorethoxyfos. The Agency is deliver your standard computer disk A goal of the pilot public participation providing an opportunity, through this using the addresses in this unit. Do not process is to find a more effective way notice, for interested parties to provide submit any information electronically for the public to participate at critical written risk management proposals or that you consider to be CBI. Electronic junctures in the Agency’s development ideas to the Agency on the chemical comments must be submitted as an of organophosphate risk assessment and specified in this notice. EPA will ASCII file, avoiding the use of special risk management decisions. EPA and provide other opportunities for public characters and any form of encryption. USDA began implementing this pilot participation and comment on issues Comments and data will also be process in August 1998, to increase associated with the organophosphate accepted on standard computer disks in transparency and opportunities for tolerance reassessment program. Failure WordPerfect 5.1/6.1 or ASCII file stakeholder consultation. The to participate or comment as part of this format. All comments in electronic form documents being released to the public opportunity will in no way prejudice or must be identified by the docket control through this notice provide information limit a commentor’s opportunity to number OPP–34170A. Electronic on the revisions that were made to the participate fully in later notice and comments may also be filed online at chlorethoxyfos preliminary risk comment processes. All comments and many Federal Depository Libraries. assessment, which where released to the proposals must be received by EPA on B. How Should I Handle CBI public on January 15, 1999 (64 FR 2644) or before October 18, 1999 at the Information That I Want To Submit to (FRL–6056–9), through a notice in the addresses given under the ADDRESSES the Agency? Federal Register. section. Comments and proposals will become part of the Agency record for Do not submit any information As part of the pilot public the organophosphate specified in this electronically that you consider to be participation process, EPA and USDA notice. CBI. You may claim information that may hold public meetings (called you submit to EPA in response to this Technical Briefings) to provide List of Subjects interested stakeholders with document as CBI by marking any part or Environmental protection, Chemicals, opportunities to become more informed all of that information as CBI. Pesticides and pests. Information so marked will not be about revised organophosphate risk disclosed except in accordance with assessment. During the Technical Dated: August 10, 1999. Briefings, EPA describes the major procedures set forth in 40 CFR part 2. Jack E. Housenger, In addition to one complete version of points (e.g. risk contributors), use data the comment that includes any that were used (e.g. data from USDA’s Acting Director, Special Review and information claimed as CBI, a copy of Pesticide Data Program (PDP)), and Reregistration Division, Office of Pesticide the comment that does not contain the discusses how public comments Programs. information claimed as CBI must be impacted the assessment. USDA [FR Doc. 99–21244 Filed 8–17–99; 8:45 am] provides ideas on possible risk submitted for inclusion in the public BILLING CODE 6560±50±F version of the official record. management. Stakeholders have an Information not marked confidential opportunity to ask clarifying questions, will be included in the public version and all meeting minutes are placed in ENVIRONMENTAL PROTECTION of the official record without prior the OPP public docket. Technical AGENCY notice. If you have any questions about Briefings may not be held for chemicals [OPP±34192A; FRL±6099±2] CBI or the procedures for claiming CBI, that have limited use patterns or low levels of risk concern. The use pattern please consult the person listed in the Neurotoxic Pesticides, Availability of of chlorethoxyfos is limited to corn. ‘‘FOR FURTHER INFORMATION Data Call-In Notice; Correction CONTACT’’ section. Therefore, no Technical Briefing is planned. In cases where no Technical AGENCY: Environmental Protection IV. What Action Is EPA Taking in This Briefing is held, the Agency will make Notice? Agency (EPA). a special effort to communicate with ACTION: Notice; correction. EPA is making available for public interested stakeholders in order to better viewing the revised risk assessment and ensure their understanding of the SUMMARY: EPA is correcting the related documents for one revised assessment and how they can availability date of the Data Call-In

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Notice requiring registrants of Documents.’’ You can also go directly to FEDERAL COMMUNICATIONS neurotoxic pesticides to conduct acute, the Federal Register listings at http:// COMMISSION subchronic, and developmental www.epa.gov/fedrgstr/. neurotoxicity studies and submit the To obtain electronic copies of the [DA 99±1520] results to EPA. Neurotoxicity Data Call-In Notice DATES: The Data Call-In Notice is mentioned in this notice, you can go Common Carrier Bureau Announces available August 6, 1999. directly to the Home Page for the Office Release of September Version of FOR FURTHER INFORMATION CONTACT: of Pesticide Programs (OPP) at http:// Telecommunications Reporting Karen Angulo, Special Review and www.epa.gov/pesticides/. Worksheet (FCC Form 499±S) for Reregistration Division (7508C), Office B. In Person Contributions to the Universal Service of Pesticide Programs, Environmental Support Mechanisms Protection Agency, 401 M St., SW, The Agency has established an official record for this action under docket Washington, DC 20460; telephone AGENCY: control number OPP–34192A. The Federal Communications numbers: (703) 308–8004 and fax Commission. number: (703) 308–8005; e-mail address: official record consists of the documents [email protected]. specifically referenced in this action, ACTION: Notice. any public comments received during SUPPLEMENTARY INFORMATION: an applicable comment period, and SUMMARY: On July 30, 1999, the I. Does This Action Apply to Me? other information related to this action, Common Carrier Bureau released a including any information claimed as You may be potentially affected by public notice announcing the release of CBI. This official record includes the this notice if you manufacture or the September version of the formulate pesticides. Potentially documents that are physically located in the docket, as well as the documents Telecommunications Reporting affected categories and entities may Worksheet (FCC Form 499–S) and its include, but are not limited to: that are referenced in those documents. The public version of the official record accompanying instructions. The does not include any information intended effect of this action is to make claimed as CBI. The public version of the public aware of the new worksheet the official record, which includes and to remind contributors to the Examples of po- universal service support mechanisms Categories NAICS tentially affected printed, paper versions of any electronic entities comments submitted during an of the need to file the worksheet on applicable comment period, is available September 1, 1999. Pesticide pro- 32532 Pesticide manu- for inspection in Rm. 119, Crystal Mall FOR FURTHER INFORMATION CONTACT: ducers facturers #2, 1921 Jefferson Davis Hwy., Scott K. Bergmann, Industry Analysis Pesticide formula- Arlington, VA, from 8:30 a.m. to 4 p.m., tors Division, Common Carrier Bureau, at Monday through Friday, excluding legal holidays. The PIRIB telephone number (202) 418–7102; or Jim Lande, Industry This listing is not intended to be is (703) 305–5805. Analysis Division, Common Carrier exhaustive, but rather provides a guide Bureau at (202) 418–0948. for readers regarding entities likely to be III. What Action Is EPA Taking in This SUPPLEMENTARY INFORMATION: This is a affected by this action. Other types of Notice? summary of a Public Notice released entities not listed could also be affected. On August 6, 1999, EPA published a July 30, 1999 (DA 99–1520). The If available, the North American document (FRL–6097–9) in the Federal Industrial Classification System September version of the Register on page 42945, announcing the Telecommunications Reporting (NAICS) codes have been provided to availability of a Data Call-In Notice for Worksheet (FCC Form 499–S) and its assist you and others in determining cholinesterase-inhibiting accompanying instructions are attached whether or not this notice affects certain organophosphates. Through an to the Public Notice. The full text of the entities. If you have any questions administrative error, the wrong date was regarding the applicability of this inserted in the document under the Public Notice is available for inspection announcement to you, consult the caption ‘‘DATES.’’ and copying during normal business person listed in the ‘‘FOR FURTHER On page 42945, in the third column hours in the FCC Reference Center, INFORMATION CONTACT’’ section. under the caption ‘‘DATES’’ the date is Room CY–A257, 445 12th Street, S.W., Washington, D.C. 20554. The complete II. How Can I Get Additional corrected to read: ‘‘August 6, 1999.’’ text also may be purchased from the Information, Including Copies of This List of Subjects Document or Other Related Documents? Commission’s copy contractor, Environmental protection, Chemicals, International Transcription Service, Inc. A. Electronically Pesticides and pests. (202) 857–3800, 1231 20th St., N.W., You may obtain electronic copies of Dated: August 6, 1999. Washington, D.C. 20036. this document and other related Federal Communications Commission. documents from the EPA Internet Home Lois A. Rossi, Alan Feldman, Page at http://www.epa.gov/. To access Deputy Chief, Industry Analysis Division, this document, on the Home Page select Director, Special Review and Reregistration Division, Office of Pesticide Programs. Common Carrier Bureau. ‘‘Laws and Regulations’’ and then look [FR Doc. 99–21401 Filed 8–17–99; 8:45 am] up the entry for this document under [FR Doc. 99–21428 Filed 8–17–99; 8:45 am] BILLING CODE 6712±01±U the ‘‘Federal Register—Environmental BILLING CODE 6560±50±F

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FEDERAL COMMUNICATIONS Comment on the Connecticut form ’’ in the COMMISSION Department of Public Utility Control’s body of the message. A sample form and Petition for Delegation of Additional directions will be sent in reply. [CC Docket No. 96±98; DA 99±1555] Authority to Implement Area Code Comments may be filed using the Connecticut Department of Public Conservation Measures, Public Notice, Commission’s Electronic Comment Utility Control's Petition Requesting NSD File No. L–99–62, DA 99–1555 (rel. Filing System (ECFS) or by filing paper Additional Authority To Implement August 5, 1999). copies. The additional authority measures Area Code Conservation Measures This is a ‘‘permit but disclose’’ sought by the CTDPUC relate to issues proceeding for purposes of the AGENCY: under consideration in the Numbering Federal Communications Commission’s ex parte rules. See Resource Optimization Notice. Commission. generally 47 CFR 1.1200–1.1216. As a Numbering Resource Optimization, ACTION: Notice. ‘‘permit but disclose’’ proceeding, ex Notice of Proposed Rulemaking, CC parte presentations will be governed by SUMMARY: On August 5, 1999, the Docket No. 99–200, FCC 99–122 (rel. the procedures set forth in 1.1206 of the Commission released a public notice June 2, 1999), 64 FR 32471. Because the Commission’s rules applicable to non- requesting public comment on a petition CTDPUC faces immediate concerns restricted proceedings. 47 CFR 1.1206. from the Connecticut Department of regarding the administration of area Public Utility Control (‘‘Petition’’) code resources in Connecticut, we find Parties making oral ex parte requesting additional authority to it to be in the public interest to address presentations are reminded that implement measures related to this petition as expeditiously as memoranda summarizing the conservation of area codes. The possible, prior to completing the presentation must contain a summary of intended effect of this action is to make rulemaking proceeding. the substance of the presentation and the public aware of, and to seek public We hereby seek comment on the not merely a listing of the subjects comment on, this request. issues raised in the CTDPUC’s petition discussed. More than a one or two DATES: Comments are due by September for delegated authority to implement sentence description of the views and 7, 1999. various area code conservation arguments presented is generally measures. A copy of this petition will be required. See 47 CFR 1.1206(b)(2). Other FOR FURTHER INFORMATION CONTACT: available during regular business hours Jared Carlson at (202) 418–2320 or rules pertaining to oral and written at the FCC Reference Center, Portals II, [email protected]. The address is: presentations are set forth in 1.1206(b) 445 12th Street, S.W., Suite CY–A257, Network Services Division, Common as well. For further information contact Washington, D.C. 20554, (202) 418– Carrier Bureau, Federal Jared Carlson of the Common Carrier 0267. Bureau, Network Services Division, at Communications Commission, The Interested parties may file comments Portals, 445 12th Street, S.W., Suite 6- (202) 418–2320 or [email protected]. The concerning these matters on or before TTY number is (202) 418–0484. A320, Washington, D.C. 20554. The fax September 6, 1999. All filings must Federal Communications Commission. number is: (202) 418–2345. The TTY reference NSD File Number L–99–62 number is: (202) 418–0484. and CC Docket 96–98. Send an original Blaise A. Scinto, SUPPLEMENTARY INFORMATION: On and four copies to the Commission Deputy Chief, Network Services Division, September 28, 1998, the Federal Secretary, Magalie Roman Salas, Portals Common Carrier Bureau. Communications Commission II, 445 12th Street, S.W., Suite TW– [FR Doc. 99–21356 Filed 8–17–99; 8:45 am] (‘‘Commission’’) released an order in the A325, Washington, D.C. 20554 and two BILLING CODE 6712±01±U matter of a Petition for Declaratory copies to Al McCloud, Network Services Ruling and Request for Expedited Division, Portals II, 445 12th Street, Action on the July 15, 1997 Order of the S.W., Suite 6A–320, Washington, D.C. FEDERAL COMMUNICATIONS Pennsylvania Public Utility Commission 20554. COMMISSION Regarding Area Codes 412, 610, 215, Comments may be filed using the and 717, and Implementation of the Commission’s Electronic Comment [Report No. 2351] Local Competition Provisions of the Filing System (ECFS) or by filing paper Telecommunications Act of 1996, copies. Comments filed through the Petitions for Reconsideration and Memorandum Opinion and Order and ECFS can be sent as an electronic file Clarification of Action in Rulemaking Order on Reconsideration, FCC 98–224, via the Internet to . Generally, only one File No. L–97–42 (rel. September 28, copy of an electronic submission must August 12, 1999. 1998) (‘‘Pennsylvania Numbering be filed. If multiple docket or Petitions for reconsideration have Order’’). The Pennsylvania Numbering rulemaking numbers appear in the been filed in the Commission’s Order delegated additional authority to caption of this proceeding, however, rulemaking proceedings listed in this state public utility commissions to order commenters must transmit one Public Notice and published pursuant to NXX code rationing, under certain electronic copy of the comments to each 47 CFR 1.429(e). The full text of these circumstances, in jeopardy situations docket or rulemaking number documents are available for viewing and and encouraged state commissions to referenced in the caption. In completing copying in Room CY–A257, 445 12th seek further limited delegations of the transmittal screen, commenters Street, SW, Washington, DC or may be authority to implement other innovative should include their full name, Postal purchased from the Commission’s copy number conservation methods. Service mailing address, and the contractor, ITS, Inc. (202) 857–3800. The Connecticut Department of Public applicable docket or rulemaking Oppositions to these petitions must be Utility Control (‘‘CTDPUC’’) has filed a number. Parties may also submit an filed by September 2, 1999. See Section request for additional delegation of electronic comment by Internet e-mail. 1.4(b)(1) of the Commission’s rules (47 authority to implement area code To get filing instructions for e-mail CFR 1.4(b)(1). Replies to an opposition conservation methods in their state. See comments, commenters should send an must be filed within 10 days after the Common Carrier Bureau Seeks e-mail to [email protected], including ‘‘get time for filing options has expired.

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Subject: Assessment and Collection of FEDERAL MARITIME COMMISSION Agreement No.: 203–011669 Regulatory Fees for Fiscal Year 1999 Title: ATL/CMT Cooperative Working (MD Docket No. 98–200). Notice of Agreement(s) Filed Agreement Number of Petitions Filed: 1. Parties: The Commission hereby gives notice Subject: Implementation of Cable Act of the filing of the following Associated Transport Line, L.L.C. Reform Provisions of the agreement(s) under the Shipping Act of Crowley Marine Tansport Telecommunications Act of 1996 (CS 1984. Interested parties can review or Synopsis: The proposed agreement Docket No. 96–85). would authorize the parties to Number of Petitions Filed: 3. obtain copies of agreements at the Washington, DC offices of the charger space to each other, Federal Communications Commission. Commission, 800 North Capitol Street, coordinate sailings, utilize common Magalie Roman Salas, NW., Room 962. Interested parties may port facilities, exchange equipment Secretary. submit comments on an agreement to and information, and discuss and [FR Doc. 99–21400 Filed 8–17–99; 8:45 am] the Secretary, Federal Maritime reach nonbinding agreement on BILLING CODE 6712±01±M Commission, Washington, DC 20573, rates in the trade between U.S. Gulf within 10 days of the date this notice ports, and U.S. inland points via appears in the Federal Register. those ports, and ports and points in FEDERAL ELECTION COMMISSION Agreement No.: 203–011516–003 Colombia, Mexico, Trinidad, and Title: Voluntary Intermodal Sealift Venezuela. The parties have Sunshine Act Meeting Discussion Agreement requested expedited review. Parties: AGENCY: Federal Election Commission. Agreement No.: 217–011670 American President Lines, Ltd. Title: Libra/FMC Agreement No. 232– PREVIOUSLY ANNOUNCED DATE & TIME: Crowley American Transport, Inc. 011642 (ECUA/ECSA) Space Thursday, August 19, 1999, 10:00 a.m., Crowley Marine Services, Inc. Charter Agreement meeting Open to the Public. Farrell Lines Inc. Parties: The following item was added to the Lykes Lines Limited, L.L.C. Companhia Libra de Navegacao agenda: Audit Report on the San Diego Maersk Lines, Limited Convention and Visitors Bureau, Inc. Matson Navigation Company (‘‘Libra’’) East Coast United States/ East Coast South America (‘‘ECUA/ DATE & TIME: Tuesday, August 24, 1999 Sea-Land Service, Inc. ECSA’’) Vessel Sharing Agreement at 10:00 a.m. Totem Ocean Trailer Express, Inc. FMC Agreement No. 232–011642 PLACE: 999 E Street, N.W., Washington, Synopsis: The proposed modification Synopsis: The proposed Agreement D.C. extends the term of the agreement from October 1, 1999, to an permits the ECUA/ECSA Vessel STATUS: This meeting will be closed to indefinite term. Sharing Agreement to charter space the public. Agreement No.: 217–011548–003 to Libra in the trade between ports ITEMS TO BE DISCUSSED: Title: Hanjin/Sinotrans Slot Charter on the East Coast of the United Compliance matters pursuant to 2 Agreement States (Eastport, ME to Key West, U.S.C. 437g. Parties: FL) and ports in Argentina, Brazil, Audits conducted pursuant to 2 U.S.C. China National Foreign Trade Paraguay, Uruguay and Venezuela. § 437g, § 438(b), and Title 26, U.S.C. Transportation Corp. Agreement No.: 232–011671 Matters concerning participation in civil Hanjin Shipping Co., Ltd. Title: Med-Pacific Express/Contship actions or proceedings or Synopsis: The proposed Amendment Space Charter and Sailing arbitration. modifies Article 5.4.1 of the Agreement Internal personnel rules and procedures Agreement to increase the number Parties: or matters affecting a particular of slots made available to Sinotrans employee. d’Amico Societa di Navigazione under Hanjin’s CAX–I service. S.p.A. and Italia di Navigazione, DATE & TIME: Thursday, August 26, 1999 Agreement No.: 203–011668 S.p.A. d/b/a Med-Pacific Express at 10:00 a.m. Title: Columbus Line/Hapag-Lloyd (‘‘Med-Pacific’’) PLACE: 999 E Street, N.W., Washington, Cooperative Service Contract Contship Containerlines Limited D.C. (Ninth floor) Agreement (‘‘Contship’’) STATUS: This Meeting Will Be Open to Parties: Synopsis: The proposed Agreement the Public. Hapag-Lloyd Container Linie GmbH would permit Med-Pacific to ITEMS TO BE DISCUSSED: Columbus Line charter space to Contship on vessels Synopsis: The proposed Agreement Correction and Approval of Minutes. it operates in the trade between would permit the parties to jointly Title 26 Final Rules and Explanation United States Pacific Coast ports negotiate, enter into, or amend and Justification covering several and ports in countries bordering on service contracts with shippers for issues in 11 CFR Parts 9001–9039. the Mediterranean Sea. It would the transportation of cargo between (Tentative) also permit them to agree on certain all United States ports and points Status of PricewaterhouseCoopers (PwC) aspects of sailings in the trade and and all foreign ports and points. Recommendations. on other cooperative activities The parties would also be permitted Administrative Matters. related to the chartering of space. to discuss and agree upon rates, PERSON TO CONTACT FOR INFORMATION: rules, and terms and conditions of Agreement No.: 203–011672 Mr. Ron Harris, Press Officer, service applicable to service Title: CSAV Group Cooperative Working Telephone: (202) 694–1220. contracts and would permit the Agreement Mary W. Dove, parties to reconcile revenues earned Parties: Acting Secretary of the Commission. under a particular agreement to the Compania Sud Americana de Vapores [FR Doc. 99–21577 Filed 8–16–99; 3:25 pm] extent necessary to maximize S.A. BILLING CODE 6715±01±M efficiencies in the service. Euroatlantic Container Line S.A.

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Braztrans Transportes Maritimos Hollywood Blvd., Suite 385 South, Holland America Line Westour Inc., Limitada Hollywood, FL 33021 Holland America Line N.V. and HAL Montemar Maritima S.A. Vessel: Enchanted Capri Nederland N.V., 300 Elliot Avenue Companhia Libra de Navegacao West, Seattle, WA 98119 New Commodore Cruise Lines Limited Vessels: Volendam and Zaandam Synopsis: The proposed agreement (d/b/a Commodore Cruise Line), 4000 would authorize any two or more Hollywood Blvd., Suite 385 South, Norwegian Cruise Line Limited (d/b/a parties to coordinate and rationalize Hollywood, FL 33021 Norwegian Cruise Line and Orient all aspects of their operations, Vessel: Enchanted Isle Lines) and Orient Lines Ltd., 7665 including the chartering of vessels Corporate Center Drive, Miami, FL and vessel space, coordinate New Commodore Cruise Lines Limited 33126 sailings, interchange equipment, (d/b/a Commodore Day Cruises), 4000 Vessel: Crown Odyssey and share facilities in the trade Hollywood Blvd., Suite 385 South, between ports and inland points in Hollywood, FL 33021 Norwegian Cruise Line Limited (d/b/a Norwegian Cruise Line), 7665 the United States and ports and Vessel: Enchanted Sun inland points worldwide. Corporate Center Drive, Miami, FL New Commodore Cruise Lines Limited 33126 By Order of the Federal Maritime (d/b/a World Explorer Cruises), 4000 Vessel: Norwegian Sky Commission. Hollywood Blvd., Suite 385 South, Dated: August 13, 1999. Dated: August 13, 1999. Hollywood, FL 33021 Ronald D. Murphy, Ronald D. Murphy, Vessel: Universe Explorer Assistant Secretary. Assistant Secretary. [FR Doc. 99–21436 Filed 8–17–99; 8:45 am] Norwegian Cruise Line Limited (d/b/a [FR Doc. 21437 Filed 8–17–99; 8:45 am] BILLING CODE 6730±01±M Norwegian Cruise Line and Orient BILLING CODE 6730±01±M Lines), 7665 Corporate Center Drive, Miami, FL 33126 FEDERAL MARITIME COMMISSION Vessel: Crown Odyssey FEDERAL MARITIME COMMISSION Security for the Protection of the Dated: August 13, 1999. [Docket No. 99±16] Ronald D. Murphy, Public; Indemnification of Passengers Carolina Marine Handling, Inc. v. South Assistant Secretary. for Nonperformance of Transportation; Carolina State Ports Authority, Issuance of Certificate (Performance) [FR Doc. 99–21438 Filed 8–17–99; 8:45 am] Charleston Naval Complex BILLING CODE 6730±01±M Notice is hereby given that the Redevelopment Authority, Charleston following have been issued a Certificate International Projects Inc., and of Financial Responsibility for FEDERAL MARITIME COMMISSION Charleston International Ports, LLC; Indemnification of Passengers for Notice of Filing of Complaint and Nonperformance of Transportation Security for the Protection of the Assignment pursuant to the provisions of section 3, Public; Financial Responsibility To Notice is given that a complaint was Public Law 89–777 (46 U.S.C. 817(e)) Meet Liability Incurred for Death or filed by Carolina Marine Handling, Inc. and the Federal Maritime Commission’s Injury to Passengers or Other Persons (‘‘Complainant’’), against South Carolina implementing regulations at 46 CFR part on Voyages; Issuance of Certificate State Ports Authority (‘‘SPA’’), 540, as amended: (Casualty) Charleston Naval Complex American Classic Voyages Company, Notice is hereby given that the Redevelopment Authority (‘‘RDA’’), 1380 Port of New Orleans Place, New following have been issued a Certificate Charleston International Projects, Inc. Orleans, LA 70130–1890 of Financial Responsibility to meet (‘‘CIP’’), and Charleston International Vessel: Columbia Queen Liability Incurred for Death or Injury to Ports, LLC (‘‘CIP’’), herein collectively referred to as (‘‘Respondents’’). The American West Steamboat Company Passengers or Other Persons on Voyages complaint was served on August 13, LLC, 2 Union Square, 601 Union pursuant to the provisions of section 2, 1999. Complainant alleges that Street, Suite 4343, Seattle, WA 98101 Public Law 89–777 (46 U.S.C. 817(d)) Respondents violated sections 10(d)(1) Vessel: Queen of the West and the Federal Maritime Commission’s implementing regulations at 46 CFR part and, pursuant to provisions of section Carnival Corporation, 3655 NW 87th 540, as amended: 20(e)(3), sections 10(b)(11), 10(b)(12), 10(d)(3) and 10(d)(4) of the Shipping Avenue, Miami, FL 33178–2193 American West Steamboat Company Act of 1984, 46 U.S.C. app. 1709(d)(1) Vessels: Carnival Spirit and Carnival LLC and QW Boat Company LLC, 2 and, pursuant to the provisions of Victory Union Square, 601 Union Street, Suite § 1719(e)(3), §§ 1709(b)(11), (b)(12, (d)(3) 4343, Seattle, WA 98101 Celebrity Cruises Inc. (d/b/a Celebrity and (d)(4), by refusal to negotiate with Cruises), 1050 Caribbean Way, Miami, Vessel: Queen of the West or to make available to Complainant FL 33132 Carnival Corporation and Utopia adequate and suitable terminal, pier, Vessels: Millennium, Millennium II, Cruises, Inc., 3655 NW 87th Avenue, dock, and storage facilities; interference Millennium III and Millennium IV Miami, FL 33178–2193 with Complainants right to use of such New Commodore Cruise Lines Limited Vessel: Carnival Triumph facilities; and by granting terminal space (d/b/a Crown Cruise Line), 4000 and concessions to Respondent CIP and Disney Cruise Vacations, Inc., Magical others while unreasonably denying Hollywood Blvd., Suite 385 South, Cruise Company, Limited (d/b/a Hollywood, FL 33021 comparable terminal space and Disney Cruise Line) and DCL Services concessions to Complainant. Vessel: Crown Dynasty Ltd., 210 Celebration Place, Suite 400, This proceeding has been assigned to New Commodore Cruise Lines Limited Celebration, FL 34747–4600 the office of Administrative Law Judges. (d/b/a Capri Cruises), 4000 Vessel: Disney Wonder Hearing in this matter, if any is held,

VerDate 18-JUN-99 16:50 Aug 17, 1999 Jkt 183247 PO 00000 Frm 00038 Fmt 4703 Sfmt 4703 E:\FR\FM\A18AU3.125 pfrm11 PsN: 18AUN1 Federal Register / Vol. 64, No. 159 / Wednesday, August 18, 1999 / Notices 44927 shall commence within the time Address: 1035 Watson Center Road, Date Revoked: May 1, 1999 limitations prescribed in 46 CFR 502.61, Carson, CA 90745 Reason: Surrendered license and only after consideration has been Date Revoked: May 1, 1999 voluntarily. given by the parties and the presiding Reason: Surrendered license License No.: 1896 officer to the use of alternative forms of voluntarily. Name: Fernando Rogus/Smith & dispute resolution. The hearing shall License No.: 1234 Johnson (Warehouse) Inc. include oral testimony and cross- Name: Margarita T. Kuyoomjian d/b/a Address: c/o Wilson UTC, Inc., 750 examination in the discretion of the California International Forwarders Walnut Avenue, Cranford, NJ 07016 presiding officer only upon proper Address: 502 S. Irving Blvd., Los Date Revoked: May 5, 1999 showing that there are genuine issues of Angeles, CA 90020 Reason: Surrendered license Date Revoked: April 29, 1999 material fact that cannot be resolved on voluntarily. the basis of sworn statements, affidavits, Reason: Surrendered license depositions, or other documents or that voluntarily. License No.: 4047 the nature off the matter in issue is such License No.: 3138 Name: Heywal Soo Kahng d/b/a that an oral hearing and cross- Name: Multi-Modal International, Inc. Maturity International Transport examination are necessary for the Address: 3531 Casa Real Way, P.O. Box Address: 2039 W. Artesia Blvd., St. 144, development of an adequate record. 81873, Las Vegas, NV 89180–1873 Torrance, CA 90504 Pursuant to the further terms of 46 CFR Date Revoked: May 6, 1999 Date Revoked: April 30, 1999 502.61, the initial decision of the Reason: Surrendered license Reason: Surrendered license presiding officer in this proceeding shall voluntarily. voluntarily. be issued by August 14, 2000, and the License No.: 4565 License No.: 4155 final decision of the Commission shall Name: Mundial Forwarding, Inc. Name: King Senderax, Inc. d/b/a King be issued by December 12, 2000. Address: 918 Dunwood Drive, Houston, Senderax Cargo Ronald D. Murphy, TX 77076 Address: 17310 Crenshaw Blvd., Assistant Secretary. Date Revoked: June 8, 1999 Torrance, CA 90504 [FR Doc. 99–21446 Filed 8–17–99; 8:45 am] Reason: Surrendered license Date Revoked: June 8, 1999 voluntarily. BILLING CODE 6730±01±M Reason: Surrendered license License No.: 2806 voluntarily. Name: Oceanflight, Inc. License No.: 2039 Address: 3199 Kinross Court, Herndon, FEDERAL MARITIME COMMISSION Name: Seven Seas Brokers Inc. VA 20171 Ocean Freight Forwarder License Date Revoked: May 1, 1999 Address: 5453 N.W. 72nd Avenue, P.O. Revocations Reason: Surrendered license Box 661109, Miami Springs, FL voluntarily. 33266–1109 The Federal Maritime Commission Date Revoked: May 27, 1999 License No.: 2755 hereby gives notice that the following Name: Pasco Associates Limited Reason: Surrendered license freight forwarder licenses have been Partnership voluntarily. revoked pursuant to section 19 of the Address: 1050 17th Street, N.W., Ste. License No.: 3848 Shipping Act of 1984 (46 U.S.C. app. 450, Washington, DC 20036 Name: Suanna Widjaja Rossi and Robert 1718) and the regulations of the Date Revoked: April 29, 1999 William Rossi d/b/a Neptune Commission pertaining to the licensing Reason: Surrendered license Forwarding Co. of Ocean Transportation Intermediaries, voluntarily. Address: 2127 Kendall Way, Acworth, effective on the corresponding GA 30102 revocation dates shown below: License No.: 2742 Name: Pegasus (N.Y.) Inc. Date Revoked: June 7, 1999 License No.: 3581 Address: 175–01 Rockaway Blvd., Ste. Reason: Surrendered license Name: Aleta W. Vernon d/b/a Danco 203, Jamaica, NY 11434 voluntarily. Freight Forwarding Co. Date Revoked: March 27, 1999 Address: 163 Deertract Loop, Stoneville, License No.: 795 Reason: Failed to maintain a valid Name: The Svensson Shipping Agency, NC 27048 surety bond. Date Revoked: June 9, 1999 Inc. Reason: Failed to maintain a valid bond. License No.: 2101 Address: 802 Garfield Avenue, Duluth, License No.: 3408 Name: Cosdel International Company, MN 55802 Name: Atlanta Customs Brokers and Inc. Date Revoked: June 17, 1999 Freight Forwarders, Inc. Address: 55 New Montgomery Street, Reason: Faled to maintain a valid bond. San Francisco, CA 94105 Address: 650 Atlanta South Parkway, License No.: 4325 Ste. 250, Atlanta, GA 30349 Date Revoked: April 21, 1999 Reason: Surrendered license Name: Trico American Air Freight & Date Revoked: June 15, 1999 Forwarding Co. Reason: Surrendered license voluntarily. Address: 5433 Eagle Industrial Court, voluntarily. License No.: 4053 Name: Exincargo, Inc. Hazelwood, MO 63042 License No.: 4056 Date Revoked: June 23, 1999 Name: Brian Min d/b/a B & A Express Address: 7855 NW 29th Street, Suite Address: 18747 Laurel Park Road, 150, Miami, FL 33122 Reason: Surrendered license Rancho Dominquez, CA 90220 Date Revoked: May 14, 1999 voluntarily. Date Revoked: July 12, 1999 Reason: Surrendered license License No.: 732 Reason: Surrendered license voluntarily. Name: Universal Transport (N.J.) voluntarily. License No.: 3352 Corporation License No.: 2947 Name: Fairway Express, Inc. Address: One Parker Plaza, Fort Lee, NJ Name: Kintetsu Intermodal (U.S.A.), Address: 5250 W. Century Blvd., Ste. 07024–2941 Inc. 415, Los Angeles, CA 90045–5941 Date Revoked: June 29, 1999

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Reason: Surrendered license owned by the bank holding company, DEPARTMENT OF HEALTH AND voluntarily. including the companies listed below. HUMAN SERVICES T. A. Zook, The applications listed below, as well Food and Drug Administration Deputy Director, Bureau of Tariffs, as other related filings required by the Certification and Licensing. Board, are available for immediate [Docket No. 98D±0374] [FR Doc. 99–21439 Filed 8–17–99; 8:45 am] inspection at the Federal Reserve Bank BILLING CODE 6730±01±M indicated. The application also will be International Conference on Harmonisation; Guidance on available for inspection at the offices of Specifications: Test Procedures and the Board of Governors. Interested FEDERAL MARITIME COMMISSION Acceptance Criteria for persons may express their views in Biotechnological/Biological Products [Docket No. 99±15] writing on the standards enumerated in the BHC Act (12 U.S.C. 1842(c)). If the AGENCY: Food and Drug Administration, Notice of Investigation proposal also involves the acquisition of HHS. Notice is given that the Commission, a nonbanking company, the review also ACTION: Notice. on August 13, 1999, served an Order of includes whether the acquisition of the Investigation and Hearing on nonbanking company complies with the SUMMARY: The Food and Drug respondents David P. Kelly and West standards in section 4 of the BHC Act Administration (FDA) is publishing a Indies Shipping and Trading, Inc. The (12 U.S.C. 1843). Unless otherwise guidance entitled ‘‘Q6B Specifications: Order institutes a formal investigation to noted, nonbanking activities will be Test Procedures and Acceptance Criteria determine whether respondents violated conducted throughout the United States. for Biotechnological/Biological sections 8(a)(1), 10(a)(1), 19(a) and Products.’’ The guidance was prepared 19(b)(1) of the Shipping Act of 1984, 46 Unless otherwise noted, comments under the auspices of the International U.S.C. app. §§ 1707(a)(1), 1709(a)(1), regarding each of these applications Conference on Harmonisation of 1718(a) and 1718(b)(1), by operating as must be received at the Reserve Bank Technical Requirements for Registration a non-vessel-operating common carrier indicated or the offices of the Board of of Pharmaceuticals for Human Use without a tariff on file with the Governors not later than September 13, (ICH). The guidance provides guidance Commission prior to May 1, 1999, and 1999. on general principles for the selection of thereafter without a license, a publicly A. Federal Reserve Bank of Atlanta test procedures and the setting and available tariff, a bond or other form of (Lois Berthaume, Vice President) 104 justification of acceptance criteria for surety; and by providing inaccurate Marietta Street, N.W., Atlanta, Georgia biotechnological and biological descriptions of cargo to ocean common 30303-2713: products. The guidance is intended to carriers in order to obtain lower rates. assist in the establishment of a uniform Moreover, should violations be found, 1. Community National set of international specifications for the proceeding will determine whether Bancorporation, Ashburn, Georgia; to biotechnological and biological to impose civil penalties and, if so, in acquire 100 percent of the voting shares products to support new marketing what amount, and whether to issue an of Cumberland National Bank, St. applications. appropriate cease and desist order. The Marys, Georgia, (in organization). DATES: Effective August 18, 1999. full text of the Order may be viewed on 2. Equitex, Inc., Englewood, Colorado; Submit written comments at any time. the Commission’s home page at to become a bank holding company by ADDRESSES: Submit written comments www.fmc.gov, or at the Office of the acquiring 100 percent of the voting on the guidance to the Dockets Secretary, Room 1046, 800 N. Capitol shares of First TeleBanc Corporation, Management Branch (HFA–305), Food Street, NW, Washington, DC. Any Boca Raton, Florida, and thereby and Drug Administration, 5630 Fishers person may file a petition for leave to indirectly acquire Net First National Lane, rm. 1061, Rockville, MD 20852. intervene in accordance with 46 CFR Copies of the guidance are available 502.72. Bank, Boca Raton, Florida. 3. Florida Business Bancgroup, Inc., from the Drug Information Branch Ronald D. Murphy, (HFD–210), Center for Drug Evaluation Assistant Secretary. Tampa, Florida; to become a bank holding company by acquiring 100 and Research, Food and Drug [FR Doc. 99–21440 Filed 8–17–99; 8:45 am] Administration, 5600 Fishers Lane, percent of the voting shares of Bay BILLING CODE 6730±01±M Rockville, MD 20857, 301–827–4573. Cities Bank, Tampa, Florida, (in Single copies of the guidance may be organization). obtained by mail from the Office of FEDERAL RESERVE SYSTEM Board of Governors of the Federal Reserve Communication, Training and System, August 13, 1999. Manufacturers Assistance (HFM–40), Formations of, Acquisitions by, and Jennifer J. Johnson, Center for Biologics Evaluation and Mergers of Bank Holding Companies Secretary of the Board. Research (CBER), 1401 Rockville Pike, The companies listed in this notice [FR Doc. 99–21432 Filed 8–17–99; 8:45 am] Rockville, MD 20852, or by calling the CBER Voice Information System at 1– have applied to the Board for approval, BILLING CODE 6210±01±F pursuant to the Bank Holding Company 800–835–4709 or 301–827–1800. Copies Act of 1956 (12 U.S.C. 1841 et seq.) may be obtained from CBER’s FAX (BHC Act), Regulation Y (12 CFR Part Information System at 1–888–CBER– 225), and all other applicable statutes FAX or 301–827–3844. and regulations to become a bank FOR FURTHER INFORMATION CONTACT: holding company and/or to acquire the Neil D. Goldman, Center for Biologics assets or the ownership of, control of, or Evaluation and Research (HFM–20), the power to vote shares of a bank or Food and Drug Administration, bank holding company and all of the 1401 Rockville Pike, Rockville, MD banks and nonbanking companies 20852, 301–827–0377.

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Regarding ICH: Janet J. Showalter, participating regulatory agencies on 1.1 Objective Office of Health Affairs (HFY–20), March 11, 1999. 1.2 Background Food and Drug Administration, In accordance with FDA’s good 1.3 Scope 5600 Fishers Lane, Rockville, MD guidance practices (62 FR 8961, 2.0 Principles for Consideration in Setting Specifications 20857, 301–827–0864. February 27, 1997), this document has 2.1 Characterization SUPPLEMENTARY INFORMATION: In recent been designated a guidance, rather than 2.1.1 Physicochemical Properties years, many important initiatives have a guideline. 2.1.2 Biological Activity been undertaken by regulatory The guidance provides guidance on 2.1.3 Immunochemical Properties authorities and industry associations to general principles for the selection of 2.1.4 Purity, Impurities and Contaminants promote international harmonization of test procedures and the setting and 2.1.5 Quantity 2.2 Analytical Considerations regulatory requirements. FDA has justification of acceptance criteria for biotechnological and biological 2.2.1 Reference Standards and Reference participated in many meetings designed Materials to enhance harmonization and is products. The guidance is intended to 2.2.2 Validation of Analytical Procedures committed to seeking scientifically assist in the establishment of a uniform 2.3 Process Controls based harmonized technical procedures set of international specifications for 2.3.1 Process-Related Considerations for pharmaceutical development. One of biotechnological and biological 2.3.2 In-process Acceptance Criteria and the goals of harmonization is to identify products to support new marketing Limits and then reduce differences in technical applications. 2.3.3 Raw Materials and Excipient requirements for drug development This guidance represents the agency’s Specifications 2.4 Pharmacopoeial Specifications among regulatory agencies. current thinking on the selection of test procedures and the setting and 2.5 Release Limits versus Shelf-Life Limits ICH was organized to provide an 2.6 Statistical Concepts opportunity for tripartite harmonization justification of acceptance criteria for 3.0 Justification of the Specification initiatives to be developed with input biotechnological and biological 4.0 Specifications from both regulatory and industry products. It does not create or confer 4.1 Drug Substance Specification representatives. FDA also seeks input any rights for or on any person and does 4.1.1 Appearance and Description from consumer representatives and not operate to bind FDA or the public. 4.1.2 Identity others. ICH is concerned with An alternative approach may be used if 4.1.3 Purity and Impurities harmonization of technical such approach satisfies the 4.1.4 Potency requirements of the applicable statute, 4.1.5 Quantity requirements for the registration of 4.2 Drug Product Specification pharmaceutical products among three regulations, or both. As with all of FDA’s guidances, the 4.2.1 Appearance and Description regions: The European Union, Japan, 4.2.2 Identity and the United States. The six ICH public is encouraged to submit written 4.2.3 Purity and Impurities sponsors are the European Commission, comments with new data or other new 4.2.4 Potency the European Federation of information pertinent to this guidance. 4.2.5 Quantity Pharmaceutical Industries Associations, The comments in the docket will be 4.2.6 General Tests the Japanese Ministry of Health and periodically reviewed, and, where 4.2.7 Additional Testing for Unique Dosage Welfare, the Japanese Pharmaceutical appropriate, the guidance will be Forms amended. The public will be notified of 5.0 Glossary Manufacturers Association, the Centers 6.0 Appendices for Drug Evaluation and Research and any such amendments through a notice in the Federal Register. 6.1 Appendix for Physicochemical Biologics Evaluation and Research, Characterization FDA, and the Pharmaceutical Research Interested persons may, at any time, 6.1.1 Structural Characterization and and Manufacturers of America. The ICH submit written comments on the Confirmation Secretariat, which coordinates the guidance to the Dockets Management 6.1.2 Physicochemical Properties preparation of documentation, is Branch (address above). Two copies of 6.2 Appendix for Impurities provided by the International any comments are to be submitted, 6.2.1 Process-Related Impurities and Federation of Pharmaceutical except that individuals may submit one Contaminants copy. Comments are to be identified 6.2.2 Product-Related Impurities Including Manufacturers Associations (IFPMA). Degradation Products The ICH Steering Committee includes with the docket number found in representatives from each of the ICH brackets in the heading of this 1.0 Introduction document. The guidance and received sponsors and the IFPMA, as well as 1.1 Objective comments may be seen in the office observers from the World Health This guidance document provides Organization, the Canadian Health above between 9 a.m. and 4 p.m., Monday through Friday. An electronic guidance on general principles for the setting Protection Branch, and the European and justification, to the extent possible, of a Free Trade Area. version of this guidance is available on uniform set of international specifications for In the Federal Register of June 9, 1998 the Internet at ‘‘http://www.fda.gov/ biotechnological and biological products to (63 FR 31506), FDA published a draft cder/guidance/index.htm’’ or at CBER’s support new marketing applications. World Wide Web site at ‘‘http:// tripartite guidance entitled ‘‘Q6B 1.2 Background Specifications: Test Procedures and www.fda.gov/cber/publications.htm’’. The text of the guidance follows: A specification is defined as a list of tests, Acceptance Criteria for references to analytical procedures, and Biotechnological/Biological Products.’’ Q6B Specifications: Test Procedures and appropriate acceptance criteria which are The notice gave interested persons an Acceptance Criteria for Biotechnological/ numerical limits, ranges, or other criteria for opportunity to submit comments by July Biological Products1 the tests described. It establishes the set of 24, 1998. Table of Contents After consideration of the comments biotechnological and biological products. It does 1.0 Introduction received and revisions to the guidance, not create or confer any rights for or on any person and does not operate to bind FDA or the public. An a final draft of the guidance was 1This guidance represents the agency’s current alternative approach may be used if such approach submitted to the ICH Steering thinking on the selection of test procedures and the satisfies the requirements of the applicable statute, Committee and endorsed by the three setting and justification of acceptance criteria for regulations, or both.

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Assessment of the biological properties tested according to the listed analytical Extensive characterization is performed in constitutes an equally essential step in procedures, will meet the acceptance criteria. the development phase and, where establishing a complete characterization Specifications are critical quality standards necessary, following significant process profile. An important property is the that are proposed and justified by the changes. At the time of submission, the biological activity that describes the specific manufacturer and approved by regulatory product should have been compared with an ability or capacity of a product to achieve a authorities as conditions of approval. appropriate reference standard, if available. defined biological effect. Specifications are one part of a total When feasible and relevant, it should be A valid biological assay to measure the control strategy designed to ensure product compared with its natural counterpart. Also, biological activity should be provided by the quality and consistency. Other parts of this at the time of submission, the manufacturer manufacturer. Examples of procedures used to measure biological activity include: strategy include thorough product should have established appropriately • characterization during development, upon characterized in-house reference materials Animal-based biological assays, which which many of the specifications are based, which will serve for biological and measure an organism’s biological response to the product; adherence to good manufacturing practices, a physicochemical testing of production lots. • validated manufacturing process, raw New analytical technology and modifications Cell culture-based biological assays, materials testing, in-process testing, stability to existing technology are continually being which measure biochemical or physiological response at the cellular level; and testing, etc. developed and should be utilized when • Specifications are chosen to confirm the appropriate. Biochemical assays, which measure biological activities such as enzymatic quality of the drug substance and drug 2.1.1 Physicochemical properties product rather than to establish full reaction rates or biological responses induced characterization and should focus on those A physicochemical characterization by immunological interactions. molecular and biological characteristics program will generally include a Other procedures, such as ligand and found to be useful in ensuring the safety and determination of the composition, physical receptor binding assays, may be acceptable. efficacy of the product. properties, and primary structure of the Potency (expressed in units) is the desired product. In some cases, information quantitative measure of biological activity 1.3 Scope regarding higher-order structure of the based on the attribute of the product that is The principles adopted and explained in desired product (the fidelity of which is linked to the relevant biological properties, this document apply to proteins and generally inferred by its biological activity) whereas quantity (expressed in mass) is a polypeptides, their derivatives, and products may be obtained by appropriate physicochemical measure of protein content. of which they are components (e.g., physicochemical methodologies. Mimicking the biological activity in the conjugates). These proteins and polypeptides An inherent degree of structural clinical situation is not always necessary. A are produced from recombinant or heterogeneity occurs in proteins due to the correlation between the expected clinical nonrecombinant cell-culture expression biosynthetic processes used by living response and the activity in the biological systems and can be highly purified and organisms to produce them; therefore, the assay should be established in characterized using an appropriate set of desired product can be a mixture of pharmacodynamic or clinical studies. analytical procedures. anticipated post-translationally modified The results of biological assays should be The principles outlined in this document forms (e.g., glycoforms). These forms may be expressed in units of activity calibrated may also apply to other product types, such active and their presence may have no against an international or national reference as proteins and polypeptides isolated from deleterious effect on the safety and efficacy standard, when available and appropriate for tissues and body fluids. To determine of the product (section 2.1.4). The the assay utilized. Where no such reference applicability, manufacturers should consult manufacturer should define the pattern of standard exists, a characterized in-house with the appropriate regulatory authorities. heterogeneity of the desired product and reference material should be established and This document does not cover antibiotics, demonstrate consistency with that of the lots assay results of production lots reported as synthetic peptides and polypeptides, used in preclinical and clinical studies. If a in-house units. heparins, vitamins, cell metabolites, consistent pattern of product heterogeneity is Often, for complex molecules, the deoxyribonucleic acid (DNA) products, demonstrated, an evaluation of the activity, physicochemical information may be allergenic extracts, conventional vaccines, efficacy, and safety (including extensive but unable to confirm the higher- cells, whole blood, and cellular blood immunogenicity) of individual forms may order structure which, however, can be components. A separate ICH draft guidance, not be necessary. inferred from the biological activity. In such ‘‘Q6A Specifications: Test Procedures and Heterogeneity can also be produced during cases, a biological assay, with wider Acceptance Criteria for New Drug Substances manufacture and/or storage of the drug confidence limits, may be acceptable when and New Drug Products: Chemical substance or drug product. Since the combined with a specific quantitative Substances’’ addresses specifications and heterogeneity of these products defines their measure. Importantly, a biological assay to other criteria for chemical substances. quality, the degree and profile of this measure the biological activity of the product This document does not recommend heterogeneity should be characterized to may be replaced by physicochemical tests ensure lot-to-lot consistency. When these only in those instances where: specific test procedures or specific • acceptance criteria, nor does it apply to the variants of the desired product have Sufficient physicochemical information regulation of preclinical and/or clinical properties comparable to those of the desired about the drug, including higher-order research material. product with respect to activity, efficacy, and structure, can be thoroughly established by safety, they are considered product-related such physicochemical methods, and relevant 2.0 Principles for Consideration in Setting substances. When process changes and correlation to biologic activity demonstrated; Specifications degradation products result in heterogeneity and patterns that differ from those observed in • There exists a well-established 2.1 Characterization the material used during preclinical and manufacturing history. Characterization of a biotechnological or clinical development, the significance of Where physicochemical tests alone are biological product (which includes the these alterations should be evaluated. used to quantitate the biological activity determination of physicochemical properties, Analytical methods to elucidate (based on appropriate correlation), results biological activity, immunochemical physicochemical properties are listed in should be expressed in mass. properties, purity, and impurities) by appendix 6.1. New analytical technology and For the purpose of lot release (section 4), appropriate techniques is necessary to allow modifications to existing technology are the choice of relevant quantitative assay relevant specifications to be established. continually being developed and should be (biological and/or physicochemical) should Acceptance criteria should be established utilized when appropriate. be justified by the manufacturer.

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2.1.3 Immunochemical properties manufacturing process, i.e., cell substrates time of submission, the manufacturer should When an antibody is the desired product, (e.g., host cell proteins, host cell DNA), cell have established an appropriately its immunological properties should be fully culture (e.g., inducers, antibiotics, or media characterized in-house primary reference characterized. Binding assays of the antibody components), or downstream processing (see material, prepared from lot(s) representative to purified antigens and defined regions of appendix, section 6.2.1). Product-related of production and clinical materials. In- antigens should be performed, as feasible, to impurities (e.g., precursors, certain house working reference material(s) used in determine affinity, avidity and degradation products) are molecular variants the testing of production lots should be immunoreactivity (including cross- arising during manufacture and/or storage calibrated against this primary reference reactivity). In addition, the target molecule that do not have properties comparable to material. Where an international or national bearing the relevant epitope should be those of the desired product with respect to standard is available and appropriate, biochemically defined and the epitope itself activity, efficacy, and safety. reference materials should be calibrated defined, when feasible. Further, the acceptance criteria for against it. While it is desirable to use the For some drug substances or drug impurities should be based on data obtained same reference material for both biological products, the protein molecule may need to from lots used in preclinical and clinical assays and physicochemical testing, in some be examined using immunochemical studies and manufacturing consistency lots. cases, a separate reference material may be procedures (e.g., enzyme linked Individual and/or collective acceptance necessary. Also, distinct reference materials immunosorbent assay (ELISA), Western-blot) criteria for impurities (product-related and for product-related substances, product- utilizing antibodies that recognize different process-related) should be set, as appropriate. related impurities, and process-related epitopes of the protein molecule. Under certain circumstances, acceptance impurities may need to be established. When Immunochemical properties of a protein may criteria for selected impurities may not be appropriate, a description of the manufacture serve to establish its identity, homogeneity, necessary (section 2.3). and/or purification of reference materials or purity, or serve to quantify it. Examples of analytical procedures that should be included in the application. If immunochemical properties constitute may be employed to test for the presence of Documentation of the characterization, lot release criteria, all relevant information impurities are listed in appendix 6.2. New storage conditions, and formulation pertaining to the antibody should be made analytical technology and modifications to supportive of reference material(s) stability available. existing technology are continually being should also be provided. 2.1.4 Purity, impurities, and contaminants developed and should be utilized when 2.2.2 Validation of analytical procedures appropriate. • Purity At the time the application is submitted to For the purpose of lot release (section 4), The determination of absolute, as well as the regulatory authorities, applicants should an appropriate subset of these methods relative, purity presents considerable have validated the analytical procedures should be selected and justified. analytical challenges, and the results are • used in the specifications in accordance with highly method dependent. Historically, the Contaminants the ICH guidances ‘‘Q2A Validation of relative purity of a biological product has Contaminants in a product include all Analytical Procedures: Definitions and been expressed in terms of specific activity adventitiously introduced materials not Terminology’’ and ‘‘Q2B Validation of (units of biological activity per milligram of intended to be part of the manufacturing Analytical Procedures: Methodology,’’ except product), which is also highly method process, such as chemical and biochemical where there are specific issues for unique dependent. Consequently, the purity of the materials (e.g., microbial proteases) and/or tests used for analyzing biotechnological and drug substance and drug product is assessed microbial species. Contaminants should be biological products. by a combination of analytical procedures. strictly avoided and/or suitably controlled Due to the unique biosynthetic production with appropriate in-process acceptance 2.3 Process Controls process and molecular characteristics of criteria or action limits for drug substance or 2.3.1 Process-related considerations drug product specifications (section 2.3). For biotechnological and biological products, the Adequate design of a process and the special case of adventitious viral or drug substance can include several molecular knowledge of its capability are part of the mycoplasma contamination, the concept of entities or variants. When these molecular strategy used to develop a manufacturing action limits is not applicable, and the entities are derived from anticipated post- process that is controlled and reproducible, strategies proposed in ICH guidances ‘‘Q5A translational modification, they are part of yielding a drug substance or drug product Quality of Biotechnological/Biological the desired product. When variants of the that meets specifications. In this respect, Products: Viral Safety Evaluation of desired product are formed during the limits are justified based on critical Biotechnology Products Derived from Cell manufacturing process and/or storage and information gained from the entire process Lines of Human or Animal Origin’’ and ‘‘Q5D have properties comparable to the desired spanning the period from early development Quality of Biotechnological/Biological product, they are considered product-related through commercial-scale production. substances and not impurities (section 2.1.1). Products: Derivation and Characterization of For certain impurities, testing of either the Individual and/or collective acceptance Cell Substrates Used for Production of drug substance or the drug product may not criteria for product-related substances should Biotechnological/Biological Products’’ be necessary and may not need to be be set, as appropriate. should be considered. included in the specifications if efficient For the purpose of lot release (section 4), 2.1.5 Quantity control or removal to acceptable levels is an appropriate subset of methods should be demonstrated by suitable studies. This selected and justified for determination of Quantity, usually measured as protein content, is critical for a biotechnological and testing can include verification at purity. commercial scale in accordance with regional • Impurities biological product and should be determined using an appropriate assay, usually regulations. It is recognized that only limited In addition to evaluating the purity of the data may be available at the time of drug substance and drug product, which may physicochemical in nature. In some cases, it may be demonstrated that the quantity values submission of an application. This concept be composed of the desired product and may, therefore, sometimes be implemented multiple product-related substances, the obtained may be directly related to those found using the biological assay. When this after marketing authorization, in accordance manufacturer should also assess impurities with regional regulations. which may be present. Impurities may be correlation exists, it may be appropriate to either process- or product-related. They can use measurement of quantity rather than the 2.3.2 In-process acceptance criteria and be of known structure, partially measurement of biological activity in action limits characterized, or unidentified. When manufacturing processes, such as filling. In-process tests are performed at critical adequate quantities of impurities can be 2.2 Analytical Considerations decision-making steps and at other steps generated, these materials should be where data serve to confirm consistency of characterized to the extent possible and, 2.2.1 Reference standards and reference the process during the production of either where possible, their biological activities materials the drug substance or the drug product. The should be evaluated. For drug applications for new molecular results of in-process testing may be recorded Process-related impurities encompass entities, it is unlikely that an international or as action limits or reported as acceptance those that are derived from the national standard will be available. At the criteria. Performing such testing may

VerDate 18-JUN-99 16:50 Aug 17, 1999 Jkt 183247 PO 00000 Frm 00043 Fmt 4703 Sfmt 4703 E:\FR\FM\A18AU3.086 pfrm11 PsN: 18AUN1 44932 Federal Register / Vol. 64, No. 159 / Wednesday, August 18, 1999 / Notices eliminate the need for testing of the drug products. In some regions, the concept of • Specifications are linked to analytical substance or drug product (section 2.3.1). In- release limits may only be applicable to in- procedures. process testing for adventitious agents at the house limits and not to the regulatory shelf- Critical quality attributes may include end of cell culture is an example of testing life limits. items such as potency, the nature and for which acceptance criteria should be quantity of product-related substances, established. 2.6 Statistical Concepts product-related impurities, and process- The use of internal action limits by the Appropriate statistical analysis should be related impurities. Such attributes can be manufacturer to assess the consistency of the applied, when necessary, to quantitative data assessed by multiple analytical procedures, process at less critical steps is also important. reported. The methods of analysis, including each yielding different results. In the course Data obtained during development and justification and rationale, should be of product development, it is not unusual for validation runs should provide the basis for described fully. These descriptions should be the analytical technology to evolve in parallel provisional action limits to be set for the sufficiently clear to permit independent with the product. Therefore, it is important manufacturing process. These limits, which calculation of the results presented. to confirm that data generated during are the responsibility of the manufacturer, 3.0 Justification of the Specification development correlate with those generated may be used to initiate investigation or at the time the marketing application is filed. further action. They should be further refined The setting of specifications for drug as additional manufacturing experience and substance and drug product is part of an 4.0 Specifications data are obtained after product approval. overall control strategy which includes Selection of tests to be included in the 2.3.3 Raw materials and excipient control of raw materials and excipients, in- specifications is product specific. The specifications process testing, process evaluation or rationale used to establish the acceptable validation, adherence to good manufacturing range of acceptance criteria should be The quality of the raw materials used in practices, stability testing, and testing for described. Acceptance criteria should be the production of the drug substance (or drug consistency of lots. When combined in total, established and justified based on data product) should meet standards appropriate these elements provide assurance that the obtained from lots used in preclinical and/or for their intended use. Biological raw appropriate quality of the product will be clinical studies, data from lots used for materials or reagents may require careful maintained. Since specifications are chosen demonstration of manufacturing consistency, evaluation to establish the presence or to confirm the quality rather than to data from stability studies, and relevant absence of deleterious endogenous or characterize the product, the manufacturer development data. adventitious agents. Procedures that make should provide the rationale and justification In some cases, testing at production stages use of affinity chromatography (for example, for including and/or excluding testing for rather than testing at the finished drug employing monoclonal antibodies) should be specific quality attributes. The following substance or drug product stages may be accompanied by appropriate measures to points should be taken into consideration ensure that such process-related impurities appropriate and acceptable. In such when establishing scientifically justifiable or potential contaminants arising from their circumstances, test results should be specifications. production and use do not compromise the considered as in-process acceptance criteria • Specifications are linked to a quality and safety of the drug substance or and included in the specification of drug manufacturing process. drug product. Appropriate information substance or drug product in accordance Specifications should be based on data pertaining to the antibody should be made with the requirements of the regional obtained from lots used to demonstrate available. regulatory authorities. manufacturing consistency. Linking The quality of the excipients used in the specifications to a manufacturing process is 4.1 Drug Substance Specification drug product formulation (and in some cases, important, especially for product-related Generally, the following tests and in the drug substance), as well as the container/closure systems, should meet substances, product-related impurities, and acceptance criteria are considered applicable pharmacopoeial standards, where available process-related impurities. Process changes to all drug substances (for analytical and appropriate. Otherwise, suitable and degradation products produced during procedures, see section 2.2.2). acceptance criteria should be established for storage may result in heterogeneity patterns Pharmacopoeial tests (e.g., endotoxin the nonpharmacopoeial excipients. which differ from those observed in the detection) should be performed on the drug material used during preclinical and clinical substance, where appropriate. Additional 2.4 Pharmacopoeial Specifications development. The significance of these drug substance specific acceptance criteria Pharmacopoeias contain important alterations should be evaluated. may also be necessary. • requirements pertaining to certain analytical Specifications should account for the 4.1.1 Appearance and description procedures and acceptance criteria which, stability of drug substance and drug product. Degradation of drug substance and drug A qualitative statement describing the where relevant, are part of the evaluation of physical state (e.g., solid, liquid) and color of either the drug substance or drug product. product, which may occur during storage, a drug substance should be provided. Such monographs, applicable to should be considered when establishing biotechnological and biological products, specifications. Due to the inherent 4.1.2 Identity generally include, but are not limited to, tests complexity of these products, there is no The identity test(s) should be highly for sterility, endotoxins, microbial limits, single stability-indicating assay or parameter specific for the drug substance and should be volume in container, uniformity of dosage that profiles the stability characteristics. based on unique aspects of its molecular units, and particulate matter. With respect to Consequently, the manufacturer should structure and/or other specific properties. the use of pharmacopoeial methods and propose a stability-indicating profile. The More than one test (physicochemical, acceptance criteria, the value of this guidance result of this stability-indicating profile will biological, and/or immunochemical) may be is linked to the extent of harmonization of then provide assurance that changes in the necessary to establish identity. The identity the analytical procedures of the quality of the product will be detected. The test(s) can be qualitative in nature. Some of pharmacopoeias. The pharmacopoeias are determination of which tests should be the methods typically used for committed to developing identical or included will be product specific. The characterization of the product as described methodologically equivalent test procedures manufacturer is referred to the ICH guidance in section 2.1 and in appendix 6.1 may be and acceptance criteria. ‘‘Q5C Stability Testing of Biotechnological/ employed and/or modified as appropriate for Biological Products.’’ the purpose of establishing identity. 2.5 Release Limits Versus Shelf-Life Limits • Specifications are linked to preclinical The concept of release limits versus shelf- and clinical studies. 4.1.3 Purity and impurities life limits may be applied where justified. Specifications should be based on data The absolute purity of biotechnological This concept pertains to the establishment of obtained for lots used in preclinical and and biological products is difficult to limits which are tighter for the release than clinical studies. The quality of the material determine and the results are method for the shelf-life of the drug substance or drug made at commercial scale should be dependent (section 2.1.4). Consequently, the product. Examples where this may be representative of the lots used in preclinical purity of the drug substance is usually applicable include potency and degradation and clinical studies. estimated by a combination of methods. The

VerDate 18-JUN-99 16:50 Aug 17, 1999 Jkt 183247 PO 00000 Frm 00044 Fmt 4703 Sfmt 4703 E:\FR\FM\A18AU3.086 pfrm11 PsN: 18AUN1 Federal Register / Vol. 64, No. 159 / Wednesday, August 18, 1999 / Notices 44933 choice and optimization of analytical 4.2.2 Identity 4.2.7 Additional testing for unique dosage procedures should focus on the separation of The identity test(s) should be highly forms the desired product from product-related specific for the drug product and should be It should be recognized that certain unique substances and from impurities. based on unique aspects of its molecular dosage forms may need additional tests other The impurities observed in these products than those mentioned above. are classified as process-related and product- structure and other specific properties. The related: identity test(s) can be qualitative in nature. 5.0 Glossary • While it is recognized that in most cases a Process-related impurities (section Acceptance criteria: Numerical limits, 2.1.4) in the drug substance may include cell single test is adequate, more than one test ranges, or other suitable measures for culture media, host cell proteins, DNA, (physicochemical, biological, and/or acceptance of the results of analytical monoclonal antibodies or chromatographic immunochemical) may be necessary to procedures which the drug substance or drug media used in purification, solvents, and establish identity for some products. Some of product or materials at other stages of buffer components. These impurities should the methods typically used for manufacture should meet. be minimized by the use of appropriate, well- characterization of the product as described Action limit: An internal (in-house) value controlled manufacturing processes. in section 2.1 and in appendix 6.1 may be used to assess the consistency of the process • Product-related impurities (section employed and/or modified as appropriate for at less critical steps. 2.1.4) in the drug substance are molecular the purpose of establishing identity. Biological activity: The specific ability or variants with properties different from those capacity of the product to achieve a defined of the desired product formed during 4.2.3 Purity and impurities biological effect. Potency is the quantitative manufacture and/or storage. Impurities may be generated or increased measure of the biological activity. For the impurities, the choice and during manufacture and/or storage of the Contaminants: Any adventitiously optimization of analytical procedures should drug product. These may be either the same introduced materials (e.g., chemical, focus on the separation of the desired biochemical, or microbial species) not product and product-related substances from as those occurring in the drug substance intended to be part of the manufacturing impurities. Individual and/or collective itself, process-related, or degradation process of the drug substance or drug acceptance criteria for impurities should be products which form specifically in the drug product. set, as appropriate. Under certain product during formulation or during storage. circumstances, acceptance criteria for If impurities are qualitatively and Degradation products: Molecular variants resulting from changes in the desired product selected impurities may not be necessary quantitatively (i.e., relative amounts and/or or product-related substances brought about (section 2.3). concentrations) the same as in the drug over time and/or by the action of, e.g., light, 4.1.4 Potency substance, testing is not considered temperature, pH, water, or by reaction with necessary. If impurities are known to be A relevant, validated potency assay an excipient and/or the immediate container/ (section 2.1.2) should be part of the introduced or formed during the production closure system. Such changes may occur as specifications for a biotechnological or and/or storage of the drug product, the levels a result of manufacture and/or storage (e.g., biological drug substance and/or drug of these impurities should be determined and deamidation, oxidation, aggregation, product. When an appropriate potency assay acceptance criteria established. proteolysis). Degradation products may be is used for the drug product (section 4.2.4), Acceptance criteria and analytical either product-related substances or product- an alternative method (physicochemical and/ procedures should be developed and related impurities. or biological) may suffice for quantitative justified, based upon previous experience Desired Product: (1) The protein that has assessment at the drug substance stage. In with the drug product, to measure changes in the expected structure, or (2) the protein that some cases, the measurement of specific the drug substance during the manufacture is expected from the DNA sequence and activity may provide additional useful and/or storage of the drug product. anticipated post-translational modification information. The choice and optimization of analytical (including glycoforms), and from the intended downstream modification to 4.1.5 Quantity procedures should focus on the separation of produce an active biological molecule. the desired product and product-related The quantity of the drug substance, usually Drug product (Dosage form; Finished based on protein content (mass), should be substances from impurities including product): A pharmaceutical product type that determined using an appropriate assay. The degradation products, and from excipients. contains a drug substance, generally in quantity determination may be independent 4.2.4 Potency association with excipients. of a reference standard or material. In cases A relevant, validated potency assay Drug substance (Bulk material): The where product manufacture is based upon material that is subsequently formulated with (section 2.1.2) should be part of the potency, there may be no need for an excipients to produce the drug product. It specifications for a biotechnological and alternate determination of quantity. can be composed of the desired product, biological drug substance and/or drug 4.2 Drug Product Specification product-related substances, and product- and product. When an appropriate potency assay process-related impurities. It may also Generally, the following tests and is used for the drug substance, an alternative contain excipients including other acceptance criteria are considered applicable method (physicochemical and/or biological) components, such as buffers. to all drug products. Each section (4.2.1– may suffice for quantitative assessment of the Excipient: An ingredient added 4.2.5) is cross-referenced to respective drug product. However, the rationale for such intentionally to the drug substance which sections (4.1.1–4.1.5) under Drug Substance a choice should be provided. should not have pharmacological properties Specification. Pharmacopoeial requirements in the quantity used. apply to the relevant dosage forms. Typical 4.2.5 Quantity Impurity: Any component present in the tests found in the pharmacopoeia include, The quantity of the drug substance in the drug substance or drug product that is not the but are not limited to, sterility, endotoxin, drug product, usually based on protein desired product, a product-related substance, microbial limits, volume in container, content (mass), should be determined using or an excipient including buffer components. particulate matter, uniformity of dosage an appropriate assay. In cases where product units, and moisture content for lyophilized It may be either process- or product-related. manufacture is based upon potency, there drug products. If appropriate, testing for In-house primary reference material: An may be no need for an alternate uniformity of dosage units may be performed appropriately characterized material as in-process controls, and corresponding determination of quantity. prepared by the manufacturer from a acceptance criteria are set. 4.2.6 General tests representative lot(s) for the purpose of biological assay and physicochemical testing 4.2.1 Appearance and description Physical description and the measurement of subsequent lots, and against which in- A qualitative statement describing the of other quality attributes are often important house working reference material is physical state (e.g., solid, liquid), color, and for the evaluation of the drug product calibrated. clarity of the drug product should be functions. Examples of such tests include pH In-house working reference material: A provided. and osmolarity. material prepared similarly to the primary

VerDate 18-JUN-99 16:50 Aug 17, 1999 Jkt 183247 PO 00000 Frm 00045 Fmt 4703 Sfmt 4703 E:\FR\FM\A18AU3.086 pfrm11 PsN: 18AUN1 44934 Federal Register / Vol. 64, No. 159 / Wednesday, August 18, 1999 / Notices reference material that is established solely to possible using approaches such as those mass spectrometry, and other appropriate assess and control subsequent lots for the described in items (b) through (e) and then techniques. individual attribute in question. It is always compared with the sequence of the amino (b) Isoform pattern calibrated against the in-house primary acids deduced from the gene sequence of the This is determined by isoelectric focusing reference material. desired product. or other appropriate techniques. Potency: The measure of the biological (b) Amino acid composition (c) Extinction coefficient (or molar activity using a suitably quantitative The overall amino acid composition is absorptivity) biological assay (also called potency assay or determined using various hydrolytic and In many cases, it will be desirable to bioassay), based on the attribute of the analytical procedures and compared with the determine the extinction coefficient (or molar product which is linked to the relevant amino acid composition deduced from the absorptivity) for the desired product at a biological properties. gene sequence for the desired product, or the particular ultraviolet (UV)/visible wavelength Process-related impurities: Impurities that natural counterpart, if considered necessary. (e.g., 280 nanometers). The extinction are derived from the manufacturing process. In many cases, amino acid composition coefficient is determined using UV/visible They may be derived from cell substrates analysis provides some useful structural spectrophotometry on a solution of the (e.g., host cell proteins, host cell DNA), cell information for peptides and small proteins, product having a known protein content as culture (e.g., inducers, antibiotics, or media but such data are generally less definitive for determined by techniques such as amino acid components), or downstream processing (e.g., large proteins. Quantitative amino acid compositional analysis or nitrogen processing reagents or column leachables). analysis data can also be used to determine determination. If UV absorption is used to Product-related impurities: Molecular protein content in many cases. measure protein content, the extinction variants of the desired product (e.g., (c) Terminal amino acid sequence coefficient for the particular product should precursors, certain degradation products Terminal amino acid analysis is performed be used. arising during manufacture and/or storage) to identify the nature and homogeneity of the (d) Electrophoretic patterns which do not have properties comparable to amino- and carboxy-terminal amino acids. If Electrophoretic patterns and data on those of the desired product with respect to the desired product is found to be identity, homogeneity, and purity can be activity, efficacy, and safety. heterogeneous with respect to the terminal obtained by polyacrylamide gel Product-related substances: Molecular amino acids, the relative amounts of the electrophoresis, isoelectric focusing, SDS- variants of the desired product formed during variant forms should be determined using an polyacrylamide gel electrophoresis, Western- manufacture and/or storage which are active appropriate analytical procedure. The blot, capillary electrophoresis, or other and have no deleterious effect on the safety sequence of these terminal amino acids suitable procedures. and efficacy of the drug product. These should be compared with the terminal amino (e) Liquid chromatographic patterns variants possess properties comparable to the Chromatographic patterns and data on the acid sequence deduced from the gene desired product and are not considered identity, homogeneity, and purity can be sequence of the desired product. impurities. obtained by size exclusion chromatography, (d) Peptide map Reference standards: International or reverse-phase liquid chromatography, ion- Selective fragmentation of the product into national standards. exchange liquid chromatography, affinity discrete peptides is performed using suitable Specification: A list of tests, references to chromatography, or other suitable enzymes or chemicals, and the resulting analytical procedures, and appropriate procedures. peptide fragments are analyzed by high acceptance criteria which are numerical (f) Spectroscopic profiles pressure liquid chromatography (HPLC) or limits, ranges, or other criteria for the tests The UV and visible absorption spectra are other appropriate analytical procedures. The described. It establishes the set of criteria to determined as appropriate. The higher-order peptide fragments should be identified to the which a drug substance, drug product, or structure of the product is examined using extent possible using techniques such as materials at other stages of its manufacture procedures such as circular dichroism, amino acid compositional analysis, N- should conform to be considered acceptable nuclear magnetic resonance (NMR), or other terminal sequencing, or mass spectrometry. for its intended use. ‘‘Conformance to suitable techniques as appropriate. Peptide mapping of the drug substance or specification’’ means that the drug substance drug product using an appropriately 6.2 Appendix for Impurities and drug product, when tested according to validated procedure is a method that is the listed analytical procedures, will meet This appendix lists potential impurities, frequently used to confirm desired product the acceptance criteria. Specifications are their sources, and examples of relevant structure for lot release purposes. critical quality standards that are proposed analytical approaches for detection. Specific (e) Sulfhydryl group(s) and disulfide and justified by the manufacturer and impurities and technical approaches bridges approved by regulatory authorities as employed, as in the case of physicochemical If, based on the gene sequence for the conditions of approval. characterization, will vary from product to desired product, cysteine residues are product, and alternative approaches other 6.0 Appendices expected, the number and positions of any than those listed in this appendix will be free sulfhydryl groups and/or disulfide appropriate in many cases. New analytical 6.1 Appendix for Physiochemical bridges should be determined, to the extent technology and modifications to existing Characterization possible. Peptide mapping (under reducing technology are continuously being developed This appendix provides examples of and nonreducing conditions), mass and should be applied when appropriate. technical approaches that might be spectrometry, or other appropriate 6.2.1 Process-related impurities and considered for structural characterization and techniques may be useful for this evaluation. contaminants confirmation, and evaluation of (f) Carbohydrate structure physicochemical properties of the desired For glycoproteins, the carbohydrate These are derived from the manufacturing product, drug substance, and/or drug content (neutral sugars, amino sugars, and process (section 2.1.4) and are classified into product. The specific technical approach sialic acids) is determined. In addition, the three major categories: Cell substrate-derived, employed will vary from product to product, structure of the carbohydrate chains, the cell culture-derived and downstream- and alternative approaches, other than those oligosaccharide pattern (antennary profile), derived. included in this appendix, will be and the glycosylation site(s) of the (a) Cell substrate-derived impurities appropriate in many cases. New analytical polypeptide chain are analyzed, to the extent include, but are not limited to, proteins technology and modifications to existing possible. derived from the host organism and nucleic acid (host cell genomic, vector, or total DNA). technology are continuously being developed 6.1.2 Physicochemical properties and should be utilized when appropriate. For host cell proteins, a sensitive assay, e.g., (a) Molecular weight or size immunoassay, capable of detecting a wide 6.1.1 Structural characterization and Molecular weight (or size) is determined range of protein impurities is generally confirmation using size exclusion chromatography, utilized. In the case of an immunoassay, a (a) Amino acid sequence sodium dodecyl sulfate (SDS)- polyclonal antibody used in the test is The amino acid sequence of the desired polyacrylamide gel electrophoresis (under generated by immunization with a product should be determined to the extent reducing and/or nonreducing conditions), preparation of a production cell minus the

VerDate 18-JUN-99 16:50 Aug 17, 1999 Jkt 183247 PO 00000 Frm 00046 Fmt 4703 Sfmt 4703 E:\FR\FM\A18AU3.086 pfrm11 PsN: 18AUN1 Federal Register / Vol. 64, No. 159 / Wednesday, August 18, 1999 / Notices 44935 product-coding gene, fusion partners, or DEPARTMENT OF HEALTH AND applications for levothyroxine sodium. other appropriate cell lines. The level of DNA HUMAN SERVICES This draft guidance is intended to from the host cells can be detected by direct answer questions about submitting analysis on the product (such as Food and Drug Administration applications for orally administered hybridization techniques). Clearance studies, [Docket No. 99D±2636] levothyroxine sodium drug products. which could include spiking experiments at This level 1 draft guidance is being the laboratory scale, to demonstrate the issued consistent with FDA’s good removal of cell substrate-derived impurities Draft Guidance for Industry on such as nucleic acids and host cell proteins Levothyroxine Sodium; Availability guidance practices (62 FR 8961, may sometimes be used to eliminate the need February 27, 1997). The draft guidance AGENCY: Food and Drug Administration, for establishing acceptance criteria for these represents the agency’s current thinking impurities. HHS. on issues concerning applications, (b) Cell culture-derived impurities include, ACTION: Notice. including applications under section but are not limited to, inducers, antibiotics, 505(b)(2) of the act, for levothyroxine SUMMARY: The Food and Drug serum, and other media components. sodium. It does not create or confer any Administration (FDA) is announcing the (c) Downstream-derived impurities rights for or on any person and does not availability of a draft guidance for include, but are not limited to, enzymes, operate to bind FDA or the public. An industry entitled ‘‘Levothyroxine chemical and biochemical processing alternative approach may be used if Sodium.’’ The draft guidance is reagents (e.g., cyanogen bromide, guanidine, such approach satisfies the intended to answer questions oxidizing and reducing agents), inorganic requirements of the applicable statute, concerning applications for orally salts (e.g., heavy metals, arsenic, nonmetallic regulations, or both. ion), solvents, carriers, ligands (e.g., administered levothyroxine sodium Interested persons may submit written monoclonal antibodies), and other drug products. comments on the draft guidance to the leachables. DATES: Written comments on the draft Dockets Management Branch (address For intentionally introduced, endogenous, guidance may be submitted by October and adventitious viruses, the ability of the above). Two copies of any comments are manufacturing process to remove and/or 18, 1999. General comments on agency to be submitted, except that individuals inactivate viruses should be demonstrated as guidance documents are welcome at any may submit one copy. Comments are to described in ICH guidance ‘‘Q5A Viral Safety time. be identified with the docket number Evaluation of Biotechnology Products ADDRESSES: Copies of this draft found in brackets in the heading of this Derived From Cell Lines of Human or Animal guidance are available on the Internet at document. The draft guidance and Origin.’’ ‘‘http://www.fda.gov/cder/guidance/ received comments may be seen in the 6.2.2 Product-related impurities including index.htm’’. Submit written requests for office above between 9 a.m. and 4 p.m., degradation products single copies of the draft guidance for Monday through Friday. The following represents the most industry to the Drug Information Branch Dated: August 9, 1999. frequently encountered molecular variants of (HFD–210), Center for Drug Evaluation Margaret M. Dotzel, the desired product and lists relevant and Research, Food and Drug Acting Associate Commissioner for Policy. technology for their assessment. Such Administration, 5600 Fishers Lane, variants may need considerable effort in Rockville, MD 20857. Send one self- [FR Doc. 99–21353 Filed 8–17–99; 8:45 am] isolation and characterization in order to addressed adhesive label to assist that BILLING CODE 4160±01±F identify the type of modification(s). office in processing your requests. Degradation products arising in significant Submit written comments on the draft amounts during manufacture and/or storage DEPARTMENT OF HEALTH AND guidance to the Dockets Management should be tested for and monitored against HUMAN SERVICES appropriately established acceptance criteria. Branch (HFD–305), Food and Drug (a) Truncated forms. Hydrolytic enzymes Administration, 5630 Fishers Lane, rm. National Institutes of Health or chemicals may catalyze the cleavage of 1061, Rockville, MD 20852. peptide bonds. These may be detected by FOR FURTHER INFORMATION CONTACT: National Human Genome Research HPLC or SDS–PAGE. Peptide mapping may Christine F. Rogers, Center for Drug Institute; Notice of Meeting be useful, depending on the property of the Evaluation and Research (HFD–7), 5600 variant. Pursuant to section 10(d) of the Fishers Lane, Rockville, MD 20857, Federal Advisory Committee Act, as (b) Other modified forms. Deamidated, 301–594–2041. isomerized, mismatched S–S linked, amended (5 U.S.C. Appendix 2), notice oxidized, or altered conjugated forms (e.g., SUPPLEMENTARY INFORMATION: FDA is is hereby given of a meeting of the glycosylation, phosphorylation) may be announcing the availability of a draft National Advisory Council for Human detected and characterized by guidance for industry entitled Genome Research. chromatographic, electrophoretic, and/or ‘‘Levothyroxine Sodium.’’ In the The meeting will be open to the other relevant analytical methods (e.g., Federal Register of August 14, 1997 (62 public as indicated below, with HPLC, capillary electrophoresis, mass FR 43535), FDA announced that orally attendance limited to space available. spectroscopy, circular dichroism). administered levothyroxine sodium Individuals who plan to attend and (c) Aggregates. The category of aggregates drug products are new drugs. The notice need special assistance, such as sign includes dimers and higher multiples of the stated that manufacturers who wish to language interpretation or other desired product. These are generally resolved continue to market these products must from the desired product and product-related reasonable accommodations, should substances and quantitated by appropriate submit applications as required by notify the Contact Person listed below analytical procedures (e.g., size exclusion section 505 of the Federal Food, Drug, in advance of the meeting. chromatography, capillary electrophoresis). and Cosmetic Act (the act) (21 U.S.C. The meeting will be closed to the 355) and 21 CFR part 314. The notice public in accordance with the Dated: August 11, 1999. stated that FDA is prepared to accept provisions set forth in sections Margaret M. Dotzel, new drug applications for these 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Acting Associate Commissioner for Policy. products, including applications under as amended. The grant applications [FR Doc. 99–21352 Filed 8–17–99; 8:45 am] section 505(b)(2) of the act. A number of and/or contract proposals and the BILLING CODE 4160±01±F questions have arisen with respect to discussions could disclose confidential

VerDate 18-JUN-99 16:50 Aug 17, 1999 Jkt 183247 PO 00000 Frm 00047 Fmt 4703 Sfmt 4703 E:\FR\FM\A18AU3.086 pfrm11 PsN: 18AUN1 44936 Federal Register / Vol. 64, No. 159 / Wednesday, August 18, 1999 / Notices trade secrets or commercial property Date: September 9, 1999. Name of Committee: National Institute on such as patentable material, and Time: 1:00 PM to 2:30 PM. Alcohol Abuse and Alcoholism Special personal information concerning Agenda: To review and evaluate grant Emphasis Panel. individuals associated with the grant applications. Date: September 1, 1999. Time: 10:00 AM to 12:00 PM. applications and/or contract proposals, Place: Executive Plaza South, Room 400C, 6120 Executive Blvd. Rockville, MD 20852, Agenda: To review and evaluate contract the disclosure of which would (Telephone Conference Call). proposals. constitute a clearly unwarranted Contact Person: Craig A. Jordan, PHD, Place: 6000 Executive Blvd., Suite 409, invasion of personal privacy. Acting Director, NIH/NIDCD/DEA, Executive Rockville, MD 20852, (Telephone Conference Name of Committee: National Advisory Plaza South, Room 400C, Bethesda, MD Call) Council for Human Genome Research. 20892–7180, 301–496–8693. Contact Person: Ronald Suddendorf, PhD, Scientific Review Administrator, Extramural Date: September 13–14, 1999. (Catalogue of Federal Domestic Assistance Project Review Branch, National Institute on Open: September 13, 1999, 8:30 AM to 2:00 Program Nos. 93.173, Biological Research Alcohol Abuse and Alcoholism, National PM. Related to Deafness and Communicative Institutes of Health, Suite 409, 6000 Agenda: The meeting will be open to the Disorders, National Institutes of Health, HHS) Executive Boulevard, Bethesda, MD 20892– public on Monday, September 13, 8:30 am to Dated: August 11, 1999. approximately 2:00 pm to discuss 7003, 301–443–2926. administrative details or other issues relating LaVerne Y. Stringfield, Name of Committee: National Institute on to Council activities. Director, Office of Federal Advisory Alcohol Abuse and Alcoholism Special Place: Holiday Inn, 8777 Georgia Avenue, Committee Policy. Emphasis Panel. Silver Spring, MD 20910. [FR Doc. 99–21384 Filed 8–17–99; 8:45 am] Date: October 14–15, 1999. Time: 8:30 AM to 5:00 PM Closed: September 13, 1999, 2:00 PM to BILLING CODE 4140±01±M Adjournment on September 14, 1999. Agenda: To review and evaluate grant Agenda: To review and evaluate grant applications. applications and/or proposals. Place: Holiday Inn, Bethesda, MD 20814 DEPARTMENT OF HEALTH AND Contact Person: Elsie D. Taylor, Scientific Place: Holiday Inn, 8777 Georgia Avenue, HUMAN SERVICES Silver Spring, MD 20910. Review Administrator, Extramural Project Review Branch, National Institute on Alcohol Contact Person: Elke Jordan, PhD, Deputy National Institutes of Health Director, National Human Genome Research Abuse and Alcoholism, National Institutes of Health, Suite 409, 6000 Executive Blvd., Institute, National Institutes of Health, PHS, National Institute on Alcohol Abuse DHHS, 31 Center Drive, Building 31, Room Bethesda, MD 20892–7003, 301–443–9787, 4B09, Bethesda, MD 20892, 301 496–0844. and Alcoholism; Notice of Closed [email protected] Meetings (Catalogue of Federal Domestic Assistance (Catalogue of Federal Domestic Assistance Program Nos. 93.172, Human Genome Program Nos. 93.271, Alcohol research Research, National Institutes of Health, HHS) Pursuant to section 10(d) of the Career Development Awards for Scientists and Clinicians; 93.272, Alcohol National Dated: August 11, 1999. Federal Advisory Committee Act, as amended (5 U.S.C. Appendix 2), notice Research Service Awards for Research LaVerne Y. Stringfield, is hereby given of the following Training; 93.273, Alcohol Research Programs; Committee Management Officer, NIH. meetings. 93.891, Alcohol Research Center Grants, [FR Doc. 99–21386 Filed 8–17–99; 8:45 am] National Institutes of Health, HHS) BILLING CODE 4140±01±M The meetings will be closed to the Dated: August 11, 1999. public in accordance with the LaVerne Y. Stringfield, provisions set forth in sections Director, Office of Federal Advisory DEPARTMENT OF HEALTH AND 552b(c)(4) and 552b(c)(5), Title 5 U.S.C., Committee Policy, NIH. HUMAN SERVICES as amended. The grant applications and [FR Doc. 99–21385 Filed 8–17–99; 8:45 am] the discussions could disclose BILLING CODE 4140±01±M National Institutes of Health confidential trade secrets or commercial property such as patentable material, National Institute on Deafness and and personal information concerning DEPARTMENT OF HEALTH AND Other Communication Disorders; individuals associated with the grant HUMAN SERVICES Notice of Closed Meeting applications, the disclosure of which Pursuant to section 10(d) of the would constitute a clearly unwarranted National Institutes of Health Federal Advisory Committee Act, as invasion of personal privacy. National Institute of Neurological amended (5 U.S.C. Appendix 2), notice Name of Committee: National Institute on Disorders and Stroke; Notice of is hereby given of the following Alcohol Abuse and Alcoholism Special Meeting meeting. Emphasis Panel The meeting will be closed to the Date: August 27, 1999. Pursuant to section 10(d) of the Time: 10:00 AM to 11:00 AM. public in accordance with the Federal Advisory Committee Act, as provisions set forth in sections Agenda: To review and evaluate grant applications. amended (5 U.S.C. Appendix 2), notice 552b(c)(4) and 552b(c)(6), title 5 U.S.C., Place: Wilco Building, Suite 409, 6000 is hereby given for a meeting of the as amended. The grant applications and Executive Boulevard, Rockville, MD 20892, Board of Scientific Counselors, National the discussions could disclose (Telephone Conference Call) Institute of Neurological Disorders and confidential trade secrets or commercial Contact Person: Elsie D. Taylor, Scientific Stroke. property such as patentable material, Review Administrator, Extramural Project The meeting will be open to the and personal information concerning Review Branch, National Institute on Alcohol public as indicated below, with individuals associated with the grant Abuse and Alcoholism, National Institutes of attendance limited to space available. applications, the disclosure of which Health, Suite 409, 6000 Executive Blvd., Individuals who plan to attend and would constitute a clearly unwarranted Bethesda, MD 20892–70003, 301–443–97878, [email protected] need special assistance, such as sign invasion of personal privacy. This notice is being published less than 15 language interpretation or other Name of Committee: National Institute on days prior to the meeting due to the timing reasonable accommodations, should Deafness and Other Communications limitations imposed by the review and notify the Contact Person listed below Disorders Special Emphasis Panel. funding cycle. in advance of the meeting.

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The meeting will be closed to the Biological Basis Research in the Agenda: The meeting will reopen to public as indicated below in accordance Neurosciences, National Institutes of Health, discuss any policy issues that were raised. with the provisions set forth in section HHS) Place: National Institutes of Health, 9000 552b(c)(6), Title 5 U.S.C., as amended Dated: August 12, 1999. Rockville Pike, Building 31, Conference LaVerne Y. Stringfield, Room 6, Bethesda, MD 20892. for the review, discussion, and Contact Person: Mary Plummer, Committee evaluation of individual intramural Committee Management Officer, NIH. Management Officer, Division of Scientific programs and projects conducted by the [FR Doc. 99–21387 Filed 8–17–99; 8:45 am] Review, National Institute of Child Health National Institute of Neurological BILLING CODE 4140±01±M and Human Development, National Institutes Disorders and Stroke, including of Health, 6100 Executive Blvd., Room 5E03, consideration of personnel Bethesda, MD 20892, (301) 496–1485. qualifications and performance, and the DEPARTMENT OF HEALTH AND (Catalogue of Federal Domestic Assistance competence of individual investigators, HUMAN SERVICES Program Nos. 93.209, Contraception and the disclosure of which would Infertility Loan Repayment Program; 93.864, constitute a clearly unwarranted National Institutes of Health Population Research; 93.865, Research for invasion of personal privacy. Mothers and Children; 93.929, Center for National Institute of Child Health and Medical Rehabilitation Research, National Name of Committee: Board of Scientific Human Development; Notice of Institutes of Health, HHS) Counselors, National Institute of Meeting Dated: August 12, 1999. Neurological Disorders and Stroke. Date: September 26–28, 1999. Pursuant to section 10(d) of the LaVerne Y. Stringfield, Closed: September 26, 1999, 7:00 PM to Federal Advisory Committee Act, as Committee Management Officer, NIH. 10:00 PM. amended (5 U.S.C. Appendix 2), notice [FR Doc. 99–21388 Filed 8–17–99; 8:45 am] Agenda: To review and evaluate personal is hereby given of a meeting of the BILLING CODE 4140±01±M qualifications and performance, and competence of individual investigators. National Advisory Child Health and Place: National Institutes of Health, Human Development Council. Building 31, Conference Room 6C9, 31 The meeting will be open to the Center Drive, Bethesda, MD 20892. public as indicated below, with DEPARTMENT OF THE INTERIOR Open: September 27, 1999, 9:00 AM to attendance limited to space available. 10:55 AM. Individuals who plan to attend and Performance Review Board Agenda: To discuss program planning and need special assistance, such as sign Appointments program accomplishments. language interpretation or other AGENCY: Department of the Interior. Place: National Institutes of Health, reasonable accommodations, should Building 31, Conference Room 6C9, 31 ACTION: Notice of Performance Review Center Drive, Bethesda, MD 20892. notify the Contact Person listed below in advance of the meeting. Board Appointments. Closed: September 27, 1999, 11:10 AM to The meeting will be closed to the 11:40 AM. SUMMARY: This notice provides the Agenda: To review and evaluate personal public in accordance with the names of individuals who have been qualifications and performance, and provisions set forth in sections appointed to serve as members of the competence of individual investigators. 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Department of the Interior Performance Place: National Institutes of Health, as amended. The grant applications Review Board. The publication of these Building 31, Conference Room 6C9, 31 and/or contract proposals and the Center Drive, Bethesda, MD 20892. appointments is required by section discussions could disclose confidential 405(a) of the Civil Service Reform Act Open: September 27, 1999, 1:00 PM to 3:25 trade secrets or commercial property PM. of 1978 (Pub. L. 95–454, 5 U.S.C. such as patentable material, and 4314(c)(4). Agenda: To discuss program planning and personal information concerning program accomplishments. individuals associated with the grant DATES: These appointments are effective Place: National Institutes of Health, August 18, 1999. Building 31, Conference Room 6C9, 31 applications and/or contract proposals, Center Drive, Bethesda, MD 20892. the disclosure of which would FOR FURTHER INFORMATION CONTACT: Closed: September 27, 1999, 3:25 PM to constitute a clearly unwarranted Carolyn Cohen, Director of Personnel 5:00 PM. invasion of personal privacy. Policy, Office of the Secretary, Agenda: To review and evaluate personal Name of Committee: National Advisory Department of the Interior, 1849 C qualifications and performance, and Child Health and Human Development Street, NW, Washington, DC 20240, competence of individual investigators. Council. Telephone Number: (202) 208–6761. Place: National Institutes of Health, Dates: September 16–17, 1999. 1999 SES PERFORMANCE REVIEW Building 31, Conference Room 6C9, 31 Open: September 16, 1999, 10 AM to 5:00 Center Drive, Bethesda, MD 20892. PM. BOARD Closed: September 28, 1999, 8:30 AM to Agenda: The agenda includes: Report of The following Senior Executive Adjournment. the Director, NICHD, a presentation by the Service members have been appointed Agenda: To review and evaluate personal Contraception and Reproductive Health to serve on the Department of the qualifications and performance, and Branch, and other business of the Council. competence of individual investigators. Place: National Institutes of Health, 9000 Interior 1999 Performance Review Place: National Institutes of Health, Rockville Pike, Building 31, Conference Board: Building 31, Conference Room 6C9, 31 Room 6, Bethesda, MD 20892. Charles E. Breece, Office of Policy, Center Drive, Bethesda, MD 20892. Closed: September 17, 1999, 8:00 AM to Management and Budget (Career Contact Person: Story C. Landis, PhD, 1:00 PM. Appointee) Director, Division of Intramural Activities, Agenda: To review and evaluate grant NINDS, National Institutes of Health, applications. Carolyn Cohen, Office of Policy, Building 36, Room 5A05, Bethesda, MD Place: National Institutes of Health, 9000 Management and Budget (Career 20892, 301–435–2232. Rockville Pike, Building 31, Conference Appointee) (Catalogue of Federal Domestic Assistance Room 6, Bethesda, MD 20892. E. Melodee Stith, Office of Policy, Program Nos. 92.853, Clinical Research Open: September 17, 1999, 1:00 PM to Management and Budget (Career Related to Neurological Disorders; 93.854, Adjournment. Appointee)

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Daryl W. White, Office of Policy, SUPPLEMENTARY INFORMATION: None. The public lands temporarily closed Management and Budget (Career Dated: August 4, 1999. to public use under this order will be Appointee) Linda C. Gundersen, posted with signs at points of public Barbara J. Griffin, National Park Service access. (Career Appointee) Associate Chief Geologist For Operations. The purpose of this temporary closure Robert L. Arnberger, National Park [FR Doc. 99–21467 Filed 8–17–99; 8:45 am] is to protect persons from potential Service (Career Appointee) BILLING CODE 4310±Y7±M harm from logging operations, to protect Martha B. Aikens, National Park Service valuable public timber resources from (Career Appointee) unauthorized damage, to facilitate Gary T. Cummins, National Park Service DEPARTMENT OF THE INTERIOR authorized timber harvest operations, (Career Appointee) Bureau of Land Management and to protect natural resources from Denise E. Sheehan, Fish and Wildlife fire, unauthorized uses, unsanitary Service (Career Appointee) [OR±096±09±6332±02: GP99±0289] conditions, degradation and to provide Elaine Y. Zielinski, Bureau of Land for public and employee safety. Management (Career Appointee) Emergency Closure of Public Lands; DATES: This closure is effective from Mary Josie Blanchard, Office of Surface Lane County, Oregon August 15, 1999 through December 31, Mining (Career Appointee) 1999 at 6 p.m. Richard J. Seibel, Office of Surface AGENCY: Bureau of Land Management, ADDRESSES: Copies of the closure order Mining (Career Appointee) Interior. and maps showing the location of the Robert E. Brown, Minerals Management ACTION: Temporary closure of public closed lands are available during Service (Career Appointee) lands and access roads in Lane County, business hours (7:45 a.m. to 4:15 p.m.) Margaret W. Sibley, Bureau of Oregon. from the Eugene District Office, P.O. Reclamation (Career Appointee) Box 10226 (2890 Chad Drive), Eugene, Carmen R. Maymi, Bureau of SUMMARY: Notice is hereby given that Reclamation (Career Appointee) certain public lands in Lane County, OR 97440. Larry J. Ludke, U.S. Geological Survey Oregon are temporarily closed to all FOR FURTHER INFORMATION CONTACT: (Career Appointee) public use, including vehicle operation, Doug Huntington, Public Information David P. Russ, U.S. Geological Survey camping, open fires, shooting, hiking Officer, Eugene District Office, at (541) (Career Appointee) and sightseeing, erecting structures and 683–6600. Barbara J. Ryan, U.S. Geological Survey storing personal property, from August Dated: August 12, 1999. (Career Appointee) 15, 1999 through December 31, 1999 at Denis Williamson, Deborah Maddox, Bureau of Indian 6 p.m. The closure is made under the District Manager, Eugene District. Affairs (Career Appointee) authority of 43 CFR 8364.1. [FR Doc. 99–21393 Filed 8–17–99; 8:45 am] Terrance L. Virden, Bureau of Indian The public lands affected by this BILLING CODE 4310±33±U Affairs (Career Appointee) closure are specifically identified as Linda Richardson, Bureau of Indian follows: Affairs (Career Appointee) Willamette Meridian, Oregon DEPARTMENT OF THE INTERIOR Dated: August 11, 1999. T. 18 S., R. 1 E. Bureau of Land Management Carolyn Cohen, Sec. 25: A tract of land located in the N1⁄2; Director of Personnel Policy. Sec. 24: A tract of land located in the [NM±910±08±1020±00] [FR Doc. 99–21465 Filed 8–17–99; 8:45 am] SW1⁄4SW1⁄4; BILLING CODE 4310±10±P Sec. 26: Road No. 18–1E–26. New Mexico Resource Advisory The area described contains approximately Council Meeting 360 acres. AGENCY: Bureau of Land Management, DEPARTMENT OF THE INTERIOR SUPPLEMENTARY INFORMATION: The Interior. following persons, operating within the Geological Survey ACTION: Notice of New Member scope of their official duties, are exempt Orientation Meeting and Council Acceptance of Contribution for from the provisions of this closure Meeting. Geologic Mapping order: Bureau employees; state, local and federal law enforcement and fire SUMMARY: In accordance with the AGENCY: Geological Survey, Interior. protection personnel; the holders of Federal Land Policy and Management ACTION: Notice of acceptance of BLM road use permits that include Act and the Federal Advisory contributed funds. roads within the closure area; the Committee Act of 1972 (FACA), 5 U.S.C. purchaser of BLM timber within the Appendix 1, The Department of the SUMMARY: The U.S. Geological Survey closure area and its employees and Interior, Bureau of Land Management (USGS) announces that it has accepted subcontractors. Access by additional (BLM), announces an orientation a contribution of $13,000 from the parties may be allowed, but must be meeting of the New Mexico Resource Weyerhaeuser Corporation towards the approved in advance in writing by the Advisory Council (RAC). This meeting completion of a geologic map of the Authorized Officer. is focused toward the new RAC Silver Lake Quadrangle in southwestern Any person who fails to comply with members. Existing RAC members may Washington. The USGS would be the provisions of this closure order may also attend. pleased to consider contributions from be subject to, but not limited to, the The one-day orientation meeting will other sources for similar purposes. penalties provided in 43 CFR 8360.0–7, be held on Wednesday October 6, 1999 FOR FURTHER INFORMATION CONTACT: Mr. which include a fine not to exceed at the Holiday Inn, 600 E. Broadway, Donald Gautier, Chief Scientist, USGS $1,000 and/or imprisonment not to Farmington, NM 87401. This meeting Western Geologic Mapping Team, 345 exceed 12 months, as well as the starts at 8 a.m. The draft agenda for the Middlefield Road, Mail Stop 975, Menlo penalties provided under Oregon State orientation meeting includes Park, CA 94023, phone (650) 329–4909 law. presentation and discussion on the

VerDate 18-JUN-99 18:18 Aug 17, 1999 Jkt 183247 PO 00000 Frm 00050 Fmt 4703 Sfmt 4703 E:\FR\FM\18AUN1.XXX pfrm11 PsN: 18AUN1 Federal Register / Vol. 64, No. 159 / Wednesday, August 18, 1999 / Notices 44939 regulations and laws under which the FOR FURTHER INFORMATION CONTACT: Gail Gardner Way and Lindberg Dr., RAC functions, the RAC Charter, travel Bob Armstrong, New Mexico State Prescott, 99001069 voucher procedures, summaries of Office, Planning and Policy Team, ARKANSAS recent RAC recommendations, the BLM/ Bureau of Land Management, 1474 Pope County New Mexico Strategic Plan and minutes Rodeo Road, PO Box 27115, Santa Fe, from previous RAC meetings. The Old South Restaurant, (Arkansas Highway NM 87502–0115, telephone (505) 438– History and Architecture MPS), 1330 E. agenda items may be changed 7436. depending on the needs of the new RAC Main St., Russellville vicinity, 99001064 members. This orientation RAC meeting SUPPLEMENTARY INFORMATION: The Maricopa County purpose of the Resource Advisory is open to the public. The end time of Ellis, George, House (Residential Properties 4:30 p.m. for the orientation meeting Council is to advise the Secretary of the Designed by George Ellis MPS), 105 Cattle may be changed depending on the needs Interior, through the BLM, on a variety Track, Scottsdale, 99001065 of planning and management issues of the new RAC members. DISTRICT OF COLUMBIA Also being announced is the regular associated with the management of RAC meeting which will be held on public lands. The Council’s District of Columbia State Equivalent Thursday October 7 and Friday October responsibilities include providing Mount Vernon Square Historic District, 8, 1999 at the Holiday Inn, 600 advice on long-range planning, Roughly bounded by New York Ave., 7th Broadway, Farmington, NM 87401. The establishing resource management St., N St., and 1st St. NW, Washington, meeting on October 7 and 8, 1999 starts priorities and assisting the BLM to 99001071 at 8 a.m. both days. The draft agenda for identify State and regional standards for ILLINOIS the RAC meeting includes getting public land health and guidelines for acquainted and welcome, agreement on livestock grazing management. Cook County the meeting agenda, any RAC comments Dated: August 12, 1999. Raymond M. Hilliard Center Historic District, Jct. of Cermak Rd. and S. State St., Chicago, on the draft summary minutes of the last M.J. Cha´vez, RAC meeting on June 17 and 18, 1999 99001072 State Director. in Albuquerque, NM, check in with INDIANA RAC members, an update on the New [FR Doc. 99–21449 Filed 8–17–99; 8:45 am] Mexico Standards for Public Land BILLING CODE 4310±FB±M Clay County Health and Guidelines for Livestock Tide Water Pumping Station, SW corner of Grazing Management project, Oil and 900S and 300E, Coal City vicinity, DEPARTMENT OF THE INTERIOR Gas presentations, public comment to 99001076 the RAC, a field trip looking at Navajo National Park Service Floyd County land uses on BLM, Clean Water Action New Albany Downtown Historic District, Plan presentation, BLM road closure National Register of Historic Places; Roughly between W. First St., and E. Fifth policy and transportation planning Notification of Pending Nominations St., W. Main St. to E. Spring St., New presentation, future of RAC and Albany, 99001074 priorities, BLM Field Managers Nominations for the following Marion County presentations, RAC selection of draft properties being considered for listing agenda items and location for next RAC Fairbanks, Charles W., House, 2960 N. in the National Register were received Meridian St., Indianapolis, 99001073 meeting, and RAC assessment of this by the National Park Service before meeting. Specific agenda items, dates, August 7, 1999. Pursuant to § 60.13 of Owen County times and locations may be adjusted 36 CFR Part 60 written comments Osgood, Dr. H. G., House, 11 E. North St., with approval of the RAC. The time for concerning the significance of these Gosport, 99001075 the public to address the RAC is 10 a.m. properties under the National Register Wabash County to 12 noon, Thursday, October 7, 1999. criteria for evaluation may be forwarded North Wabash Historic District, Roughly The RAC may reduce or extend the end to the National Register, National Park time of 12 noon depending on the bounded by W. Maple, N. Carroll, Ferry, Service, 1849 C St. NW, NC400, Miami, Pawling, N. Wabash, and Union number of people wishing to address Washington, DC 20240. Written Sts., Wabash, 99001077 the RAC. comments should be submitted by The length of time available for each September 2, 1999. MARYLAND person to address the RAC will be Carol D. Shull, Baltimore Independent City established at the start of the public Keeper of the National Register. Hotel Kernan, 306–312 W. Franklin St., comment period and will depend on Baltimore, 99001079 how many people there are that wish to ARIZONA Stewart’s Department Store, 226–232 W. address the RAC. At the completion of Coconino County Lexington St., Baltimore, 99001078 the public comments the RAC may Two Spot Logging Train (Logging Railroad MASSACHUSETTS continue discussion on its agenda items. Resources of the Coconino and Kaibab The meeting on October 7, 1999, is National Forests MPS), Jct. of San Hampden County planned to end at the conclusion of the Francisco St. and US 66, Flagstaff, Palmer Memorial Hall, 1029 Central St., field trip. Transportation on the field 99001066 Palmer, 99001082 trip will be provided for RAC members and supporting BLM staff. Others who Pinal County Hampshire County wish to participate on the field trip will Cox, William, Building, 501 N. Marshall St., Huntington Village Historic District, Roughly need to provide their own Casa Grande, 99001068 along E. Main, Main, Russell, Upper transportation. The meeting on October Paramount Theatre, 420 N. Florence St., Casa Russell and Basket Sts., Huntington, Grande, 99001067 99001080 8, 1999 is planned to end at 4:30 p.m.; however this time may be changed Yavapai County Plymouth County depending on the work remaining for Mile High Park Historic District, Roughly Paragon Park Carousel, 1 Wharf Ave., Hull, the RAC. along Oregon Ave., and Josephine St., from 99001081

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NEVADA Conway County returning to Wild Bill’s Restaurant in Clark County Morrilton Male and Female College, E. Red Bluff. A reception and meeting at Church St., Morrilton, 79000436 the Red Bluff Community/Senior Center Spirit Mountain, Address Restricted, Laughlin vicinity, 99001083 Cross County will follow the tour. CALFED’s Ecosystem Restoration OHIO Missouri—Pacific Depot—Wynne (Historic Program will sponsor a FY 2000 Priority Railroad Depots of Arkansas MPS), SW of Summit County jct. of N. Front St. and E. Hamilton Ave., Setting Workshop on August 31, 1999, Point, Nathaniel, Farm (Agricultural Wynne, 82000623 to discuss priorities for FY 2000. This Resources of the Cuyahoga Valley MPS), meeting is open to the public. Interested Hempstead County 4606 Akron-Peninsula Rd., 4631 Akron- persons may make oral statements or Peninsula Rd., Penisula vicinity, 99001084 McRae House (Thompson, Charles L., Design may file written statements for Collection TR), 113 E. 3rd. St., Hope, consideration. OKLAHOMA 82000826 DATES: BDAC will tour Battle Creek in Beaver County Ozan Methodist Church, Mulberry St., Ozan, 82000827 Red Bluff on Thursday, September 16, Gate School, Jct. of 4th and Texas, Gate, 1999. The tour will run from 12:30 p.m. 99001087 Howard County to 5:30 p.m., leaving from and returning Rogers County Missouri—Pacific Railroad Depot—Nashville to, Wild Bill’s Restaurant in Red Bluff. (Historic Railroad Depots of Arkansas Beck, I.W.W., Building, 146 W. The evening reception will be on MPS), S. of E. Hempstead, between S. Cooweescoowee Ave., Oologah, 99001086 September 16, 1999 at the Red Bluff Front and S. Ansley Sts., Nashville, Community/Senior Center from 6:30 Tulsa County 92000618 p.m. to 8 p.m. Ambassador Hotel, 1314 S. Main, Tulsa, Nevada County BDAC will meet from 8:30 a.m. to 5 99001085 Bemis Florist Shop (Thompson, Charles L., p.m. on Friday, September 17, 1999 at OREGON Design Collection TR), 117 E. Second, the Red Bluff Community/Senior Prescott, 82000868 Clackamas County Center. # Phillips County The Bay-Delta Advisory Council’s Bagsby Guard Station, Bagby Trail 544, Ecosystem Restoration Program FY 2000 Forest Service Rd. 70, Estacada vicinity, Barlow—Coolidge House, 917 Ohio St., 99001088 Helena, 75000402 Priority Public Workshop will be held from 9 a.m. to 1 p.m. on Tuesday, UTAH Prairie County August 31, 1999 in the Auditorium at Garfield County DeValls Bluff First Baptist Church, Jct. of 714 P Street in Sacramento. Prairie and Mason Sts., SE corner, Prairie, Oak Creek Dam (Capitol Reef National Park ADDRESSES: BDAC will rendezvous from 92001616 MPS), Oak Creek, N of N. Coleman Canyon, Wild Bill’s Restaurant, 500 Riverside, Torrey vicinity, 99001091 Pulaski County Red Bluff, CA 96080. The BDAC Wayne County George, Alexander, House, 1007 E. 2nd St., evening reception and meeting will be Little Rock, 76000454 held at the Red Bluff Community/Senior Behunin, Elijah Cutler, Cabin (Capitol Reef Center, 1500 South Jackson Street, Red National Park MPS), UT 24, 1.5 mi. SE of Saline County tip of Horse Mesa, Torrey vicinity, Bluff, CA 96080. Missouri—Pacific Railroad Depot—Benton 99001094 The Bay-Delta Advisory Council’s (Historic Railroad Depots of Arkansas Cathedral Valley Corral (Capitol Reef Ecosystem Restoration Program FY 2000 MPS), Benton, 92000602 National Park MPS), Middle Desert, SE of Priority Public Workshop will be held Confluence of Cathedral Mountain and Washington County in the auditorium at 714 P Street, Cathedral Valley, Torrey vicinity, Kantz House, E of Fayetteville at 2650 Sacramento, CA 95814. 99001093 Mission St., Fayetteville, 80000788 Civilian Conservation Corps Powder FOR FURTHER INFORMATION CONTACT: For Magazine (Capitol Reef National Park [FR Doc. 99–21357 Filed 8–17–99; 8:45 am] information on the BDAC tour, MPS), S of Fremont R., N of Cuts Canyon, BILLING CODE 4310±70±P reception and meeting contact Eugenia Torrey vicinity, 99001090 Laychak, CALFED Bay-Delta Program at Hanks’ Dugouts (Capitol Reef National Park (916) 657–2666. MPS), Confluence of Pleasant Creek and DEPARTMENT OF THE INTERIOR For information on the Bay-Delta South Draw, Torrey vicinity, 99001095 Advisory Council’s Ecosystem Morrell, Lesley, Line Cabin and Corral Bureau of Reclamation Restoration Program FY 2000 Priority (Capitol Reef National Park MPS), Public Workshop, contact Wendy Confluence of Middle Desert Wash and Bay-Delta Advisory Council Meeting; Cathedral Valley, Torrey vicinity, Halverson Martin, CALFED Bay-Delta 99001096 Bay-Delta Advisory Council's Program at (916) 657–2666. Oyler Mine (Capitol Reef National Park Ecosystem Restoration Program FY If reasonable accommodation is MPS), Confluence of Grand Wash and 2000 Priority Public Workshop needed due to a disability, please Cohab Canyon, Torrey vicinity, 99001092 contact the Equal Employment Pioneer Register (Capitol Reef National Park AGENCY: Bureau of Reclamation, Interior. Opportunity Office at (916) 653–6952 or MPS), SW of confluence of Capitol Wash TDD (916) 653–6934 at least one week and Waterpocket Canyon, Torrey vicinity, ACTION: Notice of meetings. 99001097 prior to the meeting. A request for REMOVAL has been made for SUMMARY: The Bay-Delta Advisory SUPPLEMENTARY INFORMATION: The San the following resources: Council (BDAC) will meet to discuss Francisco Bay/Sacramento-San Joaquin key issues in addressing CALFED Delta Estuary (Bay-Delta system) is a ARKANSAS critical issues, focusing on Finance, critically important part of California’s Columbia County Governance, the Draft Preferred natural environment and economy. In Bank of Waldo (Thompson, Charles L., Alternative and Restoration recognition of the serious problems Design Collection TR), Locust and Main Coordination. There will also be a site facing the region and the complex Sts., Waldo, 82000801 tour of Battle Creek leaving from and resource management decisions that

VerDate 18-JUN-99 18:18 Aug 17, 1999 Jkt 183247 PO 00000 Frm 00052 Fmt 4703 Sfmt 4703 E:\FR\FM\18AUN1.XXX pfrm11 PsN: 18AUN1 Federal Register / Vol. 64, No. 159 / Wednesday, August 18, 1999 / Notices 44941 must be made, the state of California INTERNATIONAL TRADE ID in which he found that there was no and the Federal government are working COMMISSION violation of section 337. Complainant Oak filed a petition for together to stabilize, protect, restore, [Inv. No. 337±TA±409] and enhance the Bay-Delta system. The review of Order No. 15 and respondent State and Federal agencies with Certain CD±ROM Controllers and UMC and the Commission investigative management and regulatory Products Containing the SameÐII; attorneys (IAs) filed responses to Oak’s responsibilities in the Bay-Delta system Notice of Decision To Extend by 45 petition for review of Order No. 15. Oak, are working together as CALFED to Days the Target Date for Completing respondents UMC, MediaTek, Lite-On provide policy direction and oversight the Investigation Technology, and AOpen, and the IAs for the process. filed petitions for review of the final ID, AGENCY: U.S. International Trade and all parties subsequently responded One area of Bay-Delta management Commission. to each other’s petitions for review of includes the establishment of a joint ACTION: Notice. the final ID. State-Federal process to develop long- On June 28, 1999, the Commission term solutions to problems to the Bay- SUMMARY: Notice is hereby given that determined not to review the ALJ’s Delta system related to fish and wildlife, the U.S. International Trade findings with respect to the preamble of water supply reliability, natural Commission has determined to extend claim 1 and its digital signal processor disasters, and water quality. The intent by 45 days, or until September 27, 1999, (DSP) element, and determined to is to develop a comprehensive and the target date for completing the above- review the remainder of the final ID and balanced plan which addresses all of the captioned investigation. Order No. 15. resource problems. This effort, the FOR FURTHER INFORMATION CONTACT: The authority for the Commission’s CALFED Bay-Delta Program (Program), Timothy P. Monaghan, Esq., Office of determination is contained in section is being carried out under the policy the General Counsel, U.S. International 337 of the Tariff Act of 1930, as direction of CALFED. The Program is Trade Commission, 500 E Street, SW, amended (19 U.S.C. 1337), and in exploring the developing a long-term Washington, DC 20436, telephone (202) § 210.51 of the Commission’s rules of practice and procedure (19 CFR solution for a cooperative planning 205–3152. Hearing-impaired persons are § 210.51). process that will determine the most advised that information on this matter can be obtained by contacting the Copies of the public version of the appropriate strategy and actions ALJ’s IDs and all other nonconfidential necessary to improve water quality, Commission’s TDD terminal on 202– 205–1810. General information documents filed in connection with this restore health to the Bay-Delta investigation are or will be available for ecosystem, provide for a variety of concerning the Commission may also be obtained by accessing its Internet server inspection during official business beneficial uses, and minimize Bay-Delta (http://www.usitc.gov). hours (8:45 a.m. to 5:15 p.m.) in the system vulnerability. A group of citizen Office of the Secretary, U.S. SUPPLEMENTARY INFORMATION: The advisors representing California’s International Trade Commission, 500 E Commission instituted this investigation agricultural, environmental, urban, Street, S.W., Washington, D.C. 20436, on May 13, 1998, based on a complaint business, fishing, and other interests telephone 202–205–2000. filed by Oak Technology, Inc. 63 FR who have a stake in finding long term 26625 (1998). The complaint named Issued: August 13, 1999. solutions for the problems affecting the four respondents: MediaTek, Inc., By order of the Commission. Bay-Delta system has been chartered United Microelectronics Corporation Donna R. Koehnke, under the Federal Advisory Committee (UMC), Lite-On Technology Corp., and Secretary. Act (FACA) as Advisory Council BDAC AOpen, Inc. Actima Technology to advise CALFED on the program [FR Doc. 99–21470 Filed 8–17–99; 8:45 am] Corporation, ASUSTek Computer, BILLING CODE 7020±02±P mission, problems to be addressed, and Incorporated, Behavior Tech Computer objectives for the Program. BDAC Corporation, Data Electronics, Inc., provides a forum to help ensure public Momitsu Multi Media Technologies, INTERNATIONAL TRADE participation, and will review reports Inc., Pan-International Industrial COMMISSION and other materials prepared by Corporation, and Ultima Electronics CALFED staff. BDAC has established a Corporation were permitted to intervene Sunshine Act Meeting; Emergency subcommittee called the Ecosystem in the investigation. Notice of Commission Meeting Roundtable to provide input on annual In its complaint, Oak alleged that AGENCY HOLDING THE MEETING: United workplans to implement ecosystem respondents violated section 337 by States International Trade Commission. restoration projects and programs. importing into the United States, selling for importation, and/or selling in the TIME AND DATE: August 20, 1999 at 10:00 Minutes of the meeting will be a.m. maintained by the Program, Suite 1155, United States after importation electronic products and/or components PLACE: Room 101, 500 E Street S.W., 1416 Ninth Street, Sacramento, CA that infringe claims of U.S. Letters Washington, DC 20436, Telephone: 95814, and will be available for public Patent 5,581,715. The presiding (202) 205–2000. inspection during regular business administrative law judge (ALJ) held an STATUS: Open to the public. hours, Monday through Friday within evidentiary hearing from January 11, MATTERS TO BE CONSIDERED: 30 days following the meeting. 1999, to January 28, 1999. 1. Outstanding action jacket: Dated: August 13, 1999. On May 10, 1999, the ALJ issued an Kirk Rodgers, initial determination (ID) (Order No. 15) (1) Document No. EC–99–012: Approval of final report in Inv. No. 332–403 (Assessment Acting Regional Director, Mid-Pacific Region. granting the motion of respondent UMC for a summary determination of the Economic Effects on the United States [FR Doc. 99–21394 Filed 8–17–99; 8:45 am] terminating UMC from the investigation of China’s Accession to the WTO). BILLING CODE 4310±94±M on the basis of a license agreement. On In a meeting held on Friday, August May 12, 1999, the ALJ issued his final 13, 1999, the Commission determined to

VerDate 18-JUN-99 16:50 Aug 17, 1999 Jkt 183247 PO 00000 Frm 00053 Fmt 4703 Sfmt 4703 E:\FR\FM\A18AU3.153 pfrm11 PsN: 18AUN1 44942 Federal Register / Vol. 64, No. 159 / Wednesday, August 18, 1999 / Notices delay consideration of the above not exceed 15 double-spaced, 12-point COPS Office is to provide resources to referenced document until Friday, typed pages. Budget materials, letters of enhance community policing efforts August 20, 1999 at 10:00 a.m. No earlier support/cooperation, and time lines are throughout the country. The purpose of announcement of this emergency considered acceptable appendices and this solicitation is to fund the meeting was possible. do not count toward the narrative page development and dissemination of Issued: August 13, 1999. limit. informative, easy-to-understand, and By order of the Commission: ADDRESSES: Please send application easy-to-use products and tools that will continue to facilitate the adoption and Donna R. Koehnke, package to: Office of Community Oriented Policing Services; Program/ implementation of community policing Secretary. Policy Support and Evaluation Division, and collaborative problem solving. [FR Doc. 99–21528 Filed 8–16–99; 12:58 pm] c/o Stacy Curtis Bushe´e, 1100 Vermont Funding Availability BILLING CODE 7020±02±P Ave, NW, Washington, DC 20530 (20005 for express services). The COPS Office anticipates providing a total of up to $600,000 from FOR FURTHER INFORMATION CONTACT: DEPARTMENT OF JUSTICE Please contact Stacy Curtis Bushe´e at FY99 funds to award projects in the (202) 633–1297 or Karin Schmerler at areas described below. Depending on Office of Community Oriented Policing the fundability of proposals received by Services; Solicitation for the (202) 633–1321 to obtain additional information about this solicitation. the COPS Office, funding amounts may Development of Tools and Products be increased or decreased within for Policing Agencies To Enhance Application forms and materials on the COPS Office and its grant programs are categories. In addition, all categories/ Community Policing and Problem parts may not receive funding based Solving also available by calling the U.S. Department of Justice Response Center upon the quality and utility of proposed AGENCY: Office of Community Oriented at 1–800–421–6770 or by visiting the projects. Awards under this solicitation Policing Services, Department of Justice. COPS Office Internet web site at are not dependent on FY00 appropriations to the COPS Office. ACTION: Notice of availability. www.usdoj.gov/cops. Additional projects may be funded from SUPPLEMENTARY INFORMATION: SUMMARY: The Office of Community this solicitation with FY00 Oriented Policing Services (COPS) is Background appropriations if such appropriations seeking proposals to fund the On September 13, 1994, President are forthcoming. Grants or cooperative development and dissemination of Clinton signed into law the Violent agreements are awarded for a one year information, guidelines, tools, and Crime Control and Law Enforcement period. products to facilitate the Act of 1994 (Pub. L. 103–322). Title I of Category I. Collaborative Problem implementation of community policing the ‘‘crime bill,’’ the Public Safety Solving ($150,000) and problem solving. This solicitation Partnership and Community Policing Since 1997, the COPS Office has provides background on the COPS Act of 1994, authorizes the Attorney awarded over 450 Problem Solving Office and its grant programs. It also General to make grants to States, units Partnerships (PSP) grants and 150 outlines the purpose of the solicitation of local government, Indian tribal School-Based Partnerships (SBP) grants. and the needs it seeks to address, and governments, other public and private The purpose of these grants is to identifies issues to be discussed by entities, and multi-jurisdictional or provide policing agencies and their applicants seeking to provide services regional consortia thereof to increase community partners with resources that under grants or cooperative agreements. police presence, to expand and improve will enhance their ability to use the Areas of interest to the COPS Office cooperative efforts between law collaborative problem solving approach include community policing and enforcement agencies and members of to address their focus crime or disorder collaborative problem solving, the community, to address crime and problems. PSP and SBP grantees are organizational transitions, and uses of disorder problems, to support addressing a wide variety of problems, technology to advance community innovative community policing projects, including: policing. and to otherwise enhance public safety. This solicitation is being announced Since 1994, the COPS Office has PSP Program as an open competition and requires a awarded grants to more than 11,000 three-week turnaround. Awardees will Assault policing agencies across the country. Street-Level Drug Dealing be expected to begin work immediately The COPS Office has funded the hiring upon selection. Loitering and Disorder of officers, the redeployment of officers Residential Burglary DATES: Applications are due on through the purchase of technology and Auto Theft/Theft from Auto September 15, 1999, by 5:00 p.m. EST. the hiring of civilians, and a variety of Domestic Violence Please fax a short letter notifying the innovative policing grants to combat Commercial Burglary COPS Office of your intent to apply. The crime and enhance public safety. Underage Drinking letter should be faxed to the attention of Innovative grants include, for example, Vandalism/Graffiti COPS/PPSE c/o Stacy Curtis Bushe´e at funding to foster collaborative problem Larceny/Theft (202) 633–1386 no later than September solving between policing agencies and Driving While Intoxicated 3, 1999. The selected awardees will be community-based agencies or schools, Disputes notified by phone and letter and should and partnerships between policing plan to begin meeting with the COPS agencies and domestic violence SBP Program Office in Washington, D.C. as early as programs. The COPS Office has also Assault mid October 1999 to begin work on the funded the creation of Regional Loitering and Disorder project. Community Policing Institutes (RCPIs) Bullying, Threat and Intimidation REQUIREMENTS/LIMITATIONS: Package to foster training in community policing Disputes should include the original application at the regional level. The goal of Drug Dealing/Alcohol Consumption on and three copies. Applications should programs developed and funded by the School Grounds

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Larceny/Theft Category II. Organizational Transitions development and implementation of Vandalism/Graffiti ($250,000) call management strategies that support an agency’s community policing goals. To continue to enhance the ability of As a policing agency transitions ideologically from conducting Policing agencies have approached call policing agencies and communities to management in a variety of ways, effectively address specific crime or traditional policing activities to operating under the philosophies that including: managing calls for service disorder problems the COPS Office through telephone and mail-in reporting seeks proposals to: guide community policing, organizational transformations typically systems, delaying police response, Category I—Part A. Develop tools to occur that will support the new scheduling appointments, and tasking non-sworn personnel to respond to address specific crime or disorder approach. Such transformations include lower priority calls. The short-term goal problems. altering the structure of a department to of these strategies has been to free-up Problem-specific tools include, but enable the community policing officer time for collaborative problem- are not limited to: analytical philosophy and associated functions to solving efforts; the long-term goal has instruments (such as environmental be incorporated into the responsibilities been to increase the effectiveness of the surveys, business and residential of department personnel. To assist police response to community surveys, victim and offender interviews, COPS grantees in making such incident report addendums), that will problems. transitions, the COPS Offices seek The COPS Office seeks proposals to help agencies collect information on proposals to do the following: develop a call management guidebook particular crime or disorder problems; Category II—Part A. Review and that draws upon the promising work practical, user-friendly information describe the major variations in the and lessons learned by policing agencies guides outlining the state of knowledge implementation of community policing in the United States and abroad. The on particular crime or disorder among select COPS grantees and guidebook should serve as a resource for problems; and/or blueprints on how to compile lessons learned from the ways a wide variety of agencies seeking step- apply a problem-solving approach to these agencies are implementing by-step assistance in designing and specific crime and disorder problems. community policing. implementing basic call management Tools and guidelines on how to Policing agencies have implemented strategies to support community implement and sustain problem-solving community policing in a variety of policing efforts. In addition to providing collaborations between policing ways. Approaches to implementing information on basic call management agencies and communities/schools that community policing include the use of strategies, the guidebook should include focus on particular crime and disorder specialized units or officers primarily information on cutting-edge problems are also welcome. Applicants responsible for community policing experiments with call management may suggest additional tools that would activities; specialized officers within a initiatives that fully integrate problem- assist policing agencies and community particular district with community oriented policing concepts into call partners attempting to address specific policing responsibilities; a split-force receipt, dispatch and resolution. crime and disorder problems. approach wherein community policing, Category III. Technology ($200,000) Category I—Part B. Develop problem- traditional patrol, and other functions solving software. are split between major police divisions; Through the COPS MORE grant a department-wide orientation; and program (Making Officer Redeployment Implementing a problem-solving combinations of the above. Some Effective), the COPS Office has provided approach—for example, one that agencies begin implementing information technology resources to includes phases such as scanning, community policing through one support community policing operations. analyzing, responding, and assessing— approach, and subsequently go on to Policing agencies nationwide have to reduce crime and disorder requires implement one or more different received and implemented a variety of knowledge of the basic strategy and approaches for a variety of reasons. A technology applications, including structure of such an approach. Problem- compilation of the experiences of records management, mapping, and solving software that can help guide selected COPS grantees that have computer-aided dispatch systems. police practitioners and community undertaken differing approaches to However, the market for law members through the model to address implementing community policing enforcement technology development is specific problems and help users would help inform other policing largely vendor-driven. There is limited develop effective, tailored responses agencies that are in the process of information about the universe of would help meet the need for developing and implementing strategies applications available for police, and individualized assistance in applying to fit their particular needs. many agencies have not had the the problem-solving approach to target This compilation should review the opportunity to take full advantage of problems. Although such software could topology described above and examine advanced information technology tools be used in a training settling, the the successes, pitfalls, lessons learned, due to constraints in both design and primary purpose of this type of software and resulting benefits and drawbacks of utilization. As such, the COPS Office is would be to serve as a blueprint for each approach. seeking proposals to: taking a problem-solving approach to Category II—Part B. Develop a Category III—Part A. Develop addressing crime or disorder problems. practical, easy-to-understand guidebook guidelines for information technology Applicants interested in proposing for policing practitioners on designing acquisition and utilization to support projects in the Collaborative Problem and implementing call management community policing. Solving category should propose tools strategies to support community The transition to community policing or products that will enhance the ability policing. has placed additional information of policing agencies and community The COPS Office is also seeking demands on state and local police organizations to collect, analyze and proposals on the topic of call agencies. These demands include the understand different types of management strategies. An important need for real-time data accessibility for information that will aid in aspect of organizational transition for problem analysis at the beat/sector collaborative problem-solving efforts. many policing agencies is the level, the capacity for data sharing

VerDate 18-JUN-99 18:18 Aug 17, 1999 Jkt 183247 PO 00000 Frm 00055 Fmt 4703 Sfmt 4703 E:\FR\FM\18AUN1.XXX pfrm11 PsN: 18AUN1 44944 Federal Register / Vol. 64, No. 159 / Wednesday, August 18, 1999 / Notices among multiple components of local comparative documents that include How to Apply government (i.e., public works, process/impact assessment findings. Those interested in submitting sanitation, police, fire), and enhanced Applicant Criteria proposals in response to this solicitation mechanisms for the distribution of non- Successful applicants must must complete the required application sensitive police records to the public. In forms and submit related required order to respond to these evolving demonstrate a clear understanding of community policing and problem documents. Applicants must include needs, COPS grantees have informally the following information/forms to requested assistance in the way of solving principles and processes. qualify for consideration: minimum-threshold functional Applicants should have extensive • Standard Form (SF) 424— requirements for information systems backgrounds in the implementation of application for Federal assistance that they can use in strategic and community policing, including the • Table of Contents organizational planning. impact and importance of community • Proposal Abstract (include the In response to this growing demand, participation, and the ways in which the the COPS Office is seeking proposals for implementation of community policing category and part under which you are applying) the development of guidelines to meet can bring about organizational changes • the evolving information technology within policing agencies. Applicants Project Narrative (see additional detail in Items #1–6 below) needs of policing agencies transitioning should also be familiar with the uses of • # to community policing. Applicants technology to enhance the delivery of Project Time Line (Item 7) • Budget Detail Worksheet (see interested in submitting proposals police services and effectiveness of # under this section should identify the community policing efforts. Applicants additional detail in Item 8) • Budget Narrative (see additional critical elements that an information must state clearly the goals and methods # technology (IT) platform must contain of the project, project deliverables, and detail in Item 8) • Names and affiliations of all key in order to facilitate the successful include a task time line for the life of project staff, including subcontractor(s), implementation to community policing the grant. advisors, and consultants and meet these corresponding Applicants may submit multiple • information demands. applications within or across categories Resumes of key project staff Proposals should include an and parts. For example, an applicant (relevant experience for proposed examination of the necessary functional project should be highlighted) could propose to develop deliverables • elements for a community-oriented IT Assurances under Part B of the Organizational • platform, the necessary IT components, Transitional category, and Parts A and Certifications Regarding Lobbying, and the steps to take to ensure B of the Technology category. However, Debarment, Suspension and Other successful interface with other local each distinct project must be described Responsibility Matters; and Drug-Free government counterparts. The Workplace Requirements (one form) in detail in a narrative as discussed • development of specific technical below and separate budget worksheets Disclosure of Lobbying Activities requirements for IT components (i.e., and narratives must be provided for The project narrative should not database architecture, wireless each project. Supporting documentation exceed 15 pages and should detail the communications infrastructure) are not such as the SF 424, Assurances, proposed project and the deliverables sought under this solicitation. Certifications, and Disclosures need not that will result, including planes to pilot Category III—Part B. Examine be submitted more than once. test deliverables with policing agencies applications of information technology Applicants are encouraged to be to assure the ease of use and utility of among policing agencies. innovative in their proposals and such deliverables. The required forms, The ways in which leading law should collaborate with policing resumes, time line and budget enforcement agencies use data to agencies or personnel in the information do not count toward the support management decisions, allocate development of applications and in the page length. Each proposed project must personnel resources, and implement testing of tools and products to assure be described in a separate narrative and community policing/problem solving their usefullness. must be accompanied by a separate vary considerably. Some agencies have Applicants should meet the following budget narrative and worksheets. provided information technology (IT) criteria: Capabilities tools to officers for crime analysis at the 1. Possess relevant expertise in the beat level, whereas others have placed areas of community policing, Project narratives should address the greater emphasis on making real-time collaborative problem-solving, police following issues. If you or your information available to command staff. management, and organizational organization is proposing more than one Given these variations, applicants could change. distinct project under this solicitation, propose to compare and contrast various 2. Possess significant understanding include a discussion of all items except # applications of technology in policing of and experience working with policing for Item 4 in each of the project agencies, and to assess the subsequent agencies operating under the guiding narratives. impact on departmental operations, philosophies of community policing in 1. Describe in detail the project you community policing, and ultimately, rural, suburban, and urban jurisdictions would undertake. Be specific with public safety. For example, applicants ranging from 15,000 to over 1,000,000 regard to the kinds of deliverables that could propose to conduct a critical persons. would result and how those deliverables examination of a top-down 3. Possess significant experience would assist policing agencies accountability-based policing model in developing tools or products aimed at implementing community policing and comparison to a decentralized or policing audiences. problem solving. Be sure to describe problem-oriented policing model, 4. Possess experience administering how the deliverables would be pilot leading to the development of a new IT federal grants or cooperative agreements tested within policing agencies to assure paradigm for policing structured around of more than $100,000. the ease of use and utility of such the most successful elements of each 5. Have a proven record of working deliverables. strategy. Proposed products could collaboratively on projects with other 2. Discuss your management plan for include site-specific case studies or organizations. implementing this project with respect

VerDate 18-JUN-99 16:50 Aug 17, 1999 Jkt 183247 PO 00000 Frm 00056 Fmt 4703 Sfmt 4703 E:\FR\FM\A18AU3.176 pfrm11 PsN: 18AUN1 Federal Register / Vol. 64, No. 159 / Wednesday, August 18, 1999 / Notices 44945 to internal and external management of DEPARTMENT OF JUSTICE 9606 and 9607, for response costs and personnel and resources. actions at the Jack’s Creek Superfund Executive Office for U.S. Attorneys 3. Discuss how information collected Site in Mifflin County, PA. The decree or products/tools developed under this [Docket No. 97592] requires 40 of the defendants to perform project could be disseminated to the EPA-selected remedial action to promote the implementation of Waiver of the Data Encryption address hazardous substance contamination at the site. That remedial community policing and problem- Standard; Federal Information action includes, inter alia, excavation solving approaches in the future. Processing Standards Publication (FIPS) 46±2; ``Data Encryption and off-site disposal of certain Discuss how police practitioners, Standard (DES)'' contamination and on-site consolidation community members, and others with and capping of other contamination. an interest in crime prevention could AGENCY: Executive Office for U.S. The remaining 80 defendants are access the products developed under Attorneys, Department of Justice. accorded de minimis treatment and this project. ACTION: Notice. required to pay a total of $3.05 million 4. Describe your understanding of and SUMMARY: The Federal Information toward cleanup of the site. The Department of Justice will experience with community policing Processing Standards Publication (FIPS) receive, for a period of thirty (30) days and problem solving. Describe your 46–2 entitled ‘‘Data Encryption from the date of this publication, background and experience in Standard (DES)’’ requires that a notice comments relating to the proposed developing tools or other products be published in the Federal Register consent decree. Comments should be aimed at facilitating the use of new whenever a waiver to the DES standard addressed to the Assistant Attorney approaches to crime reduction by is approved. policing agencies. General for the Environment and DATES: The waiver was approved on Natural Resources Division, Department 5. Describe your understanding of June 9, 1999. of Justice, Washington, D.C. 20530, and policing agencies and their culture, as it ADDRESSES: U.S. Department of Justice, should refer to United States v. A&D applies to the focus area addressed in Executive Office for U.S. Attorneys, 600 Recycling, Inc., et al., Civil Action No. your proposal. E Street N.W., Suite 6004, Washington, 1:CV–99–1332 (M.D. Pa.), DOJ Ref. #90– 6. Based on your experience with the DC 20530. 11–2–911. Commenters may request an evolution of community policing and FOR FURTHER INFORMATION CONTACT: opportunity for a public meeting in the problem solving, please describe the Harvey Press (202) 616–6442. affected area, in accordance with section primary organizational obstacles to the SUPPLEMENTARY INFORMATION: FIPS 46–2 7003(d) of RCRA, 42 U.S.C. 6973(d). implementation of community policing, ‘‘Data Encryption Standards (DES)’’ The proposed consent decree may be and how your proposed deliverables requires a notice be published in the examined at the United States would assist COPS grantees and other Federal Register whenever a waiver is Department of Justice, Environment and agencies in institutionalizing granted. The Executive Office for U.S. Natural Resources Division, Consent community policing and problem Attorneys (EOUSA) of the Department Decree Library, 1120 G Street, NW., 3rd solving. of Justice (DOJ), because of our concerns Floor, Washington, DC 20005, (202) that single DES has been shown 624–0892. A copy of the proposed Timeline vulnerable to attack, we intend to utilize consent decree may be obtained in Triple DES. Therefore, the EOUSA, to person or by mail from the Consent 7. Provide a detailed one-year task provide stronger security, will utilize Decree Library, 1120 G Street, NW., 3rd time line to describe the activities Triple DES as its encryption algorithms Floor, Washington, DC 20005. In included in your project plan. for its Virtual Private Network (VPN)/ requesting a copy, please refer to the Budget firewall implementation. referenced case and enclose a check in Harvey Press, the amount of $27.50 (25 cents per page 8. Prepare a detailed budget and Assistant Director for Telecommunication reproduction costs), payable to the budget narrative for a one-year and Technical Development Staff. Consent Degree Library. A copy of the agreement. Awards are expected to [FR Doc. 99–21367 Filed 8–17–99; 8:45 am] exhibits to the decree may be obtained range from $50,000 to $350,000, BILLING CODE 4410±07±M from the same source for an additional depending on the scope of the initiative charge of $50.00 and proposed deliverables. The budget Joel M. Gross, may include travel and per diem costs DEPARTMENT OF JUSTICE Chief, Environmental Enforcement Section, related to collaborating with policing Environment and Natural Resources Division. agencies, mailing or telephone costs for Notice of Lodging of Consent Degree [FR Doc. 99–21466 Filed 8–17–99; 8:45 am] information collection, and production, Pursuant to the Comprehensive BILLING CODE 4410±15±M pilot testing, and dissemination costs for Environmental Response, all deliverables. Compensation, and Liability Act The Catalog of Federal Domestic Notice is hereby given that a consent DEPARTMENT OF JUSTICE Assistance (CFDA) reference for this decree in United States v. A&D Notice of Lodging of Consent Decrees program is 16.710. Recycling, Inc., et al., Civil Action No. Under the Comprehensive 1:CV–99–1332 (M.D. Pa.) was lodged Dated: August 6, 1999. Environmental Response, with the court on July 28, 1999. Compensation, and Liability Act Mary Lou Leary, The proposed decree resolves claims Acting Director, Office of Community of the United States against 120 Notice is hereby given that on August Oriented Policing Services, U.S. Department defendants under Sections 106 and 107 4, 1999 two proposed consent decrees in of Justice. of the Comprehensive Environmental United States v. Greenwood Chemical [FR Doc. 99–21452 Filed 8–17–99; 8:45 am] Response, Compensation, and Liability Company, Civ. Action No. 97–0147 BILLING CODE 4410±AT±M Act, as amended (‘‘CERCLA’’), 42 U.S.C. (W.D. Va), were lodged with the United

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States District Court for the Western DEPARTMENT OF JUSTICE Washington, DC 20530 (telephone: (202) District of Virginia. 307–5799). In this action, the United States is Antitrust Division Constance Robinson, recovering past and future response Director of Operation & Merger Enforcement. costs, pursuant to the Comprehensive [Civil Action No. 3±99CV1398±H] Environmental Response, United States District Court for the Compensation, and Liability Act United States of America, and the State Northern District of Texas (Dallas (‘‘CERCLA’’), 42 U.S.C. 9601 et seq. in of Texas v. Aetna Inc. and The Division) connection with the Greenwood Prudential Insurance Company of [Civil Action No.: 3±99CV1398±H] Chemical Company Superfund (‘‘Site’’), America Proposed Final Judgment and United States of America, and the State of located in Albermarle County, Virginia. Competitive Impact Statement The consent decrees that were lodged Texas, Plaintiffs, v. Aetna Inc., and The Prudential Insurance Company of America, would resolve the United States’ claims Notice is hereby given pursuant to the Defendants. against two of the four defendants. One Antitrust Procedures and Penalties Act, Stipulation defendant, High Point Chemical 15 U.S.C. Section 16 (b) through (h), that Corporation, will pay $4 million to a proposed Final Judgment, Stipulation, It is stipulated by and between the settle claims against it. The second Hold Separate Stipulation and Order, undersigned parties, by their respective defendant, Clarence Hustrulid, will pay and Competitive Impact Statement have attorneys, as follows: $100,000 to resolve claims against him. been filed with the United States (1) This Court has jurisdiction over In both cases, 90% of the money will be District Court for the Northern District the subject matter of this action and paid to the United States and the of Texas (Dallas Division) in United over each of the parties hereto, and remaining 10% to the Commonwealth of States of America and the State of Texas venue is proper in this Court. Virginia, which is a co-plaintiff in the (2) The proposed Final Judgment case. v. Aetna Inc. and The Prudential Insurance Company of America, Civil attached hereto may be filed and The consent decrees include entered by the Court, upon the motion Action No. 3–99CV1398–H. On June 21, covenants not to sue by the United of any party or upon the Court’s own 1999, the United States and the State of States under sections 106 and 107 of motion, at any time after compliance Texas filed a Complaint to enjoin CERCLA, and under section 7003 of the with the requirements of the Antitrust Resource Conservation and Recovery defendant Aetna’s proposed acquisition Procedures and Penalties Act, 15 U.S.C. Act (‘‘RCRA’’), 42 U.S.C. 6973. of certain health insurance-related 16, and without further notice to any The Department of Justice will receive assets of the Prudential Insurance party or other proceedings, provided for a period for thirty (30) days from the Company of America, an acquisition that the plaintiffs have not withdrawn date of this publication comments which would have violated section 7 of their consent, which they may do at any relating to the proposed consent the Clayton Act, 15 U.S.C. 18. The time before entry of the proposed Final decrees. Comments should be sent to proposed Final Judgment, filed with the Judgment by serving notice thereof on the Assistant Attorney General of the Complaint requires Aetna to divest its all other parties and by filing that notice Environment and Natural Resources interests in NYLCare Health Plans of the with the Court. Division, Department of Justice, Gulf Coast, Inc. and NYLCare Health (3) Defendants shall abide by and Washington, D.C. 20530, and should Plans of the Southwest, Inc., providers comply with the provisions of the refer to United States v. Greenwood of health insurance in the Houston and proposed Final Judgment pending entry Chemical Company, D.J. Ref. 90–11–2– Dallas areas, respectively. Copies of the of the Final Judgment by the Court, or 679. Commenters may request an Complaint, proposed Final Judgment, until expiration of time for all appeals opportunity for a public hearing in the Hold Separate Stipulation and Order, of any Court ruling declining entry of affected area, in accordance with section and Competitive Impact Statement are the proposed Final Judgment, and shall, 7003(d) of RCRA. available for inspection at the from the date of the signing of this The proposed consent decrees may be Department of Justice in Washington, Stipulation, comply with all the terms examined at the Office of the United and provisions of the proposed Final States Attorney, Thomas B. Mason DC in Suite 200, 325 Seventh Street, NW, and at the Office of the Clerk of the Judgment as though the same were in Building, 105 Franklin Rd., SW, Suite full force and effect as an order of the One, Roanoke, VA 24011; at US EPA United States District Court for the Northern District of Texas (Dallas Court. Region III, 1650 Arch Street, (4) This Stipulation shall apply with Division). Philadelphia, Pennsylvania 19103– equal and effect to any amended 2029; and at the Consent Decree Library, Public comment on the proposed proposed Final Judgment agreed upon 1120 G Street, NW, 3rd Floor, Final Judgment is invited within 60 in writing by the parties and submitted Washington, DC 20005, (202) 624–0892. days of the date of this notice. Such to the Court. A copy of the proposed consent decrees comments, and responses thereto, will (5) In the event the plaintiffs may be obtained in person or by mail be published in the Federal Register withdraw their consent, as provided in from the Consent Decree Library, 1120 and filed with the Court. Comments paragraph (2) above, or in the event that G Street, NW, 3rd Floor, Washington, should be directed to Gail Krush, Chief, the Court declines to enter the proposed DC 20005. In requesting a copy, please Healthcare Task Force, 325 Seventh Final Judgment pursuant to this enclose a check in the amount of $14.50 Street, NW, Room 404, Antitrust Stipulation, the time has expired for all (25 cents per page reproduction cost) Division, Department of Justice, appeals of any Court ruling declining payable to the Consent Decree Library. entry of the proposed Final Judgment, Joel M. Gross, and the Court has not otherwise ordered Chief, Environmental Enforcement, Section continued compliance with the terms Environment and Natural Resources Division. and provisions of the proposed Final [FR Doc. 99–21366 Filed 8–17–99; 8:45 am] Judgment, then the parties are released BILLING CODE 4410±15±M from all further obligations under this

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Stipulation, and the making of this HMO-based POS business under that B. Aetna shall take all steps necessary Stipulation shall be without prejudice to name in Houston, Brazoria, Galveston, to ensure that NYLCare-Gulf Coast and any party in this or any other Austin, San Antonio, and Corpus NYLCare-Southwest are maintained and proceeding. Christi, Texas. operated as independent, ongoing, (6) Defendants represent that the C. ‘‘NYLCare-Southwest’’ means economically viable, and active divestitures ordered in the proposed NYLCare Health Plans of the Southwest, competitors, including but not limited Final Judgment can and will be made, Inc., a wholly-owned subsidiary of to the following: and that defendants will later raise no Aetna that operates a licensed HMO and 1. Aetna will appoint experienced claims of hardship or difficulty as HMO-based POS business under that senior management to run the combined grounds for asking the Court to modify name in Dallas, Fort Worth, and several business of NYLCare-Gulf Coast and any of the divestiture provisions smaller cities in North Texas, including NYLCare-Southwest until the contained therein. Paris, Tyler, Longview, and Amarillo. divestiture required by the Final Respectfully submitted, D. ‘‘Prudential’’ means defendant The Judgment has been accomplished. These Dated: June 21, 1999. Prudential Insurance Company of executives may be recruited from within For Plaintiff, United States of America. America, a New Jersey mutual insurance the existing Aetna or NYLCare Paul J. O’Donnell, company with its principal place of organizations, with plaintiffs’ approval, Massachusetts Bar #547125, U.S. Department business in Newark, New Jersey, its subject to Section IV.C, or from outside of Justice, Antitrust Division, Health Care successors, assigns, subsidiaries, the company. Task Force, 325 Seventh Street, NW., Suite divisions, groups, affiliates, 2. Aetna will create a separate and 400, Washington, DC 20530; Tel: (202) 616– partnerships, and joint ventures, and its independent sales organization for 5933, Facsimile: (202) 514–1517. directors, officers, managers, agents, and NYLCare-Gulf Coast and NYLCare- For Plaintiff, State of Texas. employees. Southwest. 3. Aetna will create a separate and Mark Tobey, II. Objectives independent provider relations State Bar No. 20082960, Assistant Attorney A. The proposed Final Judgment filed organization for NYLCare-Gulf Coast General, Chief, Antitrust Section, Office of in this case is meant to ensure Aetna’s the Attorney General, P.O. Box 12548, Austin, and NYLCare-Southwest. TX 78711–2548; Tel: (512) 463–2185, prompt divestiture of NYLCare-Gulf 4. Aetna will create a separate and Facsimile: (512) 320–0975. Coast and NYLCare-Southwest for the independent patient management/ purpose of maintaining viable quality management organization for For Defendant, Aetna Inc. competitors in the sale of HMO and NYLCare-Gulf Coast and NYLCare- Robert E. Bloch, HMO-based POS plans and the purchase Southwest. D.C. Bar #175927, Mayer, Brown & Platt, 1909 of physician services, and to remedy the 5. Aetna will create a separate and K Street, NW., Washington, DC 20006; Tel: effects that the United States and the independent commercial operations (202) 263–3203, Facsimile: (202) 263–3300. State of Texas allege would otherwise organization for the combined NYLCare- For Defendant, The Prudential Insurance result from Aetna’s proposed Gulf Coast and NYLCare-Southwest. Company of America. acquisition of Prudential’s health care 6. Aetna will create a separate and Michael L. Weiner, assets. independent network operations New York Bar #MW0294, Skadden, Arps, B. This Hold Separate Stipulation and organization for the combined NYLCare- Slate, Meagher & Flom, LLP, 919 Third Order is intended to ensure, prior to Gulf Coast and NYLCare-Southwest. Avenue, New York, NY 10022; Tel: (212) 735– such divestiture, that NYLCare-Gulf 7. Aetna will create a separate and 2632, Facsimile: (212) 451–7446. Coast and NYLCare-Southwest, which independent underwriting organization [Civil Action No.: 3±99CV1398±H] are being divested, be maintained as for the combined NYLCare-Gulf Coast independent, economically viable, and NYLCare-Southwest. United States of America, and the State of ongoing business concerns, and that 8. Pursuant to transition services Texas, Plaintiffs, v. Aetna Inc., and the competition is maintained during the agreements approved by plaintiffs, Prudential Insurance Company of America, subject to Section IV.C, Aetna will Defendants. pendency of the divestiture. provide certain support services to Hold Separate Stipulation and Order III. Hold Separate Provisions NYLCare-Gulf Coast and NYLCare- It is hereby stipulated by and between Until the divestiture required by the Southwest until the divestiture. These the undersigned parties, by their Final Judgment has been accomplished: services may include human resources, respective attorneys, subject to approval A. Aetna shall immediately begin to legal, finance, actuarial, software and and entry by the Court, that: take all steps necessary to preserve, computer operations support, and other maintain, and operate NYLCare-Gulf services which are now provided to I. Definitions Coast and NYLCare-Southwest as NYLCare-Gulf Coast and NYLCare- As used in this Hold Separate independent competitors with Southwest by other Aetna companies. Stipulation and Order: management, sales, service, These transition services agreements A. ‘‘Aetna’’ means defendant Aetna underwriting, administration, and will contain appropriate confidentiality Inc., a Connecticut corporation with its operations held entirely separate, provisions to ensure that Aetna headquarters and principal place of distinct, and apart from those of Aetna. employees (other than the employees business in Hartford, Connecticut, its Aetna shall not coordinate the pricing, performing services under the successors, assigns, subsidiaries, marketing, or sale of health care services agreements) do not receive information divisions, groups, affiliates, from NYLCare-Gulf Coast and NYLCare- that Aetna is prohibited from receiving partnerships, and joint ventures, and its Southwest with the pricing, marketing, under paragraph III.C of this Hold directors, officers, managers, agents, and or sale of health care services by Aetna. Separate Stipulation and Order. employees. Within twenty-five (25) calendar days of C. Aetna shall take all steps necessary B. ‘‘NYLCare-Gulf Coast’’ means the filing of the Complaint in this to ensure that the management of NYLCare Health Plans of the Gulf Coast, matter, Aetna will comply and inform NYLCare-Gulf Coast and NYLCare- Inc., a wholly-owned subsidiary of plaintiffs of the steps taken to comply Southwest will not be influenced by Aetna that operates a licensed HMO and with this provision. Aetna except as necessary to meet

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Aetna’s obligations as described below, Separate Stipulation and Order, or as to Section IV.C, Aetna may take and that the books, records, part of a divestiture approved by the appropriate corrective action. competitively sensitive sales, marketing plaintiffs in their sole discretion, subject IV. Other Provisions and pricing information, and decision- to Section IV.C, remove, sell, lease, making associated with NYLCare-Gulf assign, transfer, pledge as collateral for A. Aetna shall take no action that Coast and NYLCare-Southwest will be loans, or otherwise dispose of, any asset, would interfere with the ability of any kept separate and apart from the tangible or intangible, of NYLCare-Gulf trustee appointed pursuant to the Final operations of Aetna. Aetna’s influence Coast and NYLCare-Southwest. Judgment to complete the divestitures over NYLCare-Gulf Coast and NYLCare- I. Aetna shall maintain, in accordance pursuant to the Final Judgment to a Southwest shall be limited to that with sound accounting principles, suitable purchaser. necessary to carry out Aetna’s separate, true, accurate, and complete B. Prudential shall take no action that obligations under this Hold Separate financial ledgers, books, and records would hinder or obstruct Aetna’s ability Stipulation and Order, the Final that report, on a periodic basis, such as or efforts to comply with this Hold Judgment, and any applicable regulatory the last business day of every month, Separate Stipulation and Order. requirements, including all reserve or consistent with past practices, the C. In the event plaintiffs are unable to capital requirements. Aetna may receive assets, liabilities, expenses, revenues, agree on a course of action regarding aggregate historical financial income, profit, and loss of NYLCare- any item within their discretion in information (excluding rate or pricing Gulf Coast and NYLCare-Southwest. seven days, then the United States may, in its sole discretion, act alone (or information) relating to NYLCare-Gulf J. Until such time as NYLCare-Gulf decline to act) with respect to that Coast and NYLCare-Southwest to the Coast and NYLCare-Southwest are course of action. extent necessary to allow Aetna to divested, except in the ordinary course D. With the consent of the plaintiffs, prepare financial reports, tax returns, of business or as is otherwise consistent in their sole discretion, subject to personnel reports, regulatory filings, with this Hold Separate Stipulation and Section IV.C, Aetna may exclude certain and other necessary or legally required Order, Aetna shall not hire, transfer, NYLCare-Gulf Coast and NYLCare- reports. terminate, or alter, to the detriment of D. Aetna shall maintain at either Southwest assets from this Hold any employee, any current employment current levels or at the highest levels Separate Stipulation and Order. or salary agreement for any employee approved during the year prior to E. This Hold Separate Stipulation and who on the date of the signing of this Aetna’s acquisition of NYLCare-Gulf Order shall remain in effect until the Hold Separate Stipulation and Order is Coast and NYLCare-Southwest, divestitures required by the Final employed at NYLCare-Gulf Coast or whichever are higher, promotional, Judgment are complete, or until further NYLCare-Southwest. advertising, sales, technical assistance, Order of this Court. marketing, and merchandising support K. Aetna may retain an independent Respectfully submitted, for NYLCare-Gulf Coast and NYLCare- consultant (the ‘‘Consultant’’) to For Plaintiff, United States of America. monitor the operations of NYLCare-Gulf Southwest, but in any event at levels Paul J. O’Donnell, sufficient to ensure that NYLCare-Gulf Coast and NYLCare-Southwest until the # divestiture(s) required by the Final Massachusetts Bar 547125, U.S. Department Coast and NYLCare-Southwest are of Justice, Antitrust Division, Health Care economically viable businesses. Judgment has been accomplished. The Task Force, 325 Seventh Street, NW, Suite E. Aetna shall provide and maintain Consultant shall have no role in the 400, Washington, DC 20530; Tel: (202) 616– all required reserves and sufficient management of NYLCare-Gulf Coast and 5933, Facsimile: (202) 514–1517. NYLCare-Southwest, but shall be given working capital to maintain NYLCare- For Plaintiff, State of Texas. Gulf Coast and NYLCare-Southwest as reasonable access to files, data, reports, and other information regarding the Mark Tobey, economically viable, ongoing State Bar No. 20082960, Assistant Attorney businesses. operations of NYLCare-Gulf Coast and NYLCare-Southwest. The Consultant’s General, Chief, Antitrust Section, Office of F. Aetna shall provide and maintain the Attorney General, P.O. Box 12548, Austin, sufficient lines and sources of credit to sole responsibility will be to report at TX 78711–2548; Tel: (512) 463–2185, maintain NYLCare-Gulf Coast and least monthly to Aetna’s Director of Facsimile (512) 320–0975. Internal Audit, stating the Consultant’s NYLCare-Southwest as economically For Defendant, Aetna Inc. viable, ongoing businesses. opinion on the question whether G. Aetna shall not take any action to NYLCare-Gulf Coast and NYLCare- Robert E. Bloch, # consummate the proposed acquisition of Southwest are being managed in D.C. Bar 175927, Mayer, Brown & Platt, 1909 Prudential’s health care business accordance with applicable law, K Street, NW, Washington, DC 20006; Tel: (202) 263–3203, Facsimile: (202) 263–3300. pursuant to the Asset Transfer and consistent with prudent underwriting Acquisition Agreement, dated as of and other industry standards, and For Defendant, The Prudential Insurance December 9, 1998, or any subsequent consistent with the fiduciary duties of Company of America. agreement between Aetna and its management. If the Consultant’s Michael L. Weiner, Prudential, until such time as the opinion on this question is anything New York Bar #MW0294, Skadden, Arps, plaintiffs in their sole discretion, subject other than an unqualified ‘‘yes,’’ the Slate, Meagher & Flom, LLP, 919 Third to Section IV.C, have determined that Consultant shall submit a written report Avenue, New York, NY 10022; Tel: (212) 735– NYLCare-Gulf Coast and NYLCare- stating the basis for its opinion to the 2632, Facsimile: (212) 451–7446. Southwest are independent, viable Director of Internal Audit, with a copy It Is So Ordered. Dated lll, 1999. competitors and that Aetna has to the plaintiffs. The Consultant shall lllllllllllllllllllll complied with this Hold Separate not transmit to Aetna any information Stipulation and Order, or until the that Aetna is prohibited from receiving United States District Judge. divestitures required by the Final under paragraph III.C of this Hold C. This Hold Separate Stipulation and Judgment are complete. Separate Stipulation and Order. After Order shall remain in effect until the H. Aetna shall not, except in the receiving the Consultant’s written divestitures required by the Final ordinary course of business, or as report, and with the consent of the Judgment are complete, or until further otherwise permitted under this Hold plaintiffs in their sole discretion, subject Order of this Court.

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Respectfully submitted, marketing, and sale of HMO and HMO- for PPO plans; and (4) administrative For Plaintiff, United States of America. based POS health plans in the Houston services contracts with self-funded Paul J. O’Donnell, and Dallas areas; plans. Massachusetts Bar #547125, U.S. Department And whereas, plaintiffs require D. ‘‘Houston’’ means the following of Justice, Antitrust Division, Health Care defendants to make the divestitures for Texas counties: Brazoria, Chambers, Task Force, 325 Seventh Street, NW, Suite the purpose of redressing the effects that Fort Bend, Galveston, Harris, Liberty, 400, Washington, DC 20530; Tel: (202) 616– the United States and the State of Texas Montgomery, and Waller. 5933, Facsimile: (202) 514–1517. allege would otherwise result from E. ‘‘NYCare-Gulf Coast’’ means For Plaintiff, State of Texas. Aetna’s proposed acquisition of NYLCare Health Plans of the Gulf Coast, Mark Tobey, Prudential’s health care assets, Inc., a wholly owned subsidiary of Aetna that operates a licensed HMO and State Bar No. 20082960, Assistant Attorney including the ability to depress General, Chief, Antitrust Section, Office of physicians’ reimbursement rates in HMO-based POS business under that the Attorney General, P.O. Box 12548, Austin, Houston and Dallas, which is likely to name in Central and Southeastern TX 78711–2548; Tel: (512) 463–2185, lead to a reduction in quantity or a Texas, excepting the Excluded Assets, Facsimile (512) 320–0975. degradation in the quality of physician and includes: 1. All tangible assets necessary to For Defendant, Aetna Inc. services provided to patients in those compete in the sale or administration of Robert E. Bloch, areas; And whereas, defendants have HMO and HMO-based POS plans; all D.C. Bar #175927, Mayer, Brown & Platt, 1909 represented to plaintiffs that the personal property, inventory, office K Street, NW, Washington, DC 20006; Tel: furniture, fixed assets and fixtures, (202) 263–3203, Facsimile: (202) 263–3300. divestitures ordered herein can and will be made and that defendants will later materials, supplies, facilities, and other For Defendant, The Prudential Insurance tangible property or improvements used Company of America. raise no claims of hardship or difficulty as grounds for asking the Court to in the sale or administration of HMO Michael L. Weiner, and HMO-based POS plans, all licenses, # modify any of the divestiture provisions New York Bar MW0294, Skadden, Arps, contained below; permits, and authorizations issued by Slate, Meagher & Flom, LLP, 919 Third Now, therefore, before the taking of any governmental organization relating Avenue, New York, NY 10022; Tel: (212) 735– to HMO and HMO-based POS plans; 2632, Facsimile: (212) 451–7446. any testimony, and without trial or adjudication of any issue of fact or law contracts or agreements for coverage of [Civil Action No. 3±99CV 1398±H] herein, and upon consent of the parties approximately two hundred sixty thousand (260,000) commercially United States of America, and the State of hereto, it is hereby ordered, adjudged, Texas, Plaintiff, v. Aetna Inc., and The and decreed as follows: insured HMO and HMO-based POS plan Prudential Insurance Company of America, enrollees; all other contracts, Defendants. I. Jurisdiction agreements, leases, commitments, and This Court has jurisdiction over each understandings pertaining to HMO and Revised Final Judgment of the parties hereto and over the subject HMO-based POS plans; all contracts Whereas, plaintiffs, the United States matter of this action. The Complaint with accounts located in Houston, all of America and the State of Texas, filed states a claim upon which relief may be customer lists and credit records; and a Complaint in this action on June 21, granted against defendants, as all other records maintained in 1999, and plaintiffs and defendants, by hereinafter defined, under Section 7 of connection with the sale and their respective attorneys, having the Clayton Act, as amended (15 U.S.C. administration of HMO and HMO-based consented to the entry of this Revised § 18). POS plans in Houston or Dallas; Final Judgment without trial or 2. All intangible assets relating to the adjudication of any issue of fact or law II. Definitions sale or administration of HMO and herein, and without this Revised Final As used in this Revised Final HMO-based POS plans, including but Judgment constituting any evidence Judgment: not limited to any licenses and against or an admission by any party A. ‘‘Aetna’’ means Aetna, Inc., a sublicenses, intellectual property, with respect to any issue of law or fact Connecticut corporation with its technical information, know-how, trade herein; headquarters and principal place of secrets, programs, and all manuals and And whereas, defendants have agreed business in Hartford, Connecticut, its technical information provided to to be bound by the provisions of this successors, assigns, subsidiaries, employees, customers, suppliers, agents, Revised Final Judgment pending its divisions, groups, affiliates, or licenses. approval by the Court; partnerships and joint ventures, and its F. ‘‘NYLCare-Southwest’’ means And whereas, plaintiffs intend to directors, officers, managers, agents, and NYLCare Health Plans of the Southwest, preserve competition by requiring Aetna employees. Inc., a wholly owned subsidiary of to divest its interests in the Houston B. ‘‘Dallas’’ means the entire service Aetna that operates a licensed HMO and operations of NYLCare Health Plans of area of NYLCare-Southwest including, HMO-based POS business under that the Gulf Coast, Inc., and the Dallas but not limited to, the following Texas name in Dallas, Fort Worth, and several operations of NYLCare Health Plans of counties: Collin, Dallas, Denton, Ellis, smaller cities in North Texas, including the Southwest, Inc., consisting of, Grayson, Henderson, Hood, Hunt, Paris, Tyler, Longview and Amarillo, among other assets, approximately two Johnson, Kaufman, Parker, Rockwall, excepting the Excluded Assets, and hundred sixty thousand (260,000) and and Tarrant. includes: one hundred sixty seven thousand C. ‘‘Excluded Assets’’ means those 1. All tangible assets necessary to (167,000) commercially insured HMO businesses of NYLCare-Gulf Coast and compete in the sale or administration of and HMO-based POS enrollees, NYLCare-Southwest that need not be HMO and HMO-based POS plans; all respectively; divested, which consist of: (1) All personal property, inventory, office And whereas, plaintiffs require Medicare HMO plans; (2) commercial furniture, fixed assets and fixtures, defendants to make the divestitures for HMO and HMO-based POS accounts not materials, supplies, facilities, and other the purpose of establishing a viable located in Houston or Dallas; (3) tangible property or improvements used competitor in the development, provider network rental arrangements in the sale or administration of HMO

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Aetna contracts or agreements for coverage of insured HMO and HMO-based POS plan shall make available such non- approximately one hundred sixty seven enrollees in Dallas through the date of privileged information to the United thousand (167,000) commercially signing the definitive purchase and sale States and the State of Texas at the same insured HMO and HMO-based POS plan agreement(s) for the divestiture of the time that such information is made enrollees; all other contracts, two NYLCare entities. Aetna may available to prospective purchasers. agreements, leases, commitments, and include related PPO business as a part F. Aetna shall permit prospective understandings pertaining to HMO and of the sale of the NYLCare entities, and purchasers to have reasonable access to HMO-based POS plans; all contracts the actual number of such PPO enrollees all NYLCare-Gulf Coast’s and NYLCare- with accounts located in Dallas; all as of the date of signing of the definitive Southwest personnel, physical facilities, customer lists and credit records,; and purchase and sale agreement(s) of the and any and all financial, operational or all other records maintained in divestiture of the NYLCare entities will other documents and information connection with the sale and be taken into account in determining customarily provided as part of a due administration of HMO and HMO-based Aetna’s compliance with the diligence process. POS plans in Dallas or Houston; membership targets described herein. G. Aetna shall not take any action that 2. All intangible assets relating to the C. Aetna shall use its best efforts to will impede in any way the operation of sale or administration of HMO and accomplish the divestitures as NYLCare-Gulf Coast and NYLCare- HMO-based POS plans, including but expeditiously as possible and will Southwest; shall immediately cease all not limited to any licenses and accelerate the timetable for executing actions directed at the integration of sublicenses, intellectual property, the definitive purchase and sale NYLCare-Gulf Coast and NYLCare- technical information, know-how, trade agreement(s) for the divestiture of the Southwest into Aetna. secrets, programs, and all manuals and NYLCare entities to a target date of H. Aetna shall take all steps necessary technical information provided to October 1, 1999. In any event, Aetna to ensure that NYLCare-Gulf Coast and employees, customers, suppliers, agents, shall execute definitive purchase and NYLCare-Southwest are maintained and or licenses. sale agreement(s) and shall file all operated as independent, on-going, G. ‘‘Prudential’’ means The Prudential required applications for regulatory economically viable, and active Insurance Company of America, a New approval within one-hundred and competitors until completion of the Jersey mutual insurance company with twenty (120) calendar days after June divestitures ordered by this Revised its principal place of business in 21, 1999. Aetna shall complete the Final Judgment, including but not Newark, New Jersey, its successors, divestitures within five (5) business limited to the following: assigns, subsidiaries, divisions, groups, days after it receives all necessary 1. Aetna will appoint experienced affiliates, partnerships and joint regulatory approvals for divestiture of senior management to run the combined ventures, and directors, officers, NYLCare-Gulf Coast and NYLCare- business of NYLCare-Gulf Coast and managers, agents, and employees. Southwest and the acquisition of NYLCare-Southwest. These executives Prudential, or five (5) business days may be recruited from within the III. Applicability after notice of the entry of this Revised existing Aetna or NYLCare A. The provisions of this Revised Final Judgment by the Court, whichever organizations, with plaintiff’s approval, Final Judgment apply to Aetna and is later. subject to Section XII, or from outside Prudential and to all other persons in D. The plaintiffs, in their sole the company. active concert or participation with any discretion, subject to Section XII, may 2. Aetna will create a separate and of them who shall have received actual extend the time period for any independent sales organization for notice of this Revised Final Judgment by divestitures for an additional period of NYLCare-Gulf Coast and NYLCare- personal service or otherwise. time not to exceed sixty (60) calendar Southwest. B. Aetna shall require, as a condition days. If a further extension is required 3. Aetna will create a separate and of the sale or other disposition of to obtain necessary regulatory independent provider relations NYLCare-Gulf Coast and NYLCare- approvals, the plaintiffs, in their sole organization for NYLCare-Gulf Coast Southwest, that the acquirer agree to be discretion, subject to Section XII, may and NYLCare-Southwest. bound by the provisions of this Revised grant the time necessary to obtain such 4. Aetna will create a separate and Final Judgment. approvals. independent management/quality E. In accomplishing the divestitures management organization for NYLCare- IV. Divestiture ordered by this Revised Final Judgment, Gulf Coast and NYLCare-Southwest. A. Aetna is hereby ordered and Aetna promptly shall make known, by 5. Aetna will create a separate and directed in accordance with the terms of usual and customary means, the independent commercial operations this Revised Final Judgment to divest its availability for purchase of NYLCare- organization for the combined NYLCare- interests in NYLCare-Gulf Coast and Gulf Coast and NYLCare-Southwest. Gulf Coast and NYLCare-Southwest. NYLCare-Southwest, excepting only the Aetna shall inform any person making 6. Aetna will create a separate and Excluded Assets, to an acquirer(s) an inquiry regarding a possible purchase independent commercial operations acceptable to the plaintiffs, in their sole that the sale is being made pursuant to organization for the combined NYLCare- discretion, subject to Section XII. this Revised Final Judgment and shall Gulf Coast and NYLCare-Southwest. B. Aetna is obligated to cause provide such person with a copy of this 7. Aetna will create a separate and NYLCare-Gulf Coast and NYLCare- Revised Final Judgment. Aetna shall independent underwriting organization Southwest to maintain contracts or also offer to furnish to all prospective for the combined NYLCare-Gulf Coast agreements for coverage of purchasers, subject to reasonable and NYLCare-Southwest. approximately two hundred sixty confidentiality assurances, all 8. Pursuant to transition services thousand (260,000) commercially information regarding NYLCare-Gulf agreements approved by plaintiffs, insured HMO and HMO-based POS plan Coast and NYLCare-Southwest subject to Section XII, Aetna will

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Subject to human resources, legal, finance, conveying NYLCare-Gulf Coast and Section V.C, the trustee shall have the actuarial, software and computer NYLCare-Southwest to a purchaser(s) in power and authority to hire, at the cost operations support, and other services such a way as to satisfy the plaintiffs in and expense of Aetna, any investment which are now provided to NYLCare- their sole discretion, subject to Section bankers, attorneys, or other agents Gulf Coast and NYLCare-Southwest by XII, that NYLCare-Gulf Coast and reasonably necessary in the judgment of other Aetna companies. These transition NYLCare-Southwest can and will be the trustee to assist in the divestitures, services agreements will contain used by the purchaser(s) as part of a and such professionals and agents shall appropriate confidentiality provisions to viable, ongoing business engaged in the be accountable solely to the trustee. The ensure that Aetna employees (other than sale of HMO and HMO-based POS trustee shall have the power and the employees performing services plans. These divestitures may be made authority to accomplish the divestitures under the agreements) do not receive to one or more purchasers provided that at the earliest possible time to a information that Aetna is prohibited in each instance it is demonstrated to purchaser acceptable to the plaintiffs in from receiving under Section III.E of the the sole satisfaction of the plaintiffs, their sole discretion, subject to Section Revised Hold Separate Stipulation and subject to Section XII, that the XII, shall have the power and authority Order entered earlier. acquirer(s) will remain viable to require Aetna to sell NYLCare’s PPO 9. Aetna will provide any additional competitors. The divestitures, whether business in Houston and Dallas if the transitional services requested by the pursuant to Section IV or Section V, plaintiffs, in the exercise of their sole management of NYLCare-Gulf Coast shall be made to a purchaser(s) for discretion, subject to Section XII, and/or NYLCare-Southwest in order to whom it is demonstrated to the determine that such a sale is necessary maintain the membership targets plaintiffs’ sole satisfaction, subject to for the preservation of competition, and described in Section IV.B. Such Section XII: (1) Has the capability and shall have such other power and additional services may include, but not intent of competing effectively in the authority at this Court shall deem be limited to, funding of service quality sale of HMO and HMO-based POS plans appropriate. Aetna shall not object to a guarantees, subject to the approval of in Dallas and Houston; (2) has the sale by the trustee on any grounds other the plaintiffs in their sole discretion, managerial, operational, and financial than the trustee’s malfeasance. Any pursuant to Section XII. capability to compete effectively in the such objections by Aetna must be 10. Aetna will fund an incentive pool sale of HMO and HMO-based POS plans conveyed in writing to the plaintiffs and of at least $500,000, which will be in Houston and Dallas; and (3) is not the trustee within ten (10) calendar days available to management of the restrained through any agreement with after the trustee has provided the notice NYLCare entities if they meet the Aetna or otherwise in its ability to required under Section VI. membership targets described in Section compete effectively in the sale of HMO C. The trustee shall serve at the cost IV.B as of the closing date for the sale and HMO-based POS plans in Dallas and expense of Aetna, on such terms of the NYLCare entities. and Houston. and conditions as the Court may I. Aetna shall not take any action to L. For a period of one year from the prescribe, and shall account for all consummate the proposed acquisition of date of the completion of the monies derived from the sale of the Prudential’s heath care business divestiture, Aetna shall not hire or assets sold by the trustee and all costs pursuant to the Asset Transfer and solicit to hire any individual who, on and expenses so incurred. After Acquisition Agreement, date as of the date of the divestiture, was an approval by the Court of the trustee’s December 9, 1998, or any subsequent employee of NYLCare-Gulf Coast and accounting, including fees for its agreement between Aetna and NYLCare-Southwest, unless such services and those of any professionals Prudential, until such time as plaintiffs, individual has (1) a written offer of and agents retained by the trustee, all to their sole satisfaction, subject to employment from a third party for a like remaining money shall be paid to Aetna Section XII, have determined that position, or (2) a written notice from the and the trust shall then be terminated. NYLCare-Gulf Coast and NYLCare- acquirer of NYLCare-Gulf Coast or The compensation of such trustee and of Southwest are independent, viable NYLCare-Southwest, stating that the any professionals and agents retained by competitors, that Aetna has complied company does not intend to continue to the trustee shall be reasonable in light with the terms of the Revised Hold employ the individual in a like position. of the value of the divested business and Separate Stipulation and Order entered based on a fee arrangement providing V. Appointment of Trustee previously, or until the divestitures the trustee with an incentive based on required by this Revised Final Judgment A. In the event that Aetna has not the price and terms of the divestitures are complete. divested NYLCare-Gulf Coast and and the speed with which they are J. Aetna shall request that the NYLCare-Southwest within the time accomplished. NYLCare entities provide the plaintiffs specified in Section IV, the Court shall D. Aetna shall use its best efforts to with bi-weekly reports on total appoint, on application of the plaintiffs, assist the trustee in accomplishing the membership of the entities until the a trustee selected by the plaintiffs in required divestitures, including best divestitures required by this Revised their sole discretion, subject to Section efforts to effect all necessary regulatory Final Judgment are complete. XII, to effect the required divestitures. approvals. The trustee and any K. Unless the plaintiffs, in their sole B. After the appointment of a trustee consultants, accountants, attorneys, and discretion, subject to Section XII, becomes effective, only the trustee shall other persons retained by the trustee consent in writing, the divestitures have the right to sell NYLCare-Gulf shall have full and complete access to pursuant to Section IV (or by trustee Coast and NYLCare-Southwest, as the personnel, books, records, and appointed pursuant to Section V) shall described in Sections II.E and II.F. The facilities of the businesses to be include the entire NYLCare-Gulf Coast trustee shall have the power and divested, and Aetna shall develop and NYLCare-Southwest businesses, authority to accomplish the divestitures financial or other information relevant excepting only the Excluded Assets, at the best price then obtainable upon a to the business to be divested operated pursuant to the Revised Hold reasonable effort by the trustee, subject customarily provided in a due diligence

VerDate 18-JUN-99 16:50 Aug 17, 1999 Jkt 183247 PO 00000 Frm 00063 Fmt 4703 Sfmt 4703 E:\FR\FM\A18AU3.162 pfrm11 PsN: 18AUN1 44952 Federal Register / Vol. 64, No. 159 / Wednesday, August 18, 1999 / Notices process as the trustee may reasonably with the terms of this Revised Final compliance with Section IV or Section request, subject to customary Judgment, to effect, in whole or in part, V. Each such affidavit shall include, confidentiality assurances. Aetna shall any proposed divestitures pursuant to inter alia, the name, address, and permit prospective purchasers of Section IV or Section V, Aetna or the telephone number of each person who, NYLCare-Gulf Coast and NYLCare- trustee, whichever is then responsible at any time after the period covered by Southwest to have reasonable access to for effecting the divestitures, shall notify the last such report, made an offer to personnel and to make such inspection the United States and the State of Texas acquire, expressed an interest in of physical facilities and any and all of the proposed divestitures. If the acquiring, entered into negotiations to financial, operational or other trustee is responsible, it shall similarly acquire, or was contacted or made an documents and other information as notify Aetna. The notice shall set forth inquiry about acquiring any interest in may be relevant to the divestitures the details of the proposed transaction the business to be divested, and shall required by this Revised Final and list the name, address, and describe in detail each contact with any Judgment. telephone number of each person not such person during that period. Each E. After its appointment, the trustee previously identified who offered to, or such affidavit shall also include a shall file monthly reports with the expressed an interest in or a desire to, description of the efforts that Aetna has parties and the Court setting forth the acquire any ownership interest in the made to solicit a buyer for NYLCare- trustee’s efforts to accomplish the businesses to be divested that is the Gulf Coast and NYLCare-Southwest and divestitures ordered under this Revised subject of the binding contract, together to provide required information to Final Judgment, provided, however, that with full details of same. Within ten (10) prospective purchasers including the to the extent such reports contain calendar days of their receipt of such limitations, if any, on such information. information that the trustee deems notice, the United States or the State of B. Within twenty-five (25) calendar confidential, such reports may be filed Texas may request from Aetna, the days of the June 21, 1999 filing of the under seal for in camera review. Such trustee, the proposed purchaser, or any original Hold Separate Order and reports shall include the name, address other third party additional information Stipulation in this matter. Aetna shall and telephone number of each person concerning the proposed divestitures deliver to the United States and the who, during the preceding month, made and the proposed purchaser. Aetna and State of Texas an affidavit that describes an offer to acquire, expressed an interest the trustee shall furnish any additional in detail all actions Aetna has taken and in acquiring, entered into negotiations information requested from them within all steps Aetna has implemented on an to acquire, or was contacted or made an ten (10) calendar days of the receipt of on-going basis to preserve NYLCare-Gulf inquiry about acquiring, any interest in the request, unless the parties shall Coast and NYLCare-Southwest pursuant the business to be divested, and shall otherwise agree. Within thirty (30) to Section VIII and the Revised Hold describe in detail each contact with any calender days after receipt of the notice Separate Stipulation and Order such person during that period. The or within twenty (20) calender days previously entered by this Court. The trustee shall maintain full records of all after the plaintiffs have been provided affidavit also shall describe, but not be efforts made to divest the businesses to the additional information requested limited to, Aetna’s efforts to maintain be divested. from Aetna, the trustee, the proposed and operate NYLCare-Gulf Coast and F. If the trustee has not accomplished purchaser, and any third party, NYLCare-Southwest as active such divestitures within six (6) months whichever is later, the plaintiffs, in their competitors, and the plans and after its appointment, the trustee sole discretion, subject to Section XII, timetable for Aetna’s integration of thereupon shall file promptly with the shall provide written notice to Aetna Prudential’s healthcare assets. Aetna Court a report setting forth: (1) The and the trustee, if there is one, stating shall deliver to the United States and trustee’s efforts to accomplish the whether it objects to the proposed the State of Texas an affidavit describing required divestitures; (2) the reasons, in divestitures. If the plaintiffs provide any changes to the efforts and actions the trustee’s judgment, why the required written notice to Aetna and the trustee outlined in Aetna’s earlier affidavit(s) divestitures have not been that they do not object, then the filed pursuant to this Section VII.B accomplished; and (3) the trustee’s divestitures may be consummated, within fifteen (15) calendar days after recommendations; provided, however, subject only to Aetna’s limited right to such change is implemented. that to the extent such reports contain object to the sale under Section V.B. C. Until one year after the divestitures information that the trustee deems Absent written notice that the plaintiffs required by this Revised Final Judgment confidential, such reports may be filed do not object to the proposed purchaser have been completed, Aetna shall under seal for in camera review. The or upon objection by the plaintiffs, such preserve all records of all efforts made trustee shall at the same time furnish divestitures proposed under Section IV to preserve the businesses to be divested such report to the parties, who shall or Section V may not be consummated. and effect the divestitures. each have the right to be heard and to Upon objection by Aetna under Section VIII. Hold Separate Order make additional recommendations V.B, a divestiture proposed under consistent with the purpose of the trust. Section V shall not be consummated Until the divestitures required by this The Court shall enter thereafter such unless approved by the Court. Revised Final Judgment have been orders as it shall deem appropriate in accomplished, Aetna shall take all steps VII. Affidavits order to carry out the purpose of the necessary to comply with Section IV trust which may, if necessary, include A. Within twenty-five (25) calendar and the Revised Hold Separate extending the trust and the term of the days of the June 21, 1999 filing of the Stipulation and Order entered by this trustee’s appointment by a period original Hold Separate Order and Court, to preserve the assets of requested by the plaintiffs, subject to Stipulation in this matter and every NYLCare-Gulf Coast and NYLCare- Section XII. thirty (30) calendar days thereafter until Southwest, and to ensure that NYLCare- the divestitures have been completed, Gulf Coast and NYLCare-Southwest VI. Notification whether pursuant to Section IV or remain viable competitors in the sale of Within two (2) business days Section V, Aetna shall deliver to the HMO and HMO-based POS plans in following execution of a definitive United States and the State of Texas an Dallas and Houston. Defendants shall agreement, contingent upon compliance affidavit as to the fact and manner of take no action that would jeopardize the

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Compliance Inspection protection may be asserted under Rule 26(c)(7) of the Federal Rules of Civil the Clayton Act, 15 U.S.C. 25, on June For the purpose of determining or Procedure, and Aetna marks each 21, 1999, alleging that the proposed securing compliance with this Revised pertinent page of such material, acquisition by Aetna Inc. (‘‘Aetna’’) of Final Judgment or for determining ‘‘Subject to claim of protection under The Prudential Insurance Company of whether this Revised Final Judgment Rule 26(c)(7) of the Federal Rules of America’s (‘‘Prudential’’) health care should be modified or terminated, and Civil Procedure,’’ then the United States business would violate Section 7 of the subject to any legally recognized or the State of Texas shall give ten (10) Clayton Act (‘‘Section 7’’), 15 U.S.C. 18. privilege, from time to time: calendar days’ notice to Aetna prior to The State of Texas, by and through its A. Duly authorized representatives of divulging such material in any legal Attorney General, is co-plaintiff with the United States Department of Justice, proceeding (other than a grand jury the United States in this action. upon written request of the Attorney proceeding) to which Aetna is not a The Complaint alleges that Aetna and General of the United States or the party. Prudential compete head-to-head in the Assistant Attorney General in charge of sale of health maintenance organization the Antitrust Division, or the State of XI. Retention of Jurisdiction (‘‘HMO’’) and HMO-based point-of- Texas, upon written request by the Jurisdiction is retained by this Court service (‘‘HMO–POS’’) health plans in Texas Attorney General, and on for the purpose of enabling any of the Houston and Dallas, Texas; that such reasonable notice to Aetna made to its parties to this Revised Final Judgment to competition has benefited consumers by principal offices, shall be permitted: apply to this Court at any time for such keeping prices low and quality high; 1. Access during Aetna’s office hours further orders and directions as may be and that the proposed acquisition would to inspect and copy all books, ledgers, necessary or appropriate for the end such competition and give Aetna accounts, correspondence, memoranda, construction or carrying out of this sufficient market power to increase and other records and documents, Revised Final Judgment, for the prices or reduce quality in the sale of including computerized records, in the modification of any of the provisions HMO and HMO–POS plans in these possession or under the control of hereof, for the enforcement of geographic areas (Complaint ¶ 26.) The Aetna, which may have counsel present, compliance herewith, and for the Complaint also alleges that the relating to any matters contained in this punishment of any violation hereof. acquisition would enable Aetna to Revised Final Judgment and the Revised unduly depress physicians’ Hold Separate Stipulation and Order; XII. Miscellaneous reimbursement rates in Houston and 2. Subject to the reasonable In the event plaintiffs are unable to Dallas, resulting in a reduction of convenience of Aetna and without agree on a course of action regarding quantity or a degradation in quality of restraint or interference from it, to Sections IV.A, IV.D, IV.H, IV.I, IV.K, physicians’ services in these area. interview, either informally or on the V.A, V.B, V.F, and VI in seven days, (Complaint ¶ 33.) record, its officers, employees, and then the United States may, in its sole When the Complaint was filed, the agents, who may have counsel present, discretion, act alone (or decline to act) plaintiffs also filed a proposed regarding any such matters. with respect to the course of action. settlement that would permit Aetna to B. Upon the written request of the complete its acquisition of Prudential Attorney General of the United States, XIII. Termination but would require divestitures of certain the Assistant Attorney General in charge Unless this Court grants an extension, assets sufficient to preserve competition of the Antitrust Division, or the this Revised Final Judgment will expire in the sale of HMO and HMO–POS Attorney General of the State of Texas, on the tenth anniversary of the date of plans and the purchase of physicians’ made to Aetna’s principal offices, Aetna its entry. services in Houston and Dallas. This shall submit such written reports, under settlement consisted of a proposed Final oath if required, with respect to any XIV. Public Interest Judgment, Hold Separate Stipulation matter contained in this Revised Final Entry of this Revised Final Judgment and Order, and Stipulation. To further Judgment and the Revised Hold is in the public interest. clarify certain aspects of the proposed Separate Stipulation and Order entered Final Judgment, on August 4, 1999, the Dated lll, 1999. earlier by this Court. lllllllllllllllllllll parties made a joint motion to the Court C. No information or documents for entry of a Revised Hold Separate United States District Judge. obtained by the means provided in Stipulation and Order, as well as a joint Section VII or Section X shall be [Civil Action No.: 3±99CV1398±H] motion to file a Revised Final Judgment divulged by any representative of the United States of America, and the State of and Revised Stipulation. plaintiffs to any person other than a Texas, Plaintiffs, v. Aetna Inc., and The The proposed Revised Final Judgment duly authorized representative of the Prudential Insurance Company of America, requires Aetna to divest its interests in Executive Branch of the United States or Defendants. the Houston-area commercial HMO and of the State of Texas, except in the HMO–POS businesses of NYLCare course of legal proceedings to which the Revised Competitive Impact Statement Health Plans of the Gulf Coast, Inc. United States or the State of Texas is a Pursuant to Section 2(b) of the (‘‘NYLCare-Gulf Coast’’), a previously party (including grand jury Antitrust Procedures and Penalties Act acquired health plan serving Houston proceedings), or for the purpose of (‘‘APPA’’), 15 U.S.C 16(b)–(h), the and other areas in south and central securing compliance with this Revised United States submits this Competitive Texas, and the commercial HMO and

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HMO–POS businesses of NYLCare II. The Alleged Violations C. Anticompetitive Effects of the Health Plans of the Southwest, Inc. Proposed Acquisition (‘‘NYLCare-Southwest’’), a previously A. The Defendants 1. The Sale of HMO and HMO–POS acquired health plan serving the Dallas Aetna is a Connecticut corporation Plans area. If Aetna does not complete the providing health and retirement benefits Aetna’s proposed acquisition of divestitures within the time frame and financial services with its principal established in the proposed Revised Prudential would be likely to place of business in Hartford, Final Judgment, a trustee appointed by substantially lessen competition in the Connecticut. Through its wholly owned the Court will be empowered to sell sale of HMO and HMO–POS plans in NYLCare-Gulf Coast and NYLCare- subsidiary, Aetna U.S. Healthcare, Houston and Dallas, Texas, in violation Southwest. If the assets are not sold Aetna offers an array of health insurance of Section 7. products, including indemnity (‘‘fee-for- within six (6) months after the a. Product Market appointment of the trustee, the Court service’’), preferred provider shall enter such orders as it shall deem organization (‘‘PPO’’), POS, and HMO Managed care companies, such as appropriate to carry out the purpose of plans. Aetna also purchases physicians’ Aetna and Prudential, contract with the trust. (Revised Final Judgment services for its health plan members, employers and other group purchasers ¶ V.A., F.) which it offers to members through to provide health insurance services or The Revised Hold Separate Aetna’s health plans. In 1998, Aetna to administer health care coverage to Stipulation and Order ensure that U.S. Healthcare reported revenues of employees and other group members. NYLCare-Gulf Coast and NYLCare- over $14 billion and was the largest There are a variety of managed care products available to employers and Southwest function as independent, health insurance company in the other group purchasers which provide economically viable, ongoing business country, providing health care benefits concerns and that competition is health care services at an agreed-upon to approximately 15.8 million people in rate, subject to certain utilization review maintained prior to the divestitures. It 50 states and the District of Columbia. requires Aetna to immediately take and management requirements. These steps to preserve, maintain, and operate Prudential is a New Jersey mutual life products, which include HMO, PPO, NYLCare-Gulf Coast and NYLCare- insurance company with its principal and POS plans, have become Southwest as independent competitors place of business in Newark, New increasingly popular options for until the completion of the divestitures Jersey. Like Aetna, Prudential offers employers, largely because of the ordered by the Revised Final Judgment, indemnity, PPO, POS, and HMO plans managed care companies’ ability to with management, sales, service, and also buys physicians’ services, obtain competitive rates from health underwriting, administration, and which it offers to its enrollees through care providers and to control utilization operations held entirely separate, Prudential’s health plans. In 1998, of health care services. distinct, and apart from those of Aetna. Prudential HealthCare reported total As the Complaint alleges, HMO and HMO–POS products differ from PPO or In addition, Aetna is obligated to cause revenues of approximately $7.5 billion indemnity plans in terms of benefit NYLCare-Gulf Coast and NYLCare- and was the nation’s ninth largest health design, cost, and other factors. Southwest to maintain contracts or insurance company, serving (Complaint ¶ 15.) For example, HMOs agreements for coverage of approximately 4.9 million health approximately two hundred sixty provide superior preventative care insurance beneficiaries in 28 states and benefits, but they place limits on thousand (260,000) commercially the District of Columbia. insured HMO and HMO-based POS plan treatment options and generally require enrollees in Houston and contracts or B. Description of the Events Giving Rise use of a primary care physician agreements for coverage of to the Alleged Violations ‘‘gatekeeper.’’ PPO plans, which do not approximately one hundred sixty seven require enrollees to go through a thousand (167,000) commercially Aetna and Aetna Life Insurance ‘‘gatekeeper’’ and do not emphasize insured HMO and HMO-based POS plan Company, a wholly owned subsidiary of preventative care, are generally more enrollees in Dallas through the date of Aetna, entered into an Asset Transfer expensive than HMOs. POS plans can signing the definitive purchase and sale and Acquisition Agreement be based on either an HMO or PPO agreement(s) for the divestiture of the (‘‘Agreement’’) dated December 9, 1998, network and fall between HMO and two NYLCare entities. Until the with Prudential and PRUCO, Inc., a PPO plans in terms of access and cost. plaintiffs, in their sole discretion, wholly owned subsidiary of Prudential. That is, POS plans offer patients more determine the NYLCare-Gulf Coast and Under the terms of the Agreement, flexibility at a higher cost relative to NYLCare-Southwest can function as Aetna would acquire substantially all of HMOs. In general, then, PPOs and effective competitors, Aetna may not Prudential’s assets related to issuing, indemnity options are more expensive, take any action to consummate the selling, and administering group provide better benefits with respect to proposed acquisition of Prudential. medical, dental indemnity, and coverage when ill, and allow greater access to providers. In contrast, HMO (Revised Final Judgment ¶ IV,I.) managed care plans, including HMO The United States, the State of Texas, and HMO-based POS options are and HMO–POS plans. The purchase and the defendants have stipulated that generally less expensive, provide better the proposed Revised Final Judgment price stated in the Agreement is $1 benefits with respect to health may be entered after compliance with billion, consisting of $465 million in maintenance or preventaive care, place the APPA. Entry of the proposed cash, $500 million in three-year greater limits on treatment, and restrict Revised Final Judgment would promissory notes, $15 million in cash access to providers. (Id.) terminate this action, except that the payable under a Coinsurance Not only do these plans in fact differ Court would retain jurisdiction to Agreement, and $20 million in cash to by cost and benefit configuration, they construe, modify, or enforce the be paid under a Risk-Sharing are perceived as different by purchasers; provisions of the proposed Revised Agreement. neither employers nor employees view Final Judgment and to punish violations PPO plans as adequate substitutes for thereof. HMO or HMO–POS plans. Instead, they

VerDate 18-JUN-99 16:50 Aug 17, 1999 Jkt 183247 PO 00000 Frm 00066 Fmt 4703 Sfmt 4703 E:\FR\FM\A18AU3.166 pfrm11 PsN: 18AUN1 Federal Register / Vol. 64, No. 159 / Wednesday, August 18, 1999 / Notices 44955 view them as distinct products, meeting to 44% in Houston and from 11% to a. Product Market different needs and appealing to 26% in Dallas. (Complaint ¶ 22.) The Physician’s services are those medical different types of enrollees. Indeed, proposed acquisition of Prudential services provided and sold by enrollees who leave an HMO would further enhance Aetna’s position physicians, and the only purchasers are disproportionately select another HMO by eliminating competition between the individual patients or the commercial (or HMO–POS), not a PPO, for their next two companies, giving Aetna market and government health insurers that health care benefit plan. (Complaint shares of 63% in Houston and 42% in purchase their services on behalf of ¶ 17.) Dallas. (Id.) individual patients. (Complaint ¶ 27.) Moreover, analyses of the data As the Complaint alleges, potential or obtained from the parties and from other As a result, physicians cannot seek plans strongly indicate that current competitors will not be able to other purchasers in the event of a small consumers—employers and constrain Aetna’s exercise of its post- but significant decrease in the prices employees—view HMO and HMO–POS merger market power in the defined paid by these buyers. (Id.) Nor will such plans as distinct from other health plans geographic markets. (Complaint ¶ 25). a price decrease cause physicians to and that PPO or indemnity plans are not Effective new entry for a HMO or HMO– stop providing their services or shift thought to be ready substitutes for HMO POS plan in Houston or Dallas typically towards other activities in numbers and HMO–POS plans. These analyses takes two to three years and costs sufficient to make such a price demonstrate that the elasticity of approximately $50 million. (Complaint reduction unprofitable. (Id.) Physicians’ demand for HMO and HMO–POS plans ¶ 23.) In such an environment, de novo services thus constitute the relevant is sufficiently low that a small but entry is unlikely to defeat a price product market within which to assess significant price increase for all HMO increase over the short term. (Id.) the likely effect of Aetna’s acquisition of and HMO–POS plans would be Furthermore, companies currently Prudential. (Id.) profitable because consumers would not offering PPO or indemnity plans are b. Geographic Markets shift to PPO and indemnity plans in unlikely to shift their resources to sufficient numbers to render such an provide HMO or HMO–POS plans in The geographic markets for the increase unprofitable. Houston or Dallas in the event of a small purchase and sale of physicians’ Together with consistent evidence but significant price increase. A number services are localized. In Houston and from numerous witnesses interviewed, of managed care providers have stated Dallas, as elsewhere, patients seeking these analyses support the conclusion during interviews that such a shift medical care generally prefer to have that HMO and HMO–POS plans would be difficult, expensive, and time access to treatment close to where they constitute the relevant product for consuming, and that they would not work or live. As a result, commercial analysis of the proposed transaction. enter the HMO or HMO–POS markets and government health insurers—the (Complaint ¶ 18.) even if Aetna were to raise its prices a primary purchasers of physicians’ ‘‘small but significant amount.’’ (Merger services—seek to have in their provider b. Geographic Markets Guidelines ¶ 1.11.) Finally, managed networks physicians whose offices are Virtually all managed care companies care companies that presently offer convenient to where their enrollees establish provider networks in the areas HMO or HMO–POS plans in Houston work or live. (Complaint ¶ 19.) where employees work and live, and and Dallas are unlikely to be able to Consequently, physicians could not they compete on the basis of these local expand or reposition themselves shift their services towards purchasers provider networks. The relevant sufficiently to restrain anticompetitive outside of these areas in numbers geographic markets in which HMO and behavior by Aetna in either area sufficient to make a price paid to HMO–POS plans compete are thus following the transaction. (Complaint physicians practicing in Houston or generally no larger than the local areas ¶ 24.) Not only would these companies Dallas. within which HMO and HMO–POS face some of the costs and difficulties of Furthermore, an established physician enrollees demand access to providers. a new entrant, they would be unable to who has invested time and expense in More specifically, a small but significant contend successfully with Aetna’s building a practice in Houston or Dallas increase in the price of HMO and HMO– advantages in national reputation, (or any other locale) would incur POS plans would not cause a sufficient quality accreditation, product array, and considerable costs in moving his or her number of customers to switch to health provider network (Id.) It is therefore practice to a new geographic area, plans outside of these regions to make unlikely that either new entry or including the substantial costs of such a price increase unprofitable. For expansion by competitors could building new relationships with this reason, the Department’s analysis counteract a post-merger price increase. hospitals, other physicians, employees, focused on MSAs in and around (Complaint ¶ 25.) and patients in the new area. Houston and Dallas as the relevant (Complaint ¶ 28.) For these reasons, a For all of these reasons, the proposed geographic markets. (Complaint ¶ 20.) small but significant decrease in the transaction would enable the merged prices paid to physicians practicing in c. Competitive Effects entity to increase prices or reduce the Houston or Dallas would not cause Aetna and Prudential are among each quality of HMO and HMO–POS plans physicians to relocate their practices in other’s principal competitors in the sale available to consumers in these areas, in numbers sufficient to make such a price of HMO and HMO–POS plans in violation of Section 7. reduction unprofitable. (Complaint Houston and Dallas, and employers 2. The Purchase of Physicians’ Services ¶ 29). currently view them as close substitutes For all of these reasons, the MSAs in based on product design and quality. As alleged in the Complaint, Aetna’s and around Houston and Dallas Maintaining Prudential as a competitor acquisition of Prudential will also constitute the relevant geographic to Aetna in Houston and Dallas has consolidate its purchasing power over markets. (Id.; Merger Guidelines ¶ 1.21.) become particularly important since physicians’ services in Houston and Aetna’s 1998 acquisition of NYLCare, a Dallas, enabling the merged entity to c. Competitive Effects transaction that propelled Aetna’s HMO unduly reduce the rates paid for those In Houston and Dallas, as elsewhere, and HMO–POS market share from 13% services. 5 the contract terms a physician can

VerDate 18-JUN-99 16:50 Aug 17, 1999 Jkt 183247 PO 00000 Frm 00067 Fmt 4703 Sfmt 4703 E:\FR\FM\A18AU3.167 pfrm11 PsN: 18AUN1 44956 Federal Register / Vol. 64, No. 159 / Wednesday, August 18, 1999 / Notices obtain from a managed care company ability of physicians to encourage as independent, on-going, economically such as Aetna or Prudential depend on patient switching, a significantly larger viable, and active competitors until the physician’s ability to terminate, or to number of physicians’ in Houston and completion of the divestitures ordered credibly threaten to terminate, his or her Dallas would be unable to reject Aetna’s by the Revised Final Judgment. (Revised relationship if the company demands demands for more adverse contract Final Judgment ¶ IV.G, H.) Such steps unfavorable contract terms. (Complaint terms if Aetna were allowed to acquire must include the appointment of ¶ 30). Since physician’s services, unlike Prudential. (Id.) The proposed experienced senior management to run certain tangible products, cannot be acquisition thus would give Aetna the NYLCare-Gulf Coast and NYLCare- stored until the physician finds a more ability to unduly depress physician Southwest until the divestitures acceptable buyer, failing to replace lost reimbursement rates in Houston and required by the Final Judgment have business expeditiously imposes an Dallas, likely leading to a reduction in been accomplished, as well as the irrevocable loss of revenue upon a quantity or degradation in the quality of creation of a separate and independent physician. Consequently, a physician’s physicians’ services. (Id.; see also sales organization, provider relations ability to terminate, or credibly threaten Merger Guidelines ¶ 0.1.) organization, patient management/ to terminate, a provider relationship quality management organization, III. Explanation of the Proposed depends on his or her ability to make up commercial operations organization, Revised Final Judgment that lost business promptly. (Id.) network operations organization, and Physicians, however, generally have The proposed Revised Final Judgment underwriting organization. (Revised only a limited ability to encourage orders and directs Aetna to divest its Final Judgment ¶ IV.H.1–7.) To maintain patients to switch health care plans or interests in the Houston operations of the viability of the NYLCare entities, providers. (Complaint ¶ 31.) To retain a NYLCare-Gulf Coast and the Dallas Aetna is also required to provide certain patient after terminating a plan requires operations of NYLCare-Southwest, support services (i.e., legal, financial, the physician to convince the patient consisting of, among other assets, actuarial, software, and computer either to switch to another employer- approximately 260,000 and 167,000 operations support) to NYLCare-Gulf sponsored plan in which the physician commercially insured HMO and HMO– Coast and NYLCare-Southwest until the participates (which might not be an POS enrollees in Houston and Dallas, divestitures are completed. (Revised option) or to pay considerably higher respectively. 6 (Revised Final Judgment Final Judgment ¶ IV.H.8, 9.) out-of-pocket costs, either in the form of ¶ II.E, F.) Aetna is obligated to cause NYLCare- increased copayments for use of an out- The provisions of the proposed Gulf Coast and NYLCare-Southwest to of-network physician (if allowed) or by Revised Final Judgment are designed to maintain contracts or agreements for absorbing the total cost of the eliminate the two anticompetitive coverage of approximately two hundred physicians’ services as unreimbursed effects of the proposed acquisition. sixty thousand (260,000) commercially medical expenses. As a result, a First, the divestitures will preserve insured HMO and HMO-based POS plan physician who discontinues his or her competition and protect consumers enrollees in Houston and contracts or relationship with Aetna could expect to from higher prices for HMO and HMO– agreements for coverage of lose a significant share of his or her POS plans by establishing a new, approximately one hundred sixty-seven Aetna patients. independent, and economically viable thousand (167,000) commercially A physician’s ability to replace, in a competitor—or by significantly insured HMO and HMO-based POS plan timely manner, such lost business is strengthening the existing competitors— enrollees in Dallas through the date of significantly diminished when a large in the development, marketing, and sale signing the definitive purchase and sale number of patients need to be replaced. of HMO and HMO–POS plans in the agreement for the divestitures of the two (Complaint ¶ 32.) Because of Aetna’s all Houston and Dallas areas. Second, the NYLCare entities. (Revised Final products clause’’—which requires a divestitures will prevent the Judgment ¶ IV.B.) Aetna is required to physician to participate in all of Aetna’s consolidation of purchasing power over use its best efforts to accomplish the health plans if he or she participates in physicians’ services in Houston and divestiture as expeditiously as possible any Aetna plan—a physician would lose Dallas and thereby deny Aetna the and will accelerate the timetable for patients from all Aetna plans if he or ability to unduly depress physician executing the definitive purchase and she rejects the rates or other terms of reimbursement rates. sale agreement(s) for the divestiture of any one Aetna plan. Thus, the cost of In order to meet these two objectives, the NYLCare entities to a target date of replacing Aetna patients will be greater the proposed Revised Final Jugdment October 1, 1999. (Revised Final when Aetna plans collectively account requires that Aetna promptly make Judgment ¶ IV.C.) In addition, Aetna for a larger share of a physician’s total NYLCare-Gulf Coast and NYLCare- will request that the NYLCare entities revenue. Southwest available for purchase. provide bi-weekly reports on total Furthermore, the ability to replace a (Revised Final Judgment ¶ IV.A.) Aetna enrollment to the plaintiffs until the given number of Aetna patients is must give all prospective purchasers divestitures are complete. (Revised diminished when a physician’s non- reasonable access to all NYLCare-Gulf Final Judgment ¶ IV.J.) Aetna will also Aetna sources of patients are more Coast’s and NYLCare-Southwest’s fund an incentive pool of at least limited. Consequently, the cost of personnel, physical facilities, and any $500,000, which will be available to the replacing Aetna patients will be greater and all financial, operational, or other management of the NYLCare entities if the larger Aetna’s share of all patients in documents and information customarily they meet the membership targets a locality. provided as part of a due diligence described above as of the closing date Aetna’s proposed acquisition of process. (Revised Final Judgment for the sale of the entities. (Revised Prudential, following its recent ¶ IV.F.) At the same time, Aetna must Final Judgment ¶ IV.H.10.) acquisition of NYLCare, will give it immediately cease all actions directed at Finally, Aetna may offer PPO related control over both a large share of the the integration of NYLCare-Gulf Coast business as part of the sale of the revenue of a substantial number of and NYLCare-Southwest into Aetna and NYLCare entities. (Revised Final physicians in Houston and Dallas and a must take all steps necessary to ensure Judgment IV.B.) The actual number of large share of all patients in those areas. that NYLCare-Gulf Coast and NYLCare- such PPO enrollees as of the signing (Complaint ¶ 33.) In light of the limited Southwest are maintained and operated date of the definitive purchase and sale

VerDate 18-JUN-99 16:50 Aug 17, 1999 Jkt 183247 PO 00000 Frm 00068 Fmt 4703 Sfmt 4703 E:\FR\FM\A18AU3.168 pfrm11 PsN: 18AUN1 Federal Register / Vol. 64, No. 159 / Wednesday, August 18, 1999 / Notices 44957 agreement for the divestitures of the divestitures by no more than sixty (60) IV. Remedies Available to Potential NYLCare entities will be taken into calendar days and may, in their sole Private Litigants account in determining compliance discretion, grant any further time with the membership targets described extension needed by Aetna to obtain Section 4 of the Clayton Act (15 in Section IV.B of the proposed Revised regulatory approval of the divestitures. U.S.C. § 15) provides that any person Final Judgment. (Id.) This last provision (Revised Final Judgment ¶ IV.D.) who has been injured as a result of in no way lessens Aetna’s obligation to If Aetna cannot accomplish these conduct prohibited by the antitrust laws divest itself of all of the assets of divestitures within the above-described may bring suit in federal court to NYLCare-Gulf Coast and NYLCare- period, the proposed Revised Final recover three times the damages the Southwest, excepting only the Excluded Judgment provides that, upon person has suffered, as well as costs and Assets. application by the plaintiffs, the Court reasonable attorney’s fees. Entry of the The proposed Revised Final Judgment will appoint a trustee to effect the proposed Revised Final Judgment will prohibits Aetna from taking any action divestitures. (Revised Final Judgment ¶ neither impair nor assist the bringing of to consummate the proposed acquisition V.A.) After the trustee’s appointment any private antitrust damage action. until such time as plaintiffs, in their becomes effective, the trustee will file Under the provisions of Section 5(a) of sole discretion, are satisfied that monthly reports with the parties and the the Clayton Act (15 U.S.C. § 16(a)), entry NYLCare-Gulf Coast and NYLCare- Court, setting forth the trustee’s efforts of the proposed Revised Final Judgment Southwest are independent and viable to accomplish the divestitures. (Revised has no prima facie effect in any competitors and that Aetna has Final Judgment ¶ V.E.) If the trustee has subsequent private lawsuit that may be complied with the terms of the Revised not accomplished such divestitures brought against Aetna or Prudential. Hold Separate Stipulation and Order or within six (6) months after its V. Procedures Available for until the divestitures required by this appointment, the trustee and the parties Modification of the Proposed Revised Revised Final Judgment are completed. will make recommendations to the Final Judgment (Revised Final Judgment ¶ IV.I.) The Court, which shall enter such orders as divestitures must be accomplished by it deems appropriate to carry out the The parties have stipulated that the selling or conveying NYLCare-Gulf purpose of the trust, including, if proposed Revised Final Judgment may Coast and NYLCare-Southwest to a necessary, extending the trust and the be entered by the Court after compliance purchaser(s) in such a way as to satisfy term of the trustee’s appointment by a with the provisions of the APPA, the plaintiffs, in their sole discretion, period requested by the plaintiffs. provided that the plaintiffs have not that the entities conveyed can and will (Revised Final Judgment ¶ V.F.) withdrawn their consent. The APPA be used by the purchaser(s) as part of a The proposed Revised Final Judgment conditions entry upon the Court’s viable, ongoing business engaged in the also requires Aetna to deliver affidavits determination that the proposed sale of HMO and HMO–POS plans in to plaintiffs as to the fact and manner of Revised Final Judgment is in the public Houston and Dallas. (Revised Final its compliance with the Revised Final interest. Judgment ¶ IV.K.) The divestitures may The APPA provides a period of at be made to one or more purchasers Judgment within twenty-five (25) calendar days of the Court’s June 21, least sixty (60) days preceding the provided that in each instance it is effective date of the proposed Revised demonstrated, to the sole satisfaction of 1999 entry of the original Hold Separate Order and Stipulation, and every thirty Final Judgment within which any the plaintiffs, that the acquirer(s) will person may submit to the United States remain viable competitors. (Id.) The (30) calendar days thereafter, until divestitures have been completed, written comments regarding the divestitures must be made to a proposed Revised Final Judgment. Any purchaser(s) which is shown, to the (Revised Final Judgment ¶ VII.A.) Aetna person should comment within sixty plaintiffs’ sole satisfaction, to have (1) must also submit, within twenty-five (60) days of the date this Competitive the capability and intent of competing (25) calendar days of the Court’s entry Impact Statement is published in the effectively in the sale of HMO and of the original Hold Separate Order and Federal Register. The United States will HMO–POS plans in Houston and Dallas, Stipulation, an affidavit that describes evaluate and respond to the comments. (2) the managerial, operational, and in detail all actions Aetna has taken and All comments will be given due financial capability to complete all steps Aetna has implemented on an consideration by the Department of effectively in the sale of HMO and on-going basis to preserve NYLCare-Gulf Justice, which remains free to withdraw HMO–POS plans in Houston and Dallas, Coast and NYLCare-Southwest, its consent to the proposed Revised and (3) no limitation, through any describing Aetna’s efforts to maintain agreement with Aetna or otherwise, in and operate NYLCare-Gulf Coast and Final Judgment at any time prior to its ability to compete effectively in the NYLCare-Southwest as active entry. The comments and the response sale of HMO and HMO–POS plans in competitors, and the plans and of the United States will be filed with Houston and Dallas. (Id.) timetable for Aetna’s integration of the Court and published in the Federal Aetna must file all required Prudential’s health care assets. (Revised Register. applications for regulatory approval of Final Judgment ¶ VII.B.) Written comments should be the divestitures within one-hundred The relief sought has been tailored to submitted to: Gail Kursh, Chief, Health twenty (120) calender days after June safeguard Houston and Dallas Care Task Force, Antitrust Division, 21, 1999, the date on which the original consumers from an increase in price or U.S. Department of Justice, 325 Seventh proposed Final Judgment was filed, and a reduction in quality of HMO and St., N.W., Suite 400, Washington, D.C. must complete the divestitures within HMO–POS products. The relief sought 20530. The proposed Revised Final five (5) business days after it receives all also ensures that physicians in these Judgment provides that the Court will necessary regulatory approvals, or five markets will be protected from an retain jurisdiction over this action and (5) business days after the notice of the undue depression of reimbursement that the parties may apply to the Court entry of this Revised Final Judgment by rates, which could have led to a for any order necessary or appropriate the Court, whichever is later. (Revised reduction in the quantity or a for the modification, interpretation, or Final Judgment ¶ IV.C.) The plaintiffs degradation in the quality of physicians’ enforcement of the Revised Final may extend the time period for the services. Judgment.

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VI. Alternatives to the Proposed settlement through the consent decree Respectfully submitted, Revised Final Judgment process.’’ 7 Rather, Paul J. O’Donnell The Department considered, as an [a]bsent a showing of corrupt failure of the John B. Arnett, Sr. government to discharge its duty, the Court, alternative to the proposed Revised Steven Brodsky Final Judgment, a full trial on the merits in making its public interest finding, should .. . carefully consider the explanations of Deborah A. Brown of the Complaint against the defendants. the government in the competitive impact Claudia H. Dulmage The Department is satisfied, however, statement and its responses to comments in Dionne C. Lomax that the divestitures of the assets and order to determine whether those other relief contained in the proposed explanations are reasonable under the FredericK S. Young, Revised Final Judgment will preserve circumstances. Attorneys, U.S. Department of Justice, viable competition in the sale of HMO United States v. MidAmerica Dairymen, Antitrust Division, Health Care Task Force, and HMO–POS products and in the Inc., 1977–1 Trade Cas. ¶ 61,508 at 325 Seventh St., N.W., Suite 400, Washington, purchase of physicians’ services in D.C. 20530, Tel: (206) 616–5933, Facsimile: 71,980 (W.D. Mo. 1977). (202) 514–1517. Houston and Dallas, Texas that Accordingly, with respect to the otherwise would be affected adversely adequacy of the relief secured by the [FR Doc. 99–21368 Filed 8–17–99; 8:45 am] by the acquisition. Thus, the proposed decree, a court may not ‘‘engage in an BILLING CODE 4410±11±M Revised Final Judgment would achieve unrestricted evaluation of what relief the relief the Department would have would best serve the public.’’ United obtained through litigation, but avoids States v. BNS, Inc., 858 F.2d. 456, 462 DEPARTMENT OF JUSTICE the time, expense, and uncertainty of a (9th Cir. 1988) (citing United States v. full trial on the merits of the Complaint. Bechtel Corp., 648 F.2d 660, 666 (9th Antitrust Division cir. 1981)); see also Microsoft,, 56 F.3d. VII. Standard of Review Under the Notice Pursuant to the National at 1460–62. APPA for Proposed Revised Final Cooperative Research and Production Judgment The law requires that the balancing of Act of 1993ÐHealth Information competing social and political interests Initiative Consortium The APPA requires that proposed affected by a proposed antitrust consent consent judgments in antitrust cases decree must be left, in the first instance, to brought by the United States be subject the discretion of the Attorney General. The Notice is hereby given that, on to a sixty (60) day comment period, after court’s role in protecting the public interest January 26, 1999, pursuant to Section which the Court shall determined is one of insuring that the government has 6(a) of the Naitonal cooperative whether entry of the proposed Revised not breached its duty to the public in Research and Production Act of 1993, Final Judgment ‘‘is in the public consenting to the decree. The court is 15 U.S.C. 4301 et seq. (‘‘The Act’’), interest.’’ In making that determination, required to determine not whether a Health Information Initiative the Court may consider: particular decree is the one that will best serve society, but whether the settlement is Consortium has filed written (1) The competitive impact of such ‘‘within the reaches of the public interest.’’ notifications simultaneously with the judgment, including termination of alleged More elaborate requirements might Attorney General and the Federal Trade violations, provisions for enforcement and undermine the effectiveness of antitrust Commission disclosing its intention to modification, duration of relief sought, enforcement by consent decree.8 disband. Specifically, as of November anticipated effects of alternative remedies 30, 1998, said project was completed actually considered, and any other A proposed final judgment, therefore, considerations bearing upon the adequacy of need not eliminate every and the consortium and its steering such judgment; [and] anticompetitive effect of a particular committee have disbanded. The (2) The impact of entry of such judgment practice, nor guarantee free competition participation Agreement, which formed upon the public generally and individuals in the future. Court approval of a final the basis for all authority and action by alleging specific injury from the violations judgment requires a standard more the consortium, is no longer in effect. set forth in the complaint including flexible and less strict than the standard Accordingly, The Koop Foundation consideration of the public benefit, if any, to required for a finding of liability: ‘‘[A] Incorporated (KFI), as convener, has no be derived from a determination of the issues proposed decree must be approved even at trail. further legal authority to act with if it falls short of the remedy the court respect to this project and has no 15 U.S.C. § 16(e). would impose on its own, as long as it ownership in any product of the project. As the United States Court of Appeals falls within the range of acceptability or KFI will continue to maintain its books for the District of Columbia Circuit has is ‘within the reaches of public and records relating to its activities and held, this statute permits a court to interest.’ ’’9 responsibilities as convener. KFI will The proposed Revised Final Judgment consider, among other things, the respond to any questions concerning its here offers strong and effective relief relationship between the remedy responsibilities under the Participating secured and the specific allegations set that fully addresses the competitive harm posed by the proposed Agreement. KFI is aware of no legal forth in the plaintiff’s complaint, authority which would assign to KFI whether the decree is sufficiently clear, transaction. any present or future rights, duties or whether enforcement mechanisms are VIII. Determinative Documents responsibilities with respect to any sufficient, and whether the decree may aspect of this project. positively harm third parties. See There are no determinative materials United States v. Microsoft Corp., 56 F.3d or documents of the type described in On March 30, 1995, Health 1448, 1461–62 (D.C. Cir. 1995). In Section 2(b) of the APPA, 15 U.S.C. Information Initiative Consortium filed conducting this inquiry, ‘‘[t]he Court is § 16(b), that were considered by the its original notification pursuant to nowhere compelled to go to trial or to United States in formulating the Section 6(a) of the Act. The Department engage in extended proceedings which proposed Revised Final Judgment. of Justice published a notice in the might have the effect of vitiating the Consequently, none are filed herewith. Federal Register pursuant to Section benefits of prompt and less costly Dated: August 3, 1999.

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6(b) of the Act on June 28, 1995 (60 FR DEPARTMENT OF JUSTICE DEPARTMENT OF JUSTICE 33432). Constance K. Robinson, Antitrust Division Antitrust Division Director of Operaitons, Antitrust Division. Notice Pursuant to the National Notice Pursuant To the National [FR Doc. 99–21370 Filed 8–17–99; 8:45 am] Cooperative Research and Production Cooperative Research and Production BILLING CODE 4140±01±M Act of 1993ÐSarnoff: HDTV Broadcast Act Of 1993ÐSouthwest Research Technology Consortium Institute (``SWRI'') Joint Industry ProgramÐDevelopment of An DEPARTMENT OF JUSTICE Notice is hereby given that, on May 4, Instrument For Corrosion Detection in 1999, pursuant to Section 6(a) of the Antitrust Division Insulated Pipes Using A National Cooperative Research and Magnetostrictive Sensor Notice Pursuant to the National Production Act of 1993, 15 U.S.C. 4301 Cooperative Research and Production et seq. (‘‘the Act’’), Sarnoff: HDTV Notice is hereby given that, on March Act of 1993ÐSarnoff: HDTV Broadcast Broadcast Technology Consortium has 23, 1998, pursuant to Section 6(a) of the Technology Consortium filed written notifications National Cooperative Research and simultaneously with the Attorney Production Act of 1993, 15 U.S.C. 4301 Notice is hereby given that, on May General and the Federal Trade et seq. (‘‘the Act’’), Southwest Research 21, 1999, pursuant to Section 6(a) of the Commission disclosing changes in its Institute (‘‘SWRI’’) Joint Industry National Cooperative Research and membership status. The notifications Program—Development of an Production Act of 1993, 15 U.S.C. 4301 were filed for the purpose of extending Instrument for Corrosion Detection in et seq. (‘‘the Act’’), Sarnoff: HDTV the Act’s provisions limiting the Insulated Pipes Using a Broadcast Technology Consortium has recovery of antitrust plaintiffs to actual Magnetostrictive Sensor has filed filed written notifications damages under specified circumstances. written notifications simultaneously simultaneously with the Attorney Specifically, New Jersey Public with the Attorney General and the General and the Federal Trade Broadcasting Authority, Trenton, NJ has Federal Trade Commission disclosing Commission disclosing changes in its been added as a party to this venture. changes in its membership status. The membership status. The notifications Also, Philips Laboratories, Briarcliff notifications were filed for the purpose were filed for the purpose of extending Manor, NY; and MCI of extending the Act’s provisions the Act’s provisions limiting the Telecommunications, Richardson, TX limiting the recovery of antitrust recovery of antitrust plaintiffs to actual have been dropped as parties to this plaintiffs to actual damages under damages under specified circumstances. venture. specified circumstances. Specifically, Specifically, Wegener Communications, No other changes have been made in ASCG Inspection, Inc., Anchorage, AK Duluth, GA has been added as a party either the membership or planned has been added as a party to this to this venture. activity of the group research project. venture. Also, CTI Alaska, Inc., No other changes have been made in Membership in this group research Anchorage, AK has been dropped as a either the membership or planned project remains open, and Sarnoff: party to this venture. activity of the group research project. HDTV Broadcast Technology No other changes have been made in Membership in this group research Consortium intends to file additional either the membership or planned project remains open, and Sarnoff: written notification disclosing all activity of the group research project. HDTV Broadcast Technology changes in membership. This group Membership in this group research Consortium intends to file additional research project remains open, and project remains open, and Southwest written notification disclosing all Sarnoff: HDTV Broadcast Technology Research Institute (‘‘SWRI’’) Joint changes in membership. Consortium intends to file additional Industry Program—Development of an written notification disclosing all On September 11, 1995, Sarnoff: Instrument for Corrosion Detection in changes in membership. HDTV Broadcast Technology Insulated Pipes Using a Consortium filed its original notification On September 11, 1995, Sarnoff: Magnetostrictive Sensor intends to file pursuant to Section 6(a) of the Act. The HDTV Broadcast Technology additional written notification Department of Justice published a notice Consortium filed its original notification disclosing all changes in membership. in the Federal Register pursuant to pursuant to Section 6(a) of the Act. The On October 19, 1995, Southwest Section 6(b) of the Act on December 13, Department of Justice published a notice Research Institute (‘‘SWRI’’) Joint 1995 (60 FR 64079). in the Federal Register pursuant to Industry Program—Development of an Section 6(b) of the Act on December 13, Instrument for Corrosion Detection in The last notification was filed with 1995 (60 FR 64079). the Department on March 11, 1999. A Insulated Pipes Using a notice was published in the Federal The last notification was filed with Magnetostrictive Sensor filed its original Register pursuant to Section 6(b) of the the Department on March 11, 1999. A notification pursuant to Section 6(a) of Act on May 26, 1999 (64 FR 28518). notice was published in the Federal the Act. The Department of Justice This notice rescinds and replaces the Register pursuant to Section 6(b) of the published a notice in the Federal May 26, 1999 Federal Register notice. Act on May 26, 1999 (64 FR 28518). Register pursuant to Section 6(b) of the This notice rescinds and replaces the Act on February 23, 1996 (61 FR 7020). Constance K. Robinson, May 26, 1999 Federal Register notice. The last notification was filed with Director of Operations, Antitrust Division. Constance K. Robinson, the Department on October 8, 1997. A [FR Doc. 99–21369 Filed 8–17–99; 8:45 am] Director of Operations, Antitrust Division. notice was published in the Federal BILLING CODE 4410±11±M [FR Doc. 99–21371 Filed 8–17–99; 8:45 am] Register pursuant to Section 6(b) of the BILLING CODE 4410±11±M

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Act on November 28, 1997 (62 FR the U.S. Department of Justice Response communications equipment in 63389). Center at 1–800–421–6770. accordance with the FY 1999 Constance K. Robinson, The Office of Justice Programs is Authorized Equipment Purchase List. offering eligible applicants the Director of Operations, Antitrust Division. Application Kits [FR Doc. 99–21372 Filed 8–17–99; 8:45 am] opportunity to submit their jurisdiction’s application electronically BILLING CODE 4410±11±M Application kits will be mailed to the through the Grant Management System Chief Executive Officers in each of the (GMS) on the OJP Web site. To submit targeted jurisdictions. Interested eligible DEPARTMENT OF JUSTICE electronic applications, applicants must applicants are encouraged to contact the possess a user I.D. and a GMS password, National Criminal Justice Reference Office of Justice Programs which can be obtained by contacting the Service (NCJRS) at 1–800–851–3420 to Office for State and Local Domestic ensure that they receive an application [OJP (OJP)±1247] Preparedness Support at 202–305–9887 kit for the FY 1999 County and or by creating a new account online. RIN 1121±ZB81 Municipal Agency Domestic Instructions regarding electronic Preparedness Equipment Support Announcement of the FY 1999 County submissions are provided on the OJP Program. Web site at www.ojp.usdoj.gov/ and Municipal Agency Domestic Eligible Applicants Preparedness Equipment Support fundopps.htm. Program Applications SUPPLEMENTARY INFORMATION: Eligible applicants are the chief Authority executive officers (CEOs) in the nation’s AGENCY: Office of Justice Programs, 157 largest metropolitan jurisdictions, This action is authorized under the Justice. listed in the following table. However, Omnibus Consolidated and Emergency ACTION: Notice of solicitation. if the county or municipal government Supplemental Appropriations Act, 1999 is not responsible for the fire services, SUMMARY: (Pub. L. 105–277, October 21, 1998, 112 The Office of Justice Programs emergency medical services, hazardous Stat. 2681). is soliciting grant applications for materials response units, and/or law equipment acquisition assistance from Background enforcement agencies in its jurisdiction, the Chief Executive Officers (CEO) of The Office for State and Local then the appropriate State or local the nation’s 157 largest metropolitan agency that provides that service must jurisdictions, including cities and Domestic Preparedness Support will distribute FY 1999 funding to provide be consulted in the development of the counties, as well as the 50 States under application. All eligible applicants are a separate grant program. the maximum number of communities with a basic defensive capability to grouped by a population index based on DATES: Proposals for funding must be respond to domestic terrorism incidents. 1992 census data. received by the Office of Justice This program ensures that first Certain county jurisdictions may not Programs by 5:00 p.m. ET on Thursday, responders are properly equipped and provide any qualifying services or have September 30, 1999. prepared to respond to incidents of authority to apply for this program. In ADDRESSES: An original and two copies domestic terrorism involving chemical those instances, an appropriate State or of the application must be mailed to: and biological agents, as well as municipal-level agency must apply on Office of Justice Programs, 810 Seventh radiological and explosive devices. This behalf of the jurisdictions within the Street NW, Washington, DC 20531. program will provide grants to the 157 county. If your county falls into this FOR FURTHER INFORMATION CONTACT: The largest cities and localities, to procure category, please contact OJP at 202– National Criminal Justice Reference personal protective, chemical, biological 305–9887 for guidance in meeting the Service (NCJRS) at 1–800–851–3420 or and radiological detection and application requirements.

Group A (up to $300,000) Group B (up to $200,000) Group C (up to $100,000)

1ÐLos Angeles County, CA 51ÐDuPage County, IL 101ÐNashville/Davidson County, TN 2ÐNew York City, NY 52ÐIndianapolis/Marion County, IN 102ÐKent County, MI 3ÐCook County, IL 53ÐCity of San Jose, CA 103ÐBristol County, MA 4ÐCity of Los Angeles, CA 54ÐMontgomery County, MD 104ÐCamden County, NJ 5ÐHarris County, TX 55ÐEssex County, NJ 105ÐSan Joaquin County, CA 6ÐCity of Chicago, IL 56ÐSalt Lake County, UT 106ÐCity of Cleveland, OH 7ÐSan Diego County, CA 57ÐPrince George's County, MD 107ÐSnohomish County, WA 8ÐOrange County, CA 58ÐMacomb County, MI 108ÐCity of Austin, TX 9ÐMaricopa County, AZ 59ÐSan Francisco City/County, CA 109ÐBernalillo County, NM 10ÐWayne County, MI 60ÐCity of Baltimore, MD 110ÐUnion County, NJ 11ÐDade County, FL 61ÐMonroe County, NY 111ÐNew Orleans/Orleans Parish, LA 12ÐDallas County, TX 62ÐOrange County, FL 112ÐRamsey County, MN 13ÐCity of Houston, TX 63ÐFresno County, CA 113ÐDenver City/County, CO 14ÐKing County, WA 64ÐBaltimore County, MD 114ÐLake County, IN 15ÐPhiladelphia City/County, PA 65ÐJacksonville/Duval County, FL 115ÐCobb County, GA 16ÐSan Bernardino County, CA 66ÐPima County, AZ 116ÐOnondaga County, NY 17ÐSanta Clara County, CA 67ÐMontgomery County, PA 117ÐCity of Portland, OR 18ÐCuyahoga County, OH 68ÐVentura County, CA 118ÐPassaic County, NJ 19ÐMiddlesex County, MA 69ÐMiddlesex County, NJ 119ÐCity of Fort Worth, TX 20ÐAlameda County, CA 70ÐEssex County, MA 120ÐLucas County, OH 21ÐAllegheny County, PA 71ÐJefferson County, KY 121ÐWake County, NC 22ÐSuffolk County, NY 72ÐFulton County, GA 122ÐJefferson Parish, LA 23ÐBroward County, FL 73ÐSan Mateo County, CA 123ÐJefferson County, CO 24ÐNassau County, NY 74ÐJefferson County, AL 124ÐOklahoma City, OK 25ÐRiverside County, CA 75ÐCity of Columbus, OH 125ÐKansas City, MO

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Group A (up to $300,000) Group B (up to $200,000) Group C (up to $100,000)

26ÐBexar County, TX 76ÐJackson County, MO 126ÐCity of Long Beach, CA 27ÐTarrant County, TX 77ÐEl Paso County, TX 127ÐCity of Charlotte, NC 28ÐCity of San Diego, CA 78ÐNorfolk County, MA 128ÐCity of Tucson, AZ 29ÐOakland County, MI 79ÐPierce County, WA 129ÐCity of Virginia Beach, VA 30ÐSacramento County, CA 80ÐCity of Milwaukee, WI 130ÐCity of Albuquerque, NM 31ÐHennepin County, MN 81ÐCity of Memphis, TN 131ÐCity of Atlanta, GA 32ÐCity of Dallas, TX 82ÐTravis County, TX 132ÐCity of St. Louis, MO 33ÐCity of Phoenix, AZ 83ÐOklahoma County, OK 133ÐCity of Sacramento, CA 34ÐCity of Detroit, MI 84ÐMultnomah County, OR 134ÐCity of Fresno, CA 35ÐSt. Louis County, MO 85ÐKern County, CA 135ÐCity of Tulsa, OK 36ÐCity of San Antonio, TX 86ÐWashington, DC 136ÐCity of Oakland, CA 37ÐFranklin County, OH 87ÐMontgomery County, OH 137ÐCity of Pittsburgh, PA 38ÐErie County, NY 88ÐMonmouth County, NJ 138ÐCity of Minneapolis, MN 39ÐMilwaukee County, WI 89ÐDe Kalb County, GA 139ÐCity of Miami, FL 40ÐPalm Beach County, FL 90ÐBucks County, PA 140ÐCity of Cincinnati, OH 41ÐWestchester County, NY 91ÐBoston/Suffolk County, MA 141ÐCity of Omaha, NE 42ÐHamilton County, OH 92ÐHudson County, NJ 142ÐCity of Toledo, OH 43ÐPinellas County, FL 93ÐCity of El Paso, TX 143ÐCity of Buffalo, NY 44ÐHonolulu City/County, HI 94ÐDelaware County, PA 144ÐCity of Wichita, KS 45ÐHillsborough County, FL 95ÐLake County, IL 145ÐCity of Mesa, AZ 46ÐFairfax County, VA 96ÐWorcester County, MA 146ÐCity of Las Vegas, NV 47ÐClark County, NV 97ÐMecklenburg County, NC 147ÐCity of Colorado Springs, CO 48ÐShelby County, TN 98ÐSummit County, OH 148ÐCity of Santa Ana, CA 49ÐContra Costa County, CA 99ÐCity of Seattle, WA 149ÐCity of Tampa, FL 50ÐBergen County, NJ 100ÐTulsa County, OK 150ÐCity of Anaheim, CA 151ÐCity of Newark, NJ 152ÐCity of Arlington, TX 153ÐCity of St. Paul, MN 154ÐCity of Louisville, KY 155ÐCity of Corpus Christi, TX 156ÐCity of Birmingham, AL 157ÐCity of Norfolk, VA

Laurie Robinson, Reagan Building and International provide recommended courses of action Assistant Attorney General, Office of Justice Trade Center, located at 1300 to improve its use as a tool of Programs. Pennsylvania Avenue, NW, Washington, investigation and adjudication in [FR Doc. 99–21346 Filed 8–17–99; 8:45 am] DC 20004; Phone: 202–312–1300. criminal cases. BILLING CODE 4410±18±P The National Commission on the The Commission will address issues Future of DNA Evidence, established in five specific areas: (1) The use of pursuant to Section 3(2)A of the Federal DNA in postconviction relief cases, (2) DEPARTMENT OF JUSTICE Advisory Committee Act (FACA), 5 legal concerns including Daubert U.S.C. App. 2, will meet to carry out its National Institute of Justice advisory functions under Sections 201– challenges and the scope of discovery in DNA cases, (3) criteria for training and [OJP(NIJ)±1246] 202 of the Omnibus Crime Control and Safe Streets Act of 1968, as amended. technical assistance for criminal justice RIN 1121±ZB80 This meeting will be open to the public. professionals involved in the identification, collection and FOR FURTHER INFORMATION CONTACT: National Institute of Justice preservation of DNA evidence at the Announcement of the Seventh Meeting Christopher H. Asplen, AUSA, crime scene, (4) essential laboratory of the National Commission on the Executive Director (202) 616–8123. capabilities in the face of emerging Future of DNA Evidence Authority technologies, and (5) the impact of AGENCY: Office of Justice Programs, This action is authorized under the future technological developments in National Institute of Justice, Justice. Omnibus Crime Control and Safe Streets the use of DNA in the criminal justice ACTION: Notice of meeting. Act of 1968, sections 201–203, as system. Each topic will be the focus of amended, 42 U.S.C. 3721–23 (1994). the in-depth analysis by separate SUMMARY: Announcement of the seventh working groups comprised of prominent Background meeting of the National Commission on professionals who will report back to the Future of DNA Evidence. The purpose of the National the Commission. SUPPLEMENTARY INFORMATION: The Commission on the Future of DNA Jeremy Travis, seventh meeting of the National Evidence is to provide the Attorney Director, National Institute of Justice. Commission on the Future of DNA General with recommendations on the Evidence will take place beginning on use of current and future DNA methods, [FR Doc. 99–21345 Filed 8–17–99; 8:45 am] Sunday, September 26, 1999, 1:00 PM— applications and technologies in the BILLING CODE 4410±18±P 5:00 PM Eastern Daylight Time and will operation of the criminal justice system, continue on Monday, September 27, from the crime scene to the courtroom. 1999, 9:00 AM—5:00 PM Eastern Over the course of its Charter, the Daylight Time. The meeting will take Commission will review critical policy place in the Polaris Room at the Ronald issues regarding DNA evidence and

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DEPARTMENT OF LABOR copying in the Docket Office, or mailed Type of Review: Extension of on request by telephoning Theda currently approved information Occupational Safety and Health Kenney at (202) 693–2222 or Barbara collection requirement. Administration Bielaski at (202) 693–2444. For Agency: Occupational Safety and [Docket No. ICR±99±17] electronic copies of the ICR, contact Health Administration. OSHA on the Internet at http:// Title: Derricks (Inspection Derricks (Inspection Certification www.osha.gov/comp-links.html, and Certifications) (29 CFR 1910.181 (g)(1) Records) and Extension of the Office click on ‘‘Information Collection and (g)(3)). of Management and Budget's (OMB) Requests.’’ OMB Number: 1218–0222. Affected Public: Business or other for- Approval of an Information Collection SUPPLEMENTARY INFORMATION: (Paperwork) Requirement profit; Federal government; state, local I. Background or tribal government. AGENCY: Occupational Safety and Health Number of Respondents: 10,000. Administration (OSHA); Labor. The Department of Labor, as part of its Frequency: Monthly; semi-annually. ACTION: Notice of an opportunity for continuing effort to reduce paperwork Average Time per Response: 15 public comment. and respondent burden, conducts a minutes (0.25 hour). preclearance consultation program to Estimated Total Burden Hours: SUMMARY: OSHA solicits comments provide the general public and Federal 28,500. concerning the proposed decrease in, agencies with an opportunity to and extension of, the information comment on proposed and continuing III. Authority and Signature collection requirements (inspection information collection requirements in Charles N. Jeffress, Assistant Secretary certification records) contained in the accordance with the Paperwork of Labor for Occupational Safety and standard on Derricks (29 CFR 1910.181). Reduction Act of 1995 (PRA–95) (44 Health, directed the preparation of this Request for Comment: The Agency U.S.C 3506(c)(2)(A)). This program notice. The authority for this notice is seeks comments on the following issues: ensures that information is in the the Paperwork Reduction Act of 1995 • Whether the information collection desired format, reporting burden (time (44 U.S.C. 3506), Secretary of Labor’s requirements are necessary for the and costs) is minimal, collection Order No. 6–96 (62 FR 111), and 29 CFR proper performance of the Agency’s instruments are clearly understood, and part 1911. OSHA’s estimate of the information functions, including whether the Signed at Washington, DC, this 12th day of information is useful; collection burden is correct. • August 1999. The accuracy of the Agency’s The Occupational Safety and Health Charles N. Jeffress, estimate of the burden (time and costs) Act of 1970 (the Act) authorizes Assistant Secretary of Labor. of the information collection information collection by employers are [FR Doc. 99–21431 Filed 8–17–99; 8:45 am] requirements, including the validity of necessary or appropriate for BILLING CODE 4510±26±M the methodology and assumptions used; enforcement of the Act or for developing • The quality, utility, and clarity of information regarding the causes and the information collected; and prevention of occupational injuries, NUCLEAR REGULATORY • Ways to minimize the burden on illnesses, and accidents. (29 U.S.C. 657). COMMISSION employers who must comply; for The major purpose of the information example, by using automated, collection requirements in 29 CFR [Docket Nos. STN 50±456 and STN 50±457] electronic, mechanical, and other 1910.181 are to provide information for technological information and properly maintaining derricks and, Commonwealth Edison Company; transmission collection techniques. therefore, to ensure safe operating Notice of Consideration of Issuance of DATES: Submit written comments on or conditions for employees. Specifically, Amendments to Facility Operating before October 18, 1999. employers must establish certification Licenses, Proposed No Significant ADDRESSES: Submit written comments records to demonstrate that derrick Hazards Consideration Determination, to the Docket Office, Docket No. ICR– inspections comply with the and Opportunity for a Hearing 99–17, Occupational Safety and Health requirements specified in the standard. The U.S. Nuclear Regulatory Administration, U.S. Department of Failure of the employer to collect and Commission (the Commission) is Labor, Room N–2625, 200 Constitution distribute the information collected considering issuance of amendments to Avenue, N.W., Washington, DC 20210; under the requirements contained in the Facility Operating Licenses Nos. NPF– telephone: (202) 693–2350. Commenters standard will affect significantly 72 and NPF–77, issued to the may transmit written comments of 10 OSHA’s effort to control and reduce Commonwealth Edison Company pages or less in length by facsimile to injuries and fatalities in the workplace. (ComEd, the licensee), for Braidwood (202) 693–1648. II. Proposed Actions Station, Unit Nos. 1 and 2, respectively, FOR FURTHER INFORMATION CONTACT: located in Will County, Illinois. Theda Kenney, Directorate of Safety OSHA proposes to decrease its earlier The proposed amendments would Standards Programs, Occupational estimate of 28,508 burden hours for the temporarily change the Technical Safety and Health Administration, U.S. information collection requirements in Specifications (TS) to increase the upper Department of Labor, Room N–3605, 29 CFR 1910.181 (g)(1) and (g)(3) to temperature limit for the Ultimate Heat 200 Constitution Avenue, N.W., 28,500 burden hours. Sink (UHS) from 98 degrees Fahrenheit Washington, DC 20210; telephone: (202) OSHA will summarize the comments to 100 degrees Fahrenheit. The 693–2222. A copy of the Agency’s submitted in response to this notice, proposed temporary change would be in Information Collection Request (ICR) and will include this summary in the effect until September 30, 1999. supporting the need for the information request to OMB to extend the approval Prolonged hot weather has resulted in collection requirements in 29 CFR of the information collection sustained, elevated UHS temperatures at 1910.181 (inspection certification requirements contained in the above Braidwood Station. Continued hot records) is available for inspection and provisions. weather may result in the UHS

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The meteorological conditions construction codes provided sufficient publish a Notice in the Federal Register chosen for the Braidwood Station UHS margin to accommodate the proposed analysis utilized a synthetic 36-day period temperature change. that would allow 30 days for public consisting of the most severe 5 days, most Therefore, this proposed amendment does comment. severe 1 day, and the most severe 30 days not create the possibility of a new or different Before issuance of the proposed based on historical data. The heat loads kind of accident from any accident license amendments, the Commission selected for the UHS analysis considered one previously evaluated. will have made findings required by the Braidwood Unit in a LOCA [Loss-of-Coolant Does the change involve a significant Atomic Energy Act of 1954, as amended Accident] condition concurrent with a Loss- reduction in a margin of safety? (the Act) and the Commission’s of-Offsite Power (LOOP) and the remaining The proposed action allows operation with regulations. Braidwood unit undergoing a normal plant the UHS temperature less than or equal to Pursuant to 10 CFR 50.91(a)(6) for shutdown. In the analysis, these heat loads 100 degrees Fahrenheit until September 30, are removed by the UHS using only SX 1999. The margin defined by the difference amendments to be granted under [essential service water] pumps. The main in the assumed steady state SX temperature exigent circumstances, the NRC staff condenser cooling pond is conservatively and the calculated SX temperature profile must determine that the amendment assumed not to be available at the start of the integrated over the duration of the event is request involves no significant hazards event. The analysis shows that with an initial not significantly impacted. The margin of consideration. Under the Commission’s UHS temperature of 100 degrees Fahrenheit, safety is determined by the design and regulations in 10 CFR 50.92, this means the required heat loads can be met for 30 qualification of the plant equipment, the that operation of the facility in days while maintaining essential service operation of the plant within analyzed limits, accordance with the proposed water temperatures at acceptable values. and the point at which protective or mitigative actions are initiated. The proposed amendments would not (1) involve a Based on the above facts and reasoning, it has been demonstrated that the increase of action does not impact these factors. There significant increase in the probability or the initial UHS temperature from less than or are no required design changes or equipment consequences of an accident previously equal to 98 degrees Fahrenheit to less than performance parameter changes associated evaluated; or (2) create the possibility of or equal to 100 degrees Fahrenheit at the start with this change. No protection setpoints are a new or different kind of accident from of the design basis event will result in the affected as a result of this change. This any accident previously evaluated; or continued ability of the equipment and temperature increase will not change the (3) involve a significant reduction in a components supplied by the SX system to operational characteristics of the design of margin of safety. As required by 10 CFR perform their safety functions. any equipment or system. All accident Therefore, increasing the average water analysis assumptions and conditions will 50.91(a), the licensee has provided its continue to be met. Thus, the proposed analysis of the issue of no significant temperature of the UHS from less than or equal to 98 degrees Fahrenheit to less than increase in temperature does not involve a hazards consideration, which is or equal to 100 degrees Fahrenheit in TS significant reduction in the margin of safety. presented below: 3.7.9, has no impact on any analyzed The NRC staff has reviewed the Does the change involve a significant accident. Raising this limit does not licensee’s analysis and, based on this increase in the probability or consequences introduce any new equipment, equipment review, it appears that the three modifications, or any new or different modes of an accident previously evaluated? standards of 10 CFR 50.92(c) are Analyzed accidents are assumed to be of plant operation, nor does it affect the initiated by the failure of plant structures, operational characteristics of any equipment satisfied. Therefore, the NRC staff systems or components. An inoperable UHS or systems. Therefore, these changes do not proposes to determine that the is not considered as an initiator of any involve a significant increase in the amendments requested involve no analyzed events. The analyses for Braidwood probability or consequences of an accident significant hazards consideration. Station, Units 1 and 2, assume an UHS previously evaluated. The Commission is seeking public temperature of 100 degrees Fahrenheit. Does the change create the possibility of a comments on this proposed Therefore, continued operation with an UHS new or different kind of accident from any determination. Any comments received temperature less than or equal to 100 degrees accident previously evaluated? within 14 days after the date of Fahrenheit, until September 30, 1999, will The proposed action does not involve a not increase the consequences of an accident physical alteration of the units. There is no publication of this notice will be previously evaluated in the UFSAR [Updated change being made to the parameters within considered in making any final Final Safety Analysis Report]. The proposed which the units are operated that is not determination. change does not involve any physical bounded by the analyses. There are no Normally, the Commission will not alteration of plant systems, structures or setpoints at which protective or mitigative issue the amendments until the components. A UHS temperature of up to 100 actions are initiated that are affected by this expiration of the 14-day notice period. degrees Fahrenheit does not increase the proposed action. This proposed action will However, should circumstances change failure rate of systems, structures or not alter the manner in which equipment during the notice period, such that components because the systems, structures operation is initiated, nor will the function failure to act in a timely way would or components are rated and analyzed for demands on credited equipment be changed. result, for example, in derating or operation with Essential Service water No alteration in the procedures that ensure temperatures of 100 degrees Fahrenheit and the units remain within analyzed limits, is shutdown of the facility, the the design allows for higher temperatures proposed, and no change is being made to Commission may issue the license than at which they presently operate. procedures relied upon to respond to an off- amendments before the expiration of the The basis provided in Regulatory Guide normal event. As such, no new failure modes 14-day notice period, provided that its 1.27 ‘‘Ultimate Heat Sink for Nuclear Power are being introduced. The proposed action final determination is that the Plants,’’ Revision 2, dated January 1976, was does not alter assumptions made in the safety amendments involve no significant employed for the temperature analysis of the analysis. hazards consideration. The final Braidwood Station UHS to implement Increasing the average water temperature of determination will consider all public General Design Criteria 44 and 2 of Appendix the UHS in TS 3.7.9 has no impact on plant and State comments received. Should A to 10 CFR Part 50. This Regulatory Guide operation. The proposed temperature limits was employed for both the original design/ does not introduce new failure mechanisms the Commission take this action, it will licensing basis of the Braidwood Station UHS for systems, structures or components. The publish in the Federal Register a notice and a subsequent evaluation which engineering analyses performed to support of issuance. The Commission expects investigated the potential for increasing the the UHS temperature increase provides the that the need to take this action will average water temperature of the UHS from basis to conclude that the equipment is occur very infrequently.

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Written comments may be submitted the proceeding; and (3) the possible significant hazards consideration, the by mail to the Chief, Rules and effect of any order which may be Commission may issue the amendments Directives Branch, Division of entered in the proceeding on the and make them immediately effective, Administrative Services, Office of petitioner’s interest. The petition should notwithstanding the request for a Administration, U.S. Nuclear Regulatory also identify the specific aspect(s) of the hearing. Any hearing held would take Commission, Washington, DC 20555– subject matter of the proceeding as to place after issuance of the amendments. 0001, and should cite the publication which petitioner wishes to intervene. date and page number of this Federal Any person who has filed a petition for If the final determination is that the Register notice. Written comments may leave to intervene or who has been amendments requested involve a also be delivered to Room 6D59, Two admitted as a party may amend the significant hazards consideration, any White Flint North, 11545 Rockville petition without requesting leave of the hearing held would take place before Pike, Rockville, Maryland, from 7:30 Board up to 15 days prior to the first the issuance of any amendments. a.m. to 4:15 p.m. Federal workdays. prehearing conference scheduled in the A request for a hearing or a petition Copies of written comments received proceeding, but such an amended for leave to intervene must be filed with may be examined at the NRC Public petition must satisfy the specificity the Secretary of the Commission, U.S. Document Room, the Gelman Building, requirements described above. Nuclear Regulatory Commission, 2120 L Street, NW., Washington, DC. Not later than 15 days prior to the first Washington, DC 20555–0001, Attention: The filing of requests for hearing and prehearing conference scheduled in the Rulemakings and Adjudications Staff, or petitions for leave to intervene is proceeding, a petitioner shall file a may be delivered to the Commission’s discussed below. supplement to the petition to intervene By September 17, 1999, the licensee which must include a list of the Public Document Room, the Gelman may file a request for a hearing with contentions which are sought to be Building, 2120 L Street, NW., respect to issuance of the amendments litigated in the matter. Each contention Washington, DC, by the above date. A to the subject facility operating licenses must consist of a specific statement of copy of the petition should also be sent and any person whose interest may be the issue of law or fact to be raised or to the Office of the General Counsel, affected by this proceeding and who controverted. In addition, the petitioner U.S. Nuclear Regulatory Commission, wishes to participate as a party in the shall provide a brief explanation of the Washington, DC 20555–0001, and to Ms. proceeding must file a written request bases of the contention and a concise Pamela B. Stroebel, Senior Vice for a hearing and a petition for leave to statement of the alleged facts or expert President and General Counsel, intervene. Requests for a hearing and a opinion which support the contention Commonwealth Edison Company, P.O. petition for leave to intervene shall be and on which the petitioner intends to Box 767, Chicago, Illinois 60690–0767, filed in accordance with the rely in proving the contention at the attorney for the licensee. Commission’s ‘‘Rules of Practice for hearing. The petitioner must also Nontimely filings of petitions for Domestic Licensing Proceedings’’ in 10 provide references to those specific leave to intervene, amended petitions, CFR Part 2. Interested persons should sources and documents of which the supplemental petitions and/or requests consult a current copy of 10 CFR 2.714 petitioner is aware and on which the which is available at the Commission’s petitioner intends to rely to establish for hearing will not be entertained Public Document Room, the Gelman those facts or expert opinion. Petitioner absent a determination by the Building, 2120 L Street, NW., must provide sufficient information to Commission, the presiding officer or the Washington, DC, and at the local public show that a genuine dispute exists with presiding Atomic Safety and Licensing document room located at the the applicant on a material issue of law Board that the petition and/or request Wilmington Public Library, 201 S. or fact. Contentions shall be limited to should be granted based upon a Kankakee Street, Wilmington, Illinois matters within the scope of the balancing of the factors specified in 10 60481. If a request for a hearing or amendments under consideration. The CFR 2.714(a)(1)(i)–(v) and 2.714(d). petition for leave to intervene is filed by contention must be one which, if For further details with respect to this the above date, the Commission or an proven, would entitle the petitioner to action, see the application for Atomic Safety and Licensing Board, relief. A petitioner who fails to file such amendments dated July 30, 1999, which designated by the Commission or by the a supplement which satisfies these is available for public inspection at the Chairman of the Atomic Safety and requirements with respect to at least one Commission’s Public Document Room, Licensing Board Panel, will rule on the contention will not be permitted to the Gelman Building, 2120 L Street, request and/or petition; and the participate as a party. Secretary or the designated Atomic Those permitted to intervene become NW., Washington, DC, and at the local Safety and Licensing Board will issue a parties to the proceeding, subject to any public document room, located at the notice of hearing or an appropriate limitations in the order granting leave to Wilmington Public Library, 201 S. order. intervene, and have the opportunity to Kankakee Street, Wilmington, Illinois As required by 10 CFR 2.714, a participate fully in the conduct of the 60481. petition for leave to intervene shall set hearing, including the opportunity to Dated at Rockville, Maryland, this 12th day forth with particularity the interest of present evidence and cross-examine of August 1999. the petitioner in the proceeding, and witnesses. For the Nuclear Regulatory Commission. how that interest may be affected by the If the amendments are issued before results of the proceeding. The petition the expiration of the 30-day hearing Stewart Bailey, should specifically explain the reasons period, the Commission will make a Project Manager, Section 2, Project why intervention should be permitted final determination on the issue of no Directorate 3, Division of Licensing Project with particular reference to the significant hazards consideration. If a Management, Office of Nuclear Reactor following factors: (1) The nature of the hearing is requested, the final Regulation. petitioner’s right under the Act to be determination will serve to decide when [FR Doc. 99–21399 Filed 8–17–99; 8:45 am] made a party to the proceeding; (2) the the hearing is held. BILLING CODE 7590±01±P nature and extent of the petitioner’s If the final determination is that the property, financial, or other interest in amendments requested involve no

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NUCLEAR REGULATORY Seabrook or operational changes are 2120 L Street, NW., Washington, DC, COMMISSION being proposed. No direct transfer of the and at the local public document room license will result from the proposed located at the Exeter Public Library, [Docket No. 50±443] merger. Founders Park, Exeter, NH 03833. North Atlantic Energy Service Approval of the indirect transfer was Dated at Rockville, Maryland, this 11th day Corporation, et al., (Seabrook Station requested pursuant to 10 CFR 50.80. of August 1999. Notice of the application for approval Unit No. 1); Order Approving For the Nuclear Regulatory Commission. Application Regarding Corporate and an opportunity for a hearing was published in the Federal Register on William F. Kane, Merger (Canal Electric Company) April 27, 1999 (64 FR 22657). No Acting Director, Office of Nuclear Reactor Regulation. I hearing requests were filed. Under 10 CFR 50.80, no license, or [FR Doc. 99–21398 Filed 8–17–99; 8:45 am] North Atlantic Energy Service any right thereunder, shall be BILLING CODE 7590±01±P Corporation (North Atlantic) is transferred, directly or indirectly, authorized to act as agent for the joint through transfer of control of the owners of the Seabrook Station Unit No. license, unless the Commission shall NUCLEAR REGULATORY 1 (Seabrook) and has exclusive give its consent in writing. Upon review COMMISSION responsibility and control over the of the information in the application, Sunshine Act Meeting physical construction, operation, and and other information before the maintenance of the facility as reflected Commission, the NRC staff has AGENCY HOLDING THE MEETING: Nuclear in Facility Operating License NPF–86. determined that the proposed merger Regulatory Commission. Canal Electric Company (Canal), one of will not affect the qualifications of DATES: Weeks of August 16, 23, 30, the joint owners, holds a 3.52317- Canal as a holder of the Seabrook percent possessory interest in Seabrook. September 6, and October 18, 1999. license, and that the transfer of control PLACE: Commissioners’ Conference The Nuclear Regulatory Commission of the license, to the extent effected by (NRC) issued Facility Operating License Room, 11555 Rockville Pike, Rockville, the proposed merger, is otherwise Maryland. NPF–86 on March 15, 1990, pursuant to consistent with applicable provisions of STATUS: Public and Closed. Part 50 of Title 10 of the Code of Federal law, regulations, and orders issued by Regulations (10 CFR Part 50). The the Commission subject to the MATTERS TO BE CONSIDERED: facility is located in Seabrook conditions set forth herein. The Week of August 16 Township, Rockingham County, on the foregoing findings are supported by a There are no meetings scheduled for southeast coast of the State of New safety evaluation dated August 11, 1999. Hampshire. the Week of August 16. III II Week of August 23—Tentative Accordingly, pursuant to Sections Under cover of a letter dated February 161b, 161i, 161o, and 184 of the Atomic Tuesday, August 24 11, 1999, North Atlantic forwarded an Energy Act of 1954, as amended; 42 2:00 p.m. application by Canal requesting USC 2201(b), 2201(i), 2201(o), and 2234; Briefing by Executive Branch approval of the indirect transfer of and 10 CFR 50.80, it is hereby ordered (Closed—ex. 1) control of Canal’s interest in the That the indirect license transfer 3:30 p.m. operating license (OL) for Seabrook. The referenced above is approved, subject to Briefing on Threat Assessment application was supplemented on the following conditions: (Closed—ex. 1) February 23, March 5, and March 17, 1. Canal shall provide the Director of Wednesday, August 25 1999 (collectively referred to hereinafter the Office of Nuclear Reactor Regulation as the application). a copy of any application, at the time it 9:55 a.m. According to the application, Canal is is filed, to transfer (excluding grants of Affirmation Session (Public Meeting) a wholly owned subsidiary of security interests or liens) from Canal to (If needed) Commonwealth Energy System (CES). its proposed parent, or to any other Week of August 30—Tentative On December 5, 1998, CES and BEC affiliated company, facilities for the Energy (BEC) entered into an Agreement production, transmission, or Wednesday, September 1 and Plan of Merger under which those distribution of electric energy having a 9:25 a.m. entities will merge into a new surviving depreciated book value exceeding ten Affirmation Session (Public Meeting) Massachusetts corporation (the ‘‘New percent (10%) of Canal’s consolidated (if needed) Company’’). Upon consummation of the net utility plant as recorded on Canal’s merger, Canal will become a wholly books of accounts. Week of September 6—Tentative owned subsidiary of the New Company, 2. Should the transfer not be Tuesday, September 7 thereby effecting an indirect transfer of completed by August 1, 2000, this Order 9:15 a.m. Canal’s interest in Seabrook’s OL. North shall become null and void, provided, Atlantic, the sole licensed operator of Affirmation Session (Public Meeting) however, on application and for good (if needed) the facility, would remain as the cause shown, such date may be managing agent for the 11 joint owners 9:20 a.m. extended. Briefing on PRA Implementation Plan of the facility and would continue to This Order is effective upon issuance. (Public Meeting) (Contact: Tom have exclusive responsibility for the For further details with respect to this King, 301–415–5790) management, operation, and Order, see the initial application dated maintenance of Seabrook. The February 2, 1999, and supplements AND application does not propose a change dated February 23, March 5, and March Week of October 18—Tentative in the rights, obligations, or interests of 17, 1999, which are available for public the other joint owners of Seabrook. In inspection at the Commission’s Public Thursday, October 21 addition, no physical changes to Document Room, the Gelman Building, 9:30 a.m.

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Briefing on Part 35—Rule on Medical meeting summary is attached. The external stakeholders to solicit feedback Use of Byproduct Material (Contact: complete summary of the July 23, 1999, so that the responsibilities can be Cathy Haney, 301–415–6825) meeting with all attachments dated further refined. (SECY–99–201, Draft Final Rule— August 9, 1999, is available for public After introductory remarks, the 10 CFR Part 35, Medical Use of inspection at the Commission’s public meeting participants broke into four Byproduct Material, is available in document room located at the Gelman groups to discuss the questions the NRC Public Document Room or Building, 2120 L Street, NW., summarized in Attachment 4 (also on NRC web site at ‘‘www.nrc.gov/ Washington, DC. published in the Federal Register, NRC/COMMISSION/SECYS/ FOR FURTHER INFORMATION CONTACT: Volume 64, Number 133 dated July 13, index.html’’. Download the zipped Sheri Peterson, Mail Stop O–8–G–9, 1999). Discussions focused on the version to obtain all attachments.) U.S. Nuclear Regulatory Commission, project manager being the primary NRC The schedule for Commission 11555 Rockville Pike, Rockville, MD interface for licensees and the public on meetings is subject to change on short 20852–2738; Telephone: (301) 415– operating plant licensing matters, the notice. To verify the status of meetings 1193; Internet:[email protected]. need for consistency, cost and schedular call (recording)—(301) 415–1292. control of licensing actions, and the Contact person for more information: Dated at Rockville, Maryland, the 10th day of August 1999. importance of maintaining staff with the Bill Hill (301) 415–1661. required knowledge, skills and abilities For the Nuclear Regulatory Commission. * * * * * for effectively carrying out the project The NRC Commission Meeting Suzanne Black, manager function. The feedback Schedule can be found on the Internet Deputy Director, Division of Licensing Project presented by the various participants at: http://www.nrc.gov/SECY/smj/ Management Office of Nuclear Reactor during the breakout sessions, and Regulation. schedule.htm included as Attachment 4, was very * * * * * Summary—July 23, 1999, Meeting With extensive and will be useful to the NRC This notice is distributed by mail to Stakeholders on Redefining the Role of in DLPM’s initiatives involving the several hundred subscribers; if you no the Division of Licensing Project project manager function within the longer wish to receive it, or would like Management in the Office of Nuclear Office of Nuclear Reactor Regulation. to be added to it, please contract the Reactor Regulation Attachments: 1. Attendance List Office of the Secretary, Attn: Operations On July 23, 1999, representatives of Branch, Washington, D.C. 20555 (301– 2. Agenda (available in PDR) various licensees and members of the 3. DLPM Re-invention Report 415–1661). In addition, distribution of public met in a public meeting with this meeting notice over the Internet (available in PDR) members of the U.S. Nuclear Regulatory 4. Feedback from breakout sessions system is available. If you are interested Commission (NRC) staff at NRC in receiving this Commission meeting 5. Written comments on the role of Headquarters in Rockville, Maryland. DLPM (available in PDR) schedule electronically, please send an The NRC invited representatives of electronic message to [email protected] or various nuclear utilities, other groups, ATTACHMENT 1 [email protected]. and the public to participate in a PURPOSE: Redefining the Role of the Dated: August 13, 1999. workshop to discuss the responsibilities Division of Licensing Project William M. Hill, Jr., of the Division of Licensing Project Management SECY Tracking Officer, Office of the Management (DLPM) and solicit Date: July 23, 1999. Secretary. feedback on the Division’s ongoing Location: TWFN Auditorium. [FR Doc. 99–21527 Filed 8–16–99; 11:59 am] redefinition process from interested BILLING CODE 7590±01±M stakeholders. A list of attendees is Name Affiliation provided as Attachment 1. The workshop agenda is provided as Steve Wideman ...... WCNOC NUCLEAR REGULATORY Pat Nugent ...... PGBE Attachment 2. The Division’s re- Roger DeWolfe ...... TXU COMMISSION invention report provided during the Kenneth Russell ...... First Energy meeting is included as Attachment 3. Summary of Workshop on Redefining John A. Zwolinski ...... NRR±DLPM The feedback obtained from the meeting Philip A. Rose ...... SCE&G the Role of NRR Projects participants during the breakout Jeff Sobotka ...... NAFISCO AGENCY: Nuclear Regulatory sessions is included as Attachment 4. George Wrobel ...... RG&E Commission. The written comments received to date Mike Krupa ...... Entergy Mike Brandon ...... Entergy W3 ACTION: Notice of availability. on the role of DLPM are included as Attachment 5. Paul Blanch ...... Millstone Mark J. Ajluni ...... Southern Nuclear SUMMARY: On July 23, 1999, the Nuclear DLPM is in the process of redefining Oper. Co. Regulatory Commission sponsored a its responsibilities. Previous audits and Joe Sheppard ...... STPNOC public workshop involving NRR reviews had indicated that the function Jon Hopkins ...... NRC/NRR/DLPM Division of Licensing Project of operating reactor licensing project Patrick Sekerak ...... NRC/NRR/DLPM Management, licensing officials managers needed to be reevaluated, Alan Wang ...... NRC/NRR/DLPM representing the nuclear industry, and clearly defined, and communicated. In Helen Pastis ...... NRC/NRR/DLPM other stakeholders. The purpose of the addition, the staff is attempting to Jack Cushing ...... NRC/NRR/DLPM meeting was to provide a forum for correlate the functions of DLPM with Marsha Gamberoni ... NRC/NRR/DLPM constructive dialogue on the agency’s the four strategic objectives of Lee Berry ...... NRC/NRR/DLPM James Perselter ...... North Atlantic efforts to redefine the responsibilities of maintaining safety, reducing Mike Runchark ...... AEP the Division of Licensing Project unnecessary regulatory burden, Norm Peterson ...... Detroit Edison Management. The discussion focused on increasing public confidence, and R. M. Kruch ...... ConEd three program areas: Licensing increasing efficiency and effectiveness Jerry Roberts ...... Entergy Ops GGRS Authority, Interface, and Regulatory of key NRC processes. DLPM shared the Roger Huston ...... Licensing Support Improvements. A brief version of the results of its redefinition process with Services

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Name Affiliation (5) Balancing/accomplishing NRC and 8. Reasons these activities (7) are less licensee priorities. important. James Priest ...... PSE&G 2. Five activities most important. (1) Not role of PM in meeting licensee Nate Haskell ...... Consumers Energy (1) Timely completion of licensing priorities. Stuart Richards ...... NRC/NRR/DLPM actions (on agreed-upon schedule). 9. Any activities projects organization Ram Subbaratnam .... NRC/NRR/DLPM (2) Communicate, manage difficulties should not perform? Chris Jozwick ...... NRC/NRR/DLPM with licensing actions effectively. (1) see response to 7. L. N. Olshan ...... NRC/NRR/DLPM (3) Tasks 1–4, 8, 22, 37, 19, 26, 29, Bob Martin ...... NRC/NRR/DLPM 10. Additional input. Harold Chirnoff ...... CP&L 59.—most important overall are tasks 1 (1) Periodic face to face feedback Rich Laufer ...... NRC/NRR/DLPM through 12 (all licensing actions). sessions. Byran Ford ...... Millstone 1 3. Reasons these activities are (2) Planning for peak periods. William Heyser ...... EPU Nuclear important (2). (3) PMs need guidance of how much Sheri Peterson ...... NRC/NRR/DLPM (1) Keep plants safe. authority they have and when. Steve Bethay ...... Entergy-Pilgrim (2) Allow efficient operation of the (4) Training of PMs (including Bill Reckley ...... NRC/NRR/DLPM plant. behavioral skills). Jim Clifford ...... NRC/NRR/DLPM 4. Other activities projects should (5) Ensure consistency with prior NRC Al Passwater ...... AmenemVE perform. approvals. Johnny Eads ...... CP&L (1) Manage public documents (6) PM should facilitate, coordinate, Glenn Michael ...... Arizona Public Serv- (ensuring incoming and outgoing ice Co. and manager accomplishment of Merrill Atkins ...... Yankee Atomic/DE&S documents are rapidly and readily licensing actions. S. Singh Bajwa ...... NRC/NRR/DLPM available to the public and to licensees. (7) Allow PM to focus on licensees as C. Stephen Brennigan Entery, PNPS (2) Ensure timely notification of customers, maintaining his other John Hufnagel ...... PECO Energy meetings. obligations. Don Palmrose ...... NUSIS (3) Communication clearing house (8) Does PM have the authority George W. Busch ..... GPU Nuclear Inc. (timely transmittal to licensee, commensurate with his responsibilities? Suzanne Black ...... NRC/NRR/DLPM particularly for those requiring 11. Other issues. Frank Rinaldi ...... NRC/NRR/DLPM responses). (1) None. Duke Wheeler ...... NRC/NRR/DLPM (4) Manage/Control potential Gordon Edison ...... NRC/NRR/DLPM Violations during resolution of ongoing Region II Claudia Craig ...... NRC/NRR/DLPM 1. Principal role of projects. Paul Inserra ...... Energy Northwest generic reviews. Gene Eckholdt ...... NSP (5) Cost management (fee billing)/ (1) Process Technical Specification C. Jeff Thomas ...... Duke Energy Communicate targets up front, PM changes/licensing actions. Paul Pace ...... TVA monitor during review (hold both staff (2) Deliverer of licensee information Steve Bennett ...... Entergy-ANO and licensee accountable). for licensing actions. Paul Willoughby ...... Northeast Nuclear (6) Development/training/ (3) Primary interface with licensee Mike Schoppman ...... NEI qualifications in project management and region (single point of contact). Tom Elwood ...... Illinois Power skills and communication skills. (4) Coordinate/ensure communication Marc Koth ...... Northern States 5. Reasons these activities are (filter out unnecessary interactions)— Power important (4). requires PM knowledge of submittal and Bob Gramm ...... NRC/NRR/DLPM licensing basis. Scott Hega ...... STP Nuclear Op. (1) Reduce licensee burden Elaine Chobanan ...... Northeast Utilities (efficiency). (5) Coordinate meetings. Donna Skay ...... NRC/NRR/DLPM (2) Improve public confidence. (6) Source of information on NRC John Harrison ...... NRC/NRR/DLPM 6. What types of performance policy/procedures (important for John Kelly ...... NYPA indicators would be useful? ‘‘filter’’ mentioned in 4 above). Kathy Harvey Gibson NRC/RII (1) Age of licensing actions. (7) Contact on plant issues. Eileen McKenna ...... NRC/NRR (2) Accuracy of product. (8) Facilitate licensing work/ Thomas Shaub ...... VA Power —number of correction letters streamline process. Bill Gleaves ...... NRC/NRR/DLPM —rework (9) Owner of licensing basis. Tom Elwood ...... Illinois Power (3) Stakeholder approval rating 2. Five activities most important. (1) Process licensing actions [Federal Region I (including PM evaluation). (4) Number of teleconferences per Register notice, processing Requests for Attachment 4 action. Additional Information, Environmental (5) Number of review hours vs. Assessments]; including all actions that 1. Principal role of projects. require prior NRC approval before the General comment: 72 tasks are too complexity of item. (6) Performance to schedule (specific licensee implements—[10 CFR 52.90; many to expect an individual to perform 50.54]; Determine review method, well. tasks). 7. Five activities least important. schedule [work planning], and be (1) Support/Process licensing actions # responsible for implementation—Project (a) Make it happen (authority) (1) Task 39 (from attachment 3 available in PDR)—Enforcement actions. Manager; Writing Safety evaluations, —Active, up-front planning with (2) #28—Transition of assignments. and other licensing tasks. licensees to facilitate NRC and (3) #70—Future rule changes. (2) Interface with licensee. licensee resource planning. (4) #57—Section meetings. (a) Headquarter interfaces (provide —Effective use of RAI process. (5) #23—Petitions and requests from filter for unnecessary regulatory (2) Serve as the conscience of the non-licensees. burden) staff. (6) #60—Web page management. (3) Administrative /Coordinator of NRC (3) Be the advocate for the project. (7) #64—Freedom of Information Act business functions; (4) Focal point for resolving staff and (FOIA) requests post-ADAMS (a) Review fees (billing licensee for licensee concerns (and other (Agencywide document access and staff review effort/cost control and stakeholders). management system). administrative oversight).

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(b) Manage to Office Letter 803 staff (4) NRC staff should conduct (8) ‘‘DLPM’’ should initiate ‘‘Task review time estimates/hours (for all Benchmarking Interface Agreement-like’’ process for licensing actions and other (5) Customer surveys and feedback at questions from licensee. licensing tasks beyond the individual level (up to performance (9) Continue daily interface with amendments) and communicate appraisal input on effectiveness of being region with licensees/ensure the focal point.) (10) Improvement with PM doing own accountability for hours charged to (6) Comparison of actual performance reviews. a review compared to a work plan vs. averages (11) Staff should be consistent with (4) Other licensing tasks: Conflict (ages, etc.) past decisions. resolution, ensuring consistent 7. Five activities least important. 2. Five activities most important (only (1) Maintaining licensing documents treatment of licensing actions/licensees, 4 were selected). (need to do but shouldn’t interfere with provide feedback on quality of (1) Management of licensing issues work). licensee’s submittals, and maintaining (including notices of enforcement (2) 50.59 reviews of annual report. discretion). licensing basis. (3) Conducting surveys. (5) Interface with Office of General (2) Routine interface during licensing (4) Collateral duties/LPMs. action reviews. Counsel/Hearings. 8. Reasons these activities are less 3. Reasons these activities are (3) Reduce regulatory burden through important (7). reduced reporting requirements. important (2) (1) Do not contribute to the four goals. (1) Licensing actions 9. Any activities projects organization (4) Communications—bring balance should not perform? and perspective to regulation of power –Reduce unnecessary burden plant. –Maintain safety (1) As determined by priorities above. 10. Additional input. 3. Reasons these activities are (a) Project managers writing Safety important (2) evaluations (1) NRC budget process should be more timely and in advance. (1) Maintains safety, improves –Effectiveness and Efficiency, maintain efficiency and effectiveness and safety. (2) Role of Project Manager supervisor –budget control enhances public confidence. (2) Interface with Licensee (as well as, –conflict resolution (various staff and (2) Reduce unnecessary regulatory NRC headquarters and Region) licensees) burden. –Efficiency and effectiveness –schedule adherence (3) Reduce unnecessary regulatory –Public confidence (accuracy of (3) Customer orientation (NRR- burden, improve safety by allowing information). licensee, NRR-region, NRR-public; licensees to concentrate on safety (3) Administration/Cost control watch out for escalating cost of public significant issues. (4) Improve public confidence, –Reduce unnecessary burden interaction). improve efficiency and effectiveness –Effectiveness and efficiency (4) Redefining—Reprioritizing for and decrease unnecessary regulatory (4) Other licensing tasks current effort. (5) Move toward approaches like burden. –Public confidence (lack of ‘‘open’’ 4. Other activities projects should safety issues) inspection/oversight process –define need to do/safety significance. perform –Maintain safety (1) Maintain a licensing notebook for –Reduce unnecessary burden (6) Maintain separation of licensing and oversight. licensing basis reference. 4. Other activities projects should 11. Other issues. (2) Develop a standard process for PM perform turnover, etc. (1) Cost control (look at Nuclear Region III (3) Communication/plant visits on Energy Institute (NEI) talking points in 1. Principal role of projects. open item (i.e, TAC list, etc.). Include enclosure 5). (1) PMs should run interference to reviewers on a case-by-case basis. (2) Task-oriented project management, ensure reviewers are being consistent. (4) Prioritize generic issues by risk i.e., license renewal, SG issues/ (2) PMs need decision authority to significance so licensee’s don’t have to replacement, Power uprates, etc. actively manage their issues. work them all at once. (3) Skill development/maintenance (3) PMs need knowledge of licensing 5. Reasons these activities are for effective project management. basis—tools—i.e., use a ‘‘licensing important (4). 5. Reasons these activities are notebook,’’ evaluate a plant against its (3) Improves efficiency and important (4). licensing basis vs. Standard review plan effectiveness and improves safety (1) Cost control (SRP should not be imposed on non- (through better PM knowledge of plant). –Reduce burden SRP plants). (4) Improves efficiency and –Safety (best use of $$) (4) Still need to work on Office Letter effectiveness. (5) Improves efficiency and (2) Task-oriented Project Managers 803 implementation. Some PMs read effectiveness, decreases regulatory –Effectiveness and efficiency requests for additional information (RAI) questions instead of faxing them burden and increases public confidence. (3) Skills/Development to licensee. Some PMs don’t review RAI (6) Improves safety, decreases –Effectiveness and efficiency questions to ensure they are appropriate regulatory burden and increases public 6. What types of performance (e.g., consistent with design basis) confidence. indicators would be useful? before sending them to licensee. 6. What types of performance (1) Supported NEI proposal (provided (5) PMs need to work with licensee indicators would be useful? in enclosure 5) for most efficient way to do review. (1) Rating PM behaviors, attributes (2) Overall timeliness, schedule (6) Proactive PM/‘‘advocate’’ of and leadership adherence efficient/effective review. (2) Formal feedback mechanism— (3) Average median ages (encourage (7) PMs should provide for timely surveys, errors in safety evaluation staff to post data on the Web, including Technical Specification interpretations/ reports (SERs). comparisons between NRC groups) commitments/regulation. (3) Self assessments.

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(4) Schedule vs. priority (7) Need the Infrastructure to support 5. Reasons these activities are (5) Measure percentage of closed PM. important (4). activities as a multiple of how fast they (8) For informal surveys, need to (1) Relationship to outcome goals. were requested to be closed out. ensure consistency; timeliness; NRC 6. What types of performance (6) Internal review to ensure quality; expectations; indicators would be useful? develop a standard. SERs should be (9) TIA process should be more open (1) Number of days deviation from reviewed by independent group. to allow licensee input. project schedule (joint agreement (7) At licensing workshops, get between staff and licensee on schedule). attributes for quality submittals and Region IV (2) Current goals, e.g., 95% < 1 year, SERs. There was a fair bit of discussion not appropriate for all licensing actions. 7. Five activities least important. about the need to distinguish between (3) Number of RAIs. (1) Use of PMs as acting resident. what PMs should do, and what DLPM/ (4) Quality of licensing action, e.g., (2) Collateral duties (e.g., lead PM NRR should do when the group number of errors. assignments). considered the following questions. In (5) Percentage of licensing actions (3) Requirement to submit routine some cases, the group has delineated performed by project manager. reports that don’t appear to receive NRC 7. Five activities least important. their responses accordingly. review. (1) 2.206, other Federal agency (4) Should review 10 CFR 50.54 1. Principal role of projects. interface (this is important for DLPM, changes on audit basis instead of (1) Coordination. not PM). reviewing and approving each change. (2) Interface with NRR/Licensee. (2) 50.59 evaluation reviews. (5) PMs should not be responsible for —advocate for licensee (3) Review of inspection reports. ensuring accuracy of licensing basis. —(or) representative of licensee (4) Maine Yankee, Millstone lessons That’s the licensee’s responsibility. —on schedule learned. 8. Reasons these activities are less (3) Screening Requests for additional (5) Support for Congressional Affairs. important (7). information (RAIs) and staff decisions 8. Reasons these activities are less (1) Not efficient or effective use of for regulatory basis/achieve burden important (7). PM. reduction. (1) Not supportive of outcome goals (2) Not efficient or effective use of Advance reactor safety by providing a and primary licensing action work. 9. Any activities projects organization PM, could harm safety by distracting knowledgeable interface between NRC should not perform? PM from primary responsibility. and licensees and ensuring licensing (3) Regulatory burden with no benefit. (1) None identified. actions are processed efficiently. 10. Additional input. (4) Regulatory burden with no benefit. 2. Five activities most important. (5) Not efficient or effective use of See 11. The following items are important for PM. 11. Other issues. 9. Any activities projects organization PMs: (1) Dedicated project manager for should not perform? (1) Licensing action coordination (true plant is key ingredient for success. (1) DLPM should not be doing project management role). —In some cases 1 PM could handle technical specifications bases reviews in (1a) licensing action review/approval more than 1 plant (if plants were some cases (Distinguish between performed by PM (personal approval). similar) improved technical specifications (ITS) (2) Communication with licensees— —is billing an issue? and non-ITS plants for TS bases changes explain what is needed/required by the —varies by commonality of licensing (bases control program)). staff, and why it is needed (regulatory tasks 10. Additional input/Other Issues. basis). —varies with workload (1) ‘‘Cherry picking’’—NRC should (3) Screening RAIs, and guarding the —decision to assign PM to more than 1 issue Generic Letter identifying what licensing basis. plant, and assignment of significant new improved technical specifications (4) Keep senior NRC management co-lateral duties should include items they can get. informed of activities at that plant. licensee input (2) Administrative support The following items are important for —NRR needs to have flexibility. —OGC—work of OGC should be better DLPM: (2) TIA process. controlled to improve process (5) Coordination/prioritization with —need licensee involvement to provide —Concurrence chain ‘‘empowerment’’— other divisions. information for NRR consideration. concurrences should be minimized (6) NRR/region interface. —currently little communication with —There should be enough (7) Regulatory improvements. licensee until decision is made. administrative support to prevent 3. Reasons these activities are (3) Better coordination of generic typing/distribution causing delays in important (2). issues—need for generic issue project the licensing process. (1) PM should evaluate licensing managers, not necessarily plant PMs. (3) Clarify role of PM/NRR in new actions, RAIs, work priorities, etc. (4) Should review 72 items against the oversight process against outcome goals and reject those priorities in Question 2. that don’t conform with outcome goals. —ensure consistency [FR Doc. 99–21397 Filed 8–17–99; 8:45 am] 4. Other activities projects should —role in 50.59 inspection BILLING CODE 7590±01±P —SDP—NRR may need to support perform. regional Senior Risk Analysts/others (1) Relationship with media, and —Plant performance reviews maintain sensitivity when providing RAILROAD RETIREMENT BOARD (4) NRR should have input to new information that has financial or process (PMs) commercial consequences. Proposed Data Collection Available for (5) Need more informal ways of taking (2) Participate in site inspections. Public Comment and advantage of generic resolutions (3) Be more involved with Recommendations (6) Need to define role of PM in enforcement. license renewal and decommissioning. (4) Be more involved with new SUMMARY: In accordance with the Need to retain same PM. performance assessment process. requirement of Section 3506(c)(2)(A) of

VerDate 18-JUN-99 16:50 Aug 17, 1999 Jkt 183247 PO 00000 Frm 00081 Fmt 4703 Sfmt 4703 E:\FR\FM\A18AU3.185 pfrm11 PsN: 18AUN1 44970 Federal Register / Vol. 64, No. 159 / Wednesday, August 18, 1999 / Notices the Paperwork Reduction Act of 1995 each railroad employer. Completion is Exchange Act of 1934 (‘‘Act’’) and Rule which provides opportunity for public mandatory. 12d2–2(d) promulgated thereunder, to comment on new or revised data No changes are proposed to Form BA– withdraw the security specified above collections, the railroad Retirement 11. (‘‘Security’’) from listing and Board (RRB) will publish periodic registration on the American Stock Estimate of Annual Respondent Burden summaries of proposed data collections. Exchange LLC (‘‘Amex’’ or ‘‘Exchange’’). Comments are Invited on: Gross earnings reports are required The Security has been listed for (a) Whether the proposed information annually from all employers reporting trading on the Amex and, pursuant to a collection is necessary for the proper railroad service and compensation. Registration Statement on Form 8–A There are approximately 633 railroad performance of the functions of the filed with the Commission on August 6, employers who currently report gross agency, including whether the 1999, is slated to become listed on the earnings to the RRB. Most large railroad information has practical utility; (b) the New York Stock Exchange (‘‘NYSE’’). employers include their railroad accuracy of the RRB’s estimate of the Trading in the Securities on the NYSE subsidiaries in their gross earnings burden of the collection of the is expected to commence on or about reports. This results in the RRB information; (c) ways to enhance the August 16, 1999. quality, utility, and clarity of the collecting less than 633 earnings information to be collected; and (d) reports. Also, there are a large number The Company has complied with the ways to minimize the burden related to of railroad employers have worked rules of the Amex by filing with the the collection of information on forces so small that they do not have Exchange a certified copy of the respondents, including the use of employees with social security numbers resolutions adopted by the Company’s automated collection techniques or ending in ‘‘30.’’ Currently, there are 382 Board of Directors authorizing the other forms of information technology. such employers in this category who file withdrawal of its Security from listing ‘‘negative’’ BA–11 responses to the RRB. on the Exchange and by setting forth in Title and Purpose of Information- Overall, on an annual basis, the RRB detail to the Amex the reasons for such Collecting receives 16 reports consisting of proposed withdrawal, and the facts in Gross Earnings Reports; OMB 3220– computer prepared tapes or diskettes support thereof. The Amex has in turn 0132. and 138 by means of manually prepared informed the Company that it will not In order to carry out the financial Form BA–11. The RRB estimates an interpose any objection to the interchange provisions of section 7(c)(2) average preparation time of 5 hours for withdrawal of the Company’s Security of the Railroad Retirement Act (RRA), each gross earnings report submitted by from listing on the Exchange. the RRB obtains annually from railroad computer tape or diskette and 30 In making the decision to withdraw employer’s the gross earnings for their minutes for each manually prepared its Security from listing on the Amex employees on a one-percent basis, i.e., BA–11. and to list it instead on the NYSE, the 1% of each employer’s railroad ADDITIONAL INFORMATION OR COMMENTS: Company has stated its belief that listing employees. The gross earnings sample is To request more information or to on the NYSE will benefit its based on the earnings of employees obtain a copy of the information shareholders by providing the Security whose social security numbers end with collection justification, forms, and/or exposure to a larger trading market. the digits ‘‘30.’’ the gross earnings are supporting material, please call the RRB The Company’s application relates used to compute payroll taxes under the clearance Officer at (312) 751–3363. solely to the withdrawal of the Security financial interchange. Comments regarding the information collection should be addressed to ronald from listing on the Amex and shall have The gross earnings information is no effect upon the pending listing of the essential in determining the tax J. Hodapp, Railroad Retirement Board, Security on the NYSE. Moreover, by amounts involved in the financial 844 N. Rush Street, Chicago, Illinois reason of Section 12(b) of the Act and interchange with the Social Security 60611–2092. Written comments should the rules and regulations of the Administration and Health Care be received within 60 days of this Commission thereunder, the Company Financing Administration. Besides notice. would continue to be obligated to file being necessary for current financial Chuck Mierzwa, reports with the Commission and the interchange calculations, the gross Clearance Officer. NYSE under Section 13 and other earnings file tabulations are also an [FR Doc. 21374 Filed 8–17–99; 8:45 am] applicable sections of the Act. integral part of the data needed to BILLING CODE 7905±01±M estimate future tax income and Any interested person may, on or corresponding financial interchange before September 1, 1999, submit by amounts. These estimates are made for letter to the Secretary of the Securities SECURITIES AND EXCHANGE internal use and to satisfy requests from and Exchange Commission, 450 Fifth COMMISSION other government agencies and Street, NW., Washington, DC 20549– interested groups. In addition, cash flow Issuer Delisting; Notice of Application 0609, facts bearing upon whether the projections of the social security to Withdraw From Listing and application has been made in equivalent benefit account, railroad Registration; (Intertape Polymer Group accordance with the rules of the retirement account and cost estimates Inc., Common Stock, Without Nominal Exchange and what terms, if any, should made for proposed amendments to laws or Par Value) File No. 1±10928 be imposed by the Commission for the administered by the RRB are dependent protection of investors. The on input developed from the August 11, 1999. Commission, based on the information information collection. Intertape Polymer Group Inc. submitted to it, will issue an order The RRB utilizes Form BA–11 or its (‘‘Company’’) has filed an application granting the application after the date electronic equivalent to obtain gross with the Securities and Exchange mentioned above, unless the earnings information from railroad Commission (‘‘Commission’’), pursuant Commission determines to order a employers. One response is requested of to Section 12(d) of the Securities hearing on the matter.

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For the Commission, by the Division of of service. Hearing requests should state later in this notice. Each Participating Market Regulation, pursuant to delegated the nature of the requester’s interest, the Insurance Company will enter into a authority. reason for the request and the issues fund participation agreement with the Jonathan G. Katz, contested. Persons who wish to be Insurance Products Fund in which the Secretary. notified of a hearing may request Participating Insurance Company [FR Doc. 99–21358 Filed 8–17–99; 8:45 am] notification by writing to the Secretary invests. BILLING CODE 8010±01±M of the Commission. Applicants’ Legal Analysis ADDRESSES: Secretary, SEC, 450 Fifth Street, NW, Washington, DC 20549. 1. Applicants request that the SECURITIES AND EXCHANGE Applicants, c/o Audrey C. Talley, Esq., Commission issue an order under COMMISSION Drinker Biddle & Reath LLP, 1345 Section 6(c) of the 1940 Act granting [Release No. IC±23944; File No. 812±11604] Chestnut Street, Suite 1100, exemptions from Sections 9(a), 13(a), Philadelphia, PA 19107–3496. 15(a) and 15(b) thereof and Rules 6e– Parkstone Advantage Fund et al.; FOR FURTHER INFORMATION CONTACT: 2(b)(15) and 6e–3(T)(b)(15) thereunder, Notice of Application Lorna MacLeod, Attorney, or Kevin to the extent necessary to permit shares Kirchoff, Branch Chief, Office of of the Insurance Products Funds to be August 11, 1999. Insurance Products, Division of offered and sold to, and held by: (a) AGENCY: Securities and Exchange Investment Management, at (202) 942– Variable annuity and variable life Commission (‘‘SEC’’ or ‘‘Commission’’). 0670. insurance separate accounts of the same ACTION: Notice of application for an life insurance company or of any SUPPLEMENTARY INFORMATION: The order pursuant to Section 6(c) of the affiliated life insurance company following is a summary of the Investment Company Act of 1940 (the (‘‘mixed funding’’); (b) separate application. The complete application is ‘‘1940 Act’’) granting relief from accounts of unaffiliated life insurance available for a fee from the Public Sections 9(a), 13(a), 15(a) and 15(b) of companies (including both variable Reference Branch of the SEC, 450 Fifth the 1940 Act and Rules 6e–2(b)(15) and annuity and variable life separate Street, NW, Washington, DC 20549 (tel. 6e–3(T)(b)(15) thereunder. accounts) (‘‘shared funding’’); and (c) (202) 942–8090). qualified pension and retirement plans SUMMARY OF APPLICATION: Applicants Applicants’ Representation outside the separate account context. seek an order to permit shares of any 1. The Fund is a Massachusetts 2. In connection with the funding of current or future series of the Parkstone scheduled premium variable life Advantage Fund (the ‘‘Fund’’) and business trust that is registered under the 1940 Act as an open-end insurance contracts issued through a shares of any other investment company separate account registered under the that is designed to fund variable management investment company. The Fund consists of three series which are 1940 Act as a unit investment trust, insurance products and for which the Rule 6e–2(b)(15) provides partial National City Investment Management currently offered. The Fund may in the future issue shares of additional series. exemptions from Sections 9(a), 13(a), Company (the ‘‘Adviser’’), or any of its 15(a) and 15(b) of the 1940 Act. These affiliates, may serve now or in the 2. The Adviser, a Michigan corporation, is registered as an exemptions are available only where all future, as investment adviser, (the Fund, of the assets of the separate account together with such other investment investment adviser under the Investment Advisers Act of 1940 and consist of the shares of one or more companies, the ‘‘Insurance Products registered management investment Funds’’) to be offered and sold to, and serves as the investment adviser for the Fund. companies which offer their shares held by variable annuity and variable exclusively to variable life insurance life insurance separate accounts of both 3. Shares of the Fund are offered to separate accounts of Participating separate accounts of the life insurer or affiliated and unaffiliated life insurance any affiliated life insurance company. companies (‘‘Participating Insurance Insurance Companies to serve as investment vehicles for variable annuity Therefore, the relief granted by Rule 6e– Companies’’) and qualified pension and 2(b)(15) is not available if the scheduled retirement plans outside of the separate and variable life insurance contracts (including single premium, scheduled premium variable life insurance account context (‘‘Qualified Plans’’ or separate account owns shares of a ‘‘Plans’’). premium, modified single premium and flexible premium contracts) management investment company that APPLICANTS: Parkstone Advantage Fund (collectively, ‘‘Variable Contracts’’). also offers its shares to a variable and National City Investment These separate accounts either will be annuity separate account of the same Management Company. registered as investment companies insurance company or an affiliated FILING DATE: The application was filed under the 1940 Act or will be exempt insurance company. The relief granted on May 3, 1999, and amended and from such registration. by Rule 6e–2(b)(15) is not available if restated on July 19, 1999. 4. The Participating Insurance the scheduled premium variable life HEARING OR NOTIFICATION OF HEARING: An Companies will establish their own insurance separate account owns shares order granting the application will be separate accounts and design their own of an underlying management issued unless the Commission orders a Variable Contracts. Each Participating investment company that also offers its hearing. Interested persons may request Insurance Company will have the legal shares to a variable annuity separate a hearing on this application by writing obligation of satisfying all applicable account of the same insurance company to the Secretary of the Commission and requirements under the federal or to separate accounts funding variable serving Applicants with a copy of the securities laws. The role of the contracts of one or more unaffiliated life request, in person or by mail. Hearing Insurance Products Funds will be insurance companies. The relief granted requests must be received by the limited to that of offering their shares to by Rule 6e–2(b)(15) also is not available Commission by 5:30 p.m. on September separate accounts of Participating if the shares of the Insurance Products 7, 1999, and accompanied by proof of Insurance Companies and to Qualified Funds also are sold to Qualified Plans. service on the Applicants in the form of Plans and fulfilling the conditions set 3. In connection with the funding of an affidavit or, for lawyers, a certificate forth in the application and described flexible premium variable life insurance

VerDate 18-JUN-99 19:23 Aug 17, 1999 Jkt 183247 PO 00000 Frm 00083 Fmt 4703 Sfmt 4703 E:\FR\FM\18AUN1.XXX pfrm11 PsN: 18AUN1 44972 Federal Register / Vol. 64, No. 159 / Wednesday, August 18, 1999 / Notices contracts issued through a separate the adoption of Rules 6e–2(b)(15) and Companies) that may utilize the amount registered under the 1940 Act as 6e–3(T)(b)(15). Insurance Products Funds as the a unit investment trust, Rule 6e– 6. Applicants request relief for a class funding medium for Variable Contracts. 3(T)(b)(15) provides partial exemptions or classes of persons and transactions Applicants do not expect the from Sections 9(a), 13(a), 15(a) and 15(b) consisting of Participating Insurance Participating Insurance Companies to of the 1940 Act. These exemptions are Companies and their scheduled play any role in the management or available only where all of the assets of premium variable life insurance administration of the Insurance the separate account consist of the separate accounts and flexible premium Products Funds. Applicants assert, shares of one or more registered variable life insurance separate accounts therefore, that applying the restrictions management investment companies (and, to the extent necessary, any of Section 9(a) to individuals employed which offer their shares exclusively to investment adviser, principal by Participating Insurance Companies separate accounts of the life insurer, or underwriter and depositor of such serves no regulatory purpose. of any affiliated life insurance company, separate accounts) investing in any of 10. Applicants state that the relief offering either scheduled premium the Insurance Products Funds. requested should not be affected by the variable life insurance contracts or 7. Section 6(c) authorizes the proposed sale of Insurance Products flexible premium variable life insurance Commission to grant exemptions from Funds to Qualified Plans because the contracts, or both, or which also offer the provisions of the 1940 Act, and rules Plans are not investment companies and their shares to variable annuity separate thereunder, if and to the extent that an will not be deemed affiliates solely by accounts of the life insurer or of an exemption is necessary or appropriate virtue of their shareholdings. in the public interest and consistent affiliated life insurance company. Pass-Through Voting Therefore, the exemptions provided by with the protection of investors and the Rule 6e–3(T)(b)(15) are available if the purposes fairly intended by the policy 11. Applicants submit that Rule 6e– underlying fund is engaged in mixed and provisions of the 1940 Act. 2(b)(15)(iii) and 6e–3(T)(b)(15)(iii) funding, but are not available if the fund Applicants assert that the requested assume the existence of a ‘‘pass-through is engaged in shared funding or if the exemptions are appropriate in the voting’’ requirement with respect to fund sells its shares to Qualified Plans. public interest and consistent with the management investment company 4. Applicants state that the current tax protection of investors and the purposes shares held by a separate account. law permits the Insurance Products fairly intended by the policy and Applicant state that Rule 6e–2(b)(15)(iii) Funds to increase their asset base provisions of the 1940 Act. and 6e–3(T)(b)(15)(iii) provide exemptions from the pass-through through the sale of shares to Plans. Disqualification Section 817(h) of the Internal Revenue voting requirements in limited Code of 1986, as amended (the ‘‘Code’’), 8. Section 9(a)(3) of the 1940 Act situations, assuming the limitations on imposes certain diversification provides that it is unlawful for any mixed and shared funding imposed by standards on the underlying assets of company to act as investment adviser to the 1940 Act and the rules thereunder Variable Contracts. The Code provides or principal underwriter of any are observed. More specifically, Rules that such contracts shall not be treated registered open-end investment 6e–2(b)(15)(iii)(A) and 6e– as an annuity contract or life insurance company if an affiliated person of that 3(T)(b)(15)(iii)(A) provide that the contract for any period (and any company is subject to a disqualification insurance company may disregard the subsequent period) during which the enumerated in Sections 9(a)(1) or (2). voting instructions of its contract investments are not adequately Rules 6e–2(b)(15)(i) and (ii), and 6e– owners in connection with the voting of diversified in accordance with 3(T)(b)(15)(i) and (ii) provide partial shares of an underlying investment regulations prescribed by the Treasury exemptions from Section 9(a) under company if such instructions would Department. Treasury regulations certain circumstances, subject to the require such shares to be voted to cause provide that, to meet the diversification limitations on mixed and shared an underlying investment company to requirements, all of the beneficial funding. These exemptions limit the make, or refrain from making, certain interests in an investment company application of eligibility restrictions to investments which would result in must be held by the segregated asset affiliated individuals or companies that changes in the sub-classification or accounts of one or more insurance directly participate in the management investment objectives of such company, companies. The regulations do contain or administration of the underlying or to approve or disapprove any contract certain exceptions to this requirement, investment company. between an investment company and its however, one of which permits shares of 9. Applicants state that the relief from investment adviser, when required to do an investment company to be held by Section 9(a) provided by Rules 6e– so by an insurance regulatory authority. the trustee of a qualified pension or 2(b)(15) and 6e–3(T)(b)(15), in effect, In addition, Rules 6e–2(b)(15)(iii)(B) and retirement plan without adversely limits the amount of monitoring 6e–3(T)(b)(15)(iii)(B) provide that an affecting the ability of shares in the necessary to ensure compliance with insurance company may disregard same investment company also to be Section 9 to that which is appropriate in contract owners’ voting instructions held by the separate accounts of light of the policy and purposes of with regard to changes initiated by the insurance companies in connection Section 9. Applicants assert that it is not contract owners in the investment with their variable annuity and variable necessary for the protection of investors company’s investment policies, life contracts (Treas. Reg. § 1.817– or the purposes fairly intended by the principal underwriter or investment 5(f)(3)(iii)). policy and provisions of the 1940 Act to adviser, provided that disregarding such 5. Applicants state that the apply the provisions of Section 9(a) to voting instructions is based on specific promulgation of Rules 6e–2 and 6e–3(T) the many individuals who do not good faith determinations. preceded the issuance of these Treasury directly participate in the 12. Shares of the Insurance Products regulations. Applicants assert that, administration or management of the Fund sold to Qualified Plans will be given the then current tax law the sale Insurance Products Funds, who are held by the trustees of such Plans as of shares of the same underlying fund to employed by the various unaffiliated required by Section 403(a) of the separate accounts and to Plans could insurance companies (or affiliated Employee Retirement Income Security not have been envisioned at the time of companies of Participating Insurance Act of 1974 (‘‘ERISA’’). Section 403(a)

VerDate 18-JUN-99 16:50 Aug 17, 1999 Jkt 183247 PO 00000 Frm 00084 Fmt 4703 Sfmt 4703 E:\FR\FM\A18AU3.100 pfrm11 PsN: 18AUN1 Federal Register / Vol. 64, No. 159 / Wednesday, August 18, 1999 / Notices 44973 also provides that the trustees must instructions from Qualified Plan withdraw its separate account’s have exclusive authority and discretion participants. Applicants state that, in investment in that Insurance Products to manage and control the Plan with two such cases, the purchase of shares by Fund and no charge or penalty will be exceptions: (a) when the Qualified Plan such Qualified Plans does not present imposed upon the Variable Contract expressly provides that the trustees are any complications not otherwise owner, as a result of such withdrawal. subject to the direction of a named occasioned by mixed or shared funding. 17. Applicants submit that there is no reason why the investment policies of fiduciary who is not a trustee, in which Conflicts of Interest case the trustees are subject to proper an Insurance Products Fund with mixed directions made in accordance with the 14. Applicants state that no increased funding would or should be materially terms of the Plan and not contrary to conflict of interest would be presented different from what those policies ERISA; and (b) when the authority to by the granting of the requested relief. would or should be if such Insurance manage, acquire or dispose of assets of Applicants submit that shared funding Products Fund or series thereof funded the Qualified Plan is delegated to one or does not present any issues that do not only variable annuity or variable life more investment managers pursuant to already exist where a single insurance insurance contracts. In this regard, Section 402(c)(3) of ERISA. Unless one company is licensed to do business in Applicants note that a fund’s adviser is of the two exceptions stated in Section several states. In this regard, Applicants legally obligated to manage the fund in 403(a) applies, the Qualified Plan note that when different Participating accordance with the fund’s investment trustees have exclusive authority and Insurance Companies are domiciled in objectives, policies and restrictions as responsibility for voting proxies. Where different states, it is possible that the well as any guidelines established by a named fiduciary appoints an state insurance regulatory body in a the fund’s Board. Applicants submit investment manager, the investment state in which one Participating that no one investment strategy can be manager has the responsibility to vote Insurance Company is domiciled could identified as appropriate in a particular the shares held unless the right to vote require action that is inconsistent with insurance product or to a Plan. Each such shares is reserved to the trustees or the requirements of other insurance pool of variable annuity and variable the named fiduciary. The Qualified regulators in one or more other states in life insurance contract owners is Plans may have their trustees or other which other Participating Insurance composed of individuals of diverse fiduciaries exercise voting rights Companies are domiciled. The financial status, age, insurance and attributable to investment securities possibility, however, is no different or investment goals. A fund supporting greater than exists when a single insurer held by the Qualified Plans in their even one type of insurance product and its affiliates offer their insurance discretion. Where a Qualified Plan does must accommodate these diverse factors products in several states, as is currently not provide Qualified Plan participants in order to attract and retain purchasers. permitted. with the right to give voting Applicants submit that permitting 15. Applicants state that affiliation mixed and shared funding will provide instructions. Applicants state that they does not reduce the potential, if any do not see any potential for economic support for the continuation exists, for differences in state regulatory of the Insurance Products Funds. In irreconcilable material conflicts of requirements. In any event, the interest between or among Variable addition, permitting mixed and shared conditions set forth in the application funding also will facilitate the Contract holders and Plan participants and later in this notice (which are with respect to voting of the respective establishment of additional series of adapted from the conditions included in Insurance Products Funds serving Insurance Products Fund’s shares. Rule 6e–3(T)(b)(15)) are designed to diverse goals. Accordingly, Applicants note that, safeguard against any adverse effects 18. As noted above, Section 817(h) of unlike the case with insurance company that differences among state regulatory the Code imposes certain diversification separate accounts, the issue of the requirements may produce. If a standards on the underlying assets of resolution of material irreconcilable particular state insurance regulator’s variable annuity contracts and variable conflicts with respect to voting is not decision conflicts with the majority of life insurance contracts held in the present with respect to Qualified Plans other state regulators, the affected portfolios of management investment since the Plans are not entitled to pass- insurer may be required to withdraw its companies. Treasury Regulation through voting privileges. Even if a separate account’s investment in the § 1.817–5(f)(3)(iii), which established Qualified Plan were to hold a relevant Insurance Products Funds. diversification requirements for such controlling interest in an Insurance 16. Applicants also assert that portfolios, specifically permits, among Products Fund, the Applicants do not affiliation does not eliminate the other things, ‘‘qualified pension or believe that such control would potential, if any exists, for divergent retirement plans’’ and insurance disadvantage other investors in such judgments as to when a Participating company separate accounts to share the Insurance Products Fund to any greater Insurance Company could disregard same underlying investment company. extent than is the case when any Variable Contract owner voting Therefore, Applicants assert that neither institutional shareholder holds a instructions. The potential for the Code, nor the Treasury regulations, majority of the voting securities of any disagreement is limited by the nor the revenue rulings thereunder open-end management investment requirements that disregarding voting present any inherent conflicts of interest company. In this regard, the Applicants instructions be reasonable and based on if the Qualified Plans, variable annuity submit that investment in an Insurance specified good faith determinations. separate accounts, and variable life Products Fund by a Qualified Plan will However, if the Participating Insurance insurance separate accounts all invest in not create any of the voting Company’s decision to disregard the same management investment complications occasioned by mixed Variable Contract owner voting company. funding or share funding. instructions represents a minority 19. While there are differences in the 13. Applicants state that some of the position or would preclude a majority manner in which distributions are taxed Qualified Plans may provide for the vote approving a particular change, such for variable annuity contracts, variable trustee(s), investment adviser(s) or Participating Insurance Company may life insurance contracts and Plans, another named fiduciary to exercise be required, at the election of the Applicants state that the tax voting rights in accordance with relevant Insurance Products Fund, to consequences do not raise any conflicts

VerDate 18-JUN-99 16:50 Aug 17, 1999 Jkt 183247 PO 00000 Frm 00085 Fmt 4703 Sfmt 4703 E:\FR\FM\A18AU3.101 pfrm11 PsN: 18AUN1 44974 Federal Register / Vol. 64, No. 159 / Wednesday, August 18, 1999 / Notices of interest. When distributions are to be to Variable Contract owners by conflict among the interests of the made, and the separate account of the eliminating a significant portion of the Variable Contract owners of all separate Participating Insurance Company or costs of establishing and administering accounts investing in the Insurance Qualified Plan cannot net purchase separate funds. Participating Insurance Products Funds and of the Plan payments to make the distributions, the Companies will benefit not only from participants and Qualified Plans separate account or Qualified Plan will the investment and administrative investing in the Insurance Products redeem shares of the Insurance Products expertise of the Adviser, but also from Funds. The Board will determine what Funds at their respective net asset the cost efficiencies and investment action, if any, shall be taken in response values. The Qualified Plan will then flexibility afforded by a larger pool of to such conflicts. A material make distributions in accordance with assets. Mixed and shared funding also irreconcilable conflict may arise for a the terms of the Plan and the would permit a greater amount of assets variety of reasons, including: (a) An Participating Insurance Company will available for investment by the action by any state insurance regulatory make distributions in accordance with Insurance Products Funds, thereby authority; (b) a change in applicable the terms of the Variable Contract. promoting economies of scale, by federal or state insurance, tax or 20. Applicants submit that the ability permitting increased safety through securities laws or regulations, or a of the Insurance Products Funds to sell greater diversification and by making public ruling, private letter ruling, no- their respective shares directly to the addition of new series more feasible. action or interpretive letter, or any Qualified Plans does not create a Therefore, making the Insurance similar action by insurance, tax or ‘’senior security,’’ as such term is Products Funds available for mixed and securities regulatory authorities; (c) an defined under Section 18(g) of the 1940 shared funding will encourage more administrative or judicial decision in Act, with respect to any Variable insurance companies to offer Variable any relevant proceeding; (d) the manner Contract owner as opposed to a Contracts, and this should result in in which the investments of the participant under a Qualified Plan. As increased competition with respect to Insurance Products Funds are being noted above, regardless of the rights and both Variable Contract design and managed; (e) a difference in voting benefits of participants under the pricing, which can be expected to result instructions given by variable annuity Qualified Plans, or Variable Contract in more product variation and lower contract owners, variable life insurance owners under their Variable Contracts, charges. contract owners and trustees of the the Qualified Plans and the separate 23. Applicants assert that there is no Plans; (f) a decision by a Participating accounts of Participating Insurance significant legal impediment to Insurance Company to disregard the Companies have rights only with permitting mixed and shared funding. voting instructions of Variable Contract respect to their respective shares of the Separate accounts organized as unit owners; or (g) if applicable, a decision Insurance Products Funds. They can investment trusts historically have been by a Qualified Plan to disregard the redeem such shares at their net asset employed to accumulate shares of voting instructions of Plan participants. value. No shareholder of any of the mutual funds which have not been Insurance Products Funds has any affiliated with the depositor or sponsor 3. The Adviser (or any other preference over any other shareholder of the separate account. Applicants do investment adviser of an Insurance with respect to distribution of assets or not believe that mixed and shared Products Fund), any Participating payments of dividends. funding, and sales to Qualified Plans, Insurance Company and any Qualified 21. Applicants assert that there are no will have any adverse federal income Plan that executes a fund participation conflicts between the Variable Contract tax consequences. agreement upon becoming an owner of owners and the Plan participants with 10% or more of the assets of an respect to state insurance Applicants’ Conditions Insurance Products Fund (collectively, commissioners’ veto powers over Applicants have consented to the ‘‘Participants’’), will report any investment objectives. The basic following conditions. potential or existing conflicts to the premise of shareholder voting is that not 1. A majority of each Insurance Board of any relevant Insurance all shareholders may agree with a Products Fund’s Board of Trustees or Products Fund. Participants will be particular proposal. While time- Directors (each a ‘‘Board’’) shall consist responsible for assisting the appropriate consuming, complex transactions must of persons who are not ‘‘interested Board in carrying out its responsibilities be undertaken to accomplish persons’’ thereof, as defined by Section under these conditions by providing the redemptions and transfers by separate 2(a)(19) of the 1940 Act and the rules Board with all information reasonably accounts trustees of Qualified Plans can thereunder and as modified by any necessary for the Board to consider any quickly redeem shares from Insurance applicable orders of the Commission, issues raised. This responsibility Products Funds and reinvest in other except that if this condition is not met includes, but is not limited to, an funding vehicles without the same by reason of the death, disqualification, obligation by each Participating regulatory impediments or, as in the or bona fide resignation of any Board Insurance Company to inform the Board case with most Qualified Plans, even member or members, then the operation whenever Variable Contract owner hold cash or other liquid assets pending of this condition shall be suspended: (a) voting instructions are disregarded and, suitable alternative investment. For a period of 45 days if the vacancy if pass-through voting is applicable, an Applicants maintain that even if there or vacancies may be filled by the obligation by each Qualified Plan to should arise issues where the interests remaining Board members; (b) for a inform the Board whenever it has of Variable Contract owners and the period of 60 days, if a vote of determined to disregard Plan participant interests of participants in Plans are in shareholders is required to fill the voting instructions. The responsibility conflict, the issues can be almost vacancy or vacancies, or (c) for such to report such information and conflicts immediately resolved because the longer period as the Commission may and to assist the Boards, will be trustees of the Plans can, on their own, prescribe by other upon application. contractual obligations of all redeem shares out of the Insurance 2. Each Insurance Products Fund’s Participating Insurance Companies and Products Funds. Board will monitor their respective Qualified Plans investing in the 22. Applicants submit that mixed and Insurance Products Fund for the Insurance Products Funds under their shared funding should provide benefits existence of any material irreconcilable respective agreements governing

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If a majority of an Insurance Fund’s The responsibility to take remedial Insurance Products Funds which it Board members, or a majority of the action in the event of a Board owns, in the same proportion as those disinterested Board members, determine determination of a material shares of the Insurance Products Funds that a material irreconcilable conflict irreconcilable conflict and to bear the for which voting instructions from exists, the relevant Participating cost of such remedial action shall be a contract owners are timely received. Insurance Companies and Qualified contractual obligation of all Participating Insurance Companies will Plans shall, at their own expense and to Participating Insurance Companies and be responsible for assuring that each of the extent reasonably practicable as Qualified Plans under their agreements their registered separate accounts determined by a majority of the governing participation in the Insurance participating in the Insurance Products disinterested Board members, take Products Funds, and these Funds calculates voting privileges in a whatever steps are necessary to remedy responsibilities shall be carried out with manner consistent with other or eliminate the material irreconcilable a view only to the interests of the Participating Insurance Companies. The Variable Contract owners and Plan conflict, including: (a) In the case of obligation to calculate voting privileges participants. Qualified Plans, withdrawing the assets in a manner consistent with all other 5. For purposes of Condition 4, a allocable to some or all of the Qualified registered separate accounts investing in majority of the disinterested Board the Insurance Products Fund will be a Plans from the Insurance Products Fund members of the applicable Board shall and reinvesting such assets in a contractual obligation of all determine whether or not any proposed Participating Insurance Companies different investment medium; (b) in the action adequately remedies any material case of Participating Insurance under their agreements governing irreconcilable conflict, but in no event participating in the Insurance Products Companies, withdrawing the assets will the relevant Insurance Products Funds. Each Plan will vote as required allocable to some or all of the separate Fund or the Adviser (or any other by applicable law and governing Plan accounts from the Insurance Product investment adviser of the Insurance documents. Fund or any series thereof and Products Funds) be required to establish 8. All reports of potential or existing reinvesting such assets in a different a new funding medium for any Variable conflicts received by the Board of an investment medium, including another Contract. No Participating Insurance Insurance Products Fund and all Board series of an Insurance Product Fund or Company shall be required by Condition action with regard to determining the another Insurance Product Fund, or 4 to establish a new funding medium for existence of a conflict, notifying submitting the question as to whether any Variable Contract if any offer to do Participants of a conflict, and such segregation should be so has been declined by vote of a determining whether any proposed implemented to a vote of all affected majority of the Variable Contract owners action adequately remedies a conflict, Variable Contract owners and, as materially and adversely affected by the will be properly recorded in the minutes appropriate, segregating the assets of material irreconcilable conflict. Further, of meetings of the appropriate Board or any appropriate group (i.e., variable no Qualified Plan shall be required by other appropriate records, and such annuity or variable life insurance Condition 4 to establish a new funding minutes or other records shall be made contract owners of one or more medium for any Qualified Plan if: (a) A available to the Commission upon Participating Insurance Companies) that majority of Plan participants materially request. votes in favor of such segregation, or and adversely affected by the material 9. Each Insurance Products Fund will offering to the affected Variable Contract irreconcilable conflict vote to decline notify all Participating Insurance owners the option of making such a such offer; or (b) pursuant to governing Companies that separate disclosure in change; and (c) establishing a new Plan documents and applicable law, the their respective separate account registered management investment Plan makes such decision without a prospectuses may be appropriate to company or managed separate amount. Plan Participant vote. advise accounts regarding the potential If a material irreconcilable conflict 6. The determination of the Board of risks of mixed and shared funding. Each arises because of a decision by a the existence of a material irreconcilable Insurance Products Fund shall disclose Participating Insurance Company to conflict and its implications will be in its prospectus that: (a) The Insurance disregard Variable Contract owner made known in writing promptly to all Products Fund is intended to be a voting instructions, and that decision Participating Insurance Companies and funding vehicle for variable annuity and represents a minority position or would Qualified Plans. variable life insurance contracts offered preclude a majority vote then the 7. Participating Insurance Companies by various insurance companies and for Participating Insurance Company may will provide pass-through voting qualified pension and retirement plans; be required, at the election of the privileges to Variable Contract owners (b) due to differences of tax treatment Insurance Products Fund, to withdraw who invest in registered separate and other considerations, the interests the insurer’s separate account accounts so long as and to the extent of Variable Contract owners investment in such Insurance Products that the Commission continues to participating in the Insurance Products Fund, and no charge or penalty will be interpret the 1940 Act as requiring pass- Fund and/or the interests of Qualified imposed as a result of such withdrawal. through voting privileges for Variable Plans investing in the Insurance If a material irreconcilable conflict Contract owners. As to Variable Products Fund may at some time be in arises because of a Qualified Plan’s Contracts issued by unregistered conflict; and (c) the Board will monitor decision to disregard Plan participant separate accounts, pass-through voting events in order to identify any material voting instructions, if applicable, and privileges will be extended to conflicts and to determine what action, that decision represents a minority participants to the extent granted by if any should be taken in response to position or would preclude a majority issuing insurance companies. Each any such conflict.

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10. Each Insurance Products Fund acknowledgment of this condition upon The proposed rule change, including will comply with all provisions of the such Plan’s initial purchase of the Amendment Nos. 1 and 2, was 1940 Act requiring voting by shares of any Insurance Products Fund. published for comment in the Federal shareholders (for these purposes, Register on March 4, 1999.6 No Conclusion shareholders will be the persons having comments were received on the a voting interest in the shares of the For the reasons summarized above, proposal. This order approves the Insurance Products Funds), and in Applicants assert that the requested proposal, as amended. particular, the Insurance Products exemptions are appropriate in the II. Description of Proposal Funds either will provide for annual public interest and consistent with the shareholder meetings (except insofar as protection of investors and the purposes A. General the Commission may interpret Section fairly intended by the policy and The Exchange proposes to trade 16 of the 1940 Act not to require such provisions of the 1940 Act. standardized options on the Index, a meetings) or comply with Section 16(c) For the Commission, by the Division of cash-settled narrow based index of the 1940 Act, as well as with Section Investment Management, pursuant to developed by the Amex. The Index is 16(a) of the 1940 Act and, if and when delegated authority. composed of the stocks of twelve applicable, Section 16(b) of the 1940 Margaret H. McFarland, companies engaged in the research, Act. Further, each Insurance Products Deputy Secretary. creation, development and production Fund will act in accordance with the [FR Doc. 99–21359 Filed 8–17–99; 8:45 am] of cancer fighting drugs, treatments and Commission’s interpretation of the BILLING CODE 8010±01±M processes. The Exchange will use an requirements of Section 16(a) with equal dollar weighted methodology to respect to periodic elections of Board calculate the Index.7 The Index was members and with whatever rules the SECURITIES AND EXCHANGE initialized at a level of 100.00 as of the Commission may promulgate with COMMISSION close of trading on December 31, 1992. respect thereto. 11. If and to the extent that Rules 6e– B. Eligibility Standards for Index [Release No. 34±41721; File No. SR±Amex± Components 2 or 6e–3(T) under the 1940 Act are 98±31] amended, or Rule 6e–3 under the 1940 Amex, as developer of the Index, is Act is adopted, to provide exemptive Self-Regulatory Organizations; responsible for selecting and relief from any provision of the 1940 American Stock Exchange LLC; Order maintaining the companies to be Act or the rules promulgated Approving Proposed Rule Change and included in the Index. The Exchange thereunder, with respect to mixed or Amendment Nos. 1 and 2 Thereto and represents that the Index conforms with shared funding on terms and conditions Notice of Filing and Order Granting the criteria of Exchange Rule 901C for materially different from any Accelerated Approval to Amendment including stocks in an index on which exemptions granted in the order No. 3 to the Proposed Rule Change standardized options trade. In addition, requested in the Application, then the Relating to Options on the Cure for all of the component securities currently Insurance Products Funds and/or the Cancer Common Stock Index meet the following standards: (1) Each Participants, as appropriate, shall take component has a market capitalization such steps as may be necessary to I. Introduction of at least $75 million, except one that comply with Rules 6e–2 or 6e–3(T), as On August 14, 1998, the American has a market value of at least $50 amended, or proposed Rule 6e–3, as Stock Exchange LLC (‘‘Amex’’ or million and accounts for no more than adopted, to the extent such Rules are ‘‘Exchange’’) submitted to the Securities 10% of the weight of the Index; (2) more applicable. and Exchange Commission than 80% of the weight of the Index is 12. The Participants and/or their (‘‘Commission’’), pursuant to Section accounted for by securities each having Adviser, at least annually, shall submit 19(b)(1) of the Securities Exchange Act a trading volume of not less than to each Board such reports, materials or of 1934 (‘‘Act’’),1 and Rule 19b–4 1,000,000 shares over each of the last six data as each Board may reasonably thereunder,2 a proposed rule change to months and the remaining 20% of the request so that the Board may fully carry authorize options on the Cure for Cancer weight of the Index is accounted for by out obligations imposed upon it by the Common Stock Index (‘‘Index’’). The components having a trading volume of conditions contained in the Exchange submitted Amendment No. 1 not less than 850,000 shares over each Application. Such reports, materials and to its proposal on January 28, 1999,3 of the last six months,8 (3) at least 75% data shall be submitted more frequently of the Index’s components and its if deemed appropriate by the Board. The Amendment No. 2 on February 24, 4 numerical index value currently obligations of the Participants to 1999, and Amendment No. 3 on May 5 underlie standardized options; (4) provide these reports, materials and 19, 1999. foreign country securities or American data to the Board when the Board so 1 Depositary receipts (‘‘ADR’’) thereon are reasonably requests, shall be a 15 U.S.C. 78s(b)(1). 2 contractual obligation of all Participants 17 CFR 240.19b–4. 3 See Amended Rule 19b–4 Filing (‘‘Amendment 6 See Securities Exchange Act Release No. 41100 under their agreements governing No. 1’’). (February 24, 1999), 64 FR 10512. participation in the Insurance Products 4 See Letter from Scott Van Hatten, Legal Counsel, 7 See infra Section II.C. entitled ‘‘Index Funds. Amex, to Richard Strasser, Assistant Director, Calculation’’ for a description of this calculation 13. If a Qualified Plan should ever Division of Market Regulation (‘‘Division’’), method. become a holder of 10% or more of the Commission, dated February 23, 1999 8 Previously, one component of the Index (‘‘Amendment No. 2’’). specifically agreed to by the Commission was assets of an Insurance Products Fund, 5 In Amendment No. 3, the Exchange submitted permitted to have a trading volume of not less than such Plan will execute a participation a revised list of component securities for the Index 350,000 shares. However, because the Amex revised agreement with the Insurance Products and confirmed that the revised list of component the component securities comprising the Index (see Fund that includes the conditions set securities satisfied all of the criteria set forth in the Amendment No. 3, supra note 5), this provision is notice. See Letter from Scott Van Hatten, Legal no longer needed. Telephone conversation between forth herein to the extent applicable. A Counsel, Amex, to Richard Strasser, Assistant Scott Van Hatten, Legal Counsel, Amex, and Terri Qualified Plan will execute an Director, Division, Commission, dated May 17, 1999 Evans, Attorney, Division, Commission, on May 21, application containing an (‘‘Amendment No. 3’’). 1999.

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The The Exchange will maintain the Index (‘‘NYSE’’), Amex, or traded through the newly adjusted portfolio becomes the so that (1) the Index is comprised of no facilities of the National Association of basis for the Index’s value on the first less than nine component securities; (2) Securities Dealers Automated Quotation trading day following the quarterly the component securities constituting System (‘‘Nasdaq’’) and are reported adjustment. the top 90% of the Index by weight, will National Market System (‘‘NMS’’) As noted above, the number of shares have a minimum market capitalization securities; and (6) no component of each component stock in the Index of $75 million and the component security represents more than 25% of portfolio remain fixed between quarterly stocks constituting the bottom 10% of the weight of the Index, and the five reviews except in the event of certain the Index, by weight, may have a highest weighted component securities types of corporate actions such as the minimum market capitalization of $50 in the Index do not in the aggregate payment of a dividend other than an million; (3) 75% of the Index’s account for more than 60% of the ordinary cash dividend, stock numerical index value will meet the weight of the Index.9 distribution, reorganization, then current criteria for standardized The Exchange believes the potential recapitalization, or similar event with option trading set forth in Amex Rule for manipulation of the Index is respect to the component stocks. In a 915, except that one component minimized for the following reasons: (1) merger or consolidation of an issuer of included in the 75% may meet the then No single component dominates the a component stock if the stock remains current criteria set forth in Amex Rule Index, which is equal dollar weighted, in the Index, the number of shares of 916 if submitted to and approved by the with each component constituting that security in the portfolio may be Commission, 11 (4) foreign country approximately 8.3% of the Index; (2) at adjusted, to the nearest whole share, to securities or ADRs thereon that are not least 75% of the value of the Index is maintain the component’s relative subject to comprehensive surveillance accounted for by stocks which currently weight in the Index at the level agreements will not in the aggregate underlie standardized options; and (3) immediately prior to the corporate represent more than 20% of the weight the component stocks are substantial action. In the event of a stock addition of the Index; (5) all component stocks and liquid, having an average market or replacement, the average dollar value will either be listed on Amex, NYSE, or capitalization of $402.47 million, an of the remaining components will be Nasdaq/NMS; and (6) each of the average of 26.57 million shares calculated and that amount invested in component stocks shall have a outstanding, and a six-month average the stock of the new component to the minimum monthly trading volume of at monthly trading volume of 5.8 million nearest whole share. In all cases, the least 500,000 shares for each of the last shares.10 divisor will be adjusted, if necessary, to six months, except that for each of the C. Index Calculation ensure Index continuity. lowest weighted components in the The Index will be calculated by the Similar to other stock index values Index that in the aggregate account for Amex using an ‘‘equal dollar weighted’’ published by the Exchange, the value of no more than 10% of the weight of the methodology designed to ensure that the Index will be calucated Index, trading volume must be at least each of the component securities is continuously and disseminated every 15 400,000 shares for each of the last six 12 represented in an approximately equal seconds over the Consolidated Tape months. dollar amount in the Index. The Association’s Network B. The Exchange shall not open for trading any additional option series following is a description of the D. Index Maintenance methodology. As of the market close on should the Index fail to satisfy any of December 31, 1992, a portfolio of stocks The Index will be maintained by the the maintenance criteria set forth above was established representing an Exchange consistent with it original unless such failure is determined by the investment of approximately $100,000 purpose (i.e., to include components engaged in the research, creation, 11 The Commission previously agreed to a in the stock (rounded to the nearest specific component security that could satisfy whole share) of each of the companies development and production of cancer Amex Rule 916 in lieu of Amex Rule 915. The in the Index. The value of the Index fighting drugs, treatments and Index, however, no longer needs this specific equals the current market value (i.e., processes). As stated above, the number component to satisfy the 75% requirement. based on U.S. primary market prices) of of shares of each component stock in the Nevertheless, the Amex has requested that it be allowed the flexibility to have any one of the the sum of the assigned number of share Index portfolio will remain fixed components meet the maintenance requirements in of each of the stocks in the Index between quarterly rebalances except in Amex Rule 916 in complying with the 75% options portfolio divided by the Index divisor. the event of certain types of corporate eligibility requirement should that be necessary in The Index divisor was initially actions. If necessary in order to the future. Telephone conversation between Scott Van Hatten, Legal Counsel, Amex, and Terri Evans, determined to yield the benchmark maintain continuity of the Index, its Attorney, Division, Commission, on May 21, 1999. value of 100.00 as of the close of trading divisor may be adjusted to reflect The Commission has determined to allow Amex to on December 31, 1992. Quarterly, certain events relating to the component utilize the exception in maintaining the Index following the close of trading on the stocks. These events include, but are not provided that Amex submits to the Commission for its review and approval the proposed security that third Friday of February, May August limited to, stock distributions, stock would satisfy Amex Rule 916 in lieu of Amex Rule and November, the Index portfolio will splits, reverse stock splits, spin-offs, 915. The factors the Commission will examine in be adjusted by changing the number of certain rights issuance, determining whether to permit Amex to utilize whole shares of each component stock recapalitalizations, reorganizations, and Amex Rule 916 standards include, among other things, the security’s market capitalization, daily so that each company is again mergers and acquisitions. All stock and six month trading volume, and the last six represented in ‘‘equal’’ dollar amounts. replacement and the handling of non- months price history. routine corporate actions will be 12 The Amex raised the trading volume limit for 9 The Amex confirmed that the individual announced at least ten business days in the bottom 10% of the weight of the Index from component securities satisfy all of the criteria set 350,000 to 400,000 shares. Telephone conversation forth in the notice. See Amendment No. 3, supra advance of such effective change, between Scott Van Hatten, Legal Counsel, Amex, note 5. whenever possible. The Exchange will and Terri Evans, Attorney, Division, Commission, 10 See Amendment No. 3, supra note 5. make this information available to the on May 21, 1999.

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Exchange not to be significant and the Instead of such long-term options on a III. Discussion Commission concurs in that full value Index level, the Exchange may The Commission finds that the determination. list long-term, reduced value put and proposed rule change, as amended, is call options based on one-tenth (1/10th) E. Expiration and Settlement consistent with the requirements of the of the Index’s full value. The interval Act and the rules and regulations The exercise settlement value for all between expirations months for either a thereunder applicable to a national of the Index’s expiring options will be full value or reduced value long-term securities exchange,16 and in particular, calculated based upon the primary option will not be less than six months. with the requirements of Section exchange regular way opening sale The trading of any long-term options, 6(b)(5).17 Specifically, the Commission prices for the component stocks. In the either full or reduced value, would be finds that the trading of options on the case of securities traded through the subject to the same rules that govern the Index, including FLEX and long term Nasdaq system, the first reported regular trading of all the Exchange’s index full-value and reduced value index way sale price will be used. If any options, including sales practice rules, options, will serve to promote the component stock does not open for margin requirements and floor trading public interest and help to remove trading on its primary market on the last procedures, and all options will have impediments to a free and open trading day before expiration, then the European style exercise. securities market by providing investors prior day’s last sale price will be used with an additional means to hedge in the calculation.13 H. Exchange Rules Applicable to Stock Index Options exposure to market risk associated with F. Contract Specifications stocks in the cancer research industry.18 Amex Rules 980C will apply to the The trading of options on the Index The proposed options on the Index trading of option contracts based on the will be European style (i.e., exercises and reduced-value Index, however, Index. These Exchange Rules cover raises several issues relating to index permitted at expiration only) and cash issues such as surveillance, exercise settled. Standard option trading hours design, customer protection, prices and position limits. The Index is surveillance and market impact. The (9:30 a.m. to 4:02 p.m. (ET)) will apply. deemed to be a Stock Index Option The options on the Index will expire on Commission believes, for the reasons under Amex Rule 901C(a) and a Stock discussed below, that the Amex the Saturday following the third Friday Index Industry Group under Amex Rule of the expiration month. The last trading adequately has addressed these issues. 900C(b)(1). With respect to Amex Rule day in an expiring option series will 903C(b), the Exchange proposes to list A. Index Design and Structure normally be the second to last business near-the-money (i.e., within ten points The Commission believes it is day preceding the Saturday following above or below the current Index value) appropriate for the Exchange to the third Friday of the expiration month option series on the Index at 21⁄2 point designate the Index as narrow-based for (normally a Thursday). Trading in strike (exercise) price intervals when the purposes of index options trading. The expiring options will cease at the close value of the Index is below 200 points. Index is comprised of a limited number of trading on the last trading day. In addition, the Exchange expects that of stocks intended to track a discrete G. Listing of Long-Term Options on the the review required by Amex Rule industry group: the cancer research Full or Reduced Value of the Index 904C(c) will result in a position limit of sector of the stock market. Accordingly, The Exchange plans to list option 15,000 contracts with respect to options the Commission believes it is series with expirations in the three near- on this Index. appropriate for the Amex to apply its rules governing narrow-based index term calendar months and in the two I. Surveillance additional calendar months in the options to trading in the proposed Index March cycle. In addition, longer term Surveillance procedures currently options.19 option series having up to thirty-six used to monitor trading in each of the months to expiration and FLEX Index Exchange’s other index options will also stock index futures, stock options, and the options 14 may be traded on the Index. be used to monitor trading options on underlying stock, and the need for greater sharing the Index. These procedures include of surveillance information for these potential intermarket trading abuses, the major stock index 13 The Commission notes that pursuant to Article complete access to trading activity in futures exchanges (e.g., the Chicago Mercantile XVII, Section 4 of the Options Clearing the underlying securities. Further, the Exchange and the Chicago Board of Trade) joined Corporation’s (‘‘OCC’’) by-laws, OCC is empowered Intermarket Surveillance Group (‘‘ISG’’) the ISG as affiliate members in 1990. to fix an exercise settlement amount in the event Agreement, dated July 14, 1983, as 16 In approving this rule, the Commission has it determines a current index value is unreported considered the proposed rule’s impact on or otherwise unavailable. Further, OCC has the amended on January 29, 1990, will be efficiency, competition, and capital formation. 15 authority to fix an exercise settlement amount applicable to the trading of options on U.S.C. 78c(f). whenever the primary market for the securities the Index.15 17 15 U.S.C. 78f(b)(5). representing a substantial part of the value of an 18 underlying index is not open for trading at the time Pursuant to Section 6(b)(5) of the Act, the when the current index value (i.e., the value used 15 ISG was formed on July 14, 1983 to, among Commission must predicate approval of any new for exercise settlement purposes) ordinarily would other things, coordinate more effectively option proposal upon a finding that the be determined. See Securities Exchange Act Release surveillance and investigative information sharing introduction of such new derivative instrument is No. 37315 (June 17, 1996), 61 FR 42671 (order arrangements in the stock and options markets. See in the public interest. Such a finding would be approving SR–OCC–95–19). Intermarket Surveillance Group Agreement, July 14, difficult for a derivative instrument that served no 14 See Securities Exchange Act Release No. 39928 1983. The most recent amendment to the ISG hedging or other economic function, because any (April 28, 1998), 63 FR 25130 (May 6, 1998) Agreement, which incorporates the original benefits that might be derived by market (approving FLEX options trading on all indices, agreement and all amendments made thereafter, participants likely would be outweighed by the including stock index industry groups). The was signed by ISG members on January 29, 1990. potential for manipulation, diminished public Commission notes that the Amex has established See Second Amendment to the Intermarket confidence in the integrity of the markets, and other position limits for industry index FLEX options at Surveillance Group Agreement, January 29, 1990. valid regulatory concerns. In this regard, the trading four times the position limits for standard options The members of the ISG are: Amex; the Boston of listed options in the Index will provide investors on the respective underlying industry index. Stock Exchange, Inc.; the Chicago Board Options with a hedging vehicle that should reflect the Therefore, in the present case, the position limit Exchange Inc.; the Chicago Stock Exchange, Inc.; overall movement of the stocks representing could not exceed 60,000 contracts. Telephone the National Association of Securities Dealers, Inc.; companies in the cancer research sector in the U.S. conversation between Scott Van Hatten, Legal the NYSE; the Pacific Exchange, Inc.; and the markets. Counsel, Amex, and Terri Evans, Attorney, Philadelphia Stock Exchange, Inc. Because of 19 See supra Section II.H. entitled ‘‘Exchange Division, Commission, on August 9, 1999. potential opportunities for trading abuses involving Rules Applicable to Stock Index Options.’’

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The Commission also believes that the notify the public of changes in the standardized option traded in the liquid markets, relatively large composition of the Index and the United States. capitalizations of the stocks comprising handling of non-routine corporate Lastly, the Commission believes that a majority of the weight of the Index, actions at least ten business days in settling expiration options on the Index and relative weightings of the Index’s advance of the change, whenever (including long-term full-value and component stocks minimize the possible. The Commission believes this reduced-value Index options) based on potential for manipulation of the Index. should help to protect investors and the opening process of component First, most of the stocks are actively avoid investor confusion. securities is reasonable and consistent traded. The minimum monthly trading with the Act. As noted in other contexts, volume in the aforementioned top C. Surveillance valuing options for exercise settlement weighted component stocks of the Index The Commission believes that a on expiration based on opening prices as of May 14, 1999, ranged from 2.11 surveillance sharing agreement between rather than closing prices may help million to 5.81 million shares. Second an exchange proposing to list a stock reduce adverse effects on markets for 22 the market capitalization of those stocks index derivative product and the stock underlying options on the Index. are relatively large, ranging from exchange(s) trading the stocks The Commission also finds roughly $117.66 million to $1.19 billion. underlying the derivative product is an Amendment No. 3 consistent with the Third, because the Index is equal dollar important measure for surveillance of requirements of the Act and the rules weighted, no one particular stock or the derivative and underlying securities and regulations thereunder applicable to group of stocks dominates the Index. In market. Such agreements ensure the a national securities exchange. addition, the Commission notes that the availability of information necessary to Specifically, the Commission finds that Exchange will review and maintain the detect and deter potential the proposal is consistent with the Index consistent with its original manipulations and other trading abuses, requirements of Section 6(b)(5) of the purpose. Fourth, the Index will be 23 thereby making the stock index product Act, because it removes impediments maintained so that in addition to the less readily susceptible to to and perfects the mechanism of a free other maintenance criteria discussed manipulation.20 In this regard, markets and open market and a national market above in Section II.D., at each system and, in general, protects rebalancing, at least 75% of the Index’s on which the components of the Index currently trade and the market on which investors and the public interest by numerical value will be composed of providing investors with an additional securities eligible for standardized all component stocks trade are members of the ISG, which provides for the means to hedge exposure to market risk options trading, except that one associated with stocks in the cancer component included in the 75% and exchange of all necessary surveillance information. research industry while ensuring that specifically agreed to by the only those component securities that Commission may meet the then current D. Market Impact satisfy the requirements set forth above criteria set forth in Amex Rule 916. are included in the Index. Finally, the Commission believes that The Commission believes that the The Commission finds good cause to Amex’s existing mechanisms to monitor listing and trading of options on the approve Amendment No. 3 to the trading activity in the component stocks Index, including long-term full-value proposed rule change prior to the of the Index, or options on those stocks and reduced-value Index options, on the thirtieth day after the publication of in the Index will help deter as well as Amex will not adversely impact the notice of filing of the amendment in the detect any illegal activity. underlying securities markets.21 First, as Federal Register. Specifically, noted above, due to the equal dollar B. Customer Protection Amendment No. 3 merely clarifies the weighting methodology, no one stock or composition of the Index and revises the The Commission believes that a group of stocks dominates the Index. trading data for all component regulatory system designed to protect Second, as noted above, most of the securities. Accordingly, the Commission public customers must be in place stocks contained in the Index have finds that there is good cause, consistent before the trading of sophisticated relatively large capitalizations and are with Sections 6(b)(5) and 19(b) of the financial instruments, such as options relatively actively traded. Third, the Act,24 to approve Amendment No. 3 to on the Index, can commence on a currently applicable 15,000 contract the proposal on an accelerated basis. national securities exchange. The position and exercise limits will serve to Commission notes that the trading of minimize potential manipulation and IV. Solicitation of Comments standardized exchange-traded options market impact concerns. Fourth, the risk Interested persons are invited to occurs in an environment that is to investors of contraparty non- submit written data, views and designed to ensure, among other things, performance will be minimized because arguments concerning the foregoing, that: (1) The special risks of options are the options on the Index will be issued including whether the proposed rule disclosed to public customers; (2) only and guaranteed by the Options Clearing change is consistent with the Act. investors capable of evaluating and Corporation just like any other Persons making written submissions bearing the risks of options trading are should file six copies thereof with the engaged in such trading, and (3) special 20 See Securities Exchange Act Release No. 31243 Secretary, Securities and Exchange compliance procedures are applicable to (September 28, 1992), 57 FR 45849 (October 5, Commission, 450 Fifth Street, N.W., options accounts. Accordingly, because 1992). Washington, D.C. 20549–0609. Copies of options on the Index will be subject to 21 In addition, the Amex and the OPRA have represented that the Amex and the OPRA have the the submission, all subsequent the same regulatory regime as other amendments, all written statements standardized options currently traded necessary systems capacity to support those new series of index options that would result from the with respect to the proposed rule on the Amex, the Commission believes introduction of options on the Index. See Letters change that are filed with the that adequate safeguards are in place to from Scott Van Hatten, Legal Counsel, Amex, to ensure the protection of investors in Richard Strasser, Assistant Director, Division, Commission, dated October 21, 1998, and from Joe 22 See Securities Exchange Release No. 30944 options on the Index. Finally, the Amex Corrigan, Executive Director, OPRA, to Richard (July 21, 1992), 57 FR 33376 (July 28, 1992). has stated that it will distribute Strasser, Assistant Director, Division, Commission, 23 15 U.S.C. 78f(b)(5). information circulars to the public to dated January 15, 1999. 24 15 U.S.C. 78f(b)(5) and 78s(b).

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Commission, and all written SECURITIES AND EXCHANGE CBOE Rule 2.40, Market-Maker communications relating to the COMMISSION Surcharge for Brokerage.3 proposed rule change between the [Release No. 34±41727; File No. SR±CBOE± II. Self-Regulatory Organization’s Commission and any person, other than 99±39] Statement of the Purpose of, and those that may be withheld from the Statutory Basis for, the Proposed Rule public in accordance with the Self-Regulatory Organizations; Notice Change provisions of 5 U.S.C. 552, will be of Filing and Immediate Effectiveness available for inspection and copying in of Proposed Rule Change by the In its filing with the Commission, the the Commission’s Public Reference Chicago Board Options Exchange, CBOE included statements concerning Room in Washington, D.C. Copies of Inc., Relating to the Market-Maker the purpose of and basis for the Surcharge Fee Schedule such filing will also be available for proposed rule change discussed any inspection and copying at the principal August 11, 1999. comments it received on the proposed office of the Exchange. All submissions Pursuant to Section 19(b)(1) of the rule change. The text of these statements should refer to File No. SR–Amex–98– Securities Exchange Act of 1934 may be examined at the places specified 31 and should be submitted by (‘‘Act’’),1 and Rule 19b–4 thereunder,2 in Item IV below. The CBOE has September 8, 1999. notice is hereby given that on July 23, prepared summaries, set forth in Section 1999, the Chicago Board Options V. Conclusion A, B, and C below, of the most Exchange, Inc., (‘‘CBOE’’ or significant aspects of such statements. It is therefore ordered, pursuant to ‘‘Exchange’’) filed with the Securities A. Self-Regulatory Organization’s Section 19(b)(2) of the Act,25 that the and Exchange Commission Statement of the Purpose of, and proposed rule change (SR–Amex–98– (‘‘Commission’’) the proposed rule Statutory Basis for, the Proposed Rule 31), as amended, is approved. change as described in Items I, II, and Change For the Commission, by the Division of III below, which Items have been prepared by the CBOE. The Commission Market Regulation, pursuant to delegated 1. Purpose authority.26 is publishing this notice to solicit comments on the proposed rule change Pursuant to CBOE Rule 2.40, the Margaret H. McFarland, from interested persons. Deputy Secretary. Equity Floor Procedure Committee (‘‘Committee’’) approved the following [FR Doc. 99–21361 Filed 8–17–99; 8:45 am] I. Self-Regulatory Organization’s Statement of the Terms of Substance of fees for the following option classes: BILLING CODE 8010±01±M the Proposed Rule Change The CBOE is proposing to make changes to its fee schedule pursuant to

Market-maker Order book of- Option class surcharge (per ficial broker- contract) age rate (per contract) 4

For Motor Company (F) ...... $0.14 $0.00 4 The surcharge will be used to reimburse the Exchange for the reduction in the Order Book Official brokerage rate from $0.20 in the relevant option classes. Any remaining funds will be paid to Stationary Floor Brokers as provided in Exchange Rule 2.40.

The fee for Ford Motor Company will any burden on competition that is not subparagraph (f)(2) of Rule 19b–4 be effective as of August 2, 1999. All of necessary or appropriate in furtherance thereunder.7 At any time within 60 days the fees will remain in effect until such of the purposes of the Act. of the filing of the proposed rule change, time as the Committee or the Board C. Self-Regulatory Organization’s the Commission may summarily determines to change these fees and Statement on Comments on the abrogate such rule change if it appears files the appropriate rule change with Proposed Rule Change Received from to the Commission that such is the Commission. Members, Participants, or Others necessary or appropriate in the public 2. Statutory Basis interest, for the protection of investors, Written comments on the proposed or otherwise in furtherance of the The Exchange believes the proposed rule change were neither solicited nor purposes of the Act.8 rule change is consistent with Section received. 6(b)(4) 5 of the Act because it is designed IV. Solicitation of Comments III. Date of Effectiveness of the to provide for the equitable allocation of Proposed Rule Change and Timing for reasonable dues, fees, and other charges Interested persons are invited to Commission Action among its members. submit written data, views, and The foregoing rule change establishes arguments concerning the foregoing, B. Self-Regulatory Organization’s or changes a due, fee, or other charge including whether the proposed rule Statement on Burden on Competition imposed by the Exchange and, therefore, change is consistent with the Act. The Exchange does not believe that has become effective pursuant to Persons making written submissions the proposed rule change will impose Section 19(b)(3)(A)(ii) 6 of the Act and should file six copies with the

25 15 U.S.C. 78s(b)(2). 3 See Securities Exchange Act Release No. 41121 7 17 CFR 240.19B–4(f)(2). 26 17 CFR 200.30–3(a)(12). (February 26, 1999), 64 FR 11523 (March 9, 1999) 8 In reviewing this proposal, the Commission has ( order approving CBOE Rule 2.40). 1 15 U.S.C. 78s(b)(1). considered the proposal’s impact on efficiency, 5 15 U.S.C. 78f(b)(4). 2 17 CFR 240.19b–4. competition, and capital formation. 15 U.S.C. 78c(f). 6 15 U.S.C. 78s(b)(3)(A)(ii).

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Secretary, Securities and Exchange Brokerage, to eliminate the restriction eliminating this restriction,5 because Commission, 450 Fifth Street, N.W., against a surcharge from being assessed specialists on other exchanges, who may Washington, D.C. 20549–0609. Copies of on trades in classes not traded on trade both single-list and multiple-list the submission, all subsequent another options exchange. The text of issues, have greater flexibility than amendments, all written statements the proposed rule change is available at CBOE market-makers currently having with respect to the proposed rule the Office of the Secretary, CBOE and at using CBOE Rule 2.40 to adjust their change that are filed with the the Commission. transaction fees. Specifically, these Commission, and all written specialists are able to seek to attract II. Self-Regulatory Organization’s communications relating to the customer loyalty and a larger portion of Statement of the Purpose of, and proposed rule change between the their order flow in the multiple-listed Statutory Basis for, the Proposed Rule Commission and any person, other than issues by reducing fees and charges not Change those that may be withheld from the just for those multiple-listed classes, but public in accordance with the In its filing with the Commission, the also for the single-list classes. provisions of 5 U.S.C. 552, will be CBOE included statements concerning Consequently, the Exchange will find it available for inspection and copying at the purpose of a and statutory basis for more and more difficult to compete for the Commission’s Public Reference the proposed rule change and discussed order flow in multiple-listed issues— Room. Copies of such filing also will be any comments it received on the even with Exchange Rule 2.40 in available for inspection and copying at proposed rule change. The text of these place—as long as specialists are able to the principal office of the CBOE. All statements may be examined at the entice firms to send order flow to them submissions should refer to File No. places specified in Item IV below. The by more broadly reducing their fees, to SR–CBOE–99–39 and should be Exchange has prepared summaries, set include their single-list issues. The submitted by September 8, 1999. forth in Sections A, B, and C below, of elimination of the single-list prohibition the most significant aspects of such will allow the Exchange to provide the For the Commission, by the Division of surcharge to floor brokers (thereby Market Regulation, pursuant to delegated statements. authority.9 inducing a reduction in their brokerage A. Self-Regulatory Organization’s rates on customer orders) and/or to Margaret H. McFarland, Statement of the Purpose of, and reduce the book brokerage rate in single- Deputy Secretary. Statutory Basis for, the Proposed Rule list issues which will expand the benefit [FR Doc. 99–21360 Filed 8–17–99; 8:45 am] Change of this program and the potential benefit BILLING CODE 8010±01±M 1. Purpose to customers. In requesting the Exchange to revise The Exchange recently received its original proposal to limit the SECURITIES AND EXCHANGE approval from the Commission to assess surcharge to multiple-listed issues only, COMMISSION a surchange on market-makers trading the Exchange is aware that the in multiply-listed classes pursuant to commission believed that competition [Release No. 34±41732; File No. SR±CBOE± 3 99±30] new CBOE Rule 2.40. The Exchange among exchanges in the multiple-listed believes CBOE Rule 2.40 will enable the classes would obviate the risk that the August 11, 1999. Exchange to compete for order flow spreads in these classes would not be more effectively against other options Self-Regulatory Organizations; Notice widened to compensate for the cost of exchanges. of Filing of Proposed Rule Change by market-makers of any surcharges. As the In this present filing, the Exchange the Chicago Board Options Exchange, need for the proposed rule change proposes to eliminate a restriction in Inc. Relating to Elimination of the makes clear, that same rationale extends paragraph (e) of CBOE Rule 2.40 which Prohibition Against Market-Maker to single-list classes, since the overall prohibits a surcharge from being Surcharges on Single-List Issues competition for order flow encompasses assessed on trades in classes not traded all issues, whether single- or multiple- Pursuant to Section 19(b)(1) of the on another options exchange. When the list. Moreover, the Exchange believes Securities Exchange Act of 1934 Commission approved Exchange Rule that current safeguards in CBOE Rule (‘‘Act’’) 1 and Rule 19b–4 thereunder,2 2.40 recently, the Commission stated 2.40 will protect against a widening of notice is hereby given that on June 23, that it believes ‘‘that the proposed rule the spreads on the single-list issues 1999, the Chicago Board Options change, as amended, is a reasonable which become subject to a surcharge. Exchange, Inc. (‘‘CBOE’’ or ‘‘Exchange’’) effort by CBOE to better enable its Specifically, the cap on the surcharge filed with the Securities and Exchange competitive market-maker crowds to amount of $0.25/contract should help to Commission (‘‘Commission’’) the compete for multiply-listed options ensure that spreads are not widened in proposed rule change as described in with other exchanges that employ a the single-list issues.6 Of course, the Items I, II, and III below, which Items specialist system.’’ 4 While the Exchange Exchange is also obligated to analyze have been prepared by the CBOE. The agrees that the proposed rule provides data comparing spreads before and after Commission is publishing this notice to the Exchange with the tools to compete the imposition of the surcharge so any solicit comments on the proposed rule more effectively in attracting order flow change from interested persons. in multiple list issues, the Exchange 5 The Exchange added the prohibition against believes CBOE Rule 2.40 would be more imposing the surcharge on single list issues at the I. Self-Regulatory Organization’s effective and useful if the restriction suggestion of Commission staff. 6 Statement of the Terms of Substance of against imposing a surcharge on single- As the Exchange noted in Amendment No. 1 to the Proposed Rule Change SR–CBOE–98–35 (dated February 26, 1999), the list issues was eliminated. minimum bid-ask spread for the option class is The CBOE proposes to amend CBOE The Exchange believes CBOE Rule $6.25 (one sixteenth of a dollar ($0.0625) times a Rule 2.40, Market-Maker Surcharge for 2.40 would be more effective by multiplier of 100 since one option contract represents 100 shares of stock) although the actual spread for many options in wider. (Given that the 9 17 CFR 200.30–3(a)(12). 3 Securities Exchange Act Release No. 41121 spread is usually at $6.25 or greater, the Exchange 1 15 U.S.C. 78s(b)(1). (February 26, 1999), 64 FR 1123 (March 9, 1999). believes it is unlikely that spreads would be 2 17 CFR 240.19b–4. 4 Id., 64 FR at 11525. adjusted to account for a surcharge of $0.25 or less.

VerDate 18-JUN-99 16:50 Aug 17, 1999 Jkt 183247 PO 00000 Frm 00093 Fmt 4703 Sfmt 4703 E:\FR\FM\A18AU3.200 pfrm11 PsN: 18AUN1 44982 Federal Register / Vol. 64, No. 159 / Wednesday, August 18, 1999 / Notices possible ill effects of the elimination of change is consistent with the Act. On February 13, 1998, pursuant to the prohibition will be readily noted. Persons making written submissions Sections 17A(b) and 19(a)(1) of the Act 3 Finally, the Exchange believes the should file six copies thereof with the and Rule 17Ab2–1 promulgated elimination of this prohibition against Secretary, Securities and Exchange thereunder,4 the Commission granted imposing the surcharge on single-list Commission, 450 Fifth Street, NW, EMCC’s application for registration as a issues would be fair. Specialists on the Washington, DC 20549–0609. Copies of clearing agency until August 20, 1999.5 other exchanges today are able to the submission, all subsequent EMCC was created to facilitate the change their fees on their single-list amendments, all written statements clearance and settlement of transactions issues without having to study or justify with respect to the proposed rule in U.S. dollar denominated Brady any possible effect this action may have change that are filed with the Bonds.6 on the spreads in those issues. The Commission, and all written EMCC began operating on April 6, Exchange wants to provide its communications relating to the 1998, with ten dealer members and five marketmakers with the same ability to proposed rule change between the interdealer brokers clearing through apply the surcharge to single-list Commission and any person, other than Daiwa Securities America, Inc.7 In its issues.7 those that may be withheld from the first month of operation, EMCC public in accordance with the members achieved an average trade-date 2. Statutory Basis provisions of 5 U.S.C. 552, will be matching the rate of over 97 percent on The CBOE believes that the proposed available for inspection and copying at 71 eligible securities for an average rule change is in furtherance of Section the Commission’s Public Reference volume of over 360 sides per day.8 Prior 6(b)(5) the Act 8 in that it is designed to Room. Copies of such filing will be to EMCC beginning its operations, remove impediments to a free and open available for inspection and copying at approximately only 40 percent of trades market and to protect investors and the the principal office of the Exchange. All compared on trade date resulting in a public interest. submissions should refer to File No. considerable number of failed transactions.9 During its temporary B. Self-Regulatory Organization’s SR–CBOE–99–30 and should be submitted by September 8, 1999. registration period, EMCC typically Statement on Burden on Competition handled 700 sides per day. However, The Exchange does not believe that For the Commission, by the Division of during the market crisis in Asia, Latin the proposed rule change will impose Market Regulation, pursuant to delegated America, and Russia, EMCC authority.9 any burden on competition that is not successfully handled volume in excess necessary or appropriate in furtherance Margaret H. McFarland, of 1,000 sides per day.10 of the Act. Deputy Secretary. During its temporary registration [FR Doc. 99–21444 Filed 8–17–99; 8:45 am] period, EMCC expanded the list of C. Self-Regulatory Organization’s BILLING CODE 8010±01±M eligible instruments to include not only Statement on Comments on the Brady Bonds but also the sovereign debt Proposed Rule Change Received From of any emerging market country.11 Members, Participants, or Others SECURITIES AND EXCHANGE EMCC also modified its rules to allow Written comments on the proposed COMMISSION it to accept data directly from either its rule change were neither solicited nor members or from service bureaus and to received. [Release 34±41733; File No. 600±30] compare trades.12 As part of EMCC’s temporary III. Date of Effectiveness of the Self-Regulatory Organizations; registration, the Commission granted Proposed Rule Change and Timing for Emerging Markets Clearing EMCC temporary exemptions from Commission Action. Corporation; Notice of Filing and Order Section 17A(b)(3)(B) of the Act because Within 35 days of the date of Approving a Request for Extension of EMCC did not provide for the admission publication of this notice in the Federal Temporary Registration as a Clearing of some of the categories of members Register or within such longer period (i) Agency as the Commission may designate up to 3 15 U.S.C. 78q–1(b) and 78s(a)(1). 90 days such date if it finds such longer August 12, 1999. 4 17 CFR 240.17Ab2–1. period to be appropriate and publishes Notice is hereby given that on July 1, 5 Securities Exchange Act Release No. 39661, its reasons for so finding or (ii) as to International Series Release No. 1117 (February 13, 1999, the Emerging Markets Clearing 1998), 63 FR 8711 (February 20, 1998) which the self-regulatory organization Corporation (‘‘EMCC’’) filed with the (‘‘Registration Order’’). consents, the Commission will: Securities and Exchange Commission 6 Brady bonds are restructured bank loans. They (A) By order approve the proposed (‘‘Commission’’) an application were first issued pursuant to a plan developed by rule change, or pursuant to Section 19(a)(1) of the then U.S. Treasury Secretary Nicholas Brady to Institute proceedings to determine assist debt-ridden countries restructure their Securities Exchange Act of 1934 sovereign debt into commercially marketable whether the proposed rule change (‘‘Act’’) 1 requesting that the securities. The plan provided for the exchange of should be disapproved. Commission extend EMCC’s temporary bank loans for collateralized debt securities as part registration as a clearing agency for one of an internationally supported sovereign debt IV. Solicitation of Comments restructuring. Typically, the collateral would be year.2 The Commission is publishing Interested persons are invited to U.S. Treasury securities. this notice and order to solicit 7 EMCC has been advised that Daiwa will stop submit written data, views, and comments from interested persons and providing clearing services for interdealer brokers arguments concerning the foregoing, to extend EMCC’s temporary registration by the end of September 1999. including whether the proposed rule as a clearing agency until August 20, 8 EMCC Annual Report, p. 2. 9 2000. Id. 7 Under CBOE Rules 2.40 the appropriate Floor 10 Id. Procedure Committing actually imposes the 11 Securities Exchange Act Release No. 40363 surcharge on a class of options but the market- 9 17 CFR 200.30–3(a)(12). (August 25, 1998), 63 FR 46 46263 (August 31, makers in the training crowd may recommend a 1 15 U.S.C. 78s(a)(1). 1999). surcharge amount. 2 Letter from Richard Paley, Associate Counsel, 12 Securities Exchange Act Release No. 41247 8 15 U.S.C. 78f(b)(5). EMCC (July 1, 1999) and Form CA–1 (July 1, 1999). (April 2, 1999), 64 FR 17705 (April 12, 1998).

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The Section 19(a) of the Act, that EMCC’s categories of members is appropriate at interpretation, which will be issued as registration as a clearing agency (File least during a clearing agency’s initial a Notice to Members, addresses how phases of operations especially when no No. 600–30) be and hereby is mark-ups and other fees will be treated one in a category not covered by EMCC temporarily approved through August for determining whether trades are desires to be a member. Accordingly, 20, 2000. executed at the ‘‘same’’ price, for the Commission is extending EMCC’s For the Commission by the Division of purposes of the aforementioned NASD temporary exemption from Section Market Regulation, pursuant to delegated rules. The text of the proposed rule 17A(b)(3)(B). authority.17 change is available at the NASD, and at the Commission. The Commission also granted EMCC a Margaret H. McFarland, temporary exemption from Sections Deputy Secretary. II. Self-Regulatory Organization’s 17A(b)(3)(A) and 17A(b)(3)(F) of the Act [FR Doc. 99–21441 Filed 8–17–99; 8:45 am] Statement of the Purpose of, and to permit EMCC to use, subject to Statutory Basis for, the Proposed Rule BILLING CODE 8010±01±M certain limitations, ten percent of its Change clearing fund to collaterize a line of credit at Euroclear to finance on an In its filing with the Commission, SECURITIES AND EXCHANGE intraday basis the receipt by EMCC of Nasdaq included statements concerning COMMISSION eligible instruments from one member the purpose of and basis for the that EMCC will redeliver to another proposed rule change and discussed any member.14 The Registration Order [Release No. 34±41731; File No. SR±NASD± comments it received on the proposed limited EMCC’s use of clearing fund 99±39] rule change. The text of these statements deposits for this intraday financing to may be examined at the places specified the earlier of one year after EMCC Self-Regulatory Organizations; Notice in Item IV below. Nasdaq has prepared commenced operations or the date on of Filing and Immediate Effectiveness summaries, set forth in Sections A, B, which EMCC begins its netting service. of Proposed Rule Change by the and C below, of the most significant On April 2 and May 17, 1999 the National Association of Securities aspects of such statements. Dealers, Inc. Regarding Riskless Commission approved rule changes that A. Self-Regulatory Organization’s Principal Trade Reporting Rules permitted EMCC to implement a netting Statement of the Purpose of, and service and that extended EMCC’s August 11, 1999. Statutory Basis for, the Proposed Rule ability to use clearing fund deposits for Change intraday financing at Euroclear until all Pursuant to Section 19(b)(1) of the EMCC members are netting members (as Securities Exchange Act of 1934 1. Purpose 1 2 opposed to the date on which netting (‘‘Act’’), and Rule 19b–4 thereunder, Background. On March 24, 1999, the services are available or EMCC’s first notice is hereby given that on August 5, Commission approved a proposal to anniversary).15 Accordingly, the 1999, the National Association of amend the trade reporting rules relating Commission is extending EMCC’s Securities Dealers, Inc. (‘‘NASD’’ or to riskless principal transactions in temporary exemption from Section ‘‘Association’’), through its wholly Nasdaq National Market, The Nasdaq 17A(b)(3)(A) and (F). owned subsidiary, the Nasdaq Stock SmallCap Market, Nasdaq convertible Interested persons are invited to Market, Inc. (‘‘Nasdaq’’), filed with the debt, and non-Nasdaq OTC equity submit written data, views, and Securities and Exchange Commission securities.5 When the SEC approved the arguments concerning the foregoing (‘‘SEC’’ or ‘‘Commission’’) the proposed rule change, the Commission asked application. Such written data, views, rule change as described in Items I, II, Nasdaq to submit an interpretation and arguments will be considered by the and III below, which Items have been providing examples of how mark-ups, Commission in granting registration or prepared by Nasdaq. Nasdaq has mark-downs, and other fees will be instituting proceedings to determine designated this proposal as one excluded for purposes of the amended whether registration should be denied constituting a stated policy and riskless principal rules.6 As requested, in accordance with Section 19(a)(1) of interpretation with respect to the Nasdaq is distributing Notice to 16 the Act. Persons making written meaning of an existing rule under Members 99–65,7 which provides submissions should file six copies Section 19(b)(3)(A)(i) of the Act 3 and examples of how mark-ups and other thereof with the Secretary, Securities Rule 19b–4(f)(1) 4 thereunder, which fees will be excluded for purposes of the and Exchange Commission, 450 Fifth renders the rule effective upon the riskless principal trade-reporting rules, Street, NW., Washington, DC 20549– Commission’s receipt of this filing. The as an interpretation to existing NASD 0609. Copies of the amended Commission is publishing this notice to Rules 4632, 4642, 4652, and 6620. application for registration and all solicit comments on the proposed rule written comments will be available for change from interested persons. 5 See Securities Exchange Act Release No. 41208 (March 24, 1999) 64 FR 15386 (March 31, 1999) 13 Registration Order at 8716. (SR–NASD–98–59). 17 14 Registration Order at 8720. 17 CFR 200.30–3(a)(16). 6 See id. at footnote 15. 1 15 Securities Exchange Act Release Nos. 41247 15 U.S.C. 78s(b)(1). 7 The NASD has submitted Notice to Members (April 2, 1999), 64 FR 17705 (April 12, 1999) and 2 17 CFR 240.19b–4. 99–65 as Exhibit 2 to this rule filing. The Notice is 41415 (May 17, 1999), 64 FR 27841 (May 21, 1999). 3 15 U.S.C. 78s(b)(3)(A)(i). available for inspection at the NASD and at the 16 15 U.S.C. 78s(a)(1). 4 17 CFR 240.19b–4(f)(1). Commission.

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Substance of the Interpretation. (buy) with the customer at another upon request.13 If market maker charged a Under the riskless principal trade price, such as when a market maker is mark-down, commission-equivalent, or other reporting rules approved by the trading ‘‘net’’ with an institution. If fee on top of the $101⁄4, it also would be Commission, a market maker reports as what otherwise would appear to be a permissible for the confirmation to disclose the fee as a single amount. ‘‘riskless’’ principal once if the market riskless principal trade is effected at two Alternatively, if MMA trades on a net basis maker receives an order to buy (sell) a different net prices, a market maker is and buys 6,000 shares from his customer at security, and then purchases (sells) the required to report both legs of the $10 (or another price different than the 10 1 security as principal at the same price transaction to the tape. Notice to VWAP of $10 ⁄4), MMA would also report the as the order in hand to satisfy the order Members 99–65 instructs, however, that buy with its customer to the tape because the to buy (sell). As stated in the if a member is working an order for an VWAP and the buy from the customer are interpretation contained in Notice to institutional account or a block size and different prices. The confirmation would Members 99–65, to determine whether the member finds the other side of the disclose a reported price of $10, a price to the customer of $10, and no differential. two transactions are executed at the order, the presumption will be that the same price, a market maker must orders will be matched off at the same 2. Statutory Basis compare the price reported to the price (exclusive of any mark-up or The NASD and Nasdaq believe that Automated Confirmation Transaction mark-down, commission equivalent or the new interpretation increases 8 Service (‘‘ACT’’) pursuant to NASD other fee) and reported as riskless investor protection and clarifies a trade reporting rules, which require principal, unless the customer has member’s obligations under the NASD members to exclude any mark-up or specifically requested that the order be trade reporting rules. Accordingly, the mark-down, commission-equivalent, or traded on a net basis, at a different NASD and Nasdaq believe that the other fee when trade reporting (‘‘tape price. The Notice to Members 99–65 proposed rule change is consistent with price’’), and the price of the offsetting further notes that, while net trading is the provisions of Section 15A(b)(6) of trade with the customer, exclusive of not impermissible, market makers the Act,14 in that it is designed to any mark-up or mark-down, should endeavor to trade at one price prevent fraudulent and manipulative commission-equivalent, or other fee when executing riskless principal acts and practices, to promote just and (‘‘net price’’). If the tape price and the transactions because this will provide equitable principles of trade, to remove net price to the customer are the same, greater transactional integrity and will impediments to, and perfect the then the transaction must be reported as have the corollary benefit of reducing mechanism of a free market and a riskless principal to the NASD and the SEC transaction fees (commonly known national market system, and, in general, offsetting leg with the customer should 11 as ‘‘Section 31 fees’’). to protect investors and the public not be reported to the NASD. If a market The following provides an example of interest. maker is executing a large order through how Nasdaq believes the riskless a series of trades and has an principal trade reporting rules will B. Self-Regulatory Organization’s arrangement to charge the customer an operate: Statement on Burden on Completion average price based on the various 3 Nasdaq Inside Market: $10—10 ⁄8, 10 × 10 Nasdaq does not believe that the executions received, the net price to the Question—MMA receives a not-held order proposed rule change will result in any customer and the volume weighted from an institutional customer to sell 6,000 burden on competition that is not average price (‘‘VWAP’’) of the trades shares, with instructions to obtain the best necessary or appropriate in furtherance must be the same for the transaction to price available with a ‘‘bottom’’ of $101⁄8. of the purposes of the Act, as amended. receive riskless principal treatment. Using the phone, MMA sells 4,000 shares at Notice to Members 99–65 also states $103⁄8 to MMB and 2,000 shares at $10 to C. Self-Regulatory Organization’s that the riskless principal trade MMC. What are MMA’s trade reporting Statement on Comments on the reporting rules do not mandate the obligations? Proposed Rule Change Received From prices at which market makers must Answer—MMA must report to ACT the sell Members, Participants, or Others to MMB of 4,000 shares at $103⁄8 and the sell execute the various legs of ‘‘riskless to MMC of 2,000 shares at $10. (Note that the Written comments were neither principal’’ transactions. Nor do the rules volume weighted average price for this trade solicited nor received. prohibit market makers from trading on is $101⁄4.) If MMA buys 6,000 shares from his a net basis. Thus, a market maker is not customer at a volume weighted average price III. Date of Effectiveness of the precluded from accumulating a position (VWAP) of $101⁄4, she/he will not be required Proposed Rule change and timing for at one price and executing the offsetting to report to the tape the offsetting buy with Commission Action the customer. The NASD believes that it trade with the customer at another price The foregoing rule change has become (with no mark-up, mark-down, would be consistent with the SEC No Action Letter Regarding SEC Rule 10b–10 12 for effective pursuant to Section commission-equivalent or other fee), MMA to disclose on the confirmation a 19(b)(3)(A)(i) of the Act 15 and Rule 19b– 16 provided such arrangement satisfies the reported price of $101⁄4—the VWAP—instead 4(f)(1) in that it constitutes a stated member’s best execution obligation and of a reported price for each individual policy and interpretation with respect to is consistent with SEC and NASD transaction. The confirmation must contain a the meaning of an existing rule. statements regarding the matching of notation that the disclosed price is an average At any time within 60 days of the limit and market orders.9 price, ad must note that details regarding the filing of a rule change pursuant to actual price are available to the customer Nasdaq recognizes that there are times Section 19(b)(3)(A) of the Act, the when a market maker will, while Commission may summarily abrogate holding a customer’s order, effect a buy 10 The NASD and Nasdaq currently are examining whether trade reporting rules should be further the rule change if it appears to the (sell) at one price and an offsetting sell amended to cover market makers reporting riskless Commission that such action is principal trades at different prices. necessary or appropriate in the public 8 See NASD Rule 4651(b). 11 See Section 31 of the Act, 16 U.S.C. 78ee. interest, for the protection of investors, 9 See Securities Exchange Act Release No. 12 See, e.g., SEC No-action letter from Catherine 37619A (September 6, 1996), 61 FR 48290 McGuire, SEC, to Eugene Lopez, Nasdaq, dated May 13 (September 12, 1996) (Order Handling Rules 6, 1997 (permitting the issuance of a single See id. Adopting Release); NASD Notice to Members 96–65 confirmation at an average price and with multiple 14 15 U.S.C. 78o–3(b)(6). (October 1996); NASD Notice To Members 97–57 capacities for a single customer order effected with 15 15 U.S.C. 78s–(b)(3)(A). (September 1997). multiple executions). 16 17 CFR 240.19b–4(f)(1).

VerDate 18-JUN-99 16:50 Aug 17, 1999 Jkt 183247 PO 00000 Frm 00096 Fmt 4703 Sfmt 4703 E:\FR\FM\A18AU3.192 pfrm11 PsN: 18AUN1 Federal Register / Vol. 64, No. 159 / Wednesday, August 18, 1999 / Notices 44985 or otherwise in furtherance of the The Commission is publishing this before 3:50 p.m., members and member purposes of the Act. notice to solicit comments on the organizations must cancel MOC index proposed rule change from interested arbitrage orders that are related to a IV. Solicitation of Comments persons. derivative index product that is not Interested persons are invited to expiring and that do not meet the Rule’s I. Self-Regulatory Organization’s submit written data, views, and tick, restrictions no later than 3:50 p.m. arguments concerning the foregoing, Statement of the Terms of Substance of In June 1998, the Commission including whether the proposed rule the Proposed Rule Change approved amendments to procedures change is consistent with the Act. The proposed rule change amends the regarding entry of MOC and LOC orders Persons making written submissions Exchange’s market-at-the-close (‘‘MOC’’) and the publications of order should file six copies thereof with the and limit on-close (‘‘LOC’’) procedures 6 Secretary, Securities and Exchange imbalances. The Commission noted in to prohibit cancellation of MOC an LOC its approval order that the enhanced Commission, 450 Fifth Street, NW, orders for any reason after 3:50 p.m. Washington, DC 20549–0609. Copies of publication requirements (e.g., at 3:50 the submission, all subsequent II. Self-Regulatory Organization’s p.m. and the integration of marketable amendments, all written statements Statement of the Purpose of, and LOC orders in the imbalance may help with respect to the proposed rule Statutory Basis for, the Proposed Rule ease market volatility at the close by change that are filed with the Change attracting additional offsetting MOC/ Commission, and all written In its filing with the Commission, the LOC orders for stocks that have a communications relating to the Exchange included statements significant order imbalance at 3:50 p.m. proposed rule change between the concerning the purpose of, and basis for, Historically, the window of Commission and any person, other than the proposed rule change and discussed opportunity for correcting errors has those that may be withheld from the any comments it received on the been from 3:50 p.m. to 4:00 p.m. When public in accordance with the proposed rule change. The text of these the cutoff time for MOC/LOC order provisions of 5 U.S.C. 552, will be statements may be examined at the entry on non-expiration days was available for inspection and copying in places specified in Item IV below. The moved from 3:50 p.m. to 3:40 p.m.,7 the the Commission’s Public Reference Exchange has prepared summaries, set Exchange did not revisit the issue of Room. Copies of such filing will also be forth in Sections A, B, and C below, of cancellations to correct errors. Upon available for inspection and copying at the most significant aspects of such review, the exchange has determined the principal office of the NASD. All statements. that it is appropriate to move the ten- submissions should refer to file number minute window for error correction to SR–NASD–99–39 and should be A. Self-Regulatory Organization’s 3:40 p.m. This would put the submitted by September 8, 1999. Statement of the Purpose of, and responsibility on members and member Statutory Basis for, the Proposed Rule organizations to make sure by 3:50 p.m. For the Commission, by the Division of Change Market Regulation, pursuant to delegated that MOC/LOC orders entered are authority.17 1. Purpose accurate. In turn, this will ensure that the 3:50 p.m. imbalance publication is Margaret H. McFarland, Current procedures 3 utilized for MOC accurate when offsetting orders are Deputy Secretary. and LOC orders prohibit the entered. [FR Doc. 99–21443 Filed 8–17–99; 8:45 am] cancellation of MOC orders and LOC BILLING CODE 8010±01±M orders after 3:40 p.m., except (1) in the The Exchange believes that canceling case of legitimate error or; (2) to comply MOC/LOC orders after 3:50 p.m. could with the provisions of Exchange Rule exacerbate an order imbalance or cause SECURITIES AND EXCHANGE 80A4 or; (3) when a regulatory trading a reversal in an order imbalance near COMMISSION halt is in effect at or after 3:40 p.m.5 the close. Precluding such cancellations [Release No. 34±41726; File No. SR±NYSE± The Exchange is proposing to prohibit would enhance the effectiveness of the 99±26] cancellation or reduction in size of MOC/LOC publication procedures in MOL/LOC orders after 3:50 p.m. for any reducing volatility at the close. Self-Regulatory Organizations; Notice reason, including cases of legitimate Upon Commission approval of this of Filing of Proposed Rule Change by error or to comply with the provisions proposed rule change, the Exchange the New York Stock Exchange, Inc. of Rule 80A. If Rule 80A goes into effect intends to issue an information Memo to Amending Cancellation Procedures for inform its members of the revised MOC/LOC Orders 3 See Securities Exchange Act Release No. 40094 procedures. (June 15, 1998), 63 FR 33975 (June 22, 1998). August 11, 1999. 4 Rule 80A requires index arbitrage orders in any 2. Statutory Basis Pursuant to Section 19(b)(1) of the stock in the Standard & Poor’s 500 Stock Price Securities Exchange Act of 1934 Index entered on the Exchange to be stabilizing (i.e., The Exchange believes the proposed (‘‘Act’’),1 and Rule 19b-4 thereunder,2 the order must be marked either buy minus or sell rule change is consistent with the plus) when the Dow Jones Industrial Average notice is hereby given that on June 14, (‘‘DJIA’’) advances or declines from its closing value requirement under Section 6(b)(5) of the 8 1999, the New York Stock Exchange, on the previous trading day by 2% of the DJIA Act that the rules of an exchange be Inc. (‘‘NYSE’’ or ‘‘Exchange’’) filed with average closing value from the last month of the designed to prevent fraudulent and the Securities and Exchange previous calendar quarter. Current procedures manipulative acts and practices, to require that, when the Rule goes into effect, an Commission (‘‘SEC’’) or ‘‘Commission’’) MOC index arbitrage order without the appropriate promote just and equitable principles of the proposed rule change as described tick restriction must be canceled unless it is related trade, to remove impediments to and in Items I, II, and III below, which Items to an expiring derivative index product. perfect the mechanism of a free and have been prepared by the Exchange. 5See Securities Exchange Act Release No. 41497 open market and a national market (June 9, 1999), 64 FR 32595 (June 17, 1999). If a regulatory trading halt is in effect at or after 3:40 17 17 CFR 200.30–3(a)(12). p.m., MOC/LOC orders can be canceled until 3:50 6 See supra note 3. 1 15 U.S.C. 78s(b)(1). p.m. or the time the stock reopens, whichever 7 See supra note 3. 2 17 CFR 240.19b-4. occurs first. 8 15 U.S.C. 78f(b)(5).

VerDate 18-JUN-99 16:50 Aug 17, 1999 Jkt 183247 PO 00000 Frm 00097 Fmt 4703 Sfmt 4703 E:\FR\FM\A18AU3.193 pfrm11 PsN: 18AUN1 44986 Federal Register / Vol. 64, No. 159 / Wednesday, August 18, 1999 / Notices system and, in general, to protect For the Commission, by the Division of (except that such official cannot both investors and the public interest. Market Regulation, pursuant to delegated recommend and approve an action). authority.9 Dated: August 9, 1999. B. Self-Regulatory Organization’s Margaret H. McFarland, Aida Alvarez, Statement on Burden on Competition Deputy Secretary. Administrator. The Exchange does not believe that [FR Doc. 99–21442 Filed 8–17–99; 8:45 am] [FR Doc. 99–21354 Filed 8–17–99; 8:45 am] the proposed rule change will impose BILLING CODE 8010±01±M any burden on competition that is not BILLING CODE 8025±01±P necessary or appropriate in furtherance of the purposes of the Act. SMALL BUSINESS ADMINISTRATION SMALL BUSINESS ADMINISTRATION C. Self-Regulatory Organization’s Administrator's Line of Succession Statement on Comments on the Small Business Size Regulations; Full Designation, No. 1±A, Revision 22 Proposed Rule Change Received From Table of Small Business Size Members, Participants or Others This document replaces and Standards The Exchange has neither solicited supercedes ‘‘Delegation of Authority No. AGENCY: Small Business Administration. nor received written comments on the 1–A, Revision 21.’’ It is a ‘‘Line of ACTION: Notice of publication of full proposed rule change. Succession Designation,’’ and not a table of small business size standards. ‘‘delegation of authority,’’ consistent III. Date of Effectiveness of the with the provisions of Small Business SUMMARY: The U.S. Small Business Proposed Rule Change and Timing for Administration’s internal standard Administration (SBA) is publishing a Commission Action operating procedure (SOP) 00 01. full table of small business size standards by four-digit Standard Within 35 days of the date of Line of Succession Designation No. 1– Industrial Classification (SIC) code. The publication of this notice in the Federal A, Revision 22 table reflects changes made to size Register or within such longer period (i) Effective immediately, the standards since publication of SBA’s as the Commission may designate up to Administrator’s Line of Succession Small Business Size Regulations on 90 days of such date if it finds such Designation is as follows: January 31, 1996. This table does not longer period to be appropriate and (a) If I am absent from the office the create, establish or modify any size publishes its reasons for so finding or Deputy Administrator will assume all standards currently in existence. This (ii) as to which the self-regulatory functions and duties of the table merely presents all four-digit SIC organization consents, the Commission Administrator. In the event both I and codes for which SBA has established a will: the Deputy Administrator are absent small business size standard as a (A) By order approve the proposed from the office, I designate the officials convenient reference for users of SBA’s rule change, or in listed order below to serve as Acting size standards. (B) Institute proceedings to determine Administrator with full authority to FOR FURTHER INFORMATION CONTACT: SBA whether the proposed rule change perform all acts which the Office of Size Standards at (202) 205– should be disapproved. Administrator is authorized to perform: 6618. IV. Solicitation of Comments (1) Chief of Staff; SUPPLEMENTARY INFORMATION: SBA is (2) General Counsel; publishing below a full table of small Interested persons are invited to (3) Associate Deputy Administrator business size standards in accordance submit written data, views and for Management and Administration; with 13 CFR 121.101. On January 31, arguments concerning the foregoing, (4) Associate Deputy Administrator 1996, SBA published in the Federal including whether the proposed rule for Capital Access; Register (61 FR 3280) a Final Rule that change is consistent with the Act. (5) Associate Deputy Administrator clarified and streamlined its small Persons making written submissions for Government Contracting and business size standards and related should file six copies thereof with the Minority Enterprise Development; eligibility requirements under 13 CFR Secretary, Securities and Exchange (6) Associate Deputy Administrator Part 121, ‘‘Small Business Size Commission, 450 Fifth Street NW, for Entrepreneurial Development. Regulations.’’ The simplification of Washington, DC 20549–0609. Copies of (b) An individual serving in an acting SBA’s Small Business Size Regulations the submission, all subsequent capacity in any of the positions listed in reduced the apparent size of the table of amendments, all written statements paragraph (a)(1) through (6) is not also small business size standards in with respect to the proposed rule included in this Line of Succession. § 121.201 by listing general size change that are filed with the Instead, the next non-acting incumbent standards by SIC Division. Those Commission, and all written on the list shall serve as Acting standards apply to all industries in that communications relating to the Administrator. Division except those two-digit major proposed rule change between the (c) This designation shall remain in group or four-digit industry codes listed Commission and any person, other than full force and effect until revoked or with other specific standards. This those that may be withheld from the superceded in writing by the streamlined table eliminated the public in accordance with the Administrator, or by the Deputy duplication of common industry size provisions of 5 U.S.C. 552, will be Administrator when serving as Acting standards within a Division and available for inspection and copying in Administrator. reduced the Code of Federal Regulations the Commission’s Public Reference (d) Serving as Acting Administrator by fourteen pages. Room. Copies of such filing will also be has no effect on the officials listed in Since the January 31, 1996, available for inspection and copying at paragraph (a) (1) through (6), above, publication of the streamlined size the principal office of the NYSE. All with respect to their full-time position’s standards table in § 121.201, SBA has submissions should refer to File No. authorities, duties and responsibilities published two final rules in the Federal SR–NYSE–99–26 and should be Register changing small business size submitted by September 8, 1999. 9 17 CFR 200.30–3(a)(12). standards. They are the following:

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1. Very Small Business. On copies of any size related rules on its is, all four-digit SIC codes within that September 2, 1998, SBA published in Internet web site at major group have the same size the Federal Register (63 FR 46640) a http://www.sba.gov/. Those with access standard, except those that SBA Final Rule incorporating the Very Small to the Internet can obtain and download otherwise lists as exceptions. For Business (VSB) Set-Aside Pilot Program. the current table of size standards, listed example, the size standard for The Final Rule became effective by four-digit SIC industry code, at http:/ management consulting services, SIC immediately. Section 304 of the Small /www.sba.gov/regulations/siccodes/. code 8742, is $5 million in average Business Administration SBA’s Small Business Size Regulations, annual revenues. Although this industry Reauthorization and Amendments Act 13 CFR 121, are available at http:// is not specifically listed in the size table of 1994 (Public Law 103–403) www.sba.gov/library/lawroom.html. in 13 CFR 121.201, a size standard does authorized the VSB program and Also, SBA’s ‘‘Guide to SBA Definitions exist for that industry. defined a ‘‘Very Small Business’’ as one of Small Business’’ is available at http:/ Proper application of the size that has 15 or fewer employees together /www.sba.gov/size/. Others may contact standards table in § 121.201 is very with average annual receipts that do not any SBA office to verify size standards important, because eligibility for exceed $1 million. The VSB Program is currently in effect. programs reserved for small businesses a pilot in 10 SBA district offices, and Purpose of This Table requires that a concern qualify as a will expire on September 30, 2000. The small business under the size standard VSB Program is in SBA’s Regulations at SBA was aware when it published the for the appropriate SIC industry. In streamlined table of size standards that 13 CFR 121.401, 121.413. connection with SBA financial many users prefer a table listing size 2. Engineering, Architectural, assistance programs, § 121.301 states standards for each four-digit SIC code. that ‘‘(a) For Business Loans and Surveying, and Mapping Services. On SBA recognizes that the entire list of Disaster Loans (other than physical May 14, 1999, SBA published in the small business size standards for the disaster loans), an applicant must not Federal Register (64 FR 26275) a Final four-digit SIC codes often makes it exceed the size standard for the industry Rule increasing the small business size easier for users to apply the proper [emphasis added] in which: (1) The standards for general Engineering (part standards to their needs, and that it applicant combined with its affiliates is of SIC 8711), Architectural (SIC 8712), should also reduce the chance for error. primarily engaged; and (2) The Surveying (SIC 8713), and Mapping The entire table of small business size Services (part of SIC 7389). The new standards also provides users with applicant alone is primarily engaged.’’ size standards for each of these is $4 additional size standards information Also, to be eligible as a small business million in average annual revenues, without expanding Federal regulations. for Federal procurement programs, a effective June 14, 1999. Therefore, 13 CFR 121.101 states that concern must meet the size standard The Very Small Business rule does SBA will publish an entire table specified in the solicitation, which the not affect this table. The Engineering, annually in the Federal Register. contracting officer selects giving Architectural, Surveying, and Mapping Accordingly, this notice contains a table primary consideration ‘‘to the industry Services rule does change specific size matching a small business size standard descriptions in the SIC Manual, * * * standards, which this table incorporates. with each four-digit SIC code for which [emphasis added]’’ (§ 121.402). Interested parties may refer to the SBA has established a size standard. The 1987 SIC Manual, Appendix B Federal Register notices for further Since the publication of the (page 699), designates ‘‘industry’’ by a detail on these final rules. The table streamlined size standards table, SBA four-digit SIC code. The industries published below is complete and does has received questions as to whether described in the SIC Manual are all four- not itself create, establish or modify any small business size standards apply to digit industries. SBA’s small business size standards currently in existence, the four-digit SIC codes that are not size standards were established and but only presents all size standards in specifically listed in the text of continue to exist for the various SIC an expanded and more convenient § 121.201. The paragraph at the head of industries, which are identified solely format. Changes or modifications to 13 the table in § 121.201 states that ‘‘Size by their four-digit codes. By publishing CFR 121 are only made in accordance standards are listed by Division and this full table of small business size with the Administrative Procedure Act. apply to all industries in that Division standards annually, SBA intends to Any changes to the table of small [emphasis added] except those facilitate the correct use of the small business size standards will be reflected specifically listed with separate size business size standards. in the annual publication of the full list standards for a specific two-digit major The full table of small business size of size standards. SBA will also provide group or four-digit industry code.’’ That standards follows:

Size standards Size standards by SIC industry description in number of SIC (N.E.C. = not elsewhere classified) employees or (see endnotes, where indicated) millions of dollars

DIVISION A Ð AGRICULTURE, FORESTRY AND FISHING

MAJOR GROUP 01 Ð AGRICULTURAL PRODUCTION Ð CROPS

0111 ...... Wheat ...... $0.5 0112 ...... Rice ...... $0.5 0115 ...... Corn ...... $0.5 0116 ...... Soybeans ...... $0.5 0119 ...... Cash Grains, N.E.C...... $0.5 0131 ...... Cotton ...... $0.5

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Size standards Size standards by SIC industry description in number of SIC (N.E.C. = not elsewhere classified) employees or (see endnotes, where indicated) millions of dollars

0132 ...... Tobacco ...... $0.5 0133 ...... Sugarcane and Sugar Beets ...... $0.5 0134 ...... Irish Potatoes ...... $0.5 0139 ...... Field Crops, Except Cash Grains, N.E.C...... $0.5 0161 ...... Vegetables and Melons ...... $0.5 0171 ...... Berry Crops ...... $0.5 0172 ...... Grapes ...... $0.5 0173 ...... Tree Nuts ...... $0.5 0174 ...... Citrus Fruits ...... $0.5 0175 ...... Deciduous Tree Fruits ...... $0.5 0179 ...... Fruits and Tree Nuts, N.E.C...... $0.5 0181 ...... Ornamental Floriculture Nursery Products ...... $0.5 0182 ...... Food Crops Grown Under Cover ...... $0.5 0191 ...... General Farms, Primarily Crop ...... $0.5

MAJOR GROUP 02 Ð LIVESTOCK AND ANIMAL SPECIALTIES

0211 ...... Beef Cattle Feedlots (Custom) ...... $1.5 0212 ...... Beef Cattle, Except Feedlots ...... $0.5 0213 ...... Hogs ...... $0.5 0214 ...... Sheep and Goats ...... $0.5 0219 ...... General Livestock, Except Dairy and Poultry ...... $0.5 0241 ...... Dairy Farms ...... $0.5 0251 ...... Broiler, Fryer, and Roaster Chickens ...... $0.5 0252 ...... Chicken Eggs ...... $9.0 0253 ...... Turkeys and Turkey Eggs ...... $0.5 0254 ...... Poultry Hatcheries ...... $0.5 0259 ...... Poultry and Eggs, N.E.C...... $0.5 0271 ...... Fur-Bearing Animals and Rabbits ...... $0.5 0272 ...... Horses and Other Equines ...... $0.5 0273 ...... Animal Aquaculture ...... $0.5 0279 ...... Animal Specialties, N.E.C...... $0.5 0291 ...... General Farms, Primarily Livestock and Animal Specialties ...... $0.5

MAJOR GROUP 07 Ð AGRICULTURAL SERVICES

0711 ...... Soil Preparation Services ...... $5.0 0721 ...... Crop Planting, Cultivating, and Protecting ...... $5.0 0722 ...... Crop Harvesting, Primarily by Machine ...... $5.0 0723 ...... Crop Preparation Service for Market, Except Cotton Ginning ...... $5.0 0724 ...... Cotton Ginning ...... $5.0 0741 ...... Veterinary Services for Livestock ...... $5.0 0742 ...... Veterinary Services for Animal Specialties ...... $5.0 0751 ...... Livestock Services, Except Veterinary ...... $5.0 0752 ...... Animal Specialty Services, Except Veterinary ...... $5.0 0761 ...... Farm Labor Contractors and Crew Leaders ...... $5.0 0762 ...... Farm Management Services ...... $5.0 0781 ...... Landscape Counseling and Planning ...... $5.0 0782 ...... Lawn and Garden Services ...... $5.0 0783 ...... Ornamental Shrub and Tree Services ...... $5.0

MAJOR GROUP 08 Ð FORESTRY

0811 ...... Timber Tracts ...... $5.0 0831 ...... Forest Nurseries and Gathering of Forest Products ...... $5.0 0851 ...... Forestry Services ...... $5.0

MAJOR GROUP 09 Ð FISHING, HUNTING, AND TRAPPING

0912 ...... Finfish ...... $3.0 0913 ...... Shellfish ...... $3.0 0919 ...... Miscellaneous Marine Products ...... $3.0 0921 ...... Fish Hatcheries and Preserves ...... $3.0 0971 ...... Hunting and Trapping, and Game Propagation ...... $3.0

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Size standards Size standards by SIC industry description in number of SIC (N.E.C. = not elsewhere classified) employees or (see endnotes, where indicated) millions of dollars

DIVISION B Ð MINING

MAJOR GROUP 10 Ð METAL MINING

1011 ...... Iron Ores ...... 500 1021 ...... Copper Ores ...... 500 1031 ...... Lead and Zinc Ores ...... 500 1041 ...... Gold Ores ...... 500 1044 ...... Silver Ores ...... 500 1061 ...... Ferroalloy Ores, Except Vanadium ...... 500 1081 ...... Metal Mining Services ...... $5.0 1094 ...... Uranium-Radium-Vanadium Ores ...... 500 1099 ...... Miscellaneous Metal Ores, N.E.C...... 500

MAJOR GROUP 12 Ð COAL MINING

1221 ...... Bituminous Coal and Lignite Surface Mining ...... 500 1222 ...... Bituminous Coal Underground Mining ...... 500 1231 ...... Anthracite Mining ...... 500 1241 ...... Coal Mining Services ...... $5.0

MAJOR GROUP 13 Ð OIL AND GAS EXTRACTION

1311 ...... Crude Petroleum and Natural Gas ...... 500 1321 ...... Natural Gas Liquids ...... 500 1381 ...... Drilling Oil and Gas Wells ...... 500 1382 ...... Oil and Gas Field Exploration Services ...... $5.0 1389 ...... Oil and Gas Field Services, N.E.C...... $5.0

MAJOR GROUP 14 Ð MINING AND QUARRYING OF NONMETALLIC MINERALS, EXCEPT FUELS

1411 ...... Dimension Stone ...... 500 1422 ...... Crushed and Broken Limestone ...... 500 1423 ...... Crushed and Broken Granite ...... 500 1429 ...... Crushed and Broken Stone, N.E.C...... 500 1442 ...... Construction Sand and Gravel ...... 500 1446 ...... Industrial Sand ...... 500 1455 ...... Kaolin and Ball Clay ...... 500 1459 ...... Clay, Ceramic, and Refractory Minerals, N.E.C...... 500 1474 ...... Potash, Soda, and Borate Minerals ...... 500 1475 ...... Phosphate Rock ...... 500 1479 ...... Chemical and Fertilizer Mineral Mining, N.E.C...... 500 1481 ...... Nonmetallic Minerals Services, Except Fuels ...... $5.0 1499 ...... Miscellaneous Nonmetallic Minerals, Except Fuels ...... 500

DIVISION C Ð CONSTRUCTION

MAJOR GROUP 15 Ð BUILDING CONSTRUCTION Ð GENERAL CONTRACTORS AND OPERATIVE BUILDERS

1521 ...... General Contractors Ð Single-Family Houses ...... $17.0 1522 ...... General Contractors Ð Residential Buildings, Other than Single-Family ...... $17.0 1531 ...... Operative Builders ...... $17.0 1541 ...... General Contractors Ð Industrial Buildings and Warehouses ...... $17.0 1542 ...... General Contractors Ð Nonresidential Buildings, Other than Industrial Buildings and Warehouses ...... $17.0

MAJOR GROUP 16 Ð HEAVY CONSTRUCTION OTHER THAN BUILDING CONSTRUCTION Ð CONTRACTORS

1611 ...... Highway and Street Construction, Except Elevated Highways ...... $17.0 1622 ...... Bridge, Tunnel, and Elevated Highway Construction ...... $17.0 1623 ...... Water, Sewer, Pipeline, and Communications and Power Line Construction ...... $17.0 1629 ...... Heavy Construction, N.E.C...... $17.0 EXCEPT, Dredging and Surface Cleanup Activities ...... 1 $13.5

MAJOR GROUP 17 Ð CONSTRUCTION Ð SPECIAL TRADE CONTRACTORS

1711 ...... Plumbing, Heating, and Air-Conditioning ...... $7.0 1721 ...... Painting and Paper Hanging ...... $7.0

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Size standards Size standards by SIC industry description in number of SIC (N.E.C. = not elsewhere classified) employees or (see endnotes, where indicated) millions of dollars

1731 ...... Electrical Work ...... $7.0 1741 ...... Masonry, Stone Setting, and Other Stone Work ...... $7.0 1742 ...... Plastering, Drywall, Acoustical and Insulation Work ...... $7.0 1743 ...... Terrazzo, Tile, Marble, and Mosaic Work ...... $7.0 1751 ...... Carpentry Work ...... $7.0 1752 ...... Floor Laying and Other Floor Work, N.E.C...... $7.0 1761 ...... Roofing, Siding, and Sheet Metal Work ...... $7.0 1771 ...... Concrete Work ...... $7.0 1781 ...... Water Well Drilling ...... $7.0 1791 ...... Structural Steel Erection ...... $7.0 1793 ...... Glass and Glazing Work ...... $7.0 1794 ...... Excavation Work ...... $7.0 1795 ...... Wrecking and Demolition Work ...... $7.0 1796 ...... Installation or Erection of Building Equipment, N.E.C...... $7.0 1799 ...... Special Trade Contractors, N.E.C...... $7.0 EXCEPT, Base Housing Maintenance ...... 12 $7.0

DIVISION D Ð MANUFACTURING 2

MAJOR GROUP 20 Ð FOOD AND KINDRED PRODUCTS

2011 ...... Meat Packing Plants ...... 500 2013 ...... Sausages and Other Prepared Meat Products ...... 500 2015 ...... Poultry Slaughtering and Processing ...... 500 2021 ...... Creamery Butter ...... 500 2022 ...... Natural, Processed, and Imitation Cheese ...... 500 2023 ...... Dry, Condensed, and Evaporated Dairy Products ...... 500 2024 ...... Ice Cream and Frozen Desserts ...... 500 2026 ...... Fluid Milk ...... 500 2032 ...... Canned Specialties ...... 1,000 2033 ...... Canned Fruits, Vegetables, Preserves, Jams, and Jellies ...... 3 500 2034 ...... Dried and Dehydrated Fruits, Vegetables, and Soup Mixes ...... 500 2035 ...... Pickled Fruits and Vegetables, Vegetable Sauces and Seasonings, and Salad Dressings ...... 500 2037 ...... Frozen Fruits, Fruit Juices, and Vegetables ...... 500 2038 ...... Frozen Specialties, N.E.C...... 500 2041 ...... Flour and Other Grain Mill Products ...... 500 2043 ...... Cereal Breakfast Foods ...... 1,000 2044 ...... Rice Milling ...... 500 2045 ...... Prepared Flour Mixes and Doughs ...... 500 2046 ...... Wet Corn Milling ...... 750 2047 ...... Dog and Cat Food ...... 500 2048 ...... Prepared Feeds and Feed Ingredients for Animals and Fowls, Except Dogs and Cats ...... 500 2051 ...... Bread and Other Bakery Products, Except Cookies and Crackers ...... 500 2052 ...... Cookies and Crackers ...... 750 2053 ...... Frozen Bakery Products, Except Bread ...... 500 2061 ...... Cane Sugar, Except Refining ...... 500 2062 ...... Cane Sugar Refining ...... 750 2063 ...... Beet Sugar ...... 750 2064 ...... Candy and Other Confectionery Products ...... 500 2066 ...... Chocolate and Cocoa Products ...... 500 2067 ...... Chewing Gum ...... 500 2068 ...... Salted and Roasted Nuts and Seeds ...... 500 2074 ...... Cottonseed Oil Mills ...... 500 2075 ...... Soybean Oil Mills ...... 500 2076 ...... Vegetable Oil Mills, Except Corn, Cottonseed, and Soybean ...... 1,000 2077 ...... Animal and Marine Fats and Oils ...... 500 2079 ...... Shortening, Table Oils, Margarine, and Other Edible Fats and Oils, N.E.C...... 750 2082 ...... Malt Beverages ...... 500 2083 ...... Malt ...... 500 2084 ...... Wines, Brandy, and Brandy Spirits ...... 500 2085 ...... Distilled and Blended Liquors ...... 750 2086 ...... Bottled and Canned Soft Drinks and Carbonated Waters ...... 500 2087 ...... Flavoring Extracts and Flavoring Syrups, N.E.C, ...... 500 2091 ...... Canned and Cured Fish and Seafoods ...... 500 2092 ...... Prepared Fresh or Frozen Fish and Seafoods ...... 500 2095 ...... Roasted Coffee ...... 500 2096 ...... Potato Chips, Corn Chips, and Similar Snacks ...... 500 2097 ...... Manufactured Ice ...... 500

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Size standards Size standards by SIC industry description in number of SIC (N.E.C. = not elsewhere classified) employees or (see endnotes, where indicated) millions of dollars

2098 ...... Macaroni, Spaghetti, Vermicelli, and Noodles ...... 500 2099 ...... Food Preparations, N.E.C...... 500

MAJOR GROUP 21 Ð TOBACCO PRODUCTS

2111 ...... Cigarettes ...... 1,000 2121 ...... Cigars ...... 500 2131 ...... Chewing and Smoking Tobacco and Snuff ...... 500 2141 ...... Tobacco Stemming and Redrying ...... 500

MAJOR GROUP 22 Ð TEXTILE MILL PRODUCTS

2211 ...... Broadwoven Fabric Mills, Cotton ...... 1,000 2221 ...... Broadwoven Fabric Mills, Manmade Fiber and Silk ...... 500 2231 ...... Broadwoven Fabric Mills, Wool (Including Dyeing and Finishing) ...... 500 2241 ...... Narrow Fabric and Other Smallwares Mills: Cotton, Wool, Silk and Manmade Fiber ...... 500 2251 ...... Women's Full-Length and Knee-Length Hosiery, Except Socks ...... 500 2252 ...... Hosiery, N.E.C...... 500 2253 ...... Knit Outerwear Mills ...... 500 2254 ...... Knit Underwear and Nightwear Mills ...... 500 2257 ...... Weft Knit Fabric Mills ...... 500 2258 ...... Lace and Warp Knit Fabric Mills ...... 500 2259 ...... Knitting Mills, N.E.C...... 500 2261 ...... Finishers of Broadwoven Fabrics of Cotton ...... 1,000 2262 ...... Finishers of Broadwoven Fabrics of Manmade Fiber and Silk ...... 500 2269 ...... Finishers of Textiles, N.E.C...... 500 2273 ...... Carpets and Rugs ...... 500 2281 ...... Yarn Spinning Mills ...... 500 2282 ...... Yarn Texturizing, Throwing, Twisting, and Winding Mills ...... 500 2284 ...... Thread Mills ...... 500 2295 ...... Coated Fabrics, Not Rubberized ...... 1,000 2296 ...... Tire Cord and Fabrics ...... 1,000 2297 ...... Nonwoven Fabrics ...... 500 2298 ...... Cordage and Twine ...... 500 2299 ...... Textile Goods, N.E.C...... 500

MAJOR GROUP 23 Ð APPAREL AND OTHER FINISHED PRODUCTS MADE FROM FABRICS AND SIMILAR MATERIALS

2311 ...... Men's and Boys' Suits, Coats and Overcoats ...... 500 2321 ...... Men's and Boys' Shirts, Except Work Shirts ...... 500 2322 ...... Men's and Boys' Underwear and Nightwear ...... 500 2323 ...... Men's and Boys' Neckwear ...... 500 2325 ...... Men's and Boys' Separate Trousers and Slacks ...... 500 2326 ...... Men's and Boys' Work Clothing ...... 500 2329 ...... Men's and Boys' Clothing, N.E.C...... 500 2331 ...... Women's, Misses', and Juniors' Blouses and Shirts ...... 500 2335 ...... Women's, Misses', and Juniors' Dresses ...... 500 2337 ...... Women's, Misses', and Juniors' Suits, Skirts, and Coats ...... 500 2339 ...... Women's, Misses', and Juniors' Outerwear, N.E.C...... 500 2341 ...... Women's, Misses', Children's, and Infants' Underwear and Nightwear ...... 500 2342 ...... Brassieres, Girdles, and Allied Garments ...... 500 2353 ...... Hats, Caps, and Millinery ...... 500 2361 ...... Girls', Children's, and Infants' Dresses, Blouses, and Shirts ...... 500 2369 ...... Girls', Children's, and Infants' Outerwear, N.E.C...... 500 2371 ...... Fur Goods ...... 500 2381 ...... Dress and Work Gloves, Except Knit and All-Leather ...... 500 2384 ...... Robes and Dressing Gowns ...... 500 2385 ...... Waterproof Outerwear ...... 500 2386 ...... Leather and Sheep-Lined Clothing ...... 500 2387 ...... Apparel Belts ...... 500 2389 ...... Apparel and Accessories, N.E.C...... 500 2391 ...... Curtains and Draperies ...... 500 2392 ...... Housefurnishings, Except Curtains and Draperies ...... 500 2393 ...... Textile Bags ...... 500 2394 ...... Canvas and Related Products ...... 500 2395 ...... Pleating, Decorative and Novelty Stitching, and Tucking for the Trade ...... 500 2396 ...... Automotive Trimmings, Apparel Findings, and Related Products ...... 500 2397 ...... Schiffli Machine Embroideries ...... 500 2399 ...... Fabricated Textile Products, N.E.C...... 500

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Size standards Size standards by SIC industry description in number of SIC (N.E.C. = not elsewhere classified) employees or (see endnotes, where indicated) millions of dollars

MAJOR GROUP 24 Ð LUMBER AND WOOD PRODUCTS, EXCEPT FURNITURE

2411 ...... Logging ...... 500 2421 ...... Sawmills and Planing Mills, General ...... 500 2426 ...... Hardwood Dimension and Flooring Mills ...... 500 2429 ...... Special Product Sawmills, N.E.C...... 500 2431 ...... Millwork ...... 500 2434 ...... Wood Kitchen Cabinets ...... 500 2435 ...... Hardwood Veneer and Plywood ...... 500 2436 ...... Softwood Veneer and Plywood ...... 500 2439 ...... Structural Wood Members, N.E.C...... 500 2441 ...... Nailed and Lock Corner Wood Boxes and Shook ...... 500 2448 ...... Wood Pallets and Skids ...... 500 2449 ...... Wood Containers, N.E.C...... 500 2451 ...... Mobile Homes ...... 500 2452 ...... Prefabricated Wood Buildings and Components ...... 500 2491 ...... Wood Preserving ...... 500 2493 ...... Reconstituted Wood Products ...... 500 2499 ...... Wood Products, N.E.C...... 500

MAJOR GROUP 25 Ð FURNITURE AND FIXTURES

2511 ...... Wood Household Furniture, Except Upholstered ...... 500 2512 ...... Wood Household Furniture, Upholstered ...... 500 2514 ...... Metal Household Furniture ...... 500 2515 ...... Mattresses, Foundations, and Convertible Beds ...... 500 2517 ...... Wood Television, Radio, Phonograph, and Sewing Machine Cabinets ...... 500 2519 ...... Household Furniture, N.E.C...... 500 2521 ...... Wood Office Furniture ...... 500 2522 ...... Office Furniture, Except Wood ...... 500 2531 ...... Public Building and Related Furniture ...... 500 2541 ...... Wood Office and Store Fixtures, Partitions, Shelving, and Lockers ...... 500 2542 ...... Office and Store Fixtures, Partitions, Shelving, and Lockers, Except Wood ...... 500 2591 ...... Drapery Hardware and Window Blinds and Shades ...... 500 2599 ...... Furniture and Fixtures, N.E.C...... 500

MAJOR GROUP 26 Ð PAPER AND ALLIED PRODUCTS

2611 ...... Pulp Mills ...... 750 2621 ...... Paper Mills ...... 750 2631 ...... Paperboard Mills ...... 750 2652 ...... Setup Paperboard Boxes ...... 500 2653 ...... Corrugated and Solid Fiber Boxes ...... 500 2655 ...... Fiber Cans, Tubes, Drums, and Similar Products ...... 500 2656 ...... Sanitary Food Containers, Except Folding ...... 750 2657 ...... Folding Paperboard Boxes, Including Sanitary ...... 750 2671 ...... Packaging Paper and Plastics Film, Coated and Laminated ...... 500 2672 ...... Coated and Laminated Paper, N.E.C...... 500 2673 ...... Plastics, Foil, and Coated Paper Bags ...... 500 2674 ...... Uncoated Paper and Multiwall Bags ...... 500 2675 ...... Die-Cut Paper and Paperboard and Cardboard ...... 500 2676 ...... Sanitary Paper Products ...... 500 2677 ...... Envelopes ...... 500 2678 ...... Stationery, Tablets, and Related Products ...... 500 2679 ...... Converted Paper and Paperboard Products, N.E.C...... 500

MAJOR GROUP 27 Ð PRINTING, PUBLISHING, AND ALLIED INDUSTRIES

2711 ...... Newspapers: Publishing, or Publishing and Printing ...... 500 2721 ...... Periodicals: Publishing, or Publishing and Printing ...... 500 2731 ...... Books: Publishing, or Publishing and Printing ...... 500 2732 ...... Book Printing ...... 500 2741 ...... Miscellaneous Publishing ...... 500 2752 ...... Commercial Printing, Lithographic ...... 500 2754 ...... Commercial Printing, Gravure ...... 500 2759 ...... Commercial Printing, N.E.C...... 500 2761 ...... Manifold Business Forms ...... 500 2771 ...... Greeting Cards ...... 500 2782 ...... Blankbooks, Looseleaf Binders and Devices ...... 500 2789 ...... Bookbinding and Related Work ...... 500

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Size standards Size standards by SIC industry description in number of SIC (N.E.C. = not elsewhere classified) employees or (see endnotes, where indicated) millions of dollars

2791 ...... Typesetting ...... 500 2796 ...... Platemaking and Related Services ...... 500

MAJOR GROUP 28 Ð CHEMICALS AND ALLIED PRODUCTS

2812 ...... Alkalies and Chlorine ...... 1,000 2813 ...... Industrial Gases ...... 1,000 2816 ...... Inorganic Pigments ...... 1,000 2819 ...... Industrial Inorganic Chemicals, N.E.C...... 1,000 2821 ...... Plastics Materials, Synthetic Resins, and Nonvulcanizable Elastomers ...... 750 2822 ...... Synthetic Rubber (Vulcanizable Elastomers) ...... 1,000 2823 ...... Cellulosic Manmade Fibers ...... 1,000 2824 ...... Manmade Organic Fibers, Except Cellulosic ...... 1,000 2833 ...... Medicinal Chemicals and Botanical Products ...... 750 2834 ...... Pharmaceutical Preparations ...... 750 2835 ...... In Vitro and In Vivo Diagnostic Substances ...... 500 2836 ...... Biological Products, Except Diagnostic Substances ...... 500 2841 ...... Soap and Other Detergents, Except Specialty Cleaners ...... 750 2842 ...... Specialty Cleaning, Polishing, and Sanitation Preparations ...... 500 2843 ...... Surface Active Agents, Finishing Agents, Sulfonated Oils, and Assistants ...... 500 2844 ...... Perfumes, Cosmetics, and Other Toilet Preparations ...... 500 2851 ...... Paints, Varnishes, Lacquers, Enamels, and Allied Products ...... 500 2861 ...... Gum and Wood Chemicals ...... 500 2865 ...... Cyclic Organic Crudes and Intermediates, and Organic Dyes and Pigments ...... 750 2869 ...... Industrial Organic Chemicals, N.E.C...... 1,000 2873 ...... Nitrogenous Fertilizers ...... 1,000 2874 ...... Phosphatic Fertilizers ...... 500 2875 ...... Fertilizers, Mixing Only ...... 500 2879 ...... Pesticides and Agricultural Chemicals, N.E.C...... 500 2891 ...... Adhesives and Sealants ...... 500 2892 ...... Explosives ...... 750 2893 ...... Printing Ink ...... 500 2895 ...... Carbon Black ...... 500 2899 ...... Chemicals and Chemical Preparations, N.E.C...... 500

MAJOR GROUP 29 Ð PETROLEUM REFINING AND RELATED INDUSTRIES

2911 ...... Petroleum Refining ...... 4 1,500 2951 ...... Asphalt Paving Mixtures and Blocks ...... 500 2952 ...... Asphalt Felts and Coatings ...... 750 2992 ...... Lubricating Oils and Greases ...... 500 2999 ...... Products of Petroleum and Coal, N.E.C...... 500

MAJOR GROUP 30 Ð RUBBER AND MISCELLANEOUS PLASTICS PRODUCTS

3011 ...... Tires and Inner Tubes ...... 5 1,000 3021 ...... Rubber and Plastics Footwear ...... 1,000 3052 ...... Rubber and Plastics Hose and Belting ...... 500 3053 ...... Gaskets, Packing, and Sealing Devices ...... 500 3061 ...... Molded, Extruded, and Lathe-Cut Mechanical Rubber Goods ...... 500 3069 ...... Fabricated Rubber Products, N.E.C...... 500 3081 ...... Unsupported Plastics Film and Sheet ...... 500 3082 ...... Unsupported Plastics Profile Shapes ...... 500 3083 ...... Laminated Plastics Plate, Sheet, and Profile Shapes ...... 500 3084 ...... Plastics Pipe ...... 500 3085 ...... Plastics Bottles ...... 500 3086 ...... Plastics Foam Products ...... 500 3087 ...... Custom Compounding of Purchased Plastics Resins ...... 500 3088 ...... Plastics Plumbing Fixtures ...... 500 3089 ...... Plastics Products, N.E.C...... 500

MAJOR GROUP 31 Ð LEATHER AND LEATHER PRODUCTS

3111 ...... Leather Tanning and Finishing ...... 500 3131 ...... Boot and Shoe Cut Stock and Findings ...... 500 3142 ...... House Slippers ...... 500 3143 ...... Men's Footwear, Except Athletic ...... 500 3144 ...... Women's Footwear, Except Athletic ...... 500 3149 ...... Footwear, Except Rubber, N.E.C...... 500 3151 ...... Leather Gloves and Mittens ...... 500

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Size standards Size standards by SIC industry description in number of SIC (N.E.C. = not elsewhere classified) employees or (see endnotes, where indicated) millions of dollars

3161 ...... Luggage ...... 500 3171 ...... Women's Handbags and Purses ...... 500 3172 ...... Personal Leather Goods, Except Women's Handbags and Purses ...... 500 3199 ...... Leather Goods, N.E.C...... 500

MAJOR GROUP 32 Ð STONE, CLAY, GLASS, AND CONCRETE PRODUCTS

3211 ...... Flat Glass ...... 1,000 3221 ...... Glass Containers ...... 750 3229 ...... Pressed and Blown Glass and Glassware, N.E.C...... 750 3231 ...... Glass Products, Made of Purchased Glass ...... 500 3241 ...... Cement, Hydraulic ...... 750 3251 ...... Brick and Structural Clay Tile ...... 500 3253 ...... Ceramic Wall and Floor Tile ...... 500 3255 ...... Clay Refractories ...... 500 3259 ...... Structural Clay Products, N.E.C...... 500 3261 ...... Vitreous China Plumbing Fixtures and China and Earthenware Fittings and Bathroom Accessories ...... 750 3262 ...... Vitreous China Table and Kitchen Articles ...... 500 3263 ...... Fine Earthenware (Whiteware) Table and Kitchen Articles ...... 500 3264 ...... Porcelain Electrical Supplies ...... 500 3269 ...... Pottery Products, N.E.C...... 500 3271 ...... Concrete Block and Brick ...... 500 3272 ...... Concrete Products, Except Block and Brick ...... 500 3273 ...... Ready Mixed Concrete ...... 500 3274 ...... Lime ...... 500 3275 ...... Gypsum Products ...... 1,000 3281 ...... Cut Stone and Stone Products ...... 500 3291 ...... Abrasive Products ...... 500 3292 ...... Asbestos Products ...... 750 3295 ...... Minerals and Earths, Ground or Otherwise Treated ...... 500 3296 ...... Mineral Wool ...... 750 3297 ...... Nonclay Refractories ...... 750 3299 ...... Nonmetallic Mineral Products, N.E.C...... 500

MAJOR GROUP 33 Ð PRIMARY METAL INDUSTRIES

3312 ...... Steel Works, Blast Furnaces (Including Coke Ovens), and Rolling Mills ...... 1,000 3313 ...... Electrometallurgical Products, Except Steel ...... 750 3315 ...... Steel Wiredrawing and Steel Nails and Spikes ...... 1,000 3316 ...... Cold-Rolled Steel Sheet, Strip, and Bars ...... 1,000 3317 ...... Steel Pipe and Tubes ...... 1,000 3321 ...... Gray and Ductile Iron Foundries ...... 500 3322 ...... Malleable Iron Foundries ...... 500 3324 ...... Steel Investment Foundries ...... 500 3325 ...... Steel Foundries, N.E.C...... 500 3331 ...... Primary Smelting and Refining of Copper ...... 1,000 3334 ...... Primary Production of Aluminum ...... 1,000 3339 ...... Primary Smelting and Refining of Nonferrous Metals, Except Copper and Aluminum ...... 750 3341 ...... Secondary Smelting and Refining of Nonferrous Metals ...... 500 3351 ...... Rolling, Drawing, and Extruding of Copper ...... 750 3353 ...... Aluminum Sheet, Plate, and Foil ...... 750 3354 ...... Aluminum Extruded Products ...... 750 3355 ...... Aluminum Rolling and Drawing, N.E.C...... 750 3356 ...... Rolling, Drawing, and Extruding of Nonferrous Metals, Except Copper and Aluminum ...... 750 3357 ...... Drawing and Insulating of Nonferrous Wire ...... 1,000 3363 ...... Aluminum Die-Castings ...... 500 3364 ...... Nonferrous Die-Castings, Except Aluminum ...... 500 3365 ...... Aluminum Foundries ...... 500 3366 ...... Copper Foundries ...... 500 3369 ...... Nonferrous Foundries, Except Aluminum and Copper ...... 500 3398 ...... Metal Heat Treating ...... 750 3399 ...... Primary Metal Products, N.E.C...... 750

MAJOR GROUP 34 Ð FABRICATED METAL PRODUCTS, EXCEPT MACHINERY AND TRANSPORTATION EQUIPMENT

3411 ...... Metal Cans ...... 1,000 3412 ...... Metal Shipping Barrels, Drums, Kegs, and Pails ...... 500 3421 ...... Cutlery ...... 500 3423 ...... Hand and Edge Tools, Except Machine Tools Handsaws ...... 500 3425 ...... Saw Blades and Handsaws ...... 500

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Size standards Size standards by SIC industry description in number of SIC (N.E.C. = not elsewhere classified) employees or (see endnotes, where indicated) millions of dollars

3429 ...... Hardware, N.E.C...... 500 3431 ...... Enameled Iron and Metal Sanitary Ware ...... 750 3432 ...... Plumbing Fixture Fittings and Trim ...... 500 3433 ...... Heating Equipment, Except Electric and Warm Air Furnaces ...... 500 3441 ...... Fabricated Structural Metal ...... 500 3442 ...... Metal Doors, Sash, Frames, Molding, and Trim ...... 500 3443 ...... Fabricated Plate Work (Boiler Shops) ...... 500 3444 ...... Sheet Metal Work ...... 500 3446 ...... Architectural and Ornamental Metal Work ...... 500 3448 ...... Prefabricated Metal Buildings and Components ...... 500 3449 ...... Miscellaneous Structural Metal Work ...... 500 3451 ...... Screw Machine Products ...... 500 3452 ...... Bolts, Nuts, Screws, Rivets, and Washers ...... 500 3462 ...... Iron and Steel Forgings ...... 500 3463 ...... Nonferrous Forgings ...... 500 3465 ...... Automotive Stampings ...... 500 3466 ...... Crowns and Closures ...... 500 3469 ...... Metal Stampings, N.E.C...... 500 3471 ...... Electroplating, Plating, Polishing, Anodizing, and Coloring ...... 500 3479 ...... Coating, Engraving, and Allied Services, N.E.C...... 500 3482 ...... Small Arms Ammunition ...... 1,000 3483 ...... Ammunition, Except for Small Arms ...... 1,500 3484 ...... Small Arms ...... 1,000 3489 ...... Ordnance and Accessories, N.E.C...... 500 3491 ...... Industrial Valves ...... 500 3492 ...... Fluid Power Valves and Hose Fittings ...... 500 3493 ...... Steel Springs, Except Wire ...... 500 3494 ...... Valves and Pipe Fittings, N.E.C...... 500 3495 ...... Wire Springs ...... 500 3496 ...... Miscellaneous Fabricated Wire Products ...... 500 3497 ...... Metal Foil and Leaf ...... 500 3498 ...... Fabricated Pipe and Pipe Fittings ...... 500 3499 ...... Fabricated Metal Products, N.E.C...... 500

MAJOR GROUP 35 Ð INDUSTRIAL AND COMMERCIAL MACHINERY AND COMPUTER EQUIPMENT

3511 ...... Steam, Gas, and Hydraulic Turbines, and Turbine Generator Set Units ...... 1,000 3519 ...... Internal Combustion Engines, N.E.C...... 1,000 3523 ...... Farm Machinery and Equipment ...... 500 3524 ...... Lawn and Garden Tractors and Home Lawn and Garden Equipment ...... 500 3531 ...... Construction Machinery and Equipment ...... 750 3532 ...... Mining Machinery and Equipment, Except Oil and Gas Field Machinery and Equipment ...... 500 3533 ...... Oil and Gas Field Machinery and Equipment ...... 500 3534 ...... Elevators and Moving Stairways ...... 500 3535 ...... Conveyors and Conveying Equipment ...... 500 3536 ...... Overhead Traveling Cranes, Hoists, and Monorail Systems ...... 500 3537 ...... Industrial Trucks, Tractors, Trailers, and Stackers ...... 750 3541 ...... Machine Tools, Metal Cutting Types ...... 500 3542 ...... Machine Tools, Metal Forming Types ...... 500 3543 ...... Industrial Patterns ...... 500 3544 ...... Special Dies and Tools, Die Sets, Jigs and Fixtures, and Industrial Molds ...... 500 3545 ...... Cutting Tools, Machine Tool Accessories, and Machinists' Precision Measuring Devices ...... 500 3546 ...... Power-Driven Handtools ...... 500 3547 ...... Rolling Mill Machinery and Equipment ...... 500 3548 ...... Electric and Gas Welding and Soldering Equipment ...... 500 3549 ...... Metalworking Machinery, N.E.C...... 500 3552 ...... Textile Machinery ...... 500 3553 ...... Woodworking Machinery ...... 500 3554 ...... Paper Industries Machinery ...... 500 3555 ...... Printing Trades Machinery and Equipment ...... 500 3556 ...... Food Products Machinery ...... 500 3559 ...... Special Industry Machinery, N.E.C...... 500 3561 ...... Pumps and Pumping Equipment ...... 500 3562 ...... Ball and Roller Bearings ...... 750 3563 ...... Air and Gas Compressors ...... 500 3564 ...... Industrial and Commercial Fans and Blowers and Air Purification Equipment ...... 500 3565 ...... Packaging Machinery ...... 500 3566 ...... Speed Changers, Industrial High-Speed Drives, and Gears ...... 500 3567 ...... Industrial Process Furnaces and Ovens ...... 500 3568 ...... Mechanical Power Transmission Equipment, N.E.C...... 500

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Size standards Size standards by SIC industry description in number of SIC (N.E.C. = not elsewhere classified) employees or (see endnotes, where indicated) millions of dollars

3569 ...... General Industrial Machinery and Equipment, N.E.C...... 500 3571 ...... Electronic Computers ...... 1,000 3572 ...... Computer Storage Devices ...... 1,000 3575 ...... Computer Terminals ...... 1,000 3577 ...... Computer Peripheral Equipment, N.E.C...... 1,000 3578 ...... Calculating and Accounting Machines, Except Electronic Computers ...... 1,000 3579 ...... Office Machines, N.E.C...... 500 3581 ...... Automatic Vending Machines ...... 500 3582 ...... Commercial Laundry, Drycleaning, and Pressing Machines ...... 500 3585 ...... Air-Conditioning and Warm Air Heating Equipment and Commercial and Industrial Refrigeration Equipment ...... 750 3586 ...... Measuring and Dispensing Pumps ...... 500 3589 ...... Service Industry Machinery, N.E.C...... 500 3592 ...... Carburetors, Pistons, Piston Rings, and Valves ...... 500 3593 ...... Fluid Power Cylinders and Actuators ...... 500 3594 ...... Fluid Power Pumps and Motors ...... 500 3596 ...... Scales and Balances, Except Laboratory ...... 500 3599 ...... Industrial and Commercial Machinery and Equipment, N.E.C...... 500

MAJOR GROUP 36 Ð ELECTRONIC AND OTHER ELECTRICAL EQUIPMENT AND COMPONENTS, EXCEPT COMPUTER EQUIPMENT

3612 ...... Power, Distribution, and Specialty Transformers ...... 750 3613 ...... Switchgear and Switchboard Apparatus ...... 750 3621 ...... Motors and Generators ...... 1,000 3624 ...... Carbon and Graphite Products ...... 750 3625 ...... Relays and Industrial Controls ...... 750 3629 ...... Electrical Industrial Apparatus, N.E.C...... 500 3631 ...... Household Cooking Equipment ...... 750 3632 ...... Household Refrigerators and Home and Farm Freezers ...... 1,000 3633 ...... Household Laundry Equipment ...... 1,000 3634 ...... Electric Housewares and Fans ...... 750 3635 ...... Household Vacuum Cleaners ...... 750 3639 ...... Household Appliances, N.E.C...... 500 3641 ...... Electric Lamp Bulbs and Tubes ...... 1,000 3643 ...... Current-Carrying Wiring Devices ...... 500 3644 ...... Noncurrent-Carrying Wiring Devices ...... 500 3645 ...... Residential Electric Lighting Fixtures ...... 500 3646 ...... Commercial, Industrial, and Institutional Electric Lighting Fixtures ...... 500 3647 ...... Vehicular Lighting Equipment ...... 500 3648 ...... Lighting Equipment, N.E.C...... 500 3651 ...... Household Audio and Video Equipment ...... 750 3652 ...... Phonograph Records and Prerecorded Audio Tapes and Disks ...... 750 3661 ...... Telephone and Telegraph Apparatus ...... 1,000 3663 ...... Radio and Television Broadcasting and Communications Equipment ...... 750 3669 ...... Communications Equipment, N.E.C...... 750 3671 ...... Electron Tubes ...... 750 3672 ...... Printed Circuit Boards ...... 500 3674 ...... Semiconductors and Related Devices ...... 500 3675 ...... Electronic Capacitors ...... 500 3676 ...... Electronic Resistors ...... 500 3677 ...... Electronic Coils, Transformers, and Other Inductors ...... 500 3678 ...... Electronic Connectors ...... 500 3679 ...... Electronic Components, N.E.C...... 500 3691 ...... Storage Batteries ...... 500 3692 ...... Primary Batteries, Dry and Wet ...... 1,000 3694 ...... Electrical Equipment for Internal Combustion Engines ...... 750 3695 ...... Magnetic and Optical Recording Media ...... 1,000 3699 ...... Electrical Machinery, Equipment, and Supplies ...... 750

MAJOR GROUP 37 Ð TRANSPORTATION EQUIPMENT

3711 ...... Motor Vehicles and Passenger Car Bodies ...... 1,000 3713 ...... Truck and Bus Bodies ...... 500 3714 ...... Motor Vehicle Parts and Accessories ...... 750 3715 ...... Truck Trailers ...... 500 3716 ...... Motor Homes ...... 1,000 3721 ...... Aircraft ...... 1,500 3724 ...... Aircraft Engines and Engine Parts ...... 1,000 3728 ...... Aircraft Parts and Auxiliary Equipment, N.E.C...... 9 1,000 3731 ...... Shipbuilding and Repair of Nuclear Propelled Ships ...... 1,000 EXCEPT, Shipbuilding of Nonnuclear Propelled Ships and Nonpropelled Ships ...... 1,000

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Size standards Size standards by SIC industry description in number of SIC (N.E.C. = not elsewhere classified) employees or (see endnotes, where indicated) millions of dollars

Ship Repair (Including Overhauls and Conversions) Performed on Nonnuclear Propelled and Nonpropelled Ships East of the 108th Meridian ...... 1,000 Ship Repair (Including Overhauls and Conversions) Performed on Nonnuclear Propelled and Nonpropelled Ships West of the 108th Meridian ...... 1,000 3732 ...... Boat Building and Repairing ...... 500 3743 ...... Railroad Equipment ...... 1,000 3751 ...... Motorcycles, Bicycles, and Parts ...... 500 3761 ...... Guided Missiles and Space Vehicles ...... 1,000 3764 ...... Guided Missile and Space Vehicle Propulsion Units and Propulsion Unit Parts ...... 1,000 3769 ...... Guided Missile and Space Vehicle Parts and Auxiliary Equipment, N.E.C...... 1,000 3792 ...... Travel Trailers and Campers ...... 500 3795 ...... Tanks and Tank Components ...... 1,000 3799 ...... Transportation Equipment, N.E.C...... 500

MAJOR GROUP 38 Ð MEASURING, ANALYZING, AND CONTROLLING INSTRUMENTS; PHOTOGRAPHIC, MEDICAL, AND OPTICAL GOODS; WATCHES AND CLOCKS

3812 ...... Search, Detection, Navigation, Guidance, Aeronautical, and Nautical Systems and Instruments ...... 750 3821 ...... Laboratory Apparatus and Furniture ...... 500 3822 ...... Automatic Controls for Regulating Residential and Commercial Environments and Appliances ...... 500 3823 ...... Industrial Instruments for Measurement, Display, and Control of Process Variables; and Related Products ...... 500 3824 ...... Totalizing Fluid Meters and Counting Devices ...... 500 3825 ...... Instruments for Measuring and Testing of Electricity and Electrical Signals ...... 500 3826 ...... Laboratory Analytical Instruments ...... 500 3827 ...... Optical Instruments and Lenses ...... 500 3829 ...... Measuring and Controlling Devices, N.E.C...... 500 3841 ...... Surgical and Medical Instruments and Apparatus ...... 500 3842 ...... Orthopedic, Prosthetic, and Surgical Appliances and Supplies ...... 500 3843 ...... Dental Equipment and Supplies ...... 500 3844 ...... X-Ray Apparatus and Tubes and Related Irradiation Apparatus ...... 500 3845 ...... Electromedical and Electrotherapeutic Apparatus ...... 500 3851 ...... Ophthalmic Goods ...... 500 3861 ...... Photographic Equipment and Supplies ...... 500 3873 ...... Watches, Clocks, Clockwork Operated Devices, and Parts ...... 500

MAJOR GROUP 39 Ð MISCELLANEOUS MANUFACTURING INDUSTRIES

3911 ...... Jewelry, Precious Metal ...... 500 3914 ...... Silverware, Plated Ware, and Stainless Steel Ware ...... 500 3915 ...... Jewelers' Findings and Materials, and Lapidary Work ...... 500 3931 ...... Musical Instruments ...... 500 3942 ...... Dolls and Stuffed Toys ...... 500 3944 ...... Games, Toys, and Children's Vehicles, Except Dolls and Bicycles ...... 500 3949 ...... Sporting and Athletic Goods, N.E.C...... 500 3951 ...... Pens, Mechanical Pencils, and Parts ...... 500 3952 ...... Lead Pencils, Crayons, and Artists' Materials ...... 500 3953 ...... Marking Devices ...... 500 3955 ...... Carbon Paper and Inked Ribbons ...... 500 3961 ...... Costume Jewelry and Costume Novelties, Except Precious Metal ...... 500 3965 ...... Fasteners, Buttons, Needles, and Pins ...... 500 3991 ...... Brooms and Brushes ...... 500 3993 ...... Signs and Advertising Specialties ...... 500 3995 ...... Burial Caskets ...... 500 3996 ...... Linoleum, Asphalted-Felt-Base, and Other Hard Surface Floor Coverings, N.E.C...... 750 3999 ...... Manufacturing Industries, N.E.C...... 500

DIVISION E Ð TRANSPORTATION, COMMUNICATIONS ELECTRIC, GAS AND SANITARY SERVICES

MAJOR GROUP 40 Ð RAILROAD TRANSPORTATION

4011 ...... Railroads, Line-Haul Operating ...... 1,500 4013 ...... Railroad Switching and Terminal Establishments ...... 500

MAJOR GROUP 41 Ð LOCAL AND SUBURBAN TRANSIT AND INTERURBAN HIGHWAY PASSENGER TRANSPORTATION

4111 ...... Local and Suburban Transit ...... $5.0 4119 ...... Local Passenger Transportation, N.E.C...... $5.0 4121 ...... Taxicabs ...... $5.0

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Size standards Size standards by SIC industry description in number of SIC (N.E.C. = not elsewhere classified) employees or (see endnotes, where indicated) millions of dollars

4131 ...... Intercity and Rural Bus Transportation ...... $5.0 4141 ...... Local Bus Charter Service ...... $5.0 4142 ...... Bus Charter Service, Except Local ...... $5.0 4151 ...... School Buses ...... $5.0 4173 ...... Terminal and Service Facilities for Motor Vehicle Passenger Transportation ...... $5.0

MAJOR GROUP 42 Ð MOTOR FREIGHT TRANSPORTATION AND WAREHOUSING

4212 ...... Local Trucking Without Storage ...... $18.5 EXCEPT, Garbage and Refuse Collection, Without Disposal ...... $6.0 4213 ...... Trucking, Except Local ...... $18.5 4214 ...... Local Trucking With Storage ...... $18.5 4215 ...... Courier Services, Except by Air ...... $18.5 4221 ...... Farm Product Warehousing and Storage ...... $18.5 4222 ...... Refrigerated Warehousing and Storage ...... $18.5 4225 ...... General Warehousing and Storage ...... $18.5 4226 ...... Special Warehousing and Storage, N.E.C...... $18.5 4231 ...... Terminal and Joint Terminal Maintenance Facilities for Motor Freight Transportation ...... $5.0

MAJOR GROUP 44 Ð WATER TRANSPORTATION

4412 ...... Deep Sea Foreign Transportation of Freight ...... 500 4424 ...... Deep Sea Domestic Transportation of Freight ...... 500 4432 ...... Freight Transportation on the Great LakesÐSt. Lawrence Seaway ...... 500 4449 ...... Water Transportation of Freight, N.E.C...... 500 4481 ...... Deep Sea Transportation of Passengers, Except by Ferry ...... 500 4482 ...... Ferries ...... 500 4489 ...... Water Transportation of Passengers, N.E.C...... 500 4491 ...... Marine Cargo Handling ...... $18.5 4492 ...... Towing and Tugboat Services ...... $5.0 4493 ...... Marinas ...... $5.0 4499 ...... Water Transportation Services, N.E.C...... $5.0 EXCEPT, Offshore Marine Water Transportation Services ...... $20.5

MAJOR GROUP 45 Ð TRANSPORTATION BY AIR

4512 ...... Air Transportation, Scheduled ...... 1,500 4513 ...... Air Courier Services ...... 1,500 4522 ...... Air Transportation, Nonscheduled ...... 1,500 EXCEPT, Offshore Marine Air Transportation Services ...... $20.5 4581 ...... Airports, Flying Fields, and Airport Terminal Services ...... $5.0

MAJOR GROUP 46 Ð PIPELINES, EXCEPT NATURAL GAS

4612 ...... Crude Petroleum Pipelines ...... 1,500 4613 ...... Refined Petroleum Pipelines ...... 1,500 4619 ...... Pipelines, N.E.C...... $25.0

MAJOR GROUP 47 Ð TRANSPORTATION SERVICES

4724 ...... Travel Agencies ...... 6 $1.0 4725 ...... Tour Operators ...... $5.0 4729 ...... Arrangement of Passenger Transportation, N.E.C...... $5.0 4731 ...... Arrangement of Transportation of Freight and Cargo ...... $18.5 4741 ...... Rental of Railroad Cars ...... $5.0 4783 ...... Packing and Crating ...... $18.5 4785 ...... Fixed Facilities and Inspection and Weighing Services for Motor Vehicle Transportation ...... $5.0 4789 ...... Transportation Services, N.E.C...... $5.0

MAJOR GROUP 48 Ð COMMUNICATIONS

4812 ...... Radiotelephone Communications ...... 1,500 4813 ...... Telephone Communications, Except Radiotelephone ...... 1,500 4822 ...... Telegraph and Other Message Communications ...... $5.0 4832 ...... Radio Broadcasting Stations ...... $5.0 4833 ...... Television Broadcasting Stations ...... $10.5 4841 ...... Cable and Other Pay Television Services ...... $11.0 4899 ...... Communications Services, N.E.C...... $11.0

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Size standards Size standards by SIC industry description in number of SIC (N.E.C. = not elsewhere classified) employees or (see endnotes, where indicated) millions of dollars

MAJOR GROUP 49 Ð ELECTRIC, GAS, AND SANITARY SERVICES

4911 ...... Electric Services ...... 4 million megawatt hrs. 4922 ...... Natural Gas Transmission ...... $5.0 4923 ...... Gas Transmission and Distribution ...... $5.0 4924 ...... Natural Gas Distribution ...... 500 4925 ...... Mixed, Manufactured, or Liquefied Petroleum Gas Production and/or Distribution ...... $5.0 4931 ...... Electric and Other Services Combined ...... $5.0 4932 ...... Gas and Other Services Combined ...... $5.0 4939 ...... Combination Utilities, N.E.C...... $5.0 4941 ...... Water Supply ...... $5.0 4952 ...... Sewerage Systems ...... $5.0 4953 ...... Refuse Systems ...... $6.0 4959 ...... Sanitary Services, N.E.C...... $5.0 4961 ...... Steam and Air-Conditioning Supply ...... $9.0 4971 ...... Irrigation Systems ...... $5.0

DIVISION F Ð WHOLESALE TRADE

(Not Applicable to Government procurement of supplies. The nonmanufacturer size standard of 500 employees shall be used for purposes of Government procurement of supplies.)

MAJOR GROUP 50 Ð WHOLESALE TRADE Ð DURABLE GOODS

5012 ...... Automobiles and Other Motor Vehicles ...... 100 5013 ...... Motor Vehicle Supplies and New Parts ...... 100 5014 ...... Tires and Tubes ...... 100 5015 ...... Motor Vehicle Parts, Used ...... 100 5021 ...... Furniture ...... 100 5023 ...... Homefurnishings ...... 100 5031 ...... Lumber, Plywood, Millwork, and Wood Panels ...... 100 5032 ...... Brick, Stone, and Related Construction Materials ...... 100 5033 ...... Roofing, Siding, and Insulation Materials ...... 100 5039 ...... Construction Materials, N.E.C...... 100 5043 ...... Photographic Equipment and Supplies ...... 100 5044 ...... Office Equipment ...... 100 5045 ...... Computers and Computer Peripheral Equipment and Software ...... 100 5046 ...... Commercial Equipment, N.E.C...... 100 5047 ...... Medical, Dental, and Hospital Equipment and Supplies ...... 100 5048 ...... Ophthalmic Goods ...... 100 5049 ...... Professional Equipment and Supplies, N.E.C...... 100 5051 ...... Metals Service Centers and Offices ...... 100 5052 ...... Coal and Other Minerals and Ores ...... 100 5063 ...... Electrical Apparatus and Equipment, Wiring Supplies, and Construction Materials ...... 100 5064 ...... Electrical Appliances, Television and Radio Sets ...... 100 5065 ...... Electronic Parts and Equipment, N.E.C...... 100 5072 ...... Hardware ...... 100 5074 ...... Plumbing and Heating Equipment and Supplies (Hydronics) ...... 100 5075 ...... Warm Air Heating and Air-Conditioning Equipment and Supplies ...... 100 5078 ...... Refrigeration Equipment and Supplies ...... 100 5082 ...... Construction and Mining (Except Petroleum) Machinery and Equipment ...... 100 5083 ...... Farm and Garden Machinery and Equipment ...... 100 5084 ...... Industrial Machinery and Equipment ...... 100 5085 ...... Industrial Supplies ...... 100 5087 ...... Service Establishment Equipment and Supplies ...... 100 5088 ...... Transportation Equipment and Supplies, Except Motor Vehicles ...... 100 5091 ...... Sporting and Recreational Goods and Supplies ...... 100 5092 ...... Toys and Hobby Goods and Supplies ...... 100 5093 ...... Scrap and Waste Materials ...... 100 5094 ...... Jewelry, Watches, Precious Stones, and Precious Metals ...... 100 5099 ...... Durable Goods, N.E.C...... 100

MAJOR GROUP 51 Ð WHOLESALE TRADE Ð NONDURABLE GOODS

5111 ...... Printing and Writing Paper ...... 100 5112 ...... Stationery and Office Supplies ...... 100

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Size standards Size standards by SIC industry description in number of SIC (N.E.C. = not elsewhere classified) employees or (see endnotes, where indicated) millions of dollars

5113 ...... Industrial and Personal Service Paper ...... 100 5122 ...... Drugs, Drug Proprietaries, and Druggists' Sundries ...... 100 5131 ...... Piece Goods, Notions, and Other Dry Goods ...... 100 5136 ...... Men's and Boys' Clothing and Furnishings ...... 100 5137 ...... Women's, Children's, and Infants' Clothing and Accessories ...... 100 5139 ...... Footwear ...... 100 5141 ...... Groceries, General Line ...... 100 5142 ...... Packaged Frozen Foods ...... 100 5143 ...... Dairy Products, Except Dried or Canned ...... 100 5144 ...... Poultry and Poultry Products ...... 100 5145 ...... Confectionery ...... 100 5146 ...... Fish and Seafood ...... 100 5147 ...... Meats and Meat Products ...... 100 5148 ...... Fresh Fruits and Vegetables ...... 100 5149 ...... Groceries and Related Products, N.E.C...... 100 5153 ...... Grain and Field Beans ...... 100 5154 ...... Livestock ...... 100 5159 ...... Farm-Product Raw Materials, N.E.C...... 100 5162 ...... Plastics Materials and Basic Forms and Shapes ...... 100 5169 ...... Chemical and Allied Products, N.E.C...... 100 5171 ...... Petroleum Bulk Stations and Terminals ...... 100 5172 ...... Petroleum and Petroleum Products Wholesalers, Except Bulk Stations and Terminals ...... 100 5181 ...... Beer and Ale ...... 100 5182 ...... Wine and Distilled Alcoholic Beverages ...... 100 5191 ...... Farm Supplies ...... 100 5192 ...... Books, Periodicals, and Newspapers ...... 100 5193 ...... Flowers, Nursery Stock, and Florists' Supplies ...... 100 5194 ...... Tobacco and Tobacco Products ...... 100 5198 ...... Paints, Varnishes, and Supplies ...... 100 5199 ...... Nondurable Goods, N.E.C...... 100

DIVISION G Ð RETAIL TRADE

(Not Applicable to Government procurement of supplies. The nonmanufacturer size standard of 500 employees shall be used for purposes of Government procurement of supplies.)

MAJOR GROUP 52 Ð BUILDING MATERIALS, HARDWARE, GARDEN SUPPLY, AND MOBILE HOME DEALERS

5211 ...... Lumber and Other Building Materials Dealers ...... $5.0 5231 ...... Paint, Glass, and Wallpaper Stores ...... $5.0 5251 ...... Hardware Stores ...... $5.0 5261 ...... Retail Nurseries, Lawn and Garden Supply Stores ...... $5.0 5271 ...... Mobile Home Dealers ...... $9.5

MAJOR GROUP 53 Ð GENERAL MERCHANDISE STORES

5311 ...... Department Stores ...... $20.0 5331 ...... Variety Stores ...... $8.0 5399 ...... Miscellaneous General Merchandise Stores ...... $5.0

MAJOR GROUP 54 Ð FOOD STORES

5411 ...... Grocery Stores ...... $20.0 5421 ...... Meat and Fish (Seafood) Markets, Including Freezer Provisioners ...... $5.0 5431 ...... Fruit and Vegetable Markets ...... $5.0 5441 ...... Candy, Nut, and Confectionery Stores ...... $5.0 5451 ...... Dairy Products Stores ...... $5.0 5461 ...... Retail Bakeries ...... $5.0 5499 ...... Miscellaneous Food Stores ...... $5.0

MAJOR GROUP 55 Ð AUTOMOTIVE DEALERS AND GASOLINE SERVICE STATIONS

5511 ...... Motor Vehicle Dealers (New and Used) ...... $21.0 5521 ...... Motor Vehicle Dealers (Used Only) ...... $17.0 5531 ...... Auto and Home Supply Stores ...... $5.0 5541 ...... Gasoline Service Stations ...... $6.5 5551 ...... Boat Dealers ...... $5.0 5561 ...... Recreational Vehicle Dealers ...... $5.0

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Size standards Size standards by SIC industry description in number of SIC (N.E.C. = not elsewhere classified) employees or (see endnotes, where indicated) millions of dollars

5571 ...... Motorcycle Dealers ...... $5.0 5599 ...... Automotive Dealers, N.E.C...... $5.0 EXCEPT, Aircraft Dealers, Retail ...... $7.5

MAJOR GROUP 56 Ð APPAREL AND ACCESSORY STORES

5611 ...... Men's and Boys' Clothing and Accessory Stores ...... $6.5 5621 ...... Women's Clothing Stores ...... $6.5 5632 ...... Women's Accessory and Specialty Stores ...... $5.0 5641 ...... Children's and Infants' Wear Stores ...... $5.0 5651 ...... Family Clothing Stores ...... $6.5 5661 ...... Shoe Stores ...... $6.5 5699 ...... Miscellaneous Apparel and Accessory Stores ...... $5.0

MAJOR GROUP 57 Ð HOME FURNITURE, FURNISHINGS, AND EQUIPMENT STORES

5712 ...... Furniture Stores ...... $5.0 5713 ...... Floor Covering Stores ...... $5.0 5714 ...... Drapery, Curtain, and Upholstery Stores ...... $5.0 5719 ...... Miscellaneous Homefurnishings Stores ...... $5.0 5722 ...... Household Appliance Stores ...... $6.5 5731 ...... Radio, Television, and Consumer Electronics Stores ...... $6.5 5734 ...... Computer and Computer Software Stores ...... $6.5 5735 ...... Record and Prerecorded Tape Stores ...... $5.0 5736 ...... Musical Instrument Stores ...... $5.0

MAJOR GROUP 58 Ð EATING AND DRINKING PLACES

5812 ...... Eating Places ...... $5.0 EXCEPT, Food Service, Institutional ...... $15.0 5813 ...... Drinking Places (Alcoholic Beverages) ...... $5.0

MAJOR GROUP 59 Ð MISCELLANEOUS RETAIL

5912 ...... Drug Stores and Proprietary Stores ...... $5.0 5921 ...... Liquor Stores ...... $5.0 5932 ...... Used Merchandise Stores ...... $5.0 5941 ...... Sporting Goods Stores and Bicycle Shops ...... $5.0 5942 ...... Book Stores ...... $5.0 5943 ...... Stationery Stores ...... $5.0 5944 ...... Jewelry Stores ...... $5.0 5945 ...... Hobby, Toy, and Game Shops ...... $5.0 5946 ...... Camera and Photographic Supply Stores ...... $5.0 5947 ...... Gift, Novelty, and Souvenir Shops ...... $5.0 5948 ...... Luggage and Leather Goods Stores ...... $5.0 5949 ...... Sewing, Needlework, and Piece Goods Stores ...... $5.0 5961 ...... Catalog and Mail-Order Houses ...... $18.5 5962 ...... Automatic Merchandising Machine Operators ...... $5.0 5963 ...... Direct Selling Establishments ...... $5.0 5983 ...... Fuel Oil Dealers ...... $9.0 5984 ...... Liquefied Petroleum Gas (Bottled Gas) Dealers ...... $5.0 5989 ...... Fuel Dealers, N.E.C...... $5.0 5992 ...... Florists ...... $5.0 5993 ...... Tobacco Stores and Stands ...... $5.0 5994 ...... News Dealers and Newsstands ...... $5.0 5995 ...... Optical Goods Stores ...... $5.0 5999 ...... Miscellaneous Retail Stores, N.E.C...... $5.0

DIVISION H Ð FINANCE, INSURANCE, AND REAL ESTATE

MAJOR 60 Ð DEPOSITORY INSTITUTIONS

6021 ...... National Commercial Banks ...... $100 million in Assets 7 6022 ...... State Commercial Banks ...... $100 million in Assets 7 6029 ...... Commercial Banks, N.E.C...... $100 million in Assets 7

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Size standards Size standards by SIC industry description in number of SIC (N.E.C. = not elsewhere classified) employees or (see endnotes, where indicated) millions of dollars

6035 ...... Savings Institutions, Federally Chartered ...... $100 million in Assets 7 6036 ...... Savings Institutions, Not Federally Chartered ...... $100 million in Assets 7 6061 ...... Credit Unions, Federally Chartered ...... $100 million in Assets 7 6062 ...... Credit Unions, Not Federally Chartered ...... $100 million in Assets 7 6081 ...... Branches and Agencies of Foreign Banks ...... $100 million in Assets 7 6082 ...... Foreign Trade and International Banking Institutions ...... $100 million in Assets 7 6091 ...... Deposit Trust Facilities ...... $5.0 6099 ...... Functions Related to Depository Banking, N.E.C...... $5.0

MAJOR GROUP 61 Ð NONDEPOSITORY INSTITUTION

6141 ...... Personal Credit Institutions ...... $5.0 6153 ...... Short-Term Business Credit Institutions, Except Agriculture ...... $5.0 6159 ...... Miscellaneous Business Credit Institutions ...... $5.0 6162 ...... Mortgage Bankers and Loan Correspondents ...... $5.0 6163 ...... Loan Brokers ...... $5.0

MAJOR GROUP 62 Ð SECURITY AND COMMODITY BROKERS, DEALERS, EXCHANGES AND SERVICES

6211 ...... Security Brokers, Dealers and Flotation Companies ...... $5.0 6221 ...... Commodity Contracts Brokers and Dealers ...... $5.0 6231 ...... Security and Commodity Exchanges ...... $5.0 6282 ...... Investment Advice ...... $5.0 6289 ...... Services Allied With the Exchange of Securities or Commodities, N.E.C...... $5.0

MAJOR GROUP 63 Ð INSURANCE CARRIERS

6311 ...... Life Insurance ...... $5.0 6321 ...... Accident and Health Insurance ...... $5.0 6324 ...... Hospital and Medical Service Plans ...... $5.0 6331 ...... Fire, Marine, and Casualty Insurance ...... 1,500 6351 ...... Surety Insurance ...... $5.0 6361 ...... Title Insurance ...... $5.0 6371 ...... Pension, Health and Welfare Funds ...... $5.0 6399 ...... Insurance Carriers, N.E.C...... $5.0

MAJOR GROUP 64 Ð INSURANCE AGENTS, BROKERS, AND SERVICE

6411 ...... Insurance Agents, Brokers, and Service ...... $5.0

MAJOR GROUP 65 Ð REAL ESTATE

6512 ...... Operators of Nonresidential Buildings ...... $5.0 6513 ...... Operators of Apartment Buildings ...... $5.0 6514 ...... Operators of Dwellings Other Than Apartment Buildings ...... $5.0 6515 ...... Operators of Residential Mobile Home Sites ...... $5.0 EXCEPT, Leasing of Building Space to Federal Government by Owners ...... 8 $15.0 6517 ...... Lessors of Railroad Property ...... $5.0 6519 ...... Lessors of Real Property, N.E.C...... $5.0 6531 ...... Real Estate Agents and Managers ...... 6 $1.5 6541 ...... Title Abstract Offices ...... $5.0 6552 ...... Land Subdividers and Developers, Except Cemetaries ...... $5.0 6553 ...... Cemetery Subdividers and Developers ...... $5.0

MAJOR GROUP 67 Ð HOLDING AND OTHER INVESTMENT OFFICES

6712 ...... Offices of Bank Holding Companies ...... $5.0 6719 ...... Offices of Holding Companies, N.E.C...... $5.0 6722 ...... Management Investment Offices, Open-End ...... $5.0 6726 ...... Unit Investment Trusts, Face-Amount Certificate Offices, and Closed-End Management Investment Offices ...... $5.0 6732 ...... Educational, Religious, and Charitable Trusts ...... $5.0 6733 ...... Trusts, Except Educational, Religious, and Charitable ...... $5.0 6792 ...... Oil Royalty Traders ...... $5.0 6794 ...... Patent Owners and Lessors ...... $5.0

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Size standards Size standards by SIC industry description in number of SIC (N.E.C. = not elsewhere classified) employees or (see endnotes, where indicated) millions of dollars

6798 ...... Real Estate Investment Trusts ...... $5.0 6799 ...... Investors, N.E.C...... $5.0

DIVISION I Ð SERVICES

MAJOR GROUP 70 Ð HOTELS, ROOMING HOUSES, CAMPS, AND OTHER LODGING PLACES

7011 ...... Hotels and Motels ...... $5.0 7021 ...... Rooming and Boarding Houses ...... $5.0 7032 ...... Sporting and Recreational Camps ...... $5.0 7033 ...... Recreational Vehicle Parks and Campsites ...... $5.0 7041 ...... Organization Hotels and Lodging Houses, on Membership Basis ...... $5.0

MAJOR GROUP 72 Ð PERSONAL SERVICES

7211 ...... Power Laundries, Family and Commercial ...... $10.5 7212 ...... Garment Pressing, and Agents for Laundries and Drycleaners ...... $5.0 7213 ...... Linen Supply ...... $10.5 7215 ...... Coin-Operated Laundries and Drycleaning ...... $5.0 7216 ...... Drycleaning Plants, Except Rug Cleaning ...... $3.5 7217 ...... Carpet and Upholstery Cleaning ...... $3.5 7218 ...... Industrial Launderers ...... $10.5 7219 ...... Laundry and Garment Services, N.E.C...... $5.0 7221 ...... Photographic Studios, Portrait ...... $5.0 7231 ...... Beauty Shops ...... $5.0 7241 ...... Barber Shops ...... $5.0 7251 ...... Shoe Repair Shops and Shoeshine Parlors ...... $5.0 7261 ...... Funeral Service and Crematories ...... $5.0 7291 ...... Tax Return Preparation Services ...... $5.0 7299 ...... Miscellaneous Personal Services, N.E.C...... $5.0

MAJOR GROUP 73 Ð BUSINESS SERVICES

7311 ...... Advertising Agencies ...... 6 $5.0 7312 ...... Outdoor Advertising Services ...... 6 $5.0 7313 ...... Radio, Television, and Publishers' Advertising Representatives ...... 6 $5.0 7319 ...... Advertising, N.E.C...... 6 $5.0 7322 ...... Adjustment and Collection Services ...... $5.0 7323 ...... Credit Reporting Services ...... $5.0 7331 ...... Direct Mail Advertising Services ...... $5.0 7334 ...... Photocopying and Duplicating Services ...... $5.0 7335 ...... Commercial Photography ...... $5.0 7336 ...... Commercial Art and Graphic Design ...... $5.0 7338 ...... Secretarial and Court Reporting Services ...... $5.0 7342 ...... Disinfecting and Pest Control Services ...... $5.0 7349 ...... Building Cleaning and Maintenance Services, N.E.C...... $12.0 7352 ...... Medical Equipment Rental and Leasing ...... $5.0 7353 ...... Heavy Construction Equipment Rental and Leasing ...... $5.0 7359 ...... Equipment Rental and Leasing, N.E.C...... $5.0 7361 ...... Employment Agencies ...... $5.0 7363 ...... Help Supply Services ...... $5.0 7371 ...... Computer Programming Services ...... $18.0 7372 ...... Prepackaged Software ...... $18.0 7373 ...... Computer Integrated Systems Design ...... $18.0 7374 ...... Computer Processing and Data Preparation and Processing Services ...... $18.0 7375 ...... Information Retrieval Services ...... $18.0 7376 ...... Computer Facilities Management Services ...... $18.0 7377 ...... Computer Rental and Leasing ...... $18.0 7378 ...... Computer Maintenance and Repair ...... $18.0 7379 ...... Computer Related Services, N.E.C...... $18.0 7381 ...... Detective, Guard, and Armored Car Services ...... $9.0 7382 ...... Security Systems Services ...... $9.0 7383 ...... News Syndicates ...... $5.0 7384 ...... Photofinishing Laboratories ...... $5.0 7389 ...... Business Services, N.E.C...... $5.0 EXCEPT, Map Drafting Services, Mapmaking (Including Aerial) and Photogrammetric Mapping Services ...... $4.0

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Size standards Size standards by SIC industry description in number of SIC (N.E.C. = not elsewhere classified) employees or (see endnotes, where indicated) millions of dollars

MAJOR GROUP 75 Ð AUTOMOTIVE REPAIR, SERVICES, AND PARKING

7513 ...... Truck Rental and Leasing, Without Drivers ...... $18.5 7514 ...... Passenger Car Rental ...... $18.5 7515 ...... Passenger Car Leasing ...... $18.5 7519 ...... Utility Trailer and Recreational Vehicle Rental ...... $5.0 7521 ...... Automobile Parking ...... $5.0 7532 ...... Top, Body, and Upholstery Repair Shops and Paint Shops ...... $5.0 7533 ...... Automotive Exhaust System Repair Shops ...... $5.0 7534 ...... Tire Retreading and Repair Shops ...... $10.5 7536 ...... Automotive Glass Replacement Shops ...... $5.0 7537 ...... Automotive Transmission Repair Shops ...... $5.0 7538 ...... General Automotive Repair Shops ...... $5.0 7539 ...... Automotive Repair Shops, N.E.C...... $5.0 7542 ...... Carwashes ...... $5.0 7549 ...... Automotive Services, Except Repair and Carwashes ...... $5.0

MAJOR GROUP 76 Ð MISCELLANEOUS REPAIR SERVICES

7622 ...... Radio and Television Repair Shops ...... $5.0 7623 ...... Refrigeration and Air-Conditioning Service and Repair Shops ...... $5.0 7629 ...... Electrical and Electronic Repair Shops, N.E.C...... $5.0 7631 ...... Watch, Clock, and Jewelry Repair ...... $5.0 7641 ...... Reupholstery and Furniture Repair ...... $5.0 7692 ...... Welding Repair ...... $5.0 7694 ...... Armature Rewinding Shops ...... $5.0 7699 ...... Repair Shops and Related Services, N.E.C...... 9 $5.0

MAJOR GROUP 78 Ð MOTION PICTURES

7812 ...... Motion Picture and Video Tape Production ...... $21.5 7819 ...... Services Allied to Motion Picture Production ...... $21.5 7822 ...... Motion Picture and Video Tape Distribution ...... $21.5 7829 ...... Services Allied to Motion Picture Distribution ...... $5.0 7832 ...... Motion Picture Theaters, Except Drive-In ...... $5.0 7833 ...... Drive-In Motion Picture Theaters ...... $5.0 7841 ...... Video Tape Rental ...... $5.0

MAJOR GROUP 79 Ð AMUSEMENT AND RECREATION SERVICES

7911 ...... Dance Studios, Schools, and Halls ...... $5.0 7922 ...... Theatrical Producers (Except Motion Picture) and Miscellaneous Theatrical Services ...... $5.0 7929 ...... Bands, Orchestras, Actors, and Other Entertainers and Entertainment Groups ...... $5.0 7933 ...... Bowling Centers ...... $5.0 7941 ...... Professional Sports Clubs and Promoters ...... $5.0 7948 ...... Racing, Including Track Operation ...... $5.0 7991 ...... Physical Fitness Facilities ...... $5.0 7993 ...... Coin-Operated Amusement Devices ...... $5.0 7996 ...... Amusement Parks ...... $5.0 7997 ...... Membership Sports and Recreation Clubs ...... $5.0 7999 ...... Amusement and Recreation Services, N.E.C...... $5.0

MAJOR GROUP 80 Ð HEALTH SERVICES

8011 ...... Offices and Clinics of Doctors of Medicine ...... $5.0 8021 ...... Offices and Clinics of Dentists ...... $5.0 8031 ...... Offices and Clinics of Doctors of Osteopathy ...... $5.0 8041 ...... Offices and Clinics of Chiropractors ...... $5.0 8042 ...... Offices and Clinics of Optometrists ...... $5.0 8043 ...... Offices and Clinics of Podiatrists ...... $5.0 8049 ...... Offices and Clinics of Health Practitioners, N.E.C...... $5.0 8051 ...... Skilled Nursing Care Facilities ...... $5.0 8052 ...... Intermediate Care Facilities ...... $5.0 8059 ...... Nursing and Personal Care Facilities, N.E.C...... $5.0 8062 ...... General Medical and Surgical Hospitals ...... $5.0 8063 ...... Psychiatric Hospitals ...... $5.0 8069 ...... Specialty Hospitals, Except Psychiatric ...... $5.0 8071 ...... Medical Laboratories ...... $5.0 8072 ...... Dental Laboratories ...... $5.0 8082 ...... Home Health Care Services ...... $5.0

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Size standards Size standards by SIC industry description in number of SIC (N.E.C. = not elsewhere classified) employees or (see endnotes, where indicated) millions of dollars

8092 ...... Kidney Dialysis Centers ...... $5.0 8093 ...... Specialty Outpatient Facilities, N.E.C...... $5.0 8099 ...... Health and Allied Services, N.E.C...... $5.0

MAJOR GROUP 81 Ð LEGAL SERVICES

8111 ...... Legal Services ...... $5.0

MAJOR GROUP 82 Ð EDUCATIONAL SERVICES

8211 ...... Elementary and Secondary Schools ...... $5.0 8221 ...... Colleges, Universities, and Professional Schools ...... $5.0 8222 ...... Junior Colleges and Technical Institutes ...... $5.0 8231 ...... Libraries ...... $5.0 8243 ...... Data Processing Schools ...... $5.0 8244 ...... Business and Secretarial Schools ...... $5.0 8249 ...... Vocational Schools, N.E.C...... $5.0 8299 ...... Schools and Educational Services, N.E.C...... $5.0 EXCEPT, Flight Training Services ...... $18.5

MAJOR GROUP 83 Ð SOCIAL SERVICES

8322 ...... Individual and Family Social Services ...... $5.0 8331 ...... Job Training and Vocational Rehabilitation Services ...... $5.0 8351 ...... Child Day Care Services ...... $5.0 8361 ...... Residential Care ...... $5.0 8399 ...... Social Services, N.E.C...... $5.0

MAJOR GROUP 84 Ð MUSEUMS, ART GALLERIES, AND BOTANICAL AND ZOOLOGICAL GARDENS

8412 ...... Museums and Art Galleries ...... $5.0 8422 ...... Arboreta and Botanical or Zoological Gardens ...... $5.0

MAJOR GROUP 86 Ð MEMBERSHIP ORGANIZATIONS

8611 ...... Business Associations ...... $5.0 8621 ...... Professional Membership Organizations ...... $5.0 8631 ...... Labor Unions and Similar Labor Organizations ...... $5.0 8641 ...... Civic, Social, and Fraternal Associations ...... $5.0 8651 ...... Political Organizations ...... $5.0 8661 ...... Religious Organizations ...... $5.0 8699 ...... Membership Organizations, N.E.C...... $5.0

MAJOR GROUP 87 Ð ENGINEERING, ACCOUNTING, RESEARCH, MANAGEMENT, AND RELATED SERVICES

8711 ...... Engineering Services ...... $4.0 EXCEPT, Military and Aerospace Equipment and Military Weapons ...... $20.0 EXCEPT, Contracts and Subcontracts for Engineering Services Awarded Under the National Energy Policy Act of 1992 ...... $20.0 EXCEPT, Marine Engineering and Naval Architecture ...... $13.5 8712 ...... Architectural Services (Other than Naval) ...... $4.0 8713 ...... Surveying Services ...... $4.0 8721 ...... Accounting, Auditing, and Bookkeeping Services ...... $6.0 8731 ...... Commercial Physical and Biological Research ...... 10 500 EXCEPT, Aircraft ...... 1,500 EXCEPT, Aircraft Parts, and Auxiliary Equipment, and Aircraft Engine Parts ...... 1,000 EXCEPT, Space Vehicles and Guided Missiles, their Propulsion Units, their Propulsion Units Parts, and their Auxiliary Equipment and Parts ...... 1,000 8732 ...... Commercial Economic, Sociological, and Educational Research ...... $5.0 8733 ...... Noncommercial Research Organizations ...... $5.0 8734 ...... Testing Laboratories ...... $5.0 8741 ...... Management Services ...... $5.0 EXCEPT, Conference Management Services ...... 6 $5.0 8742 ...... Management Consulting Services ...... $5.0 8743 ...... Public Relations Services ...... $5.0 8744 ...... Facilities Support Management Services ...... 11 $5.0 EXCEPT, Base Maintenance ...... 12 $20.0 EXCEPT, Environmental Remediation Services ...... 13 500 8748 ...... Business Consulting Services, N.E.C...... $5.0

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Size standards Size standards by SIC industry description in number of SIC (N.E.C. = not elsewhere classified) employees or (see endnotes, where indicated) millions of dollars

MAJOR GROUP 89 Ð SERVICES, NOT ELSEWHERE CLASSIFIED

8999 ...... Services, N.E.C...... $5.0

DIVISION K Ð NONCLASSIFIABLE ESTABLISHMENTS

9999 ...... Nonclassifiable Establishments ...... $5.0

Endnotes produced, or sold worldwide during the operating a complete facility in or around a preceding calendar year is less than 10 specific building, or within another business 1. SIC code 1629—Dredging: To be percent of the total value of such products or Government establishment. Facilities considered small for purposes of Government manufactured or otherwise produced or sold management means furnishing three or more procurement, a firm must perform at least 40 in the United States during that period. personnel supply services which may percent of the volume dredged with its own 6. SIC codes 4724, 6531, 7311, 7312, 7313, include, but are not limited to, secretarial equipment or equipment owned by another 7319, and 8741 (part): As measured by total services, typists, telephone answering, small dredging concern. revenues, but excluding funds received in reproduction or mimeograph service, mailing 2. SIC Division D—Manufacturing: For trust for an unaffiliated third party, such as service, financial or business management, rebuilding machinery or equipment on a bookings or sales subject to commissions. public relations, conference planning, travel factory basis, or equivalent, use the SIC code The commissions received are included as arrangements, word processing, maintaining for a newly manufactured product. Concerns revenue. files and/or libraries, switchboard operation, performing major rebuilding or overhaul 7. A financial institution’s assets are writers, bookkeeping, minor office equipment activities do not necessarily have to meet the determined by averaging the assets reported maintenance and repair, or use of criteria for being a ‘‘manufacturer’’ although on its four quarterly financial statements for information systems (not programming). the activities may be classified under a the preceding year. Assets for the purposes of 12. SIC code 8744 manufacturing SIC code. Ordinary repair this size standard means the assets defined (1) If one of the activities of base services or preservation are not considered according to the Federal Financial maintenance, as defined in paragraph 2) of rebuilding. Institutions Examination Council 034 call this endnote, can be identified with a 3. SIC code 2033: For purposes of report form. separate industry and that activity (or Government procurement for food canning 8. SIC code 6515: Leasing of building space industry) accounts for 50 percent or more of and preserving, the standard of 500 to the Federal Government by Owners: For the value of an entire contract, then the employees excludes agricultural labor as Government procurement, a size standard of proper size standard is that of the particular defined in § 3306(k) of the Internal Revenue $15.0 million in gross receipts applies to the industry, and not the base maintenance size Code, 26 U.S.C. 3306(k). owners of building space leased to the standard. 4. SIC code 2911: For purposes of Federal Government. The standard does not (2) ‘‘Base Maintenance’’ requires the Government procurement, the firm may not apply to an agent. performance of three or more separate have more than 1,500 employees nor more 9. SIC codes 7699 and 3728: Contracts for activities in the areas of service or special than 75,000 barrels per day capacity of the rebuilding or overhaul of aircraft ground trade construction industries. If services are petroleum-based inputs, including crude oil support equipment on a contract basis are performed, these activities must each be in a or bona fide feedstocks. Capacity includes classified under SIC code 3728. separate SIC code including, but not limited owned or leased facilities as well as facilities 10. SIC code 8731: For research and to, Janitorial and Custodial Service, Fire under a processing agreement or an development contracts requiring the delivery Prevention Service, Messenger Service, arrangement such as an exchange agreement of a manufactured product, the appropriate Commissary Service, Protective Guard or a throughput. The total product to be size standard is that of the manufacturing Service, and Grounds Maintenance and delivered under the contract must be at least industry. Landscaping Service. If the contract requires 90 percent refined by the successful bidder (1) Research and Development means the use of special trade contractors from either crude oil or bona fide feedstocks. laboratory or other physical research and (plumbing, painting, plastering, carpentry, 5. SIC code 3011: For purposes of development. It does not include economic, etc.), all such special trade construction Government procurement, a firm is small for educational, engineering, operations, activities are considered a single activity and bidding on a contract for pneumatic tires systems, or other nonphysical research; or classified as Base Housing Maintenance. within Census Classification codes 30111 computer programming, data processing, Since Base Housing Maintenance is only one and 30112, provided that: commercial and/or medical laboratory activity, two additional activities are required (1) The value of tires within Census testing. for a contract to be classified as ‘‘Base Classification codes 30111 and 30112 which (2) For purposes of the Small Business Maintenance.’’ it manufactured in the United States during Innovation Research (SBIR) program only, a 13. SIC code 8744 the previous calendar year is more than 50 different definition has been established by (1) For SBA assistance as a small business percent of the value of its total worldwide law. See § 121.701 of these regulations. concern in the industry of Environmental manufacture, (3) Research and development for guided Remediation Services, other than for (2) the value of pneumatic tires within missiles and space vehicles includes Government procurement, a concern must be Census Classification codes 30111 and 30112 evaluations and simulation, and other engaged primarily in furnishing a range of comprising its total worldwide manufacture services requiring thorough knowledge of services for the remediation of a during the preceding calendar year was less complete missiles and spacecraft. contaminated environment to an acceptable than 5 percent of the value of all such tires 11. Facilities Management, a component of condition including, but not limited to, manufactured in the United States during SIC code 8744, includes establishments, not preliminary assessment, site inspection, that period, and elsewhere classified, which provide overall testing, remedial investigation, feasibility (3) the value of the principal product management and the personnel to perform a studies, remedial design, containment, which it manufactured or otherwise variety of related support services in remedial action, removal of contaminated

VerDate 18-JUN-99 16:50 Aug 17, 1999 Jkt 183247 PO 00000 Frm 00118 Fmt 4703 Sfmt 4703 E:\FR\FM\A18AU3.213 pfrm11 PsN: 18AUN1 Federal Register / Vol. 64, No. 159 / Wednesday, August 18, 1999 / Notices 45007 materials, storage of contaminated materials ADDRESSES: LMRWSAC will meet in the assistance at the meetings, contact the and security and site closeouts. If one of such basement conference room of the Hale Committee Administrator at the location activities accounts for 50 percent or more of Boggs Federal Building, 501 Magazine indicated under ADDRESSES as soon as a concern’s total revenues, employees, or Street, New Orleans, LA. Send written possible. other related factors, the concern’s primary industry is that of the particular industry and material and requests to make oral Dated: July 29, 1999. not the Environmental Remediation Services presentations to M. M. Ledet, Paul J. Pluta, Committee Administrator, c/o Industry. Rear Admiral, U.S. Coast Guard Commander, (2) For purposes of classifying a Commander, Eighth Coast Guard Eighth Coast Guard District. Government procurement as Environmental District (m), 501 Magazine Street, New [FR Doc. 99–21377 Filed 8–17–99; 8:45 am] Remediation Services, the general purpose of Orleans, LA 70130–3396. This notice is the procurement must be to restore a available on the Internet at http:// BILLING CODE 4910±15±M contaminated environment and also the dms.dot.gov. procurement must be composed of activities in three or more separate industries with FOR FURTHER INFORMATION CONTACT: For DEPARTMENT OF TRANSPORTATION separate SIC codes or, in some instances (e.g., questions on this notice, contact M. M. engineering), smaller sub-components of SIC Ledet, Committee Administrator, Federal Aviation Administration codes with separate, distinct size standards. telephone (504) 589–6271, Fax (504) [Summary Notice No. PE±99±27] These activities may include, but are not 589–4999. limited to, separate activities in industries SUPPLEMENTARY INFORMATION: such as: Heavy Construction; Special Trade Notice of Petitions for Exemption; Summary of Construction; Engineering Services; this meeting is given under the Federal Petitions Received; Dispositions of Architectural Services; Management Advisory Committee Act, 5 U.S.C. App. Petitions Issued Services; Refuse Systems; Sanitary Services, 2. Not Elsewhere Classified; Local Trucking AGENCY: Federal Aviation Without Storage; Testing Laboratories; and Agenda of Meeting Administration (FAA), DOT. Commercial, Physical and Biological Lower Mississippi River Waterway ACTION: Notice of petitions for Research. If any activity in the procurement Safety Advisory Committee exemption received and of dispositions can be identified with a separate SIC code, (LMRWSAC). The agenda includes the of prior petitions. or component of a code with a separate following: distinct size standard, and that industry (1) Introduction of committee SUMMARY: Pursuant to FAA’s rulemaking accounts for 50 percent or more of the value members. provisions governing the application, of the entire procurement, then the proper processing, and disposition of petitions size standard is the one for that particular (2) Remarks by RADM P. Pluta, industry, and not the Environmental Committee Sponsor. for exemption (14 CFR Part 11), this Remediation Service size standard. (3) Approval of the March 31, 1999 notice contains a summary of certain Dated: June 16, 1999. minutes. petitions seeking relief from specified (4) Old Business: requirements of the Federal Aviation Gary M. Jackson, a. VTS update. Regulations (14 CFR Chapter I), Assistant Administrator for Size Standards. b. Bridge Clearance Gauge. dispositions of certain petitions [FR Doc. 99–17003 Filed 8–17–99; 8:45 am] c. South Pass Dredging. previously received, and corrections. BILLING CODE 8025±01±P d. Southwest Pass Wingdam. The purpose of this notice is to improve e. Soft Dikes Working Group Report. the public’s awareness of, and (5) New Business: participation in, this aspect of FAA’s DEPARTMENT OF TRANSPORTATION (6) Next meeting. regulatory activities. Neither publication (7) Adjournment. of this notice nor the inclusion or Coast Guard Procedural omission of information in the summary [USCGD08±99±050] The meeting is open to the public. is intended to affect the legal status of Please note that the meeting may close any petition or its final disposition. Lower Mississippi River Waterway DATES: Comments on petitions received Safety Advisory Committee early if all business is finished. At the Chair’s discretion, members of the must identify the petition docket AGENCY: Coast Guard, DOT. public may make oral presentations number involved and must be received ACTION: Notice of meeting. during the meeting. If you would like to on or before September 8, 1999. make an oral presentation at the ADDRESSES: Send comments on any SUMMARY: The Lower Mississippi River meeting, please notify the Committee petition in triplicate to: Federal Waterway Safety Advisory Committee Administrator no later than August 31, Aviation Administration, Office of the (LMRWSAC) will meet to discuss 1999. Written material for distribution Chief Counsel, Attn: Rule Docket (AGC– various issues relating to navigational at the meeting should reach the Coast 200), Petition Docket No. l, 800 safety on the Lower Mississippi River Guard no later than August 31, 1999. If Independence Avenue, SW., and related waterways. The meeting you would like a copy of your material Washington, D.C. 20591. will be open to the public. distributed to each member of the Comments may also be sent DATES: LMRWSAC will meet on committee or subcommittee in advance electronically to the following internet Wednesday, September 8, 1999, from 9 of the meeting, please submit 28 copies address: 9–NPRM–[email protected]. a.m. to 12 noon. This meeting may close to the Committee Administrator at the The petition, any comments received, early if all business is finished. Written location indicated under Addresses no and a copy of any final disposition are material and requests to make oral later than August 31, 1999. filed in the assigned regulatory docket presentations should reach the Coast and are available for examination in the Guard on or before August 31, 1999. Information on Services for Individuals Rules Docket (AGC–200), Room 915G, Requests to have a copy of your material With Disabilities FAA Headquarters Building (FOB 10A), distributed to each member of the For information on facilities or 800 Independence Avenue, SW., committee should reach the Coast Guard services for individuals with Washington, D.C. 20591; telephone on or before August 31, 1999. disabilities, or to request special (202) 267–3132.

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FOR FURTHER INFORMATION CONTACT: certain multiengine and single-engine Description of Relief Sought/ Cherie Jack (202) 267–7271 or Terry aircraft certficated in the experimental Disposition: To permit certification of Stubblefield (202) 267–7624 Office of category, over densely populated areas medical stretchers for transport of Rulemaking (ARM–1), Federal Aviation or in congested airways. persons whose medical condition Administration, 800 Independence Grant, 7/15/99, Exemption No. 5210E. dictates such accommodations. This Avenue, SW., Washington, DC 20591. Docket No.: 26608. exemption is for an installation on a This notice is published pursuant to Petitioner: ARCO/BPX Aviation and Dassault Model Falcon 2000 airplane. paragraphs (c), (e), and (g) of § 11.27 of Alaska Airlines. Grant, 7/13/99, Exemption No. 69–20. Part 11 of the Federal Aviation Section of the FAR Affected: 14 CFR Docket No.: 28884. Regulations (14 CFR Part 11). 43.3(a), 43.7(a), 91.407(a)(2), Petitioner: Aero Sky. 91.417(a)(2)(v), and 121.379. Section of the FAR Affected: 14 CFR Issued in Washington, D.C., on August 12, Description of Relief Sought/ 1999. 145.37(b). Disposition: To permit (1) ARCO Alaska Description of Relief Sought/ Donald P. Byrne, and BPX to use ASA’s approved Disposition: To permit Aero Sky to Assistant Chief Counsel for Regulations. maintenance recordkeeping procedures continue to hold a FAA repair station Petitions for Exemption for Boeing 737–200 aircraft leased and certificate (certificate No. KQ7R556N) Docket No.: 29462. operated by ARCO Alaska and BPX and without having suitable permanent Petitioner: Dallas Airmotive, Inc. (2) ASA to perform maintenance, housing facilities for at least one of the Section of the FAR Affected: 14 CFR preventative maintenance, alterations, heaviest aircraft within the weight class 21.325(b)(3). inspections, major repairs, and major of the rating it holds. Description of Relief Sought: To allow alterations, and subsequently return to Grant, 7/15/99, Exemption No. 6673A. DAI to issue export airworthiness service Boeing 737–200 aircraft leased Docket No.: 29174. approvals for Class II products that are and operated by ARCO Alaska and BPX Petitioner: Hawaii Helicopters, Inc. located but not manufactured in the in accordance with ASA’s continuous Section of the FAR Affected: 14 CFR United States. airworthiness maintenance program and 135.152(a). Description of Relief Sought/ Docket No.: 29539. maintenance procedures. Petitioner: City College of San Grant, 6/30/99, Exemption No. 5667C. Disposition: To permit HHI to operate Francisco. Docket No.: 27143. its Sikorsky S–61N (U.S. Registration Section of the FAR Affected: 14 CFR Petitioner: Columbia Helicopters, Inc. No. N29111, Serial No. 61711) and its 65.3. Section of the FAR Affected: 14 CFR Sikorsky S–76A (Canadian Registration Description of Relief Sought: To 135.143(c)(2). No. C–GHJG, Serial No. 760015) permit mechanic certificats to be issued Description of Relief Sought/ helicopters under part 135 without an under subpart D of part 65, outside the Disposition: To permit CHI to operate approved DFDR. United States, to persons trained by certain aircraft under part 135 without Grant, 7/15/99, Exemption No. 6789A. CCSF who are neither U.S. citizens nor a TSO–C112 (Mode S) transponder Docket No.: 29654. resident aliens when the certificate is installed in each aircraft. Petitioner: Michigan City Aviators- not needed for the operation or Grant, 6/18/99, Exemption No. 6905. EAA chapter 966. continued airworthiness of U.S.- Docket No.: 27306. Section of the FAR Affected: 14 CFR registered aircraft. Petitioner: NockAir Helicopter, Inc. 135.251, 135.255, 135.353, and Section of the FAR Affected: 14 CFR appendices I & J of part 121. Dispositions of Petitions 133.43(a). Description of Relief Sought/ Docket No.: 18881. Description of Relief Sought/ Disposition: To allow Michigan City Petitioner: International Aerobatic Disposition: To permit NockAir to use Aviators-EAA chapter 966 to conduct Club. its helicopters to perform aerial trapeze local sightseeing flights at an airport in Sections of the FAR Affected: 14 CFR acts without using an approved the Michigan City, Indiana, area for its 91.151(a)(1). external-load attachment or quick- annual pancake breakfast event on July Description of Relief Sought/ release device for carrying a person or 18, 1999, for compensation or hire, Disposition: To permit IAC and IAC trapeze bar. without complying with certain anti- members participating in IAC-sponsored Grant, 7/15/99, Exemption No. 6685A. drug and alcohol misuse prevention and/or sanctioned aerobatic Docket No.: 27601. requirements of part 135. competitions conducted in accordance Petitioner: Austral Lineas Aereas. Grant, 7/14/99, Exemption No. 69222. with IAC Official Contest Rules, to begin Section of the FAR Affected: 14 CFR [FR Doc. 99–21457 Filed 8–17–99; 8:45 am] flight in an airplane, considering local 145.47(b). BILLING CODE 4910±13±M conditions effecting fuel consumption, Description of Relief Sought/ when there is enough fuel on board the Disposition: To permit ALA to use the aircraft to take off, complete the planned calibration standards of the Instituto DEPARTMENT OF TRANSPORTATION flight maneuvers, and land at the same Nacional de Tecnologia Industrial airport with enough fuel to fly for an (INTI), Argentina’s national standards Federal Aviation Administration additional 10 minutes at normal organization, for the calibration of cruising speed. standards of the U.S. National Institute Airport Improvement Program Grant Grant, 07/15/99, Exemption No. of Standards and Technology (NIST), Assurances; Proposed Modifications 5745C. formerly the National Bureau of and Opportunity to Comment Docket No.: 26160. Standards (NBS), to test its inspection AGENCY: Federal Aviation Petitioner: Massachusetts Institute of and test equipment. Administration (FAA), US DOT. Grant, 6/30/99, Exemption No. 6651A. Technology. ACTION: Notice of modification of Section of the FAR Affected: 14 CFR Docket No.: 28834. Airport Improvement Program grant 91.319(c). Petitioner: LifePort, Inc. assurances and of the opportunity to Description of Relief Sought/ Section of the FAR Affected: 14 CFR comment. Disposition: To permit MIT to operate 25.562 and 25.785(b).

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SUMMARY: The FAA proposes to modify the Federal Register and an opportunity wanted to know what constitutes a the standard grant assurances that are is provided for comment by the public. major runway extension, and how much required of a sponsor before receiving a The current assurances were of an increase in either runway length grant under the Airport Improvement published on February 3, 1988, at 53 FR or runway weight bearing capacity Program (AIP). Pursuant to applicable 3104 and amended on September 6, requires a public hearing. Assurance 9 law, the Secretary of Transportation is 1988, at FR 34361, on August 29, 1989, requires that the sponsor conduct a required to provide notice in the at 54 FR 35748 on June 10, 1994 at 59 public hearing for projects involving the Federal Register of, and to provide an FR 30076, on January 4, 1995, at 60 FR location of an airport, an airport opportunity for public comment on, 521, and on June 2, 1997, at 62 FR runway, or a major runway extension. proposals to modify the assurances and 29761. The assurance, as currently written, on proposals for additional AIP Discussion of Comments Received in satisfies the provisions of Title 49 assurances. Response to the Notice of Modification United States Code, Section 47106(c)(1) Modifications to the AIP grant of Airport Improvement Grant regarding environmental requirements, assurances are being made for three Assurances and does not need to be revised. Section reasons: To address the public 1506.6 of the Council on Environmental On June 2, 1997, the Federal Aviation comments received subsequent to the Quality (CEQ) Regulations sets forth Administration published in the last publication of the assurances on procedures for public involvement in Federal Register (62 FR 29761) June 2, 1997; to reflect new regulatory projects affecting the environment. FAA modifications to the Airport and Office of Management and Budget Order 5050.4A describes environmental Improvement Program grant assurances. requirements incorporated in Assurance requirements in detail, including the The agency asked for public comment 1; and to more accurately reflect definition of a major runway extension. by July 2, 1997. applicable statutory requirements. These orders should be consulted The FAA received a total of four regarding public hearing requirements. For ease of reading, Title 49, Subtitle comments on the notice of proposed VII, as amended by the 1996 Act, will The City of Houston, Texas expressed modifications of the grant assurances. concerns about the change in language be cited throughout the remainder of Only one of the four comments was of Assurance 22(a), Economic Non- this notice as Title 49, U.S.C., as received prior to the close of the Discrimination, effective June 2, 1997. amended. In the actual assurance, comment period on July 2. However, The City of Houston maintained that the however, the reference further specifies because only a few comments were change in language may encourage more Subtitle VII. received and this process is not a formal complaints being filed against the DATES: These modifications to the Grant rulemaking procedure, the FAA has airport operator for violation of the Assurances will be effective September decided to consider all comments. Assurance 22(a). As an example, the city 1, 1999. Comments, however, are Comments were received from Airports cited situations in which individuals invited. Comments must be submitted at Council International, North America have attempted to fuel general aviation or before 30 calendar days after (ACI–NA); the City of Houston Airport aircraft from the back of pick-up trucks publication in the Federal Register. Any System, Houston, Texas; the City of while asserting their right to do so necessary or appropriate revision to the Mesa, Arizona; and the Perry County under Assurance 22(a). Houston assurances resulting from the comments Airport Authority, Tell City, Indiana. suggested that the assurance be revised received will be adopted as of the date ACI–NA recommended that to require all parties engaging in of a subsequent publication in the Assurance 3, Sponsor Fund Availability, aeronautical activity be qualified and Federal Register. be modified to read ‘‘has or will have meet applicable safety standards. ADDRESSES: Comments may be delivered sufficient funds’’. The ACI–NA The purpose of the revision to or mailed to the FAA, Airports recommendation would allow the Assurance 22(a) was to clarify the Financial Assistance Division, APP– sponsor more time to accumulate the assurance’s application to the full range 500, Room 619, 800 Independence Ave., local matching share for Airport of aeronautical activities. The comment SW., Washington, DC 20591. Improvement Program (AIP) projects. has caused the FAA to review the new This would give the airport sponsor wording of the assurance and the FAA FOR FURTHER INFORMATION CONTACT: Mr. until the date of the grant award to have believes that the new wording is not James Borsari, Manager, Program local funds available. The statute clear. We have decided to change the Guidance Branch, Airports Financial requires airport sponsors to have language to eliminate any confusion. Assistance Division, APP 500, Room sufficient funds available at the time the The revised assurances will read as 619, FAA, 800 Independence Avenue, grant application is submitted. Title 49 follows: ‘‘It will make the airport SW., Washington, DC 20591, Telephone Section 47106(a)(3) states, ‘‘The available as an airport for public use on (202) 267–8822. Secretary of Transportation may reasonable terms and without unjust SUPPLEMENTARY INFORMATION: The approve an application under this discrimination to all types, kinds and Secretary must receive certain subchapter for a project grant only if the classes of aeronautical activities, assurances from a sponsor (applicant) Secretary is satisfied that enough money including commercial aeronautical seeking financial assistance for airport is available to pay the project costs that activities offering services to the public planning, airport development, noise will not be paid by the United States at the airport.’’ Furthermore, the FAA compatibility planning or noise Government under this subchapter’’. We believes that an airport sponsor’s mitigation under Title 49, U.S.C., as believe that it is reasonable for an minimum standards should reflect local amended. These assurances are airport to affirm the availability of funds safety requirements and quality of submitted as part of a sponsor’s at the time of grant request. Therefore, service requirements so long as these are application for Federal assistance and the final notice retains the existing reasonable, relevant to the activity, and are incorporated into all grant language in the assurance. applied without unjust discrimination. agreements. As need dictates, these The City of Mesa, Arizona, requested The typographical error in Assurance assurances are modified to reflect new clarification about the need for public 22(b)(2), Economic Non-Discrimination, Federal requirements. Notice of such hearings required by Assurance 9, has been noted and corrected. The proposed modifications is published in Public Hearings. The City of Mesa sentence will be changed to read,

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‘‘charge reasonable, and not unjustly priority system to consider the off (e) For Subsection B1, ‘‘Duration and discriminatory, prices . . .’’ airport economic benefits of AIP grant Applicability’’, the second sentence is ACI–NA also requested that funded projects. Since revisions to the replaced with: ‘‘However, there shall be no Assurance 26, Reports and Inspections, AIP grant assurances, and not the limit on the duration of the assurances be revised to permit airports to file their regarding Exclusive Rights and Airport priority system, are the subject of this Revenue, so long as the airport is used as an intergovernmental transfer reports as notice, no changes to the assurances are airport. There shall be no limit on the soon as practicable instead of leaving warranted to address this comment. duration of the terms, conditions and the filing deadline to the Secretary’s Discussion of Modifications assurances with respect to real property discretion. Title 49 Section 47107(k) acquired with Federal funds.’’ requires that the Secretary provide FAA uses three separate sets of Modification (c) is made in response to Congress with an annual summary of standard assurances: Airport Sponsors comments, as discussed above. The the reports submitted under (owners/operators); Planning Agency other modifications are made to more 47107(a)(19). The ACI–NA proposed sponsors; and Non-Airport Sponsors accurately reflect current statutory change would pose problems for the Undertaking Noise Compatibility language. The following changes affect FAA in fulfilling its reporting Program Projects (hereinafter referred to only the Airport Sponsor Assurances, requirements to Congress. Establishing as Non-Airport Sponsor Assurances). and the Non-Airport Sponsors the filing deadline at the Secretary’s FAA is modifying the assurances Undertaking Noise Compatibility discretion will provide the flexibility for currently in effect to incorporate the Program Projects Assurances: the Agency to collect the reports while below-noted changes. To simplify the assisting those airports who need more discussion, the modifications are (a) In Assurance 6, the second sentence time to prepare their financial grouped based upon the sets of beginning ‘‘For noise compatibility program statements. FAA has not been assurances that are affected. projects,’’ and ending with ‘‘reasonably convinced that the filing requirement of The changes contained in this consistent with the agency’s plans regarding the property’’ is deleted. Assurance 26 needs to be changed. paragraph affect all three sets of ACI–NA suggested that Assurance 27, assurances. Section C, Subsection 1, This modification is made to more Use by Government Aircraft, be revised ‘‘General Federal Requirements’’ is accurately reflect current statutory to redefine the term aircraft movement amended in each set of assurances to language. as both a landing and a takeoff. This add references to 49 CFR Part 26 The following assurance affects, and would conform to standard industry ‘‘Participation by Disadvantaged is added to the Airport Sponsor usage. For the purpose of Assurance 27, Business Enterprises in Department of Assurances (as new Assurance 37), the FAA has defined an aircraft Transportation Programs’’. Part 26 was Planning Agency Sponsor Assurances movement as a landing. This issued on February 2, 1999 and is the (as new Assurance 13) and the Non- methodology has been in place for many new rule covering the DOT DBE Airport Sponsors Undertaking Noise years. Changing the definition to program. In addition, the reference to Compatibility Program Projects include takeoffs would require the FAA OMB Circular A–128 ‘‘Audits of State Assurances (as new Assurance 22). This to assess the number of movements in and Local Governments’’ is changed to assurance is added to reflect regulatory light of this change and the FAA A–133 ‘‘Audits of States, Local modifications. believes that the change would not have Governments, and Non-Profit The recipient shall not discriminate on the an overall benefit. Therefore, the FAA Organizations’’. These changes reflect basis of race, color, national origin, or sex in retains the original language of the recent modifications to the referenced the award and performance of any DOT- assurance. regulations and OMB guidelines. assisted contract or in the administration of ACI–NA also maintained that References to 49 CFR Part 23 remain its DBE program or the requirements of 49 Assurance 31(a), Disposal of Land, is too in the Airport Sponsor Assurances, CFR Part 26. The recipient shall take all restrictive regarding the disposal of land since portions of the DBE rule were necessary and reasonable steps under 49 CFR originally purchased for noise Part 26 to ensure non discrimination in the retained in Part 23. The title of Part 23 mitigation purposes. The existing award and administration of DOT-assisted is changed to ‘‘Participation by assurance requires the sponsor to contracts. The recipient’s DBE program, as Disadvantaged Business Enterprise in dispose of the land at fair market value required by 49 CFR Part 26 and as approved Airport Concessions.’’ when it is no longer needed for noise by DOT, is incorporated by reference in this The following changes affect only the agreement. Implementation of this program is mitigation purposes. ACI–NA suggests Airport Sponsor Assurances: a legal obligation and failure to carry out its that the assurance be revised to permit terms shall be treated as a violation of this (a) In Assurance 4, subparagraph a., the the airport to pursue land disposal as agreement. Upon notification to the recipient beginning is changed to read: ‘‘It, a public part of a commercial and development of its failure to carry out its approved agency or the Federal government, holds program. Such development programs program, the Department may impose good title . . .’’ sanctions as provided for under Part 26 and tend to offer a higher financial (b) In Assurance 21, Compatible Land Use, may, in appropriate cases, refer the matter for contribution than fair market value. The the words ‘‘to the extent reasonable’’ are enforcement under 18 U.S.C. 1001 and or the existing assurance conforms to the placed directly after the words ‘‘appropriate Program Fraud Civil Remedies Act of 1986 statutory requirements of 49 U.S.C. action’’. (31 U.S.C. 3801). 47107(c)(2)(A)(i), which directs an (c) In Assurance 22, subparagraph a is airport sponsor to dispose of the land as deleted in its entirety and replaced with the These assurances are issued pursuant to soon as practicable after the land is no following: ‘‘a. It will make the airport the authority of Title 49, United States Code. available as an airport for public use on longer needed for noise mitigation. The Complete Text of Modified Provisions change proposed by ACI–NA is not reasonable terms and without unjust discrimination to all types, kinds and classes consistent with this statutory provision. tTe complete text of each provision, of aeronautical activities, including as modified, appears below. Therefore, the FAA will retain the commercial aeronautical activities offering original language of the assurance. services to the public at the airport.’’ (a) Airport Sponsor Assurance 4, ‘‘Good Perry County Airport Authority, Tell (d) Assurance 22, subparagraph B.(2), is Title’’, subparagraph a.— City, Indiana suggested changes to the revised to begin: ‘‘charge reasonable, and not ‘‘It, a public agency or the Federal Airport Improvement Program (AIP) unjustly discriminatory . . .’’ government, holds good title,

VerDate 18-JUN-99 18:18 Aug 17, 1999 Jkt 183247 PO 00000 Frm 00122 Fmt 4703 Sfmt 4703 E:\FR\FM\18AUN1.XXX pfrm11 PsN: 18AUN1 Federal Register / Vol. 64, No. 159 / Wednesday, August 18, 1999 / Notices 45011 satisfactory to the Secretary, to the the duration of the terms, conditions DEPARTMENT OF TRANSPORTATION landing area of the airport or site and assurances with respect to real thereof, or will give assurance property acquired with Federal funds. Federal Aviation Administration satisfactory to the Secretary that good Furthermore, the duration of the Civil RTCA Special Committee 195; Flight title will be acquired.’’ Rights Assurance shall be specified in Information Services Communications (b) Airport Sponsor Assurance 21— the assurances.’’ ‘‘Compatible Land Use’’. (FISC) (f) Airport Sponsor Assurance 6 and Non- ‘‘It will take appropriate action, to the Airport Sponsors Undertaking Noise Pursuant to section 10(a)(2) of the extent reasonable, including the Compatibility Program Project Assurance 6. Federal Advisory Committee Act (P.L. adoption of zoning laws, to restrict the ‘‘Consistency with Local Plans’’ 92–463, 5 U.S.C., Appendix 2), notice is use of land adjacent to or in the ‘‘The project is reasonably consistent hereby given for Special Committee immediate vicinity of the airport to (SC)–195 meeting to be held September with plans (existing at the time of activities and purposes compatible with 14–16, starting at 8:30 a.m. each day. submission of this application) of public normal airport operations, including The meeting will be held at RTCA, Inc., landing and takeoff of aircraft. In agencies that are authorized by the state 1140 Connecticut Avenue, NW, Suite addition, if the project is for noise in which the project is located to plan 1020, Washington, DC 20036. compatibility program implementation, for the development of the area The agenda will include: September it will not cause or permit any change surrounding the airport.’’ 14: (1) Welcome and Introductions; (2) in land use, within its jurisdiction that (g). Airport sponsor Assurance 37, Planning Final Review of Automet Minimum will reduce its compatibility, with Agency Sponsor Assurance 13 and Non- Operational Performance Standards; (3) respect to the airport, of the noise Airport Sponsors Undertaking Noise Review of FIS–B Minimum Aviation compatibility program measures upon Compatibility Program Project Assurance 22. System Performance Standards which Federal funds have been ‘‘Disadvantaged Business Enterprises.’’ (MASPS) Section 4.0 Procedures for expended.’’ ‘‘The recipient shall not discriminate Performance Requirement Verification, (c). Airport Sponsor Assurance 22, on the basis of race, color, national Work Plan; (4) Detailed review of FIS– ‘‘Economic Nondiscrimination’’, B MASPS. September 15: (5) Continue subparagraph a. origin or sex in the award and performance of any DOT-assisted Detailed review of FIS–B MASPS. ‘‘It will make the airport available as contract or in the administration of its September 16: (6) Review FIS–B MASPS an airport for public use on reasonable actions and address future work; (7) terms and without unjust discrimination DBE program or the requirements of 49 CFR Part 26. The recipient shall take all Date and location of next meeting; (8) to all types, kinds and classes of Closing. aeronautical activities, including necessary and reasonable steps under 49 CFR Part 26 to ensure Attendance is open to the interested commercial aeronautical activities public but limited to space availability. nondiscrimination in the award and offering services to the public at the With the approval of the chairman, administration of DOT-assisted airport.’’ members of the public may present oral (d). Airport Sponsor Assurance 22, contracts. The recipient’s DBE program, statements at the meeting. Persons ‘‘Economic Nondiscrimination’’, as required by 49 CFR Part 26, and as wishing to present statements or obtain subparagraph b. (2) approved by DOT, is incorporated by information should contact the RTCA ‘‘charge reasonable, and not unjustly reference in this agreement. Secretariat, 1140 Connecticut Avenue, discriminatory, prices for each unit or Implementation of this program is a N.W., Suite 1020, Washington, DC service, provided that the contractor legal obligation and failure to carry out 20036; (202) 833–9339 (phone); (202) may be allowed to make reasonable and its terms shall be treated as a violation 833–9434 (fax); or http://www.rtca.org nondiscriminatory discounts, rebates or of this agreement. Upon notification to (web site). Members of the public may other similar types of price reductions the recipient of its failure to carryout its present a written statement to the to volume purchasers.’’ approved program, the Department may committee at any time. (e) Airport Sponsor Assurances, Section B, impose sanctions as provided under Issued in Washington, DC, on August 12, ‘‘Duration and applicability’’, subsection 1, Part 26, and may, in appropriate cases, 1999. ‘‘Airport Development or Noise refer the matter for enforcement under Janice L. Peters, Compatibility Program Projects Undertaken 18 U.S.C. 1001 and/or the Program by a Public Agency Sponsor’’. Designated Official. Fraud Civil Remedies Act of 1986 (31 ‘‘The terms, conditions and [FR Doc. 99–21453 Filed 8–17–99; 8:45 am] U.S.C. 3801).’’ assurances of the grant agreement shall BILLING CODE 4910±13±M remain in full force and effect Upon acceptance of the AIP grant by throughout the useful life of the an airport sponsor, the assurances facilities developed or equipment become a contractual obligation DEPARTMENT OF TRANSPORTATION acquired for an airport development or between the airport sponsor and the Federal Aviation Administration noise compatibility program project, or Federal government. throughout the useful life of the project Issued in Washington, DC on August 6, RTCA Special Committee 192; National items installed within a facility under a 1999. Airspace Review Planning and noise compatibility program project, but Catherine M. Lang, Analysis in any event not to exceed twenty (20) years from the date of acceptance of a Acting Director, Office of Airport Planning Pursuant to section 10(a)(2) of the grant offer of Federal funds for the and Programming. Federal Advisory Committee Act (P.L. project. However, there shall be no limit [FR Doc. 99–21458 Filed 8–17–99; 8:45 am] 92–463, 5 U.S.C., Appendix 2), notice is to the duration of the assurance BILLING CODE 4910±13±M hereby given for a Special Committee regarding Exclusive Rights and Airport 192 meeting to be held September 14, Revenue so long as the airport is used 1999, starting at 9:00 a.m. The meeting as an airport. There shall be no limit on will be held at RTCA, Inc., 1140

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Connecticut Avenue, NW., Suite 1020, Group Breakout Sessions including information should contact the RTCA Washington, DC 20036. preparation for Plenary. Friday, Secretariat, 1140 Connecticut Avenue, The agenda will be as follows: (1) September 24: 8:00 a.m.–1:00 p.m. (3) NW., Suite 1020, Washington, DC Welcome and Introductory Remarks; (2) Plenary Session; (a) Working Group 20036; (202) 833–9339 (phone); (202) Review/Approval of Meeting Agenda; Reports; (b) Executive Committee 833–9434 (fax); or http://www.rtca.org (3) Review/Approval of Summary of the Report; (c) Review of Actions Items; (d) (web site). Members of the public may Previous Meeting; (4) Brief out of Date and Location of Next Meeting; (e) present a written statement to the Working Group 1; (5) Brief out of Closing. committee at any time. Working Group 2; (6) Discussion of Attendance is open to the interested Issued in Washington, DC, on August 12, Review Group for FAA Order 7400; (7) public but limited to space availability. 1999. High Altitude Airspace Concept With the approval of the chairman, Janice L. Peters, Discussion; (8) Set Agenda for Next members of the public may present oral Designated Official. Meeting; (9) Date and Location of Next statements at the meeting. Persons Meeting. wishing to present statements or obtain [FR Doc. 99–21456 Filed 8–17–99; 8:45 am] Attendance is open to the interested information should contact the RTCA BILLING CODE 4910±13±M public but limited to space availability. Secretariat, 1140 Connecticut Avenue, With the approval of the chairman, NW., Suite 1020, Washington, DC DEPARTMENT OF TRANSPORTATION members of the public may present oral 20036; (202) 833–9339 (phone); (202) statements at the meeting. Persons 833–9434 (fax); or http://www.rtca.org Federal Highway Administration wishing to present statements or obtain (web site). Members of the public may information should contact the RTCA present a written statement to the Environmental Impact Statement: Secretariat, 1140 Connecticut Avenue, committee at any time. Jefferson, Chambers, and Galveston NW., Washington, DC 20036; (202) 833– Issued in Washington, DC, on August 12, Counties, Texas 9339 (phone), (202) 833–9434 (fax), or 1999. AGENCY: Federal Highway http://www.rtca.org (web site). Janice L. Peters, Members of the public may present a Administration (FHWA), DOT. Designated Official. written statement to the committee at ACTION: Notice of Intent. any time. [FR Doc. 99–21455 Filed 8–17–99; 8:45 am] BILLING CODE 4910±13±M Issued in Washington, DC, on August 12, SUMMARY: The FHWA is issuing this 1999. notice to advise the public that an environmental impact statement will be Janice L. Peters, DEPARTMENT OF TRANSPORTATION prepared for a proposed highway project Designated Official. Federal Aviation Administration in Jefferson, Chambers, and Galveston [FR Doc. 99–21454 Filed 8–17–99; 8:45 am] Counties, Texas. BILLING CODE 4910±13±M Joint RTCA Special Committee 180 and FOR FURTHER INFORMATION CONTACT: Mr. EUROCAE Working Group 46 Meeting; John Mack, District Engineer, Federal DEPARTMENT OF TRANSPORTATION Design Assurance Guidance for Highway Administration, 826 Federal Airborne Electronic Hardware Office Building, 300 E. 8th Street, Federal Aviation Administration Pursuant to section 10(a)(2) of the Austin, Texas 78701, Telephone: (512) 916–5516. RTCA Joint Special Committee 190/ Federal Advisory Committee Act (P.L. SUPPLEMENTARY INFORMATION: The Eurocae Working Group 52 92–463, 5 U.S.C., Appendix 2), notice is hereby given for a joint RTCA Special FHWA, in cooperation with the Texas Pursuant to section 10(a)(2) of the Committee 180 and EUROCAE Working Department of Transportation (TxDOT) Federal Advisory Committee Act (P.L. Group 46 meeting to be held September and Jefferson County, will prepare an 92–463, 5 U.S.C., Appendix 2), notice is 14–16, 1999, starting at 8:30 a.m. on environmental impact statement (EIS) hereby given for Joint Special September 14. The meeting will be held on a proposal to reconstruct State Committee (SC)–190/EUROCAE at EUROCAE, 15 Rue Hamelin, Paris, Highway 87 (SH 87) within a corridor Working Group (WG)–52 meeting to be FRANCE. between Sea Rim State park and High held September 20–24, 1999, starting at The agenda will be as follows: (1) Island, a distance of approximately 17 11:00 a.m. on Monday, September 20. Chairman’s Introductory Remarks; (2) miles, in Jefferson, Chambers and The meeting will be held at Review and Approval of Meeting Galveston Countries, Texas. EUROCONTROL Headquarters, Rue de Agenda; (3) Review and Approval of Improvements to the facility are la Fusee 96, B–1130, Brussels, Belgium. Minutes of Previous Joint Meeting; (4) considered necessary after this section The agenda will include the Editorial Team Meeting Report; (5) of SH 87 was closed to through traffic following: Monday, September 20: 11:00 Leadership Team Meeting Report; (6) after it was extensively damaged by a.m.–5:00 p.m. (1) Plenary Session; (a) Review Action Items; (7) Plenary Hurricane Jerry in October 1989. This Welcome and Introductory Remarks; (b) Disposition of Document Comments; (8) proposed project would restore the Review and Approve Agenda; (c) New Items for Consensus; (9) Special roadway connection between the two Review Schedule; (d) Review and Committee 190 Committee Activity communities of Sabine Pass and High Approve Minutes of Previous Meeting; Report; (10) Other Business; (11) Island as well as provide improved (e) Status of EUROCAE/RTCA Annual Establish Agenda for Next Meeting: (12) access to the area beaches and wildlife Report Publications; (f) EUROCONTROL Date and Location of Next Meeting. refuges. Overview; (g) Reports of CNS/ATM, Attendance is open to the interested Alternatives under consideration Executive, Development and public but limited to space availability. include (1) Taking no action; and (2) Verification Committees; (h) Review With the approval of the chairman, constructing a roadway on one of papers for Plenary Approval. Tuesday, members of the public may present oral several proposed new alignments at Wednesday, Thursday, September 21– statements at the meeting. Persons more inland locations. Jefferson Country 23: 8:00 a.m.-5:30 p.m. (2) Working wishing to present statements or obtain initiated environmental studies while

VerDate 18-JUN-99 18:18 Aug 17, 1999 Jkt 183247 PO 00000 Frm 00124 Fmt 4703 Sfmt 4703 E:\FR\FM\18AUN1.XXX pfrm11 PsN: 18AUN1 Federal Register / Vol. 64, No. 159 / Wednesday, August 18, 1999 / Notices 45013 applying for a Section 404 permit for a forwarded to the Office of Management collected; and ways to minimize the roadway easement through the and Budget (OMB) for review and burden of the collection of information McFaddin National Wildlife Refugee in comment. The nature of the information on respondents, including the use of 1997. This resulted in a determination collection is described as well as its automated collection techniques or by the U.S. Army Corps of Engineers expected burden. The Federal Register other forms of information technology. that an EIS should be prepared. The Notice with a 60-day comment period A comment to OMB is best assured of project study limits for the EIS are from soliciting comments on the following having its full effect if OMB receives it the northward turn of SH 87 in Sabine collection of information was published within 30 days of publication. Pass, Jefferson County, to SH 124 in on June 7, 1999 [64 FR 30374]. Issued in Washington, D.C. on August 13, High Island, Galveston County. A DATES: Comments must be submitted on 1999. section of SH 87 presently exists within or before September 17, 1999. Joel C. Richard, these study limits for a distance of about FOR FURTHER INFORMATION CONTACT: Secretary, Maritime Administration. 15 miles from Sabine Pass to Kenneth Willis, Office of Sealift approximately three miles west of Sea [FR Doc. 99–21447 Filed 8–17–99; 8:45 am] Support, MAR–630, Maritime BILLING CODE 4910±81±P Rim State Park. The existing roadway is Administration, MAR–630, Room 7307, an undivided two-lane highway. 400 Seventh Street, SW., Washington, Letters describing the proposed action D.C. 20590. Telephone 202–366–2323 or and soliciting comments will be sent to DEPARTMENT OF THE TREASURY FAX 202–366–3889. Copies of this appropriate Federal, State, and local agencies, and to private organizations collection can also be obtained from that Senior Executive Service Combined and citizens who have previously office. Performance Review Board (PRB) SUPPLEMENTARY INFORMATION: Maritime expressed or are known to have an AGENCY: Treasury Department. interested in this proposal. A scoping Administration (MARAD). ACTION: Title: Application and Reporting Notice of members of Combined meeting to discuss the proposed SH 87 Performance Review Board (PRB). project, as well as, other public Elements for participation in the meetings and a public hearing will be Maritime Security Program. SUMMARY: Pursuant to 5 U.S.C. held. Public notice will be given of the OMB Control Number: 2133–0525. 4314(c)(4), this notice announces the time and place of the meetings and Type of Request: Extension of appointment of members of the hearing. The draft EIS will be available currently approved collection. Combined PRB for the Bureau of for public and agency review and Affected Public: Operators of U.S.-flag Engraving and Printing, the Financial comment prior to the public hearing. vessels who are interested in Management Service, the U.S. Mint and To ensure that the full range of issues participating in the Maritime Security the Bureau of the Public Debt. The related to this proposed action are Fleet. Board reviews the performance addressed, and all significant issues Form (s): None. appraisals of career senior executives Abstract: The Maritime Security Act identified, comments and suggestions below the level of bureau head and of 1996 established the Maritime are invited from all interested parties. principal deputy in the four bureaus, Security Program which supports the Comments or questions concerning the except for the executives below the operations of U.S.-flag vessels in the proposed action and the EIS should be Assistant Commissioner level in the foreign commerce of the United States directed to the FHWA at the address Financial Management Service. The through assistance payments. provided above. Board makes recommendations Participating vessel operators receive regarding proposed performance (Catalog of Federal Domestic Assistance assistance payments and are required to Program Number 20.205, Highway Planning appraisals, ratings, bonuses and other make their ships and other commercial and Construction. The regulations appropriate personnel actions. implementing Executive Order 12372 transportation resources available to the regarding intergovernmental consultation on Government during times of war or Composition of Combined PRB Federal programs and activities that apply to national emergency. The vessel The Board shall consist of at least this program.) operators who are interested in three voting members. In case of an John Mack, participating in the Maritime Security appraisal of a career appointee, more District Engineer, Austin, Texas. Fleet are required to submit an than half of the members shall consist [FR Doc. 99–21373 Filed 8–17–99; 8:45 am] application to MARAD for its review of career appointees. The names and BILLING CODE 4910±22±M and approval. titles of the Combined PRB members are Annual Estimated Burden Hours: as follows: Approximately four to six hours. DEPARTMENT OF TRANSPORTATION ADDRESSES: Send comments to the Primary Members Office of Information and Regulatory Joel C. Taub, Associate Director Maritime Administration Affairs, Office of Management and (Management), E&P Budget, 725 17th Street, NW, Reports, Forms and Recordkeeping Constance E. Craig, Assistant Washington, D.C. 20503, Attention Commissioner, Information Requirements Agency Information MARAD Desk Officer. Collection Activity Under OMB Review Resources, FMS Comments Are Invited on: Whether Jackqueline Fletcher, Associate AGENCY: Maritime Administration, DOT. the proposed collection of information Director for Information Resources/ ACTION: Notice and request for is necessary for the proper performance CIO, Mint comments. of the functions of the agency, including Theodore P. Langlois, Deputy whether the information will have Executive Director (Marketing and SUMMARY: In compliance with the practical utility; the accuracy of the Sales), PD Paperwork Reduction Act of 1995 (44 agency’s estimate of the burden of the U.S.C. 3501 et seq.), this notice proposed information collection; ways Alternate Members announces that the Information to enhance the quality, utility and Gregory D. Carper, Associate Director Collection abstracted below has been clarity of the information to be (Chief Financial Officer), E&P

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Larry D. Stout, Assistant Date This notice does not meet the Commissioner, Federal Finance, Membership is effective on the date of Department’s criteria for significant FMS this notice. regulations. Jay M. Weinstein, Associate Director FOR FURTHER INFORMATION CONTACT: Constance E. Craig, for Policy and Management & CFO, Constance E. Craig, Financial Assistant Commissioner, Information Mint Management Service, Assistant Resources, Financial Management Service. [FR Doc. 99–21243 Filed 8–17–99; 8:45 am] Debra Hines, Associate Commissioner Commissioner, Information Resources, 3700 East-West Highway, Room 1026D, BILLING CODE 4840±01±M (Public Debt Accounting), PD Hyattsville, MD 20782, (202) 874–8000.

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DEPARTMENT OF HEALTH discretionary authorities and programs Ryan White Title III Funding for Early ANDHUMAN SERVICES as follows: Intervention Services Grants: Existing Geographic Areas Health Resources and Services Maternal and Child Health Programs Ryan White Title III Funding for Early Administration Genetic Services-National Genetic Consumer Intervention Services Grants: New Center Geographic Areas Availability of the HRSA Preview Genetic Services-State Planning Grants Ryan White Title III Funding for Early Improvement of Perinatal Health: The Intervention Services Planning Grants AGENCY: Health Resources and Services Collaborative Ambulatory Research Ryan White Title III HIV Funding for Early Administration, HHS. Network Intervention Services Planning Grants Ryan White Title IV: Existing Geographic ACTION: General notice. Maternal and Child Health Research Program Maternal and Child Health Training in Areas Ryan White Title IV: New Geographic Areas SUMMARY: HRSA announces the Pediatric Pulmonary Centers availability of the HRSA Preview for Maternal and Child Health Training in Rural Health Programs summer 1999. This edition of the HRSA Schools of Public Health Rural Health Research Centers Preview is a comprehensive review of Continuing Education and Development Rural Health Outreach Grant HRSA’s Fiscal Year 2000 programs. The Continuing Education/Dynamic Learning Rural Health Network Development next edition of the HRSA Preview is (Distance Education) State Rural Hospital Flexibility Program SPRANS—Ph.D. Epidemiology—MCH/SPH scheduled to be published by early Fellows Training Program Primary Health Care Programs winter 1999. National Center for Cultural Competence The purpose of the HRSA Preview is Community and Migrant Health Centers Partnership for Information and Health Care for the Homeless to provide the general public with a Communication MCH Cooperative Public Housing Primary Care single source of program and Agreements State Primary Care Offices application information related to the Adolescent Health Center for State Maternal State Primary Care Associations Agency’s competitive grant reviews. The and Child Health Personnel Grants to States for Loan Repayment HRSA Preview is designed to replace Training and Technical Assistance Centers Programs multiple Federal Register notices which for Mental Health in Schools Migrant Health Centers National Training Institute for Child Care traditionally advertised the availability Health Professions Programs of HRSA’s discretionary funds for its Health Consultants National Health and Safety in Child Care Academic Administrative Units in Primary various programs. In this edition of the Care (Family Medicine, General Internal HRSA Preview, HRSA’s programs which Health Resource Center Health Care Information and Education for Medicine and General Pediatrics) provide funding for loan repayments Families of Children with Special Health Predoctoral Training in Primary Care (Family and scholarships to individuals have Care Needs Medicine, General Internal Medicine and been included in the section ‘‘Other SPRANS—State and Local Data Utilization General Pediatrics) HRSA Programs.’’ It should be noted and Enhancement Cooperative Agreements Physician Assistant Training in Primary Care that other program initiatives responsive Center for School Health Care Residency Training in Primary Care (Family to new or emerging issues in the health Integrated Health Care Programs for Children Medicine, General Internal Medicine and care area and unanticipated at the time and Adolescents General Pediatrics) Faculty Development in Primary Care of publication of the HRSA Preview may Innovative Approaches to Promoting Positive Health Behaviors in Women (Family Medicine, General Internal be announced through the Federal Medicine and General Pediatrics) Register from time to time. Deadlines or Health and Welfare Technical Advisory Group Podiatric Residency in Primary Care other requirements appearing in the Model State-Supported Area Health Healthy Child Care America State Systems Education Centers Federal Register are not changed by this Development Grants Basic/Core Area Health Education Centers notice. Community Integrated Service Systems Health Careers Opportunity Program The HRSA Preview contains a Community Organization Grants Program Centers of Excellence description of competitive and Universal Newborn Hearing Screening Allied Health Projects additional programs scheduled for Emergency Medical Services for Children, review in Fiscal Year 2000 and includes Residencies in the Practice of Pediatric Implementations Grants Dentistry instructions on how to access the Emergency Medical Services for Children, Chiropractic Demonstration Project Grants Agency for information and receive Partnership Grants Dental Public Health Residency Training application kits for all programs Emergency Medical Services for Children, Grants announced. Specifically, the following Targeted Issue Grants Residencies and Advanced Education in the information is included in the HRSA Emergency Medical Services for Children, Practice of General Dentistry Preview: (1) Program Title; (2) Native American Project Quentin N. Burdick Program for Rural Traumatic Brain Injury, State Implementation Interdisciplinary Training Legislative Authority; (3) Purpose; (4) Grants Eligibility; (5) Estimated Amount of Public Health Training Centers Grant Traumatic Brain Injury, State Planning Program Competition; (6) Estimated Number of Grants Geriatric Education Centers Awards; (7) Funding Priorities and/or Healthy Start: Eliminating Disparities in Geriatric Training Regarding Physicians and Preferences; (8) Application Deadline; Perinatal Health Dentists (9) Projected Award Date; (10) Healthy Start: Infrastructure/Capacity Health Administration Traineeships & Application Kit Availability; (11) Building Projects Special Projects Catalog of Federal Domestic Assistance National Fetal and Infant Mortality Review Nursing Workforce Diversity Grants (CFDA) program identification number; Resource Center Basic Nurse Education and Practice Grants and (12) Programmatic contact. Certain Maternal and Child Health Provider Public Health Nursing Experiences in State other information, including how to Partnerships and Local Health Departments for Improving Systems of Care for Pregnant Baccalaureate Nursing Students obtain and use the HRSA Preview and Women Experiencing Domestic Violence Advanced Education Nursing Grants grant terminology, also may be found in Advanced Education Nursing Traineeship the HRSA Preview. HIV/AIDS Programs Grants This issue of the HRSA Preview Special Projects of National Significance Advanced Education Nursing—Nurse includes funding for HRSA (SPNS) Anesthetist Traineeship Grant Program

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Advancement of Telehealth Homepage via the World Wide Web at: Funding Priorities and/or Preferences Rural Telemedicine Grant Program http://www.hrsa.dhhs.gov/. Special priorities or preferences are Other HRSA Programs Application materials are currently those which the individual programs Faculty Loan Repayment Program available for downloading in the current have identified for the funding cycle. Scholarships for Disadvantaged Students cycle for some HRSA programs. HRSA’s Some programs give preference to Nursing Education Loan Repayment Program goal is to post application forms and organizations which have specific materials for all programs in future FOR MORE INFORMATION CONTACT: capabilities such as telemedicine Individuals may obtain the HRSA cycles. You can download this issue of networking or established relationships Preview by calling the toll free number, the HRSA Preview in Adobe Acrobat with managed care organizations. 1–888–333–HRSA until September 12, format (.pdf) from HRSA’s web site. Preference also may be given to achieve 1999. After September 12, the new toll Also, you can register on-line to be an equitable geographic distribution and free number will be 1–877–HRSA sent specific grant application materials other reasons to increase the (4772)–123. The HRSA Preview may by following the instructions on the web effectiveness of the programs. also be accessed on the World Wide page. Your mailing information will be Key Offices Web on the HRSA Home Page at: http:/ added to our database and material will /www.hrsa.dhhs.gov/. be sent to you as it becomes available. The Grants Management Office serves as the focal point for business matters. Dated: August 11, 1999. Grant Terminology A ‘‘key’’ symbol indicates the Claude Earl Fox, Application Deadlines appropriate office for each program area Administrator. and the main telephone number for the How To Obtain and Use the HRSA Applications will be considered ‘‘on office. Preview time’’ if they are either received on or before the established deadline date or Matching Requirements It is recommended that you read the postmarked on or before the deadline Several HRSA programs require a introductory materials, terminology date given in the program matching amount, or percentage of the section, and individual program announcement or in the application kit total project support, to come from category descriptions before contacting materials. sources other than Federal funds. the general number 1–888–333–HRSA Matching requirements are generally until September 12, 1999. After Authorizations mandated in the authorizing legislation September 12, the new toll free number for specific categories. Also, matching will be 1–877–HRSA (4772)–123. The citations of provisions of the laws requirements may be administratively Likewise, we urge applicants to fully authorizing the various programs are required by the awarding office. Such assess their eligibility for grants before provided immediately preceding requirements are set forth in the requesting kits. As a general rule, no groupings of program categories. application kit. more than one kit per category will be CFDA Number mailed to applicants. Project Period The Catalog of Federal Domestic The total time for which support of a To Obtain a Copy of the HRSA Preview Assistance (CFDA) is a Government- discretionary project has been To have your name and address wide compendium of Federal programs, programmatically approved. The project added to or deleted from the HRSA projects, services, and activities which period usually consists of a series of Preview mailing list, please call the toll provide assistance. Programs listed budget periods of one-year duration. free number 1–888–333–HRSA until therein are given a CFDA Number. September 12, 1999 or e-mail us at Once approved through initial review, Cooperative Agreement [email protected]. After September 12, continuation of each successive budget period is subject to satisfactory the new toll free number will be 1–877– A financial assistance mechanism HRSA (4772)–123. If you need special performance, availability of funds and (grant) used when substantial Federal program priorities. accommodations in accessing this programmatic involvement with the information please call Jeanellen recipient is anticipated by the funding Review Criteria Kallevang, of the Grants Policy Branch, agency during performance of the The following are generic review at 301–443–6507. project. criteria applicable to HRSA programs: To Obtain an Application Kit Eligibility • That the estimated costs to the Upon review of the program Government of the project is reasonable descriptions, please determine which Authorizing legislation and considering the level and complexity of category or categories of application programmatic regulations specify activity and the anticipated results. • kit(s) you wish to receive and contact eligibility for individual grant programs. That project personnel or the 1–888–333–HRSA number, until In general, assistance is provided to prospective fellows are well qualified by September 12, 1999, to register on the nonprofit organizations and institutions, training and/or experience for the specific mailing list. After September State and local governments and their support sought, and the applicant 12, the new toll free number will be 1– agencies, and occasionally to organization or the organization to 877–HRSA (4772)–123. Application kits individuals. For-profit organizations are provide training to a fellow has are generally available 60 days prior to eligible to receive awards under adequate facilities and manpower. application deadline. If kits are already financial assistance programs unless • That, insofar as practical, the available, they will be mailed specifically excluded by legislation. proposed activities (scientific or other), immediately. Estimated Amount of Competition if well executed, are capable of attaining project objectives. World Wide Web Access The funding level listed is provided • That the project objectives are The HRSA Preview is available, under for planning purposes and is subject to capable of achieving the specific the grants section, on the HRSA the availability of funds. program objectives defined in the

VerDate 18-JUN-99 12:05 Aug 17, 1999 Jkt 183247 PO 00000 Frm 00003 Fmt 4701 Sfmt 4703 E:\FR\FM\A18AU3.004 pfrm07 PsN: 18AUN2 45018 Federal Register / Vol. 64, No. 159 / Wednesday, August 18, 1999 / Notices program announcement and the Frequently Asked Questions kit do not agree. How do I know which proposed results are measurable. is correct? 1. Where do I submit grant • That the method for evaluating First, register at 1–888–333–HRSA applications? proposed results includes criteria for until September 12, 1999 for each determining the extent to which the The address for submitting your grant program that you are interested in as program has achieved its stated application will be shown in the shown in the HRSA Preview. After objectives and the extent to which the guidance document included in the September 12, the new toll free number accomplishment of objectives can be application kit. will be 1–877–HRSA (4772)–123. attributed to the program. 2. HRSA lists many telephone HRSA Preview dates for application • That, in so far as practical, the numbers and e-mail addresses. Who do kit availability and application receipt proposed activities, when I phone or e-mail and when? deadline are based upon the best known accomplished, are replicable, national Phone 1–888–333–HRSA until information at the time of publication, in scope and include plans for broad September 12, 1999, to register for often nine months in advance of the dissemination. application kits. After September 12, the competitive cycle. Occasionally, the The specific review criteria used to new toll free number will be 1–877– grant cycle does not begin as projected review and rank applications are HRSA (4772)–123. It will be helpful to and dates must be adjusted. The included in the individual guidance the information specialist if you have deadline date stated in your application material provided with the application the CFDA Number and title of the kit is correct. If the application kit has kits. Applicants should pay strict program handy for reference. been made available and subsequently attention to addressing these criteria as If, before you register, you want to the date changes, notification of the they are the basis upon which their know more about the program, an e- change will be mailed to known applications will be judged. mail/telephone contact is listed. This recipients of the application kit. contact can provide information Therefore, if you are registered at 1– Technical Assistance concerning the specific program’s 888–333–HRSA or 1–877–HRSA (4772)– A contact person is listed for each purpose, scope and goals, and eligibility 123 after September 12, you will receive program and his/her e-mail address and criteria. Usually, you will be encouraged the most current information. telephone number provided. Some to request the application kit so that you 4. Are programs announced in the programs have scheduled workshops will have clear, comprehensive and HRSA Preview ever canceled? and conference calls as indicated by the accurate information available to you. Infrequently, programs announced ‘‘magnifying glass’’ in the HRSA The application kit lists telephone may be withdrawn from competition. If Preview. If you have questions numbers for a program expert and a this occurs, a cancellation notice will be concerning individual programs or the grants management specialist who will provided through the HRSA Preview at availability of technical assistance, provide technical assistance concerning the HRSA Homepage http:// please contact the person listed. Also your specific program, if you are unable www.hrsa.dhhs.gov/. check your application materials and to find the information within the If you still have unanswered the HRSA web site http:// materials provided. questions, please contact John www.hrsa.dhhs.gov/ for the latest 3. The dates listed in the HRSA Gallicchio of the Grants Policy Branch technical assistance information. Preview and the dates in the application at 301–443–6507 ([email protected]).

HRSA PROGRAMS AT A GLANCE

Program name CFDA No. Deadline

Maternal and Child Health Programs

Genetic ServicesÐNational Genetic Consumer Center ...... 93.110A 02/29/2000 Genetic ServicesÐState Planning Grants ...... 93.110A 02/29/2000 Improvement of Perinatal Health: The Collaborative Ambulatory Research Network ...... 93.110RA 04/01/2000 Maternal and Child Health Research Program ...... 93.110RS 10/01/1999 & 03/01/2000 Maternal and Child Health Training in Pediatric Pulmonary Centers ...... 93.110TJ 12/15/1999 Maternal and Child Health Training in Schools of Public Health ...... 93.110TK 10/01/1999 Continuing Education and Development ...... 93.110TO 01/15/2000 Continuing Education/Dynamic Learning (Distance Education) ...... 93.110TQ 01/15/2000 SPRANSÐPh.D. EpidemiologyÐMCH/SPH Fellows Training Program ...... 93.110TS 02/15/2000 National Center for Cultural Competence ...... 93.110F 12/31/1999 Partnership for Information and Communication MCH Cooperative Agreements ...... 93.110G 01/15/2000 Adolescent Health Center for State Maternal and Child Health Personnel ...... 93.110J 01/15/2000 Training and Technical Assistance Centers for Mental Health in Schools ...... 93.110M 01/15/2000 National Training Institute for Child Care Health Consultants ...... 93.110P 01/15/2000 National Health and Safety in Child Care Health Resource Center ...... 93.110P 01/15/2000 Health Care Information and Education for Families of Children with Special Health Care Needs (CSHCN) 93.110S 12/01/1999 SPRANSÐState and Local Data Utilization and Enhancement (DUE) Cooperative Agreements ...... 93.110U 03/15/2000 Center for School Health Care ...... 93.110AE 01/15/2000 Integrated Health Care Programs for Children and Adolescents ...... 93.110AF 01/15/2000 Innovative Approaches to Promoting Positive Health Behaviors in Women ...... 93.110AH 01/17/2000 Health and Welfare Technical Advisory Group ...... 93.110AI 01/15/2000 Healthy Child Care America State Systems Development Grants ...... 93.110AQ 03/08/2000 Community Integrated Service Systems (CISS) Community Organization Grants Program ...... 93.110AR 03/10/2000 Universal Newborn Hearing Screening ...... 93.110ZZ 01/15/2000 Emergency Medical Services for Children (EMSC), Implementations Grants ...... 93.127A 11/01/1999 Emergency Medical Services for Children (EMSC), Partnership Grants ...... 93.127C 11/15/1999

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HRSA PROGRAMS AT A GLANCEÐContinued

Program name CFDA No. Deadline

Emergency Medical Services for Children (EMSC), Targeted Issue Grants ...... 93.127D 11/01/1999 Emergency Medical Services for Children (EMSC), Native American Project ...... 93.127G 11/01/1999 Traumatic Brain Injury (TBI), State Implementation Grants ...... 93.234A 12/01/1999 Traumatic Brain Injury (TBI), State Planning Grants ...... 93.234B 12/01/1999 Healthy Start: Eliminating Disparities in Perinatal Health ...... 93.926E 03/01/2000 Healthy Start: Infrastructure/Capacity Building Projects ...... 93.926F 03/15/2000 National Fetal and Infant Mortality Review (FIMR) Resource Center ...... 93.926H 04/01/2000 Maternal and Child Health Provider Partnerships ...... 93.926I 03/03/2000 Improving Systems of Care for Pregnant Women Experiencing Domestic Violence ...... 93.926J 02/11/2000

HIV/AIDS Programs

Special Projects of National Significance (SPNS) ...... 93.928 06/01/2000 Ryan White Title III Funding for Early Intervention Services Grants: Existing Geographic Areas ...... 93.918A 10/01/1999 Ryan White Title III Funding for Early Intervention Services Grants: New Geographic Areas ...... 93.918B 07/17/2000 Ryan White Title III HIV Funding for Early Intervention Services Planning Grants ...... 93.918C 06/02/2000 Ryan White Title III HIV Funding for Early Intervention Services Planning Grants ...... 93.918D 06/02/2000 Ryan White Title IV: Existing Geographic Areas ...... 93.153A 03/01/2000 Ryan White Title IV: New Geographic Areas ...... 93.153B 03/01/2000

Rural Health Programs

Rural Health Research Centers ...... 93.155 05/01/2000 Rural Health Outreach Grant ...... 93.912A 11/01/1999 Rural Health Network Development ...... 93.912B 11/08/1999 State Rural Hospital Flexibility Program ...... 93.241 06/01/2000

Primary Health Care Programs

Community and Migrant Health Centers ...... 93.224 and Varies 93.246 Health Care for the Homeless ...... 93.151 Varies Public Housing Primary Care ...... 93.927 10/01/1999 State Primary Care Offices ...... 93.130 12/01/1999 State Primary Care Associations ...... 93.129 12/01/1999 Grants to States for Loan Repayment Programs ...... 93.165 05/01/2000 Migrant Health Centers ...... 93.246 02/01/2000

Health Professions Programs

Academic Administrative Units in Primary Care (Family Medicine, General Internal Medicine and General 93.984A 01/06/2000 Pediatrics). Predoctoral Training in Primary Care (Family Medicine, General Internal Medicine and General Pediatrics) 93.896A 11/29/1999 Physician Assistant Training in Primary Care ...... 93.886A 11/15/1999 Residency Training in Primary Care (Family Medicine, General Internal Medicine and General Pediatrics) .. 93.884A 09/27/1999 Faculty Development in Primary Care (Family Medicine, General Internal Medicine and General Pediatrics) 93.895A 10/22/1999 Podiatric Residency in Primary Care ...... 93.181 09/30/1999 Model State-Supported Area Health Education Centers ...... 93.107 01/14/2000 Basic/Core Area Health Education Centers ...... 93.824 01/14/2000 Health Careers Opportunity Program (HCOP) ...... 93.822 01/10/2000 Centers of Excellence ...... 93.157 01/15/2000 Allied Health Projects ...... 93.191 02/22/2000 Residencies in the Practice of Pediatric Dentistry ...... 93.897A 11/01/1999 Chiropractic Demonstration Project Grants ...... 93.212 02/22/2000 Dental Public Health Residency Training Grants ...... 93.236 11/01/1999 Residencies and Advanced Education in the Practice of General Dentistry ...... 93.897 11/01/1999 Quentin N. Burdick Program for Rural Interdisciplinary Training ...... 93.192 10/22/1999 Public Health Training Centers Grant Program ...... 93.188A 12/06/1999 Geriatric Education Centers ...... 93.969 12/09/1999 Geriatric Training Regarding Physicians and Dentists ...... 93.156 12/09/1999 Health Administration Traineeships & Special Projects ...... 93.962 10/15/1999 Nursing Workforce Diversity Grants ...... 93.178A 12/17/1999 Basic Nurse Education and Practice Grants ...... 93.359A 02/22/2000 Public Health Nursing experiences in State and Local Health Departments for Baccalaureate Nursing Stu- 93.359B 11/17/1999 dents. Advanced Education Nursing Grants ...... 93.299A 01/28/2000 Advanced Education Nursing Traineeship Grants ...... 93.299B 12/03/1999 Advanced Education NursingÐNurse Anesthetist Traineeship Grant Program ...... 93.299C 12/03/1999

Advancement of Telehealth

Rural Telemedicine Grant Program ...... 93.211 03/01/2000

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HRSA PROGRAMS AT A GLANCEÐContinued

Program name CFDA No. Deadline

Other HRSA Programs

Faculty Loan Repayment Program (FLRP) ...... 93.923 03/31/2000 Scholarships for Disadvantaged Students (SDS) ...... 93.925 03/15/2000 Nursing Education Loan Repayment Program ...... 93.908 05/01/2000

Maternal and Child Health Programs facilitating representation of consumer Phone Number: 1–301–443–1080. Grants Management Office: 1–301– perspectives and issues in public policy E-mail: [email protected]. discussions and throughout the public 443–1440. Genetic Services-State Planning Grants policy decision-making processes. Genetic Services—National Genetic CFDA Number: 93.110A. Consumer Center. Eligibility Application Availability: 12/15/1999. CFDA Number: 93.110A. 42 CFR Part 51a.3* To Obtain This Application Kit Application Availability: 12/15/1999. (a) With the exception of training and Contact: 1–888–333–HRSA until To Obtain This Application Kit research, as described in paragraph (b) September 12, 1999. of this section, any public or private After September 12, the new toll free Contact: 1–888–333-HRSA until entity, including Indian tribe or tribal number will be 1–877–HRSA (4772)– September 12, 1999. organization (as those terms are defined 123. After September 12, the new toll free at 25 U.S.C. 450b) is eligible to apply for number will be 1–877-HRSA (4772)- Federal funding under this Part; (b) Letter of Intent Deadline: 1/15/2000. 123. Only public or nonprofit private Application Deadline: 2/29/2000. Letter of Intent Deadline: 01/15/2000. institutions of higher learning may Projected Award Date: 6/01/2000. Application Deadline: 02/29/2000. apply for training grants. Only public or Authorization Projected Award Date: 06/01/2000. nonprofit institutions of higher learning Social Security Act, Title V, 42 U.S.C. and public or private nonprofit agencies Authorization 701. engaged in research or in programs Social Security Act, Title V, 42 U.S.C. relating to maternal and child health Purpose 701. and/or services for children with special Projects that develop and demonstrate Purpose health care needs may apply for grants, the use of information systems for the The purpose of this cooperative contracts or cooperative agreements for integration of State newborn screening agreement is to support a national research in maternal and child health programs with population based, consumer center for the establishment services or in services for children with community based and family centered of a national network to provide genetic special health care needs. early intervention programs that are tied information and education for Funding Priorities and/or Preferences to outcome driven systems of service to consumers of genetic services and to children with special health needs and Preference will be given to nationally outline national policy to improve the families. recognized consumer organizations with quality, accessibility and utilization of clearly demonstrated national expertise Eligibility genetic services. The center’s activities and capacity for addressing genetic would include: (1) The involvement of 42 CFR Part 51a.3* medicine, services and technology national membership of consumer, issues related to consumers of genetic Funding Priorities and/or Preferences family, professional, and support group services and their families and to organizations, with the acknowledgment A funding preference will be given to applicants building upon current family of the need for membership community/State agency partnerships in and professional partnerships, family representation to include geographic coalition with public and private training and empowerment activities in and ethnic diversity; (2) the community based providers. collaboration with the Title V development of support groups and discretionary grant efforts. Review Criteria consumer organizations by providing Final criteria are included in the technical assistance, resources and Review Criteria application kit. training for consumer leaders; (3) a Final criteria are included in the forum for interaction between application kit. Estimated Amount of This Competition consumers, the Maternal and Child $750,000. Health Bureau (MCHB) and other Estimated Amount of This Competition relevant Federal, State and community $400,000. Estimated Number of Awards organizations on issues related to 10. genetic medicine, services and Estimated Number of Awards technology; (4) facilitate public, 1. Estimated Project Period provider and consumer access to 2 Years. centralized resources, support and Estimated Project Period referral services that enhance the 5 Years. For Programmatic Questions general public’s ability to make Contact Person: Michele Puryear, For Programmatic Questions informed decisions about genetic M.D. services; and (5) provide an effective Contact Person: Michele Puryear, Phone Number: 1–301–443–1080. and proactive consumer voice, M.D. E-mail: [email protected].

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Improvement of Perinatal Health: The For Programmatic Questions For Programmatic Questions Collaborative Ambulatory Research Contact Person: Gontran Lamberty, Contact Person: Gontran Lamberty, Network Dr. P.H. or Maurice Bryant. Dr. P.H. CFDA Number: 93.110RA. Phone Number: 1–301–443–0765. Phone Number: 1–301–443–2190. Application Availability: 01/01/2000. E-mail: [email protected] or E-mail: [email protected]. [email protected]. To Obtain This Application Kit Maternal and Child Health Training in Maternal and Child Health Research Pediatric Pulmonary Centers Contact: 1–888–333–HRSA until Program September 12, 1999. CFDA Number: 93.110TJ. CFDA Number: 93.110RS. After September 12, the new toll free Application Availability: 10/01/1999. Application Availability: 06/14/1999. number will be 1–877–HRSA (4772)– To Obtain This Application Kit 123. To Obtain This Application Kit Contact: 1–888–333–HRSA until Letter of Intent Deadline: 02/01/2000. Contact: 1–888–333–HRSA until September 12, 1999. Application Deadline: 04/01/2000. September 12, 1999. After September 12, the new toll free Projected Award Date: 07/01/2000. After September 12, the new toll free number will be 1–877–HRSA (4772)– Authorization number will be 1–877–HRSA (4772)– 123. 123. Letter of Intent Deadline: 11/15/1999. Social Security Act, Title V, 42 U.S.C. Application Deadline: 10/01/1999 & 701. Application Deadline: 12/15/1999. 03/01/2000. Projected Award Date: 07/01/2000. Purpose Projected Award Date: 01/01/2000 & 07/01/2000. Authorization The purpose of this program is to Social Security Act, Title V, Section establish a nationwide structure Authorization 502, 42 U.S.C. 702. (network) for conducting research on Social Security Act, Title V, 42 U.S.C. ambulatory health care practices to 701. Purpose improve perinatal health care. The goals Purpose To provide interdisciplinary of this program include examining and leadership training for several health describing existing obstetrician- The purpose of this program is to professional disciplines, at the graduate gynecologist knowledge base and support applied research relating to and post graduate levels, to prepare practices. Information from this network maternal and child health services, them for leadership roles, including should be used to develop better which show promise of substantial teaching, in the care of, research on, or informed educational strategies and to contribution in knowledge, that when development of organized systems of disseminate information to physicians used in States and communities will health care delivery for children with in areas where there is a knowledge result in health status and health chronic respiratory conditions and their deficit. The project will cooperate and services improvements. families. work collaboratively with other MCHB funded projects in perinatal and Eligibility Eligibility women’s health. 42 CFR Part 51a.3* 42 CFR Part 51a.3* Eligibility Funding Priorities and/or Preferences Funding Priorities and/or Preferences The American College of Fifteen issues/questions selected from A preference will be given to Obstetricians and Gynecologists (ACOG) 11 priority areas, and keyed to goals and Departments of Pediatrics in accredited is eligible to apply. objectives of the Bureau and HRSA medical schools that meet the special strategic plans, will be given special Sole Source requirements for training programs in consideration for funding. The special pediatric pulmonology. ACOG is the primary organization consideration consists of a 0.5 points representing Ambulatory Obstetrics and favorable adjustment to the funding Review Criteria Gynecology in the Nation and is the score assigned to an application, on a Final criteria are included in the only organization which represents the range of 1.0 to 5.0, when recommended application kit. majority of practitioners necessary to for approval by the MCH Research Estimated Amount of This Competition establish an adequate structural Review Committee. The 15 issues/ network. questions selected from the 11 priority $2,150,175. Funding Priorities and/or Preferences areas are detailed in the guidance Estimated Number of Awards material contained in the application None. kit. Approximately 7. Review Criteria Review Criteria Estimated Project Period Final criteria are included in the Final criteria are included in the 5 Years. application kit. application kit. For Programmatic Questions Estimated Amount of This Competition Estimated Amount of This Competition Contact Person: Shelley Benjamin, $200,000. $1,900,000. M.S.W. Phone Number: 1–301–443–2190. Estimated Number of Awards Estimated Number of Awards E-mail: [email protected]. 1. 10. Maternal and Child Health Training in Estimated Project Period Estimated Project Period Schools of Public Health Up to 5 Years. 1 to 4 Years. CFDA Number: 93.110TK.

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Application Availability: 07/29/1999. Letter of Intent Deadline: 12/08/1999. Purpose Application Deadline: 01/15/2000. Alternative education methodologies To Obtain This Application Kit Projected Award Date: 06/01/2000. provide an effective and economical Contact: 1–888–333–HRSA until Authorization means for professional staff to enhance September 12, 1999. and advance their skills while After September 12, the new toll free Social Security Act, Title V, Section 502, 42 U.S.C. 702. continuing to meet their daily on-site number will be 1–877–HRSA (4772)– responsibilities. MCH managers need 123. Purpose timely and available information to Letter of Intent Deadline: 09/01/1999. Continuing Education and complete the functions for assessing Application Deadline: 10/01/1999. Development (CED) focuses on need, developing policies and programs, Projected Award Date: 06/01/2000. increasing leadership skills of MCH addressing and resolving problems, Authorization professionals; facilitating timely transfer monitoring progress and evaluating and application of new information, performance. Analytical skills are Social Security Act, Title V, Section research findings and technology related needed to convert data to information to 502, 42 U.S.C. 702. to MCH; and updating and improving better serve mothers and children living Purpose the knowledge and skills of health and in high risk circumstances. This grant related professionals in programs program encourages the development, To support and strengthen MCH serving mothers and children. CED implementation, creative utilization and Programs through long term training of programs will support conduct of short- application of distance education a wide range of health professionals term, non-degree related courses, opportunities for the State and local who serve children. Training is at the workshops, conferences, symposia, MCH communities to improve the graduate and post graduate levels, with institutes, and distance learning delivery of health care services to a special focus on family centered, strategies and/or development of mothers and children. Courses will be community-based care. The programs curricula, guidelines, standards of developed and given annually using are designed to develop leadership practice, and educational tools/ distance learning modalities and personnel to provide for comprehensive strategies intended to assure quality delivered to State and local MCH health care including health promotion health care for the MCH population. staffers. Technical support for specific and disease prevention and related analytical tasks will be provided via the services to mothers and children. Eligibility Internet, compact discs and via satellite Eligibility 42 CFR Part 51a.3* broadcasts to State and local agencies. Funding Priorities and/or Preferences Projects will work collaboratively with 42 CFR Part 51a.3* each other and the MCH Bureau to Funding Priorities and/or Preferences None. develop common formats, tools and A preference will be given to Schools Review Criteria approaches. of Public Health, accredited by the Final criteria are included in the Eligibility Council on Education for Public Health, application kit. 42 CFR Part 51a.3* with an established Maternal and Child Estimated Amount of This Competition Health Program. Funding Priorities and/or Preferences $250,000. Review Criteria None. Estimated Number of Awards Final criteria are included in the Review Criteria application kit. 10. Final criteria are included in the Estimated Amount of This Competition Estimated Project Period application kit. $4,425,965. 1–3 Years. Estimated Amount of This Competition $715,000. Estimated Number of Awards For Programmatic Questions 12–13. Contact Person: Diana Rule, M.P.H. Estimated Number of Awards Phone Number: 1–301–443–2190. Estimated Project Period Estimated Project Period E-mail: [email protected]. 2 Years. 5 Years. Continuing Education/Dynamic Learning (Distance Education) For Programmatic Questions For Programmatic Questions CFDA Number: 93.110TQ. Contact Person: Aaron Favors, Ph.D. Contact Person: Nanette Pepper, Application Availability: 11/08/1999. Phone Number: 1–301–443–0392. BSRN, M.Ed. E-mail: [email protected]. Phone Number: 1–301–443–2190. To Obtain This Application Kit E-mail: [email protected]. Contact: 1–888–333–HRSA until SPRANS—Ph.D. Epidemiologic-MCH/ SPH Fellows Training Program Continuing Education and Development September 12, 1999. After September 12, the new toll free CFDA Number: 93.110TS. CFDA Number: 93.110TO. number will be 1–877–HRSA (4772)– Application Availability: 12/01/1999. Application Availability: 11/08/1999. 123. To obtain this application kit To Obtain This Application Kit Letter of Intent Deadline: 12/15/1999. Contact: 1–888–333–HRSA until Application Deadline: 01/15/2000. Contact: 1–888–333–HRSA until Projected Award Date: 06/01/2000. September 12, 1999. September 12, 1999. After September 12, the new toll free After September 12, the new toll free Authorization number will be 1–877–HRSA (4772)– number will be 1–877–HRSA (4772)– Social Security Act, Title V, 42 U.S.C. 123. 123. 701. Letter of Intent Deadline: 01/01/2000.

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Application Deadline: 02/15/2000. For Programmatic Questions Estimated Number of Awards Projected Award Date: 04/01/2000. Contact Person: Russ Scarato. 1. Authorization Phone Number: 1–301–443–0701. E-mail: [email protected]. Estimated Project Period Social Security Act, Title V, 42 U.S.C. 5 Year. 701. National Center for Cultural Competence For Programmatic Questions Purpose CFDA Number: 93.110F. Contact Person: Diana Denboba. The Ph.D. Fellows grant was Application Availability: 09/30/1999. Phone Number: 1–301–443–9332. established to develop and promote E-mail: [email protected]. To Obtain This Application Kit epidemiologic analysis as a part of MCH Partnership for Information and health training program operations. It is Contact: 1–888–333–HRSA until September 12, 1999. Communication (PIC) MCH Cooperative intended to attract MCH doctoral Agreements students to the field of epidemiologic After September 12, the new toll free analysis and produce publications that number will be 1–877–HRSA (4772)– CFDA Number: 93.110G. further policy and program 123. Application Availability: 11/15/1999. development. Currently, literature on Letter of Intent Deadline: 10/30/1999. To Obtain This Application Kit the application of epidemiology to Application Deadline: 12/31/1999. Contact: 1–888–333–HRSA until children’s health is scarce. Little data Projected Award Date: 06/01/2000. September 12, 1999. and analysis is available on the Authorization effectiveness and benefits of child After September 12, the new toll free health services and information needed Social Security Act, Title V, 42 U.S.C. number will be 1–877–HRSA (4772)– to improve resource allocation 701. 123. Letter of Intent Deadline: 12/15/1999. decisions. The purpose of this program Purpose is to increase the number of doctoral Application Deadline: 1/15/2000. candidates and postdoctoral fellows The purpose of this cooperative Projected Award Date: 4/01/2000. agreement competition is to assist State who elect a relevant MCH Authorization epidemiologic analysis issue, applied to and local Title V Children with Special MCH service delivery, as the basis for Health Care Needs (CSHCN) programs to Social Security Act, Title V, 42 U.S.C. their research and dissertation. plan, implement and evaluate culturally 701. Candidates and fellows are to produce competent policies, procedures and Purpose practices in partnership with the creative, well thought out, dissertation To provide cooperative agreements subjects of interest that reflect the Federal Central and Field Office MCHB/ DSCSHCN staff, other Federal/State and with governmental, professional and current trend of MCH and how the field private organizations represented by of economic and epidemiologic analysis local programs and consumers by assisting State programs: (1) Conduct leaders concerned with issues related to impacts upon it. This funding will maternal and child health and involved support: agency cultural competency assessments; (2) incorporate cultural in sustaining systems of care and/or 1. Recruitment and enrollment of 6 providing family support to persons doctoral students who will develop competence in their strategic and Title V Block Grant annual plans; (3) assist in affected by severe illness or injury. dissertations with an emphasis on Specifically, this program is designed to epidemiologic analysis. the development of an evaluation of cultural competence activities, e.g., facilitate the dissemination of new 2. Enhancement of student analytic develop performance measures and information in a format that will be capability as well as improved outcome indicators related to access, most useful to them when developing understanding of the epidemiologic of health outcomes and consumer/provider MCH policies and programs in the MCH services. satisfaction for CSHCN programs; and private and public sectors at local, State 3. Development of publishable (4) promote the principles, values, skills and national levels, and understanding materials for distribution to the broader and knowledge of culturally competent, by the MCHB of the maternal and child MCH community. family-centered care in related CSHCN health concerns held by these policy Eligibility programs, such as other SPRANS makers. discretionary grants and State Child 42 CFR Part 51a.3* Eligibility Health Insurance Programs. Funding Priorities and/or Preferences 42 CFR Part 51a.3* Eligibility A preference will be given to Schools Funding Priorities and/or Preferences 42 CFR Part 51a.3* of Public Health with MCH programs. A preference will be given to Funding Priorities and/or Preferences organizations currently receiving Review Criteria Funding preference will be given to support as part of this cooperative Final criteria are included in the an organization with demonstrated agreement representing State governors application kit. capability and experience in the area of and their staffs; county health policymakers, municipal health Estimated Amount of This Competition cultural competence and with Title V CSHCN programs policymakers, nonprofit and/or for- $150,000. profit managed care organizations and Review Criteria coalitions of organizations promoting Estimated Number of Awards Final criteria are included in the the health of mothers and infants, 6. application kit. national membership organizations representing survivors of traumatic Estimated Project Period Estimated amount of this competition brain injury (TBI), providing emergency 1 Year. $255,000. medical care for children, and

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For this year, only national application kit. membership organizations representing None. the following groups will be considered Estimated Amount of This Competition for funding: State legislators; private Review Criteria $590,000. businesses, particularly self-insured Final criteria are included in the Estimated Numbers of Award businesses; philanthropic organizations; application kit. parent organizations; State Title V 2. Estimated Amount of This Competition Directors; and State Head Injury Estimated Project Period Program Directors. $200,000. 5 Years. Review Criteria Estimated Number of Awards For Programmatic Questions Final criteria are included in the application kit. 1. Contact Person: Trina Anglin, M.D., Estimated Project Period Ph.D. Estimated Amount of This Competition Phone Number: 1–301–443–4291. $2,351,840. 4 Years. E-mail: [email protected]. Estimated Number of Awards For Programmatic Questions National Training Institute for Child Care Health Consultants 7. Contact Person: Trina Anglin, M.D., Ph.D. CFDA Number: 93.110P. Estimated Project Period Application Availability: 11/15/1999. Phone Number: 1–301–443–4026. 5 Years. E-mail: [email protected]. To Obtain This Application Kit For Programmatic Questions Training and Technical Assistance Contact: 1–888–333–HRSA until Contact Person: David Heppel, M.D. Centers for Mental Health in Schools September 12, 1999. Phone Number: 1–301–443–2250. After September 12, the new toll free E-mail: [email protected]. CFDA Number: 93.110M. number will be 1–877–HRSA (4772)– Application Availability: 11/15/1999. 123. Adolescent Health Center for State Maternal and Child Health Personnel To Obtain This Application Kit Letter of Intent Deadline: 12/15/1999. Application Deadline: 01/15/2000. CFDA Number: 93.110J. Contact: 1–888–333–HRSA until Projected Award Date: 04/01/2000. Application Availability: 11/15/1999. September 12, 1999. Authorization To Obtain This Application Kit After September 12, the new toll free number will be 1–877–HRSA (4772)– Social Security Act, Title V, 42 U.S.C. Contact: 1–888–333–HRSA until 123. 701. September 12, 1999. Letter of Intent Deadline: 12/15/1999. After September 12, the new toll free Purpose number will be 1–877–HRSA (4772)– Application Deadline: 01/15/2000. Quality Child Care, which pays 123. Projected Award Date: 04/01/2000. attention to health and safety and Letter of Intent Deadline: 12/15/1999. Authorization protecting children from harm, is often Application Deadline: 01/15/2000. a function of quality State licensure Projected Award Date: 04/01/2000. Social Security Act, Title V, 42 U.S.C. regulations and guidelines as well as 701. local support. This support is best Authorization Purpose carried out by child care health Social Security Act, Title V, 42 U.S.C. consultants at the local level who train 701. The intent of this category is to and support child care providers and provide a mechanism for assistance for families and assure that the child care Purpose programs whose goal is to provide and guidelines are carried out. Child care To assist States in promoting State enhance mental health resources and health consultants are a new type of core capacity in adolescent health by services for the school-age population. health professional. They view child developing and implementing Centers funded under this category will care as a focal point for identifying adolescent health action plans based on provide assistance to targeted needs children in need of health coverage needs assessments, implementation of identified by those organizations and including Medicaid and CHIP, and as a adolescent State interagency task forces, institutions requesting the training or place to help families identify a medical convening of expert advisory councils, technical assistance. Assistance should home for their child. The MCHB funded and convening of youth advisory utilize, as much as possible, existing the National Training Institute (NTI) for groups. Such a Center, to strengthen materials and training models that have Child Care Healthy Consultants in 1996 States’ abilities to address adolescent demonstrated success and impact in the to provide standardized training using health issues, was first established in past. Methods utilized will also be Caring for Our Children and Stepping 1995. States will set targets for Healthy adapted to suit the particular Stones as a basis of the curriculum. The People 2010 adolescent health circumstances. model is ‘‘train the trainer,’’ and there

VerDate 18-JUN-99 12:05 Aug 17, 1999 Jkt 183247 PO 00000 Frm 00010 Fmt 4701 Sfmt 4703 E:\FR\FM\A18AU3.019 pfrm07 PsN: 18AUN2 Federal Register / Vol. 64, No. 159 / Wednesday, August 18, 1999 / Notices 45025 is a distance learning component as well quality child care health and safety Purpose as on-site. The expected outcome is programs through the performance of The purpose of this competition is to statewide networks of child care health the following activities: maintain and support a cooperative agreement for consultants to the local level in every update on the World Wide Web the implementation of a piloted national State. computerized National Child Care strategy to establish a national network standards database which contains the Eligibility of centers that will provide health care National Health and Safety Performance information and education to families of 42 CFR Part 51a.3* Standards; annually update health and children with special health care needs. Funding Priorities and/or Preferences safety standards for all States and These centers will be planned and territories and Stepping Stones to Caring administered by families and will be The current grantee is the University for our Children; provide consultation, of North Carolina School of Public built upon existing collaborative training and technical assistance to relationships with State Title V–CSHCN Health in collaboration with the Frank States on child care health and safety; Porter Graham Child Development programs, providers and family maintain child care health and safety advocates. Center. They will apply, as well as references collections; develop and organizations and universities which maintain child care databases; arrange Eligibility have expertise and an interest in health conferences and workshops; convene 42 CFR Part 51a.3* and safety in child care and the ability annual meetings of the NRC Advisory to create systems for training child care Committee; disseminate information to Funding Priorities and/or Preferences health consultants and technology the public and to professional Funding preference will be given to transfer related to distance learning. organizations; analysis of special issues; nationally recognized family Special Consideration and develop programmatic approaches organizations with clearly demonstrated and participation/presentation at key national expertise and capacity in Ability to conduct a training program child care conferences. addressing health issues related to for child care health consultants which CSHCN and their families. is national in focus, and ability to Eligibility conduct distance learning using state-of- 42 CFR Part 51a.3* Review Criteria the-art technology transfer. Funding Priorities and/or Preferences Final criteria are included in the Review Criteria application kit. None. Final criteria are included in the Estimated Amount of This Competition Review Criteria application kit. $500,000 pending availability of Estimated Amount of This Competition Final criteria are included in the funds. application kit. $225,000. Estimated Number of Awards Estimated Amount of This Competition Estimated Number of Awards 1. $350,000. 1. Estimated Project Period Estimated Project Period Estimated Number of Awards 5 years. 5 Years. 1. For Programmatic Questions For Programmatic Questions Estimated Project Period Contact Person: Diana Denboba. Contact Person: Phyllis Stubbs, M.D. 5 Years. Phone Number: 1–301–443–9332. E-mail: [email protected]. Phone Number: 1–301–443–6600. For Programmatic Questions E-mail: [email protected]. SPRANS—State and Local Data Contact Person: Phyllis Stubbs, M.D. National Health and Safety in Child Utilization and Enhancement (DUE) Phone Number: 1–301–443–6600. Care Health Resource Center Cooperative Agreements E-mail: [email protected]. CFDA Number: 93.110P. CFDA Number: 93.11OU. Application Availability: 11/15/1999. Health Care Information and Education Application Availability: 01/03/2000. for Families of Children With Special To Obtain This Application Kit Health Care Needs (CSHCN) To Obtain This Application Kit Contact: 1–888–333–HRSA until Contact: 1–888–333–HRSA until CFDA Number: 93.110S. September 12, 1999. September 12, 1999. Application Availability: 08/01/1999. After September 12, the new toll free After September 12, the new toll free number will be 1–877–HRSA (4772)– To Obtain This Application Kit number will be 1–877–HRSA (4772)– 123. Contact: 1–888–333–HRSA until 123. Letter of Intent Deadline: 12/15/1999. September 12, 1999. Letter of Intent Deadline: 02/15/2000. Application Deadline: 01/15/2000. After September 12, the new toll free Application Deadline: 03/15/2000. Projected Award Date: 05/01/2000. Projected Award Date: 04/01/2000. number will be 1–877–HRSA (4772)– Authorization 123. Authorization Social Security Act, Title V, 42 U.S.C. Letter of Intent Deadline: 10/01/1999. Social Security Act, Title V, 42 U.S.C. 701. Application Deadline: 12/01/1999. 701. Projected Award Date: 03/01/2000. Purpose Purpose The National Resource Center (NRC) Authorization Cooperative Agreements to State and for Health and Safety in Child Care Public Health Service Act, Title III, local agencies, each of whom will supports States in the development of Section 301, 42 U.S.C. 241 contribute equal matching funds to:

VerDate 18-JUN-99 12:05 Aug 17, 1999 Jkt 183247 PO 00000 Frm 00011 Fmt 4701 Sfmt 4703 E:\FR\FM\A18AU3.022 pfrm07 PsN: 18AUN2 45026 Federal Register / Vol. 64, No. 159 / Wednesday, August 18, 1999 / Notices support, develop and implement MCH After September 12, the new toll free After September 12, the new toll free State and local data activities, which number will be 1–877–HRSA (4772)– number will be 1–877–HRSA (4772)– may include developing standardized 123. 123. integrated data and communication Letter of Intent Deadline: 12/15/1999. Letter of Intent Deadline: 12/15/1999. systems within and between States; Application Deadline: 01/15/2000. Application Deadline: 01/15/2000. develop standardized mechanisms to Projected Award Date: 04/01/2000. Projected Award Date: 04/01/2000. better monitor managed care; and/or Authorization develop common data elements/model Authorization approaches to key emerging MCH data Social Security Act, Title V, 42 U.S.C. Social Security Act, Title V, 42 U.S.C. issues, including support for innovation 701. 701. in health systems and community Purpose Purpose assessment indicators; conduct a cost- To provide a means of providing up- effective analysis of MCH services, These two year planning grants are to-date information on approaches to performance measures and outcome designed to initiate and formalize a improving school-based health care. To reporting; develop methods to measure working relationship among community enhance State and community level unmet needs, gaps in services, and resources, in order to detail capacity for school health planning, needs of special populations; propose arrangements for establishing an policy development, and quality new measures of morbidities and health; integrated program of health service assurance; to promote growth in school examine the quality of care and delivery for children and adolescents, in health infrastructure; to identify and implementation of community health a targeted area with a total population promote models of interdisciplinary of 100,000 to 250,000. The combined initiatives. Projects will work training and team development for services are to include physical and collaboratively with each other and the health and education personnel; to psychosocial primary health care, MCH Bureau to develop common identify and disseminate state-of-the-art comprehensive mental health services, definitions and data elements, model practices in school health and school and substance abuse prevention and tools and approaches and performance based health care; and to identify and treatment services. The plan that is standards. disseminate information on produced is to include attention to Eligibility sustainability of school based health services, particularly concerning third organizational structure, staffing, 42 CFR Part 51a.3* party reimbursements. facilities, information systems including Funding Priorities and/or Preferences protection of confidentiality, and fiscal Eligibility arrangements. None. 42 CFR Part 51a.3* Eligibility Review Criteria Funding Priorities and/or Preferences 42 CFR Part 51a.3* Final criteria are included in the Funding preference will be given to Funding Priorities and/or Preferences application kit. any public or private organization that can function on a national level, None. Estimated Amount of This Competition demonstrate knowledge and experience Review Criteria $428,000. with the issues to be addressed, and can demonstrate credibility in the health Final criteria are included in the Estimated Number of Awards and education communities is eligible application kit. 6. to apply. Estimated Amount of This Competition Estimated Project Period Review Criteria $210,000. 3 Years. Final criteria are included in the Estimated Number of Awards application kit. For Programmatic Questions 4. Estimated Amount of This Competition Estimated Project Period. Contact Person: Alicia Scott-Wright or $200,000. Russ Scarato. 2 years. Phone Number: 1–301–443–0700 or Estimated Number of Awards For Programmatic Questions 1–301–443–0701. 1. Contact Person: Trina Anglin, M.D., E-mail: [email protected] or Estimated Project period [email protected]. Ph.D. 4 Years. Phone Number: 1–301–443–4291. Note: These six cooperative agreements E-mail: [email protected]. represent a pilot effort to actively work with For Programmatic Questions and support State and local development of Contact Person: Trina Anglin, M.D., Innovative Approaches to Promoting integrated data systems and analytical Positive Health Behaviors in Women models. Additional funds are needed to Ph.D. expand this effort beyond the restriction Phone Number: 1–301–443–4026. CFDA Number: 93.110AH. mandated by the current budget. E-mail: [email protected]. Application Availability: 11/01/1999. Center for School Health Care Integrated Health Care Programs for To Obtain This Application Kit Children and Adolescents CFDA Number: 93.110AE. Contact: 1–888–333–HRSA until CFDA Number: 93.110AF. September 12, 1999 . Application Availability: 11/15/1999. Application Availability: 11/15/1999. After September 12, the new toll free To Obtain This Application Kit To Obtain This Application Kit number will be 1–877–HRSA (4772)– Contact: 1–888–333–HRSA until Contact: 1–888–333–HRSA until 123. September 12, 1999. September 12, 1999. Letter of Intent Deadline: 12/17/1999.

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Application Deadline: 01/17/2000. Purpose Projected Award Date: 06/01/2000. Projected Award Date: 04/03/2000. The Health and Welfare Technical Authorization Authorization Advisory Group is intended to: promote communication among State-level Social Security Act, Title V, 42 U.S.C. Social Security Act, Title V, 42 U.S.C. 701. 701. program directors in the areas of maternal and child health, Medicaid, Purpose Purpose Child Care, Child Welfare, Mental This three year demonstration Health, and Head Start and their Federal MCHB is currently funding 51 State program will develop and demonstrate counterparts; to collaborate on Health Systems Development in Child innovative approaches that are effective approaches to address family health and Care-Healthy Child Care America in promoting positive health behaviors welfare issues; identify Federal and/or (HSDCC) Grants. These grants were in women, particularly behaviors State actions which inhibit a coherent awarded in FY 1996 and are serving as influencing preconceptional health approach to meeting family health and State focal points for health and safety (nutrition, smoking cessation, STD welfare needs; and promote in child care, and are developing prevention, etc.) through partnerships mechanisms to improve functioning integrated health, child care and social with other organizations (business, across programs. These purposes are to service systems in their respective child care, religious, etc.) in a variety of be accomplished through development States. They are instituting measures to community settings. These approaches of an ongoing forum of representatives both improve the quality of child care should target women who currently of these programs and a mechanism to and assure that children in child care have limited access to health promotion provide information to and receive settings receive the health services services and should link women with information from all State program which they need. Building upon Title V and other relevant health directors. Specific topics of concern will MCHB’s investment, and based upon resources and services. be jointly selected. Items of particular State Title V and Child Care program concern to HRSA include child care, suggestions, a Phase II is planned. Eligibility oral health, and school health issues. Healthy Child Care America-the Year 42 CFR Part 51a.3*. 2000 Quality Initiative will focus on the Eligibility development and implementation of Funding Priorities and/or Preferences 42 CFR Part 51a.3* State programs which address quality None. assurance (improved State regulations); Funding Priorities and/or Preferences Special Considerations infrastructure building (networks of A funding preference will be given to child care health consultants); and There may be only one application any organization which can demonstrate outreach (related to Medicaid and per State. a linkage with at least one and CHIP). Review Criteria preferably more than one of the organizations representing the State- Eligibility Final criteria are included in the level programs listed in the Purpose 42 CFR Part 51a.3* application kit. section. Funding Priorities and/or Preferences Estimated Amount of this Competition REview Criteria $450,000. A preference will be given to State Final criteria are included in the and/or private nonprofit health or child Estimated Number of Awards application kit. care entities which can carry out 3. Estimated Amount of this Competition programmatic expectations in relation to quality assurance, infrastructure Estimated Project Period $200,000. development and outreach on a 3 Years. Estimated Number of Awards statewide basis. The current grants will apply vis-a-vis a limited competition. In For Programmatic Questions 1. addition, an entity from the States of Contact Person: Ellen Hutchins, Ph.D. Estimated Project Period New Jersey and Mississippi will be Phone Number: 1–301–443–9534. asked to apply. E-mail: [email protected]. 2 years. Review Criteria Health and Welfare Technical Advisory For Programmatic Questions Group Contact Person: Stuart Swayze. Final criteria are included in the CFDA Number: 93.110AI. Phone Number: 1–301–443–2917. application kit. Application Availability: 11/15/1999. E-mail: [email protected]. Estimated Amount of this Competition To obtain this application kit Healthy Child Care America State Systems Development Grants $3,842,500. Contact: 1–888–333-HRSA until Estimated number of Awards September 12, 1999. CFDA Number: 93.110AQ. After September 12, the new toll free Application Availability: 11/01/1999. 1 per 53 States/Territories. number will be 1–877–HRSA (4772)– To Obtain this Application Kit Estimated Project Period 123. Contact: 1–888–333–HRSA until Letter of Intent Deadline: 12/15/1999. September 12, 1999. 3 Years. Application Deadline: 01/15/2000. Projected Award Date: 04/01/2000. After September 12, the new toll free For Programmatic Questions number will be 1–877–HRSA (4772)– Authorization 123. Contact Person: Phyllis Stubbs, M.D. Social Security Act, Title V, 42 U.S.C. Letter of Intent Deadline: 01/10/2000. Phone Number: 1–301–443–6600. 701 Application Deadline: 03/08/2000. E-mail: [email protected].

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Community Integrated Service Systems Black Colleges and Universities Applicants should also describe (CISS) Community Organization Grants (Executive Order 12876) and mechanisms to assure sustainability of Program Educational Excellence for Hispanic the program by engaging public and CFDA Number: 93.110AR. Americans (Executive Order 12900). private payors and implementation of a Application Availability: 01/10/2000. An approved proposal from an HBCU fee for service plan. (2) One grant to an or HSI will receive a 0.5 point favorable organization to provide technical To Obtain This Application Kit adjustment of the priority score in a 4 assistance to States on a nationwide Contact: 1–888–333–HRSA until point range before funding decisions are basis in the implementation of statewide September 12, 1999. made. universal newborn hearing screening, diagnosis and entry into early After September 12, the new toll free Special Considerations intervention. number will be 1–877–HRSA (4772)– In the interest of equitable geographic States where newborn hearing 123. distribution, special consideration for screening is not being carried out at the Letter of Intent Deadline: 02/08/2000. funding will be given to projects from present time may submit a plan for Application Deadline: 03/10/2000. communities without a currently phase-in of statewide universal newborn Projected Award Date: 05/01/2000. funded CISS project. screening to be completed by the end of Authorization Review Criteria year three of a four year project period. Funding is contingent upon the Social Security Act, Title V, 42 U.S.C. Final criteria are included in the availability of funds. 701. application kit. Eligibility Purpose Estimated Amount of this Competition 42 CFR Part 51a.3* The CISS program is designed to $1,250,000. enhance the development of service Funding Priorities and/or Preferences Estimated Number of Awards systems at the community level to A funding preference, for the national address the physical, psychological, 25. technical assistance award, will be social well-being, and related needs of Estimated Project Period given to an organization with pregnant women, infants, and children, demonstrated capability and experience including children with special health 3 Years. in this area. care needs and their families. CISS For Programmatic Questions programs should be designed to assist Review Criteria Contact Person: Joseph A. Zogby, communities to better meet consumer Final criteria are included in the M.S.W. identified needs, fill gaps in services, application kit. reduce duplication of effort, coordinate Phone Number: 1–301–443–4393. activities, increase availability of E-mail: [email protected]. Estimated Amount of this Competition services, improve efficiency, and Universal Newborn Hearing Screening $4,000,000. enhance quality of care. Programs must be developed in collaboration and CFDA Number: 93.110ZZ. Estimated Number of Awards Application Availability: 11/15/1999. coordination with the State MCH 30. Services Block Grant programs and State To Obtain This Application Kit efforts in community systems Estimated Project Period development. Contact: 1–888–333–HRSA until September 12, 1999. 4 Years. Eligibility After September 12, the new toll free For Programmatic Questions 42 CFR Part 51a.3* number will be 1–877–HRSA (4772)– Contact Person: Irene Forsman, M.S., 123. Funding Priorities and/or Preferences R.N. Letter of Intent Deadline: 12/15/1999. Phone Number: 1–301–443–9023. In keeping with the goals of Application Deadline: 01/15/2000. E-mail: [email protected]. advancing the development of human Projected Award Date: 04/01/2000. potential, strengthening the Nation’s Emergency Medical Services for capacity to provide high quality Authorization Children (EMSC), Implementation education by broadening participation Public Health Service Act, Title III, Grants in MCHB programs of institutions that Section 301, 42 U.S.C. 241. CFDA Number: 93.127A. may have perspectives uniquely Application Availability: 09/01/1999. reflecting the Nation’s cultural and Purpose linguistic diversity, and increasing This program will fund: (1) Grants to To Obtain This Application Kit States for the implementation of opportunities for all Americans to Contact: 1–888–333–HRSA until universal newborn hearing screening participate in and benefit from Federal September 12, 1999. public health programs, HRSA will prior to hospital discharge with linkage place a funding priority on projects from to a medical home, and diagnostic After September 12, the new toll free Historically Black Colleges and evaluation and enrollment in a program number will be 1–877–HRSA (4772)– Universities (HBCU) or Hispanic of early intervention by 6 months of age 123. Serving Institutions (HSI) in all for those infants identified with hearing Letter of Intent Deadline: 09/30/1999. categories and subcategories in this loss. Applicants should describe Application Deadline: 11/01/1999. notice for which applications from relationships with both the Title V Projected Award Date: 03/01/2000. academic institutions are encouraged. programs and the Early Intervention Authorization This is in conformity with the Federal Program (Part C of IDEA) as well as Government’s policies in support of systems for data collection and tracking Public Health Service Act, Title XIX, White House Initiatives on Historically of infants identified with hearing loss. Section 1910, 42 U.S.C. 300w–9.

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Purpose step or steps to take to institutionalize Purpose Implementation grants will improve EMSC within EMS and to continue to Targeted issue grants are intended to the capacity of a State’s EMS program to improve and refine EMSC. Proposed address specific, focused issues related address the particular needs of children. activities should be consistent with to the development of EMSC knowledge Implementation grants are used to assist documented needs in the State and and capacity with the intent of States in integrating research-based should reflect a logical progression in advancing the state-of-the-art, and knowledge and state-of-the-art systems enhancing pediatric capabilities. For creating tools or knowledge that will be development approaches into the example, funding might be used to helpful nationally. Proposals must have existing State EMS, MCH, and CSHCN address problems identified in the well-conceived methodology for systems, using the experience and course of a previous implementation analysis and evaluation. Targeted issue products of previous EMSC grantees. grant; to increase the involvement of priorities have been identified based on Applicants are encouraged to consider families in EMSC; to improve linkages the EMSC Five Year Plan. The targeted activities that: (1) Address identified between local, regional, or State issue priorities are: cost-benefit analysis needs within their State EMS system agencies; to promulgate standards related to EMSC, implications of and that lay the groundwork for developed for one region of the State managed care for EMSC, evaluations of permanent changes in that system; (2) under previous funding to include the EMSC components, models for develop or monitor pediatric EMS entire State; to devise a plan for improving the care of culturally distinct capacity; and (3) will be coordinating and funding poison control populations, evaluation of systems for institutionalized within the State EMS centers; or to assure effective field triage provision of emergency health care system. of the child in physical or emotional within day care and/or school settings, crisis to appropriate facilities and/or and evaluation of family-centered care Eligibility other resources. models. Proposals may be submitted on States and accredited schools of Eligibility emerging issues that are not included in medicine are eligible applicants. the identified priorities. However, any States and accredited schools of Funding Priorities and/or Preferences such proposal must demonstrate medicine are eligible applicants. relevance to the Plan and must make a None. Funding Priorities and/or Preferences persuasive argument that the issue is particularly critical. Review Criteria None. Final criteria are included in the Eligibility Review Criteria application kit. States and accredited schools of Estimated Amount of This Competition Final criteria are included in the medicine are eligible applicants. application kit. $500,000. Funding Priorities and/or Preferences Estimated Amount of This Competition Estimated Number of Awards None. $1,900,000. 2. Review Criteria Estimated Number of Awards Estimated Project Period Final criteria are included in the 19. application kit. 3 Years. Estimated Project Period Estimated Amount of This Competition For Programmatic Questions $450,000. Contact Person: David E. Heppel, 3 Years. M.D. For Programmatic Questions Estimated Number of Awards Phone Number: 1–301–443–2250. 3. E-mail: [email protected]. Contact Person: David E. Heppel, M.D. Estimated Project Period Emergency Medical Services for Phone Number: 1–301–443–2250. 2 Years. Children (EMSC), Partnership Grants E-mail: [email protected]. CFDA Number: 93.127C. For Programmatic Questions Emergency Medical Services for Application Availability: 09/01/1999. Contact Person: David E. Heppel, Children (EMSC), Targeted Issue Grants To Obtain This Application Kit M.D. CFDA Number: 93.127D. Phone Number: 1–301–443–2250. Contact: 1–888–333–HRSA until Application Availability: 09/01/1999. E-mail: [email protected]. September 12, 1999. To Obtain This Application Kit Emergency Medical Services for After September 12, the new toll free Children (EMSC), Native American number will be 1–877–HRSA (4772)– Contact: 1–888–333–HRSA until Project 123. September 12, 1999. Letter of Intent Deadline: 09/30/1999. CFDA Number: 93.127G. After September 12, the new toll free Application Availability: 10/01/1999. Application Deadline: 11/15/1999. number will be 1–877–HRSA (4772)– Projected Award Date: 03/01/2000. 123. To Obtain This Application Kit Authorization Letter of Intent Deadline: 09/30/1999. Contact: 1–888–333–HRSA until Public Health Service Act, Title XIX, Application Deadline: 11/01/1999. September 12, 1999. Section 1910, 42 U.S.C. 300w–9. Projected Award Date: 03/01/2000. After September 12, the new toll free number will be 1–877–HRSA (4772)– Purpose Authorization 123. State partnership grants will fund Public Health Service Act, Title XIX, Application Deadline: 11/01/1999. activities that represent the next logical Section 1910, 42 U.S.C. 300w–9. Projected Award Date: 12/01/1999.

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Authorization Purpose Eligibility Public Health Service Act, Title XIX, The purpose of this grant program is State governments are eligible Section 1910, 42 U.S.C. 300w–9. to improve health and other services for applicants. people who have sustained a traumatic Purpose Funding Priorities and/or Preferences brain injury (TBI). Implementation Project will stimulate the grants provide funding to assist States in None development and enhancement of moving toward statewide systems that Matching Requirement EMSC for Native Hawaiians. assure access to comprehensive and Applicants are encouraged to consider coordinated TBI services. The State is required to contribute, in activities that: (a) Identify needs of cash, not less than $1 for each $2 of Eligibility Native Hawaiian populations; (b) Federal funds provided under the grant. develop or monitor pediatric EMS State governments are eligible Review Criteria capability, especially as it relates to applicants. Final criteria are included in the provisions of services to isolated Funding Priorities and/or Preferences populations; and (c) develop and application kit. evaluate special projects designed to None. Estimated Amount of This Competition address problems related to emergency Matching Requirement $300,000. medical care for Native Hawaiian and Alaska Native populations, including The State is required to contribute, in Estimated Number of Awards cash, not less than $1 for each $2 of prevention, prehospital care, hospital 4. services, rehabilitation, and linkages Federal funds provided under the grant. with primary care. Review Criteria Estimated Project Period Eligibility Final criteria are included in the 2 Years. States and accredited schools of application kit. For Programmatic Questions medicine are eligible applicants. Estimated Amount of This Competition Contact Person: David E. Heppel, Funding Priorities and/or Preferences $1,200,000. M.D. Phone Number: 1–301–443–2250. Competition is limited to the State of Estimated Number of Awards E-mail: [email protected]. Hawaii. 6. Healthy Start: Eliminating Disparities in Review Criteria Estimated Project Period Perinatal Health Final criteria are included in the 3 Years. CFDA Number: 93.926E. application kit. Application Availability: 12/21/1999. For Programmatic Questions Estimated Amount of This Competition To Obtain This Application Kit Contact Person: David E. Heppel, $250,000. M.D. Contact: 1–888–333-HRSA until September 12, 1999. Estimated Number of Awards Phone Number: 1–301–443–2250. E-mail: [email protected]. After September 12, the new toll free 1. number will be 1–877–HRSA (4772)– Traumatic Brain Injury (TBI), State 123. Estimated Project Period Planning Grants Letter of Intent Deadline: 01/28/2000. 2 Years. CFDA Number: 93.234B. Application Deadline: 03/01/2000. For Programmatic Questions Application Availability: 09/01/1999. Projected Award Date: 06/01/2000. Contact Person: David E. Heppel, To Obtain This Application Kit Authorization M.D. Contact: 1–888–333–HRSA until Public Health Service Act, Title III, Phone Number: 1–301–443–2250. September 12, 1999. Section 301, 42 U.S.C. 241. E-mail: [email protected]. After September 12, the new toll free Purpose Traumatic Brain Injury (TBI), State number will be 1–877–HRSA (4772)– Implementation Grants. 123. To enhance a community’s service Letter of Intent Deadline: 11/01/1999. system to address significant disparities CFDA Number: 93.234A. in perinatal health indicators. Funding Application Availability: 09/01/1999. Application Deadline: 12/01/1999. Projected Award Date: 04/01/2000 would be made available for up to 15 To Obtain This Application Kit community projects which have: (1) Authorization Significant infant mortality and Contact: 1–888–333–HRSA until Public Health Service Act, Title XII, morbidity rates among one or more September 12, 1999. Section 1242, 42 U.S.C. 300d–42. subpopulations; (2) existing active After September 12, the new toll free consortia of stakeholders with over one number will be 1–877–HRSA (4772)– Purpose year’s experience in infant mortality 123. The purpose of this grant program is reduction initiatives; and (3) a feasible Letter of Intent Deadline: 11/01/1999. to improve health and other services for plan to reduce barriers, improve the Application Deadline: 12/01/1999. people who have sustained a traumatic local perinatal system of care, and work Projected Award Date: 04/01/2000. brain injury (TBI). Implementation towards eliminating existing disparities grants provide funding to assist States in in perinatal health. These sites must Authorization moving toward statewide systems that have or plan to implement/adapt Public Health Service Act, Title XII, assure access to comprehensive and Healthy Start models of consortium, Section 1242, 42 U.S.C. 300d–42. coordinated TBI services. case management, outreach and

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For this Public Health Service Act, Title III, competition, ‘‘community’’ is broadly Section 301, 42 U.S.C. 241. Contact: 1–888–333–HRSA until September 12, 1999. defined so that a statewide or multi- Purpose county project serving racial/ethnic After September 12, the new toll free groups (e.g., Hmongs, Mexican The purpose of this program is to number will be 1–877–HRSA (4772)– Hispanics, African American, etc.) build infrastructure/capacity in targeted 123. communities/areas of the State where would be eligible. Letter of Intent Deadline: 02/28/2000. racial disparities in perinatal indicators Eligibility Application Deadline: 04/01/2000. exist, including among Hispanics, Projected Award Date: 07/01/2000. Public or nonprofit organizations are American Indians, African Americans, Authorization eligible to apply. Alaska Natives, Asian/Pacific Islanders, immigrant populations, particularly Public Health Service Act, Title III, Estimated Amount of This Competition those living in border counties. Funding Section 301, 42 U.S.C. 241. $14,800,000. would be made available to up to 15 communities to support the Purpose Estimated Number of Awards development of local plans to fill gaps The purpose of the resource center is Up to 15. in/or expand data systems to identify to provide technical support to States and monitor perinatal outcomes, train and communities, particularly Healthy Estimated Project Period personnel and strengthen local reporting Start communities, as they develop and 4 Years. systems, establish networks and links to implement the community-based fetal other systems, assist in needs and infant mortality review process. The Funding Priorities and/or Preferences assessment, and consortium/coalition resource center will be responsible for Preference will be given to: (1) Past development. working with the MCHB to promote the (FY 1999) projects of HSI-Infrastructure/ Eligibility FIMR process, provide assistance to Capacity Building grants, and (2) communities setting up the process, Public or nonprofit organizations are share pertinent information among communities in States and territories eligible to apply. which do not have a currently federally- communities and States, develop funded Healthy Start project. Priority Funding Priorities and/or Preferences refinements and new approaches to the will be given to: (1) Communities with Preference will be given to FIMR process to make it more significant racial/ethnic disparities in communities in States and territories responsive and efficient, and expand the perinatal indicators for three years which do not have a current federally- use of FIMR as a needs assessment and (1995–1997); (2) border communities funded Healthy Start project. Priority quality improvement tool to build (within 62 miles of the Mexican border); will be given to: (1) Communities with capacity in the State Title V program. and (3) proposals with emphasis/ significant racial/ethnic disparities in Eligibility specific activities addressing qualitative perinatal indicators for three years issues (e.g., social/economic, violence, Any public or private entity, (1995–1997); (2) States with (national) including an Indian tribe or tribal psychological services) for its perinatal border communities; and (3) populations. organization (as defined at 25 U.S.C. communities applying as or on behalf of 405b), is eligible to apply. Special Considerations an existing community-based consortium which have infant mortality Funding Priorities and/or Preferences Current Healthy Start implementation reduction initiatives already underway. grantees are not eligible to apply. Preference will be given to national Special Considerations organizations with expertise in the Review Criteria provision of FIMR training and Current Healthy Start implementation technical assistance and with an Final criteria are included in the grantees are not eligible to apply. application kit. existing infrastructure to respond to Review Criteria requests for technical assistance, For Programmatic Questions Final criteria are included in the technology transfer and information Contact Person: Maribeth Badura. application kit. sharing from States and communities that are developing, coordinating and/or Phone Number: 1–301–443–0543. Estimated Amount of This Competition sustaining FIMRs. E-mail: [email protected]. $2,250,000. Review Criteria Healthy Start: Infrastructure/Capacity Building Projects Estimated Number of Awards Final criteria are included in the Up to 15. application kit. CFDA Number: 93.926F. Application Availability: 01/04/2000. Estimated Project Period Estimated Amount of This Competition To Obtain This Application Kit 2 Years. $500,000. Contact: 1–888–333-HRSA until For Programmatic Questions Estimated Number of Awards September 12, 1999. Contact Person: Maribeth Badura. 1.

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Estimated Project Period Estimated Number of Awards Phone Number: 1–301–443–9991. 5 Years. 2. E-mail: [email protected]. For Programmatic Questions Estimated Project Period HIV/AIDS Programs Grants Management Office: 1–301– Contact Person: Ellen Hutchins, Ph.D. 3 Years. Phone Number: 1–301–443–9534. 443–2280. For Programmatic Questions E-mail: [email protected]. Special Projects of National Maternal and Child Health Provider Contact Person: Brenda Lisi. Significance (SPNS) Phone Number: 1–301–443–9991. Partnerships CFDA Number: 93.928. E-mail: [email protected]. CFDA Number: 93.926I. Application Availability: 04/01/2000. Improving Systems of Care for Pregnant Application Availability: 01/03/2000. To Obtain This Application Kit Women Experiencing Domestic Violence To Obtain This Application Kit Contact: 1–888–333-HRSA until Contact: 1–888–333–HRSA until CFDA Number: 93.926J. September 12, 1999. Application Availability: 12/03/1999. September 12, 1999. After September 12, the new toll free After September 12, the new toll free To Obtain This Application Kit number will be 1–877–HRSA (4772)– number will be 1–877–HRSA (4772)– Contact: 1–888–333–HRSA until 123. 123. September 12, 1999. Application Deadline: 06/01/2000. Letter of Intent Deadline: 02/07/2000. After September 12, the new toll free Projected Award Date: 09/15/2000. Application Deadline: 03/03/2000. Projected Award Date: 06/01/2000. number will be 1–877–HRSA (4772)– Authorization 123. Public Health Service Act, Title XXVI, Authorization Letter of Intent Deadline: 01/14/2000. Section 2691, as amended by the Ryan Public Health Service Act, Title III, Application Deadline: 02/11/2000. White Care Act Amendments of 1996, Section 301, 42 U.S.C. 241. Projected Award Date: 05/01/2000. Public Law 104–146, 42 U.S.C. 300ff-10 Purpose Authorization Purpose This program will support Public Health Service Act, Title III, Development, demonstration and Cooperative Agreements with MCH Section 301, 42 U.S.C. 241. assessment of innovative and providers’ membership organizations to Purpose potentially replicable HIV service advance the field of perinatal and delivery models that address a women’s health and ultimately improve This three year demonstration continually changing epidemic, the the health status of women through program will develop/enhance systems quality of emerging HIV therapies, improved health care services and of care that identify pregnant women changes in the economies of health care systems. The Partners will be expected who are experiencing domestic affecting HIV care networks, and to identify relevant needs in perinatal violence/abuse and provide appropriate interventions that can document and women’s health from their information, referrals, and linkages to outcomes. perspective, develop and/or implement interventions. organizational and collective strategies, Eligibility Eligibility and facilitate information sharing and Public and nonprofit entities are communication within the field. Any public or private entity, eligible to apply. Particular attention of the Partnership including an Indian tribe or tribal will be to address health promotion/risk organization (as defined at 25 U.S.C. Funding Priorities and/or Preferences reduction behaviors among women 405b), is eligible to apply. None. through coordinated and culturally Funding Priorities and/or Preferences competent services and systems of care. Special Considerations Projects will cooperate and work Preference will be given to State/ Special consideration will be given to collaboratively with each other and with Territorial MCH Title V Agencies, tribal certain populations referenced in the other MCHB funded projects in health agencies or their designees. statute: Native Americans, the homeless, perinatal and women’s health. Special Consideration adolescents, hemophiliacs, and the incarcerated. Eligibility There may be only one application Any public or private entity, per State. Review Criteria including an Indian tribe or tribal Review Criteria Final criteria are included in the organization (as defined at 25 U.S.C. application kit. 405b), is eligible to apply. Final criteria are included in the application kit. Estimated Amount of This Competition Funding Priorities and/or Preferences Estimated Amount of This Competition $1,500,000. Preference will be given to national membership organizations representing $600,000. Estimated Number of Awards providers of obstetrical, gynecological, Estimated Number of Awards 5–6. and general women’s health services. 4. Estimated Project Period Review Criteria 2–5 Years. Estimated Project Period Final criteria are included in the For Programmatic Questions application kit. 3 Years. Contact Person: Steven Young. Estimated Amount of This Competition For Programmatic Questions Phone Number: 1–301–443–7136. $400,000. Contact Person: Brenda Lisi. E-mail: [email protected].

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Ryan White Title III Funding for Early State Areas Review Criteria Intervention Services Grants: Existing Final criteria are included in the Geographic Areas AL Jefferson County, Mobile County. application kit. AZ Pima County. CFDA Number: 93.918A. CA Los Angeles County, San Diego Estimated Amount of This Competition Application Availability: 06/18/1999. County, Mendocino County, $29,866,051. To Obtain This Application Kit Sonoma County, Santa Barbara County. Estimated Number of Awards Contact: 1–888–333–HRSA until CO Denver County. September 12, 1999. CT New Haven County. 69. After September 12, the new toll free DC Washington. Estimated Project Period number will be 1–877–HRSA (4772)– DE Counties statewide. FL Dade County. 3 Years. 123. GA Counties of Baker, Calhoun, Dough- Application Deadline: 10/01/1999. erty, Lee, Mitchell, Worthy, Terrell, For Programmatic Questions Projected Award Date: 01/01/2000 Colquitt, Thomas, Grady, Semi- Contact Person: Andrew Kruzich. and 06/30/2000. nole, Miller, Early, Decatur, Coun- Phone Number: 1–301–443–0735. ties of Glynn, Camden, McIntosh, E-mail: [email protected]. Authorization Long, Liberty, Bryan. Public Health Service Act, Title XXVI, IA Woodbury County. Ryan White Title III Funding for Early Part C, Section 2641, as amended by the IL Counties of Peoria, Taylwell, Intervention Services Grants: New Ryan White Care Act Amendments of McLean, Fulton, Know, Bureau, Geographic Areas Henry, Marshall, Putnam, 1996, Public Law 104–146, 42 U.S.C. Woodford, Schuyler, McDonough, CFDA Number: 93.918B. 300ff-41. LaSalle, Livingston, Mason, War- Application Availability: 04/17/2000. Purpose ren, Stark, Cook County. To Obtain This Application Kit LA Parishes of Calcasieu, Cameron, The purpose of Title III funding is to Beauregard, Jeff Davis, Allen, Par- Contact: 1–888–333–HRSA until provide, on an outpatient basis, high ishes of Orleans, Jefferson, East September 12, 1999. quality early intervention services/ Baton Rouge, St. Tammany, After September 12, the new toll free primary care to individuals with HIV Washington, Iberville, St. Bernard. number will be 1–877–HRSA (4772)– MA Middlesex County, Suffolk County, infection. This is accomplished by 123. increasing the present capacity and Essex County. MD Counties of Harford, Carroll, Dor- Application Deadline: 07/17/2000. capability of eligible ambulatory health chester, Caroline, Talbot, Cecil, Projected Award Date: 09/30/2000. service entities. These expanded Baltimore, Anne Arundel, Fred- Authorization services become a part of a continuum erick, Howard, Montgomery, Balti- of HIV prevention and care for more City. Public Health Service Act, Title XXVI, individuals who are at risk for HIV MI Counties of Washtenau, Livingston, Part C, Section 2641, as amended by the infection or are HIV infected. All Title Jackson, Wayne, Lenawee, Oak- Ryan White Care Act Amendments of III programs must provide: HIV land,. MaComb, St. Claire, Mon- 1996, Public Law 104–146, 42 U.S.C. counseling and testing; counseling and roe, Counties of Ionia, Kent, 300ff-41. education on living with HIV; Manistee, Mason,. Mecosta, Mus- kegon, Newaygo, Oceana, Ottawa. Purpose appropriate medical evaluation and MO Counties of North, South, West and clinical care; and other essential St. Louis City. The purpose of Title III funding is to services such as oral health care, MS Counties of Coahoma, Tate, provide, on an outpatient basis, high outpatient mental health services and Tallahatchie, Leflore, Lowdens, quality early intervention services/ nutritional services, and appropriate Bolivar, Tunica, Quitman, Panola, primary care to individuals with HIV referrals for specialty services. Desoto, Marshall. infection. This is accomplished by NJ Counties of Essex, Union, Hudson, increasing the present capacity and Eligibility Bergen, Passaic, Morris, Mid- capability of eligible ambulatory health Eligible applicants are public or dlesex County, Mercer County, service entities. These expanded nonprofit private entities that are Hudson County. services become a part of a continuum Section 330 Health Centers, grantees NY Counties of Ulster, Dutchess, Or- of HIV prevention and care for ange, Sullivan, New York City,. funded under Section 1001 regarding Weschester County, Suffolk Coun- individuals who are at risk for HIV Family Planning, Comprehensive ty. infection or are HIV infected. All Title Hemophilia Diagnostic and Treatment OH Ross County. III programs must provide: HIV Centers, Federally Qualified Health OR Counties of Multnomah, Clackamas, counseling and testing; counseling and Centers, or nonprofit private entities Washington, Yamhill, Columbia. education on living with HIV; that provide comprehensive primary OK Oklahoma County. appropriate medical evaluation and care services to populations at risk of PA Philadelphia County. clinical care; and other essential HIV disease. PR Territory of Puerto Rico. services such as oral health care, SC Counties of Richland, Sumter, Fair- outpatient mental health services and Limited Competition field. nutritional services, and appropriate Eligible applicants are public or TX El Paso County, Counties of Willaey, Cameron, Hidalgo. referrals for specialty services. nonprofit private entities that are VA Counties of Fairfax, Prince William, Eligibility currently funded Title III programs Loudoun. whose project periods expire in FY 2000 WA King County, Yakima County. Eligible applicants are public or and new organizations proposing to nonprofit private entities that are serve the same populations currently Funding Priorities and/or Preferences Section 330 Health Centers, grantees being served by these existing projects. funded under Section 1001 regarding These areas are: None. Family Planning, Comprehensive

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Hemophilia Diagnostic and Treatment people in their service areas who are Authorization Centers, federally Qualified Health living with HIV or at risk of infection. Public Health Service Act, Title XXVI, Centers, or nonprofit private entities Applications must propose planning Section 2641, as amended by the Ryan that provide comprehensive primary activities which will lead to the White Care Act Amendments of 1996, care services to populations at risk of establishment of comprehensive Public Law 104–146, 42 U.S.C. 300ff– HIV disease. outpatient HIV primary care services. 41. This grant program supports activities of Funding Priorities and/or Preferences the planning process and does not fund Purpose In awarding these grants, preference any service delivery or patient care. The purpose of this grant program is will be given to approved/unfunded Eligibility to support communities and health care applicants who submitted an service entities in their planning efforts application for funding in FY 1999 and Eligible applicants must be public or to develop a high quality and broad to applicants who previously received nonprofit private entities that are, or scope of primary health care services for Title III planning grants. Preference for intend to become, eligible to apply for people in their service areas who are funding may also be given to applicants the Title III Early Intervention Services living with HIV or at risk of infection. which help to achieve an equitable grant. Applications must propose planning geographic distribution of programs Limited Competition activities which will lead to the across all States and Territories, establishment of comprehensive especially programs that provide Applicants for these funds cannot be outpatient HIV primary care services. services in rural or underserved current Ryan White Title III Early This grant program supports activities of communities where the HIV/AIDS Intervention Services Program grant the planning process and does not fund epidemic is increasing. recipients and must be located in rural any service delivery or patient care. Review Criteria or underserved communities where HIV primary health care resources remain Eligibility Final criteria are included in the insufficient to meet the need for services Eligible applicants must be public or application kit. or plan for such services. nonprofit private entities that are, or intend to become, eligible to apply for Estimated Amount of This Competition Funding Priorities and/or Preferences the Title III Early Intervention Services $23,400,000. In awarding these grants, preference grant. Estimated Number of Awards will be given to applicants located in Limited Competition rural or underserved areas where 78. emerging or ongoing HIV primary health Applicants for these funds cannot be Estimated Project Period care needs have not been adequately current Ryan White Title III Early met. Intervention Service Program grant 3 Years. recipients unless they propose to open For Programmatic Questions Review Criteria a new site in their current service area or in a new service area to serve African Contact Person: Andrew Kruzich. Final criteria are included in the American communities highly impacted Phone Number: 1–301–443–0735. application kit. E-mail: [email protected]. by HIV/AIDS. Applicants must also be Estimated Amount of This Competition organizations indigenous to the African Ryan White Title III HIV Funding for $1,234,000. American community which is defined Early Intervention Services Planning as a community-based or public Grants Estimated Number of Awards organization local to and supported by CFDA Number: 93.918C. 24. the African American population proposed to be served. Application Availability: 02/04/2000. Estimated Project Period Funding Priorities and/or Preferences To Obtain This Application Kit 1 Year. Contact: 1–888–333-HRSA until In awarding these grants, preference September 12, 1999. For Programmatic Questions will be given to applicants located in Contact Person: Andrew Kruzich. rural or underserved areas where there After September 12, the new toll free are many HIV+ African Americans and number will be 1–877–HRSA (4772)– Phone Number: 1–301–443–0735. ongoing HIV primary health care needs 123. E-mail: [email protected]. have not been adequately met. Application Deadline: 06/02/2000. Ryan White Title III HIV Funding for Preference will also be given to Projected Award Date: 09/30/2000. Early Intervention Services Planning applicants that are not currently Ryan Authorization Grants White Title III Early Intervention Service Program grant recipients. Public Health Service Act, Title XXVI, CFDA Number: 93.918D. Part C, Section 2641, as amended by the Application Availability: 02/04/2000. Special Considerations Ryan White Care Act Amendments of To Obtain an Application Kit Building HIV primary care capacity of 1996, Public Law 104–146, 42 U.S.C. indigenous organizations serving 300ff-41. Contact: 1–888–333–HRSA until African American communities. September 12, 1999. Purpose Review Criteria The purpose of this grant program is After September 12, the new toll free number will be 1–877–HRSA (4772)– Final criteria are included in the to support communities and health care application kit. service entities in their planning efforts 123. to develop a high quality and broad Application Deadline: 06/02/2000. Estimated Amount of This Competition scope of primary health care services for Projected Award Date: 09/30/2000. $3,000,000.

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Estimated Number of Awards Limited Competition Purpose Up to 60. Applicants are limited to currently Organizations should be able to funded Title IV programs whose project demonstrate expertise in the Estimated Project Period periods expire in FY 2000 and new coordination or provision of Up to 2 Years. organizations proposing to serve the comprehensive medical and social same populations currently being served services to children, youth, women and For Programmatic Questions by these existing projects. These areas families. The purpose of the Title IV Contact Person: Andrew Kruzich. are: funding is to improve access to primary Phone Number: 1–301–443–0735. medical care, research and support E-mail: [email protected]. State Areas services for children, youth, women and families infected with HIV. Funded Ryan White Title IV: Existing CA Oakland. projects will link clinical research and Geographic Areas FL Miami, Fort Lauderdale. IL Chicago. other research with comprehensive care CFDA Number: 93.153A. LA New Orleans. systems and improve and expand the Application Availability: 12/13/1999. MA Boston, Holyoke, Brockton, Lowell, coordination of a system of Lawrence, New Bedford. comprehensive care for women, infants, To Obtain This Application Kit NJ Statewide. children and youth who are infected/ NY Northern Manhattan. Contact: 1–888–333–HRSA until affected by HIV. Funds will be used to OH Columbus. support programs that: (1) Cross September 12, 1999. PR Statewide. RI Statewide. established systems of care to After September 12, the new toll free coordinate service delivery, HIV number will be 1–877–HRSA (4772)– TX Fort Worth, Houston, San Antonio. WA Seattle. prevention efforts, and clinical research 123. and other research activities; and (2) Letter of Intent Deadline: 1/31/2000. Funding Priorities and/or Preferences address the intensity of service needs, Application Deadline: 3/01/2000. high costs, and other complex barriers Preference for funding will be given to Projected Award Date: 8/01/2000. to comprehensive care and research projects that support a comprehensive, experienced by underserved, at-risk and Authorization coordinated system of HIV care serving limited populations. Activities under children, youth, women and families Public Health Service Act, Title XXVI, these grants should address the goals of: and are linked with or have initiated Section 2671, 42 U.S.C. 300ff–71. enrolling and maintaining clients in HIV activities to link with clinical trials or primary care; increasing client access to Purpose other research. research by linking HIV/AIDS clinical The purpose of the Title IV funding is Review Criteria research trials and activities with to improve access to primary medical Final criteria are included in the comprehensive care; fostering the care, research, and support services for application kit. development and support of children, youth, women and families comprehensive, community-based and infected with HIV. Funded projects will Estimated Amount of This Competition family centered care infrastructures; and link clinical research and other research $15,663,000. emphasizing prevention within the care with comprehensive care systems and system, particularly the prevention of improve and expand the coordination of Estimated Number of Awards perinatal HIV transmission a system of comprehensive care for 16. women, infants, children and youth Eligibility Estimated Project Period who are infected/affected by HIV. Funds Eligible organizations are public or will be used to support programs that: 3 Years. private nonprofit entities that provide or arrange for primary care. (1) Cross established systems of care to For Programmatic Questions coordinate service delivery, HIV Limited Competition prevention efforts, and clinical research Contact Person: Lydia Soto-Torres, and other research activities; and (2) MD. Applicants are limited to geographic address the intensity of service needs, Phone Number: 1–301–443–9051. areas where the HIV/AIDS epidemic is E-mail: [email protected]. high costs, and other complex barriers increasing among women, children and to comprehensive care and research Ryan White Title IV: New Geographic adolescents and where other resources experienced by underserved at-risk and Areas targeted to these populations are limited limited populations. Activities under or non-existent. These grants are for CFDA Number: 93.153B. geographic areas not listed below. these grants should address the goals of Application Availability: 12/13/1999. enrolling and maintaining clients in HIV State Areas primary care; increase client access to To Obtain This Application Kit research by linking development and Contact: 1–888–333–HRSA until AL Statewide. support of comprehensive, community- September 12, 1999. AZ Phoenix. based and family centered care After September 12, the new toll free CA San Francisco; La Jolla, Los Ange- infrastructures, and emphasize number will be 1–877–HRSA (4772)– les. prevention within the care system, 123. CO Denver. CT Bridgeport, New Haven, Stamford, particularly the prevention of perinatal Letter of Intent Deadline: 01/31/2000. HIV transmission. Hartford. Application Deadline: 03/01/2000. DC Statewide. Eligibility Projected Award Date: 08/01/2000. FL Orlando; Jacksonville, Tampa. Authorization MD Statewide. Eligible organizations are public or MI Lansing. private nonprofit entities that provide or Public Health Act, Title XXVI, Section MO St. Louis. arrange for primary care. 2671, 42 U.S.C. 300ff–71. NH Statewide.

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State Areas Purpose existing services, or to enhance health The purpose of this program is to service delivery through education, NV Las Vegas. fund Rural Health Research Centers to promotion, and prevention programs. NY Elmhurst; New York City (except The emphasis is on the actual delivery Northern Manhattan), Bronx, conduct and disseminate policy relevant research on issues of multi-state and of specific services rather than the Brooklyn, Albany, Stonybrook. development of organizational NC Charlotte; Washington. national significance in the area of rural PA Philadelphia. health services. The centers study capabilities. Projects may be carried out SC Statewide. critical issues facing rural communities by networks of the same providers (e.g. TN Memphis. in their quest to secure adequate, all hospitals) or more diversified TX Dallas. affordable, high quality health services. networks. WI Milwaukee. Research findings are published in Eligibility appropriate referred journals and Note: Additional sites may be added to this disseminated to a national audience. A rural public or nonprofit private list in FY 2000 after the HRSA Preview organization, that is part of a network of publication date. Be sure to use the list Eligibility at least three entities that support the provided in your application kit for delivery of health care services and will eligibility purposes. All public and private research oriented entities, both nonprofit and for- work together to complete the proposed Funding Priorities and/or Preferences profit, are eligible to apply. project, is eligible to apply. The administrative headquarters of the Preference for funding may be given Funding Priorities and/or Preferences to applicants who help to achieve an organization must be located in a rural equitable geographical distribution of None. county or in a rural census tract of an urban county, or the applicant programs across all States and Review Criteria Territories, especially programs that organization must be constituted Final criteria are included in the provide services in rural or underserved exclusively to provide services to application kit. communities where the HIV/AIDS migrant and seasonal farmworkers in epidemic is increasing. Estimated Amount of This Competition rural areas and supported under Section 330(g) of the Public Health Service Review Criteria $2,500,000. (PHS) Act. Organizations that provide Final criteria are included in the Estimated Number of Awards services to migrant and seasonal application kit. farmworkers in rural areas and are 5. supported under Section 330(g) of the Estimated Amount of This Competition Estimated Project Period PHS Act are eligible regardless of the $800,000. urban or rural location of the 3 Years. administrative headquarters. Estimated Number of Awards For Programmatic Questions Funding Priorities and/or Preferences 3. Contact Person: Joan F. Van Nostrand. Phone Number: 1–301–443–0613. Funding preference may be given to Estimated Project Period E-mail: [email protected]. applicant networks that include: (1) A 3 Years. majority of the health care providers Rural Health Outreach Grant serving in the area or region to be served For Programmatic Questions CFDA Number: 93.912A. by the network; (2) any Federally Contact Person: Lydia Soto-Torres, Application Availability: 08/01/1999. Qualified Health Center, Rural Health Clinic, and local public health MD. To Obtain an Application Kit Phone Number: 1–301–443–9051. department serving in the area or region; E-mail: [email protected]. Contact: 1–888–333–HRSA until (3) outpatient mental health providers September 12, 1999. serving in the area or region; or (4) Rural Health Programs After September 12, the new toll free appropriate social service providers, Grants Management Office: 1–301– number will be 1–877–HRSA (4772)– such as agencies on aging, school 594–4235. 123. systems, and providers under the Application Deadline: 11/01/1999. women, infants, and children (WIC) Rural Health Research Centers Projected Award Date: 05/01/2000. program, to improve access to and CFDA Number: 93.155. coordination of health care services. Authorization Application Availability: 02/01/2000. Special Considerations Public Health Service Act, Title III, To Obtain an Application Kit Section 330A, 42 U.S.C. 254c. An applicant organization’s central headquarters must be located in a rural Contact: 1–888–333–HRSA until Purpose September 12, 1999. area. (A list of eligible rural areas is The purpose of this grant program is included in the application kit.) After September 12, the new toll free to expand access to, coordinate, restrain Review Criteria number will be 1–877–HRSA (4772)– the cost of, and improve the quality of 123. essential health care services, including Final criteria are included in the Letter of Intent Deadline: 04/01/2000. preventive and emergency services application kit. Application Deadline: 05/01/2000. through the development of integrated Estimated Amount of This Competition Projected Award Date: 08/30/2000. health care delivery systems or networks in rural areas and regions. $10,000,000. Authorization Funds are available for projects to Estimated Number of Awards Public Health Service Act, Title III, support the direct delivery of health Section 301, 43 U.S.C. 241. care and related services, to expand 50.

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Estimated Project Period Qualified Health Center, Rural Health to States and only one application will 3 Years. Clinic, and local public health be accepted from each eligible State. department serving in the area or region; Funding Priorities and/or Preferences For Programmatic Questions (3) outpatient mental health providers Contact Person: Eileen Holloran. serving in the area or region; or (4) None. Phone Number: 1–301–443–0835. appropriate social service providers, Review Criteria E-mail: [email protected]. such as agencies on aging, school systems, and providers under the Final criteria are included in the Rural Health Network Development women, infants, and children (WIC) application kit. CFDA Number: 93.912B. program to improve access to and Estimated Amount of This Competition Application Availability: 08/01/1999. coordination of health care services. $2,500,000. To Obtain an Application Kit Special Considerations Estimated Number of Awards Contact: 1–888–333–HRSA until An applicant organization’s central September 12, 1999 . headquarters must be located in a rural 5. After September 12, the new toll free area. (A list of eligible rural areas is Estimated Project Period number will be 1–877–HRSA (4772)– included in the application kit.) 123. 3 Years. Review Criteria Application Deadline: 11/08/1999. For Programmatic Questions Projected Award Date: 05/01/2000. Final criteria are included in the application kit. Contact Person: Sahira Rafiullah or Authorization Jerry Coopey. Public Health Service Act, Title III, Estimated Amount of This Competition Phone Number: 1–301–443–0835. Section 330A, 42 U.S.C. 254c. $4,000,000. E-mail: [email protected] or [email protected]. Purpose Estimated Number of Awards Primary Health Care Programs The purpose of this program is to 23. support the planning and development Grants Management Office: 1–301– Estimated Project Period of vertically integrated health care 594–4235. networks in rural areas. Vertically 3 Years. Community and Migrant Health Centers integrated networks must be composed For Programmatic Questions of three different types of providers. The CFDA Number: 93.224 and 93.246. emphasis of the program is on projects Contact Person: Sahira Rafiullah. Application Availability: Continuous. to develop the organizational Phone Number: 1–301–443–0835. To Obtain This Application Kit capabilities of these networks. The E-mail: [email protected]. Contact: 1–888–333–HRSA until network is a tool for overcoming the State Rural Hospital Flexibility Program September 12, 1999. fragmentation of health care delivery services in rural areas. As such, the CFDA Number: 93.241. After September 12, the new toll free network provides a range of possibilities Application Availability: 03/01/2000. number will be 1–877–HRSA (4772)– 123. for structuring local delivery systems to To Obtain an Application Kit meet health care needs of rural Application Deadline: Varies. communities. Contact: 1–888–333–HRSA until Projected Award Date: Varies. September 12, 1999. Eligibility After September 12, the new toll free Authorization A rural public or nonprofit private number will be 1–877–HRSA (4772)– Public Health Service Act, Title III, organization that is or represents a 123. Section 330, 42 U.S.C. 254b and 254b(g). network which includes three or more Application Deadline: 06/01/2000. Purpose health care providers or other entities Projected Award Date: 08/31/2000. that provide or support the delivery of The Community Health Center and health care services is eligible to apply. Authorization Migrant Health Center (C/MHC) The administrative headquarters of the Social Security Act, Title XVIII, programs are designed to promote the organization must be located in a rural Section 1820, as amended by Public development and operation of county or in a rural census tract of an Law 105–33 Section 4201, 42 U.S.C. community-based primary health care urban county, or an organization 1395I–4. service systems in medically constituted exclusively to provide underserved areas for medically Purpose services to migrant and seasonal underserved populations. It is the intent farmworkers in rural areas and The purpose of this grant program is of HRSA to continue to support health supported under Section 330(g) of the to help States work with rural services in these areas, given the unmet Public Health Service Act. These communities and hospitals to develop need inherent in their provision of organizations are eligible regardless of and implement a rural health plan, services to medically underserved the urban or rural location of the develop integrated networks of care, populations. HRSA is committed to 100 administrative headquarters. improve emergency medical services percent access to primary care services and designate critical access hospitals with zero percent health disparities for Funding Priorities and/or Preferences (CAHs). the underserved. HRSA will open A funding preference may be given to competition for awards under Section applicant networks that include: (1) A Eligibility 330 of the Public Health Service Act majority of the health care providers Five States are eligible to apply: (U.S.C. 254b for CHCs and U.S.C. serving in the area or region to be served Connecticut, Delaware, Oregon, 254b(g) for MHCs) to support health by the network; (2) any Federally Pennsylvania and Utah. These are grants services in the areas currently served by

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MS 03/31/2000 expire during FY 2000 and new Bronx ...... NY 01/31/2000 Conway ...... SC 03/31/2000 organizations proposing to serve the Brooklyn ...... NY 01/31/2000 Washburn ...... TN 03/31/2000 same populations currently being served Naranjito ...... PR 05/31/2000 Troy ...... AL 03/31/2000 by these existing programs. Schenectady ...... NY 05/31/2000 Tallahassee ...... FL 03/31/2000 St. Thomas ...... VI (2) 05/31/2000 Atlanta ...... GA 05/31/2000 Funding Priorities and/or Preferences Arroyo ...... PR 06/30/2000 Durham ...... NC 05/31/2000 None. New York ...... NY 06/30/2000 Memphis Hlth Ctr ... TN 05/31/2000 Bronx ...... NY 06/30/2000 Huntsville ...... TN 05/31/2000 Special Considerations Greenwood ...... SC 05/31/2000 HRSA Philadelphia Field OfficeÐ(215) 861± Selma ...... AL 05/31/2000 Communication with Field Office 4422 Palmetto ...... GA 05/31/2000 staff is essential for interested parties in Hollister ...... NC 05/31/2000 deciding whether to pursue Federal Baltimore ...... MD 11/30/1999 Roxboro ...... NC 05/31/2000 funding as a C/MHC. Technical Hancock ...... MD 11/30/1999 Mobile ...... AL 05/31/2000 assistance and detailed information McKees Rocks ...... PA 11/30/1999 Fayette ...... MS 05/31/2000 about each service area, such as census Scranton ...... PA 11/30/1999 Shubuta ...... MS 05/31/2000 Scarbro ...... WV 11/30/1999 grants, can be obtained by contacting Jefferson ...... SC 05/31/2000 Clay ...... WV 11/30/1999 Bolivar ...... TN 06/30/2000 the HRSA Field Office. Rock Cave ...... WV 11/30/1999 Greenville ...... KY 06/30/2000 Review Criteria Arrington ...... VA 12/31/1999 Richmond ...... VA 12/31/1999 HRSA Chicago Field OfficeÐ(312) 353± Final criteria are included in the Fairmont ...... WV 01/31/2000 1715 application kit. Saltville ...... VA 01/31/2000 Aylett ...... VA 01/31/2000 Toledo ...... OH 11/31/1999 Estimated Amount of This Competition Bastian ...... VA 01/31/2000 St. Paul ...... MN 11/31/1999 $220,000,000. Spencer ...... WV 01/31/2000 Indianapolis ...... IN 11/31/1999 Chester ...... PA 01/31/2000 Columbus ...... OH 11/31/1999 Estimated Number of Awards Harrisburg ...... PA 03/31/2000 Cleveland ...... OH 12/31/1999 220. New Canton ...... VA 03/31/2000 Chicago ...... IL 12/31/1999 Beckley ...... WV 03/31/2000 East St. Louis ...... IL 12/31/1999 Estimated Project Period Coalport ...... PA 03/31/2000 Lisbon ...... OH 12/31/1999 Onancock ...... VA 05/31/2000 Moorhead ...... MN 01/31/2000 1–5 Years. Dungannon ...... VA 05/31/2000 Anna ...... IL 01/31/2000 For Programmatic Questions Philadelphia ...... PA 05/31/2000 Kalamazoo ...... MI 01/31/2000 Baltimore ...... MD 05/31/2000 Traverse City ...... MI 03/31/2000 Contact Person: Richard Bohrer. Laurel Fork ...... VA 05/31/2000 Wautoma ...... WI 03/31/2000 Phone Number: 1–301–594–4300. Man ...... WV 06/30/2000 Fremont ...... OH 03/31/2000 E-mail: [email protected]. Baltimore ...... MD 06/30/2000 Sterling ...... MI 03/31/2000 Wilmington ...... DE 06/30/2000 Temperence ...... MI 03/31/2000 City State Deadline Brandywine ...... MD 06/30/2000 Milwaukee ...... WI 03/31/2000 Portsmouth ...... VA 06/30/2000 Lincoln ...... MI 05/31/2000 HRSA Boston Field OfficeÐ(617) 565±1482 Grand Marais ...... MN 05/31/2000 HRSA Atlanta Field OfficeÐ(404) 562±2996 Cook ...... MN 05/31/2000 Boston ...... MA 12/31/1999 Indianapolis ...... IN 06/30/2000 Hartford ...... CT 12/31/1999 Palatka ...... FL 11/30/1999 Cashton ...... WI 06/30/2000 Bridgeport ...... CT (2) 01/31/2000 Savannah ...... GA 11/30/1999 Minneapolis ...... MN 06/30/2000 New Haven ...... CT 03/31/2000 Louisville ...... KY 11/30/1999 Waukegan ...... IL 06/30/2000 Worcester ...... MA 03/31/2000 Manson ...... NC 11/30/1999 Beloit Area ...... WI 06/30/2000 Salem ...... MA 03/31/2000 Orangeburg ...... SC 11/30/1999 Lowell ...... MA 03/31/2000 Parrish ...... FL 11/30/1999 HRSA Dallas Field OfficeÐ(214) 767±3872 Mattapan ...... MA 03/31/2000 Mound Bayou ...... MS 11/30/1999 New Haven ...... CT 05/31/2000 Kinston ...... NC 11/30/1999 De Leon ...... TX 11/30/1999 Boston ...... MA 05/31/2000 Fellsmere ...... FL 12/31/1999 Augusta ...... AR 12/31/1999 Worthington ...... MA 05/31/2000 Lexington ...... KY 12/31/1999 Pecos ...... NM 12/31/1999 Worcester ...... MA 05/31/2000 Fort Myers ...... FL 12/31/1999 Pharr ...... TX 12/31/1999 North Quincy ...... MA 05/31/2000 Savannah ...... TN 12/31/1999 Houston ...... TX 12/31/1999 New Bedford ...... MA 05/31/2000 Eutaw ...... AL 01/31/2000 Greenville ...... TX 01/31/2000 Lawrence ...... MA 05/31/2000 Montgomery ...... AL 01/31/2000 San Antonio ...... TX (2) 01/31/2000 Burlington ...... VT 06/30/2000 Miami ...... FL (3) 01/31/2000 Lake Charles ...... LA 01/31/2000 Middletown ...... CT 06/30/2000 Jellico ...... TN 01/31/2000 La Marque ...... TX 03/31/2000 Pearl ...... MS 01/31/2000 Port Arthur ...... TX 03/31/2000 HRSA New York Field OfficeÐ(212) 264± Rock Hill ...... SC 01/31/2000 Laredo ...... TX 03/31/2000 2664 Eastover ...... SC 01/31/2000 Cotulla ...... TX 03/31/2000 Covington ...... KY 01/31/2000 San Antonio ...... TX 03/31/2000 New York ...... NY 11/30/1999 Trenton ...... GA 01/31/2000 Tulsa ...... OK 03/31/2000 Levelland ...... TX 05/31/2000

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City State Deadline City State Deadline Estimated Number of Awards 34. New Iberia ...... LA 05/31/2000 Glenns Ferry ...... ID 05/31/2000 Konawa ...... OK 05/31/2000 Cave Junction ...... OR 06/30/2000 Estimated Project Period Baton Rouge ...... LA 05/31/2000 Plummer ...... ID 06/30/2000 1–5 Years. Newton ...... TX 05/31/2000 Fairbanks ...... AK 06/30/2000 Benavides ...... TX 05/31/2000 Tillamook ...... OR 06/30/2000 For Programmatic Questions El Rito ...... NM 06/30/2000 Contact Person: Monica Toomer. Health Care for the Homeless HRSA Kansas Field OfficeÐ(816) 426±5296 Phone Number: 1–301–594–4430. CFDA Number: 93.151. E-mail: [email protected]. Richland ...... MO 11/30/1999 Application Availability: Continuous. City State Deadline Junction City ...... KS 12/31/1999 To Obtain This Application Kit Cape Girardeau ..... MO 12/31/1999 St. Louis ...... MO 01/31/2000 Contact: 1–888–333–HRSA until HRSA Boston Field OfficeÐ(617) 565±1482 Omaha ...... NE 01/31/2000 September 12, 1999. New Madrid ...... MO 03/31/2000 Hartford ...... CT 12/31/1999 After September 12, the new toll free New Haven ...... CT 05/31/2000 Des Moines ...... IA 05/31/2000 number will be 1–877–HRSA (4772)– Ellington ...... MO 05/31/2000 Burlington ...... VT 06/30/2000 Topeka ...... KS 06/30/2000 123. Application Deadline: Varies. HRSA New York Field OfficeÐ(212) 264± HRSA Denver Field OfficeÐ(303) 844±3203 Projected Award Date: Varies. 2664

Lamar ...... CO 12/31/1999 Authorization New York ...... NY 10/31/1999 Salt Lake City ...... UT 12/31/1999 Public Health Service Act, Title III, Rochester ...... NY 10/31/1999 Norwood ...... CO 01/31/2000 Section 330(h), 42 U.S.C. 254b(h). Camden ...... NJ 10/31/1999 Butte ...... MT 01/31/2000 White Plains ...... NY 11/30/1999 Isabel ...... SD 03/31/2000 Purpose Jersey City ...... NJ 03/31/2000 Enterprise ...... UT 03/31/2000 The Health Care for the Homeless Fort Lupton ...... CO 05/31/2000 HRSA Philadelphia Field OfficeÐ(215) 861± (HCH) program is designed to increase 4422 Bicknell ...... UT 05/31/2000 the access of homeless populations to Boulder ...... CO 06/30/2000 cost-effective, case managed, and Richmond ...... VA 10/31/1999 HRSA San Francisco Field OfficeÐ(415) integrated primary care and substance HRSA Atlanta Field OfficeÐ(404) 562±2996 437±8090 abuse services provided by existing community-based programs/providers. Miami ...... FL 10/31/1999 San Fernando ...... CA 11/30/1999 It is the intent of HRSA to continue to Tampa ...... FL 03/31/2000 Phoenix ...... AZ 11/30/1999 support health services to the homeless Durham ...... NC 05/31/2000 Madera ...... CA 11/30/1999 people in these areas/locations given the Memphis ...... TN 05/31/2000 San Francisco ...... CA 12/31/1999 continued need for cost-effective, Union City ...... CA 12/31/1999 community-based primary care services. HRSA Chicago Field OfficeÐ(312) 353± Salinas ...... CA 12/31/1999 1715 Los Angeles ...... CA 12/31/1999 Thirty-four HCH grantees will reach the Arcata ...... CA 12/31/1999 end of their project periods during FY 2000. Applications are due 120 days Grand Rapids ...... MI 10/31/1999 Marana ...... AZ 12/31/1999 Evansville ...... IN 10/31/1999 Las Vegas ...... NV 12/31/1999 before the expiration date. Toledo ...... OH 11/30/1999 Palikir ...... FM 12/31/1999 Eligibility Indianapolis ...... IN 11/30/1999 San Francisco ...... CA 01/31/2000 Columbus ...... OH 11/30/1999 Porterville ...... CA 01/31/2000 Applicants are limited to currently Kalamazoo ...... MI 01/31/2000 Los Angeles ...... CA 01/31/2000 funded programs whose project periods Alviso ...... CA 03/31/2000 expire during FY 2000 and new HRSA Dallas Field OfficeÐ(214) 767±3872 San Francisco ...... CA 03/31/2000 organizations proposing to serve the Oakland ...... CA 03/31/2000 same populations currently being served Tulsa ...... OK 03/31/2000 Ventura ...... CA 03/31/2000 San Antonio ...... TX 03/31/2000 Brawley ...... CA 05/31/2000 by these existing programs. Olivehurst ...... CA 05/31/2000 Funding Priorities and/or Preferences HRSA Kansas Field OfficeÐ(816) 426±5296 Page ...... AZ 05/31/2000 Susanville ...... CA 05/31/2000 None. Omaha ...... NE 01/31/2000 Nipomo ...... CA 05/31/2000 Special Considerations Des Moines ...... IA 05/31/2000 Santa Ana ...... CA 05/31/2000 San Joaquin ...... CA 06/30/2000 Communication with Field Office HRSA Denver Field OfficeÐ(303) 844±3203 Ukiah ...... CA 06/30/2000 staff is essential for interested parties in Reno ...... NV 06/30/2000 deciding whether to pursue Federal Salt Lake City ...... UT 10/31/1999 Redding ...... CA 06/30/2000 funding an HCH. Technical assistance Cheyenne ...... WY 10/31/1999 Elfrida ...... AZ 06/30/2000 and detailed information about each HRSA San Francisco Field OfficeÐ(415) service area, such as census grants, can HRSA Seattle Field OfficeÐ(206) 615±2491 437±8090 be obtained by contacting the HRSA Wenatchee ...... WA 03/31/2000 Field Office. San Mateo ...... CA (2) 10/31/1999 San Fernando ...... CA 11/30/1999 Seattle ...... WA 03/31/2000 Review Criteria Cornelius ...... OR 03/31/2000 Las Vegas ...... NV 12/31/1999 Kent ...... WA 03/31/2000 Final criteria are included in the Alviso ...... CA 03/31/2000 Okanogan ...... WA 03/31/2000 application kit. Medford ...... OR 05/31/2000 Estimated Amount of This Competition $15,207,000.

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City State Deadline Funding Priorities and/or Preferences statewide perspective on the public and Final administrative funding private infrastructure needed to support Nipomo ...... CA 05/31/2000 preferences are included in the primary care for the underserved. The Reno ...... NV 06/30/2000 application materials. PCO is expected to collaborate with the PCA to assist BPHC-supported and other HRSA Seattle Field OfficeÐ(206) 615±2491 Special Considerations community-based primary care delivery Seattle ...... WA 10/31/1999 Communication with Field Office sites to the maximum degree possible, Seattle ...... WA 03/31/2000 staff is essential for interested parties in directly and through their influence on deciding whether to pursue Federal State programs. The PCO is responsible Public Housing Primary Care funding as a PHPC. Technical assistance for identifying and working with and detailed information about each underserved communities/populations CFDA Number: 93.927. service area, such as census grants, can and for working with all types of Application Availability: 06/01/1999. be obtained by contacting the HRSA primary care providers, regardless of To Obtain This Application Kit Field Office. whether they receive BPHC resources. The purpose of this grant program is to Contact: 1–888–333–HRSA until Review Criteria improve primary care access of September 12, 1999. Final criteria are included in the underserved and vulnerable populations After September 12, the new toll free application kit. in the State, and reduce health number will be 1–877–HRSA (4772)– disparities and enhance collaboration 123. Estimated Amount of This Competition between the State, Federal, local, and Application Deadline: 10/01/1999. $11,000,000. private sector. They promote, build and Projected Award Date: 02/01/2000. Estimated Number of Awards support community-based systems of comprehensive preventive primary care. Authorization 20–25. Eligibility Public Health Service Act, Title III, Estimated Project Period Section 330(I), 42 U.S.C. 254D. The 50 States are eligible to apply, as 1–5 Years. well as U.S. territories. Purpose For Programmatic Questions Funding Priorities and/or Preferences The mission of the Public Housing Contact Person: Sherilyn Pruitt. None. Primary Care (PHPC) program is to Phone Number: 1–301–594–4473. increase access to comprehensive E-mail: [email protected]. Review Criteria primary and preventive health care and Final criteria are included in the to improve the physical, mental and State Primary Care Offices application kit. economic well-being of public housing CFDA Number: 93.130. residents. The Bureau of Primary Health Application Availability: 10/01/1999. Estimated Amount of This Competition Care (BPHC) is opening competition for $10,500,000. Federal funds to provide services to To Obtain This Application Kit residents of public housing. The goal of Contact: 1–888–333–HRSA until Estimated Number of Awards this open competition is to provide the September 12, 1999. 52. best possible health care services to After September 12, the new toll free residents of public housing, to ensure number will be 1–877–HRSA (4772)– Estimated Project Period that Federal funds are utilized most 123. 5 Years. effectively and efficiently, and to ensure Application Deadline: 12/01/1999. For Programmatic Questions that PHPC grantees are prepared and Projected Award Date: 04/01/2000. equipped to handle the challenges of the Contact Person: James Macrae. future. The three priorities for Authorization Phone Number: 1–301–594–4488. promoting access to primary care and Public Health Service Act, Title III, E-mail: [email protected]. improving the well being of residents of Section 330, 42 U.S.C. 254b. State Primary Care Associations public housing are: resident involvement and participation in Purpose CFDA Number: 93.129. program development and The BPHC promotes partnerships Application Availability: 10/01/1999. implementation, innovative service with State Primary Care Offices (PCOs) To Obtain This Application Kit delivery systems that address the to achieve the vision of 100 percent special health needs of public housing access to preventive and primary care Contact: 1–888–333–HRSA until residents, and collaborations with other services and zero percent health September 12, 1999. health, education and community-based disparities in every community across After September 12, the new toll free organizations. Central to the programs’ this country. PCOs were established to number will be 1–877–HRSA (4772)– past and future success is the improve primary care access of 123. commitment to the provision of health underserved and vulnerable populations Application Deadline: 12/01/1999. care that emphasizes improving the in the State and enhance collaboration Projected Award Date: 04/01/2000. availability, accessibility, between the State, Federal, local, and comprehensiveness, continuity and private sector. PCOs are federally- Authorization quality of health services to residents of supported entities within State Public Health Service Act, Title III, public housing. government, located within the State Section 330, 42 U.S.C. 254b. health department, developed to Eligibility implement a written primary care Purpose Public and private nonprofit cooperative agreement within the State The BPHC promotes partnerships organizations are eligible to apply. and Federal Government. PCOs have a with State/Regional Primary Care

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Associations (PCAs) to achieve the Estimated Project Period Estimated Project Period vision of 100 percent access to 5 Years. 3 Years. preventive and primary care services and zero percent health disparities in For Programmatic Questions. For Programmatic Questions every community across this country. Contact Person: James Macrae. Contact Person: Susan Salter. PCAs are private, nonprofit membership Phone Number: 1–301–594–4488. Phone Number: 1–301–594–4400. associations that represent BPHC- E-mail: [email protected]. E-mail: [email protected]. supported programs and other community-based providers of Grants to States for Loan Repayment City State Deadline preventive and primary care to the Programs underserved. PCAs are supported by CFDA Number: 93.165. HRSA Boston Field OfficeÐ(617) 565±1482 grants from the Bureau to provide direct Application Availability: 01/03/2000. Boston ...... MA 08/31/2000 technical assistance to Bureau- To Obtain This Application Kit Concord ...... NH 08/31/2000 supported programs, as well as to other community-based providers with Contact: 1–888–333–HRSA until HRSA Atlanta Field OfficeÐ(404) 562±2996 similar missions. The Bureau’s September 12, 1999. partnership strategy between its HRSA After September 12, the new toll free Tallahassee ...... FL 08/31/2000 Field Office, the Primary Care number will be 1–877–HRSA (4772)– Association and Primary Care HRSA Chicago Field OfficeÐ(312) 353± 123. 1715 Organization is to mobilize resources Application Deadline: 05/01/2000. and assure that people receive access to Projected Award Date: 09/30/2000. St. Paul ...... MN 08/31/2000 needed primary and preventive care. PCAs are membership organizations, Authorization HRSA Kansas Field OfficeÐ(816) 426±5296 including both BPHC-supported and Public Health Service Act, Title III, other community-based providers, and Section 338I, 42 U.S.C. 254Q–1. Des Moines ...... IA 08/31/2000 they have distinct responsibilities to Purpose HRSA San Francisco Field OfficeÐ(415) their members. PCAs are expected to 437±8090 represent BPHC-supported programs The purpose of these grant funds is to and practices, as well as Federally assist States in operating programs for Sacramento ...... CA 08/31/2000 Qualified Health Center ‘‘Look-Alikes’’ the repayment of educational loans of in the State. PCAs are expected to have health professionals in return for their Migrant Health Centers a membership policy open to all BPHC- practice in federally-designated Health CFDA Number: 93.246. supported entities, public as well as Professional Shortage Areas to increase Application Availability: 11/01/1999. private nonprofit. PCAs are also strongly the availability of primary health encouraged to have a membership services in health professional shortage To Obtain This Application Kit policy that includes other entities with areas. Contact: 1–888–333–HRSA until similar missions and governance. The Eligibility September 12, 1999. purpose of this grant program is to After September 12, the new toll free increase access to preventive and Any State is eligible to apply for number will be 1–877–HRSA (4772)– primary care services and reduce health funding. 123. disparities in the State. Through support Funding Priorities and/or Preferences to PCAs, the Bureau provides direct Application Deadline: 02/01/2000. assistance to Bureau-supported and None. Projected Award Date: 05/01/2000. other community-based providers to Special Considerations Authorization build and maintain primary care Public Health Service Act, Title III, capacity in underserved communities States seeking support must provide Section 330, 42 U.S.C. 254b(k). with an inadequate supply of primary adequate assurance that, with respect to care providers. PCAs also help to the costs of making loan repayments Purpose. under contracts with health facilitate, coordinate and develop BPHC The Migrant Health Center program is relationships with States and professionals, the State will make available (directly or through donations designed to meet the total health and organizations that represent State, well-being of migrant and seasonal community and national interests. from public or private entities) non- Federal contributions in cash in an farmworkers, including the Eligibility amount equal to not less than $1 for $1 environmental/occupational health of this population. To this end, HRSA The 50 States are eligible to apply, as of Federal funds provided in the grant. supports technical and non-financial well as U.S. territories. In determining the amount of non- Federal contributions in cash that a assistance to federally-funded Migrant Funding Prioities and/or Preferences State has to provide, no Federal funds Health Centers to assist in this effort. It None. may be used in the State’s match. is the intent of HRSA to continue to support this technical assistance in the Review Criteria Review Criteria area of environmental/occupational Final criteria are included in the Final criteria are included in the health for migrant and seasonal application kit. application kit. farmworkers. HRSA will open competition for an award under Section Estimated Amount of this Competition Estimated Amount of This Competition 330 of the Public Health Service Act, 42 $13,000,000. $3,000,000. U.S.C. 254b(k) to support a cooperative Estimated Number of Awards Estimated Number of Awards 47. 8.

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Statutory Funding Preference: As Contact Person: Lafayette Gilchrist. Phone Number: 1–301–443–1467. Estimated Amount of This Competition provided in Section 791(a) of the Public Health Service Act, preference will be E-mail: [email protected]. $45,000. given to any qualified applicant that: (A) Technical Assistance Group Conference Calls: November 16, 1999 Estimated Number of Awards Has a high rate for placing graduates in practice settings having the principal and November 18, 1999. To participate call Mr. Lafayette 1. focus of serving residents of medically Gilchrist at 1–301–443–1467. You may underserved communities; or (B) during Estimated Project Period also fax the following information: the two-year period preceding the fiscal 1–5 Years. name, title, institutional affiliation, year for which such an award is sought, telephone and fax numbers to 1–301– For Programmatic Questions has achieved a significant increase in 443–1945, or E-mail the program the rate of placing graduates in such Contact Person: George Ersek. specialist at [email protected]. Phone Number: 1–301–594–4303. settings. This statutory general E-mail: [email protected]. preference will only be applied to Predoctoral Training in Primary Care applications that rank above the 20th (Family Medicine, General Internal Health Professions Programs percentile of applications recommended Medicine/General Pediatrics) Grants Management Office: 1–301– for approval by the peer review group. CFDA Number: 93.896A. 443–6960. A second preference is offered to Application Availability: 08/06/1999. qualified applicants for the Academic Administrative Units in establishment or the substantive To Obtain This Application Kit Primary Care (Family Medicine, General expansion of an academic unit. Contact: 1–888–333–HRSA until Internal Medicine/General Pediatrics) A priority will be available to those September 12, 1999. CFDA Number: 93.984A. applicants that present collaborative After September 12, the new toll free Application Availability: 09/01/1999. projects between departments of number will be 1–877–HRSA (4772)– primary care. The collaboration should 123. To Obtain This Application Kit involve the academic units of any two Letter of Intent Deadline: 10/15/1999. Contact: 1–888–333–HRSA until disciplines of family medicine, general Application Deadline: 11/29/1999. September 12, 1999. internal medicine, and general Projected Award Date: 06/30/2000. After September 12, the new toll free pediatrics. There is a second priority number will be 1–877–HRSA (4772)– (administrative) for establishment or Authorization 123. expansion of research infrastructure Public Health Service Act, Title VII, Letter of Intent: 11/06/1999. proposals. Section 747, 42 U.S.C. 293k. Application Deadline: 01/06/2000. Special Considerations Purpose Projected Award Date: 09/30/2000. Special consideration will be given to Grants are awarded to assist schools Authorization projects which prepare practitioners to of medicine or osteopathic medicine to Public Health Service Act, Title VII, care for underserved populations and promote predoctoral training. The Section 747, 42 U.S.C. 293k. other high risk groups such as the program assists schools in meeting the elderly, individuals with HIV/AIDS, costs of projects to plan, develop and Purpose substance abusers, homeless, and operate or participate in an approved Title VII authorizes funds to establish victims of domestic violence. predoctoral training program in the field or expand teaching capacity in family Review Criteria of family medicine, general internal medicine, general internal medicine and medicine, and general pediatrics. general pediatrics. Grant support is Final criteria are included in the Proposed projects should seek to awarded to meet the costs of projects to application kit. expand and enhance the quality of establish, maintain or improve academic Family Medicine predoctoral initiatives: (1) Innovation, administrative units (which may be (2) Comprehensive Models, and (3) departments, divisions, or other units) Estimated Amount of This Competitiion Establishment and Expansion of to provide clinical instruction in family $5,435,300. Required Clerkships. medicine, general internal medicine, or general pediatrics. An academic unit in Estimated Number of Awards Eligibility family medicine means a department or 35. Any accredited public or nonprofit division of a school. Applications are private school of allopathic medicine or being solicited for projects to address Estimated Project Period osteopathic medicine is eligible to one or more of the following program 3 Years. apply.

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Funding Priorities and/or Preferences Physician Assistant Training in Primary Special Considerations Statutory Funding Preference: As Care A special consideration will be given provided in Section 791(a) of the Public CFDA Number: 93.886A. in awarding grants to projects which Health Service Act, preference will be Application Availability: 08/06/1999. prepare practitioners to care for given to any qualified applicant that: (A) underserved populations and other high Has a high rate for placing graduates in To Obtain This Application Kit risk groups such as the elderly, practice settings having the principal Contact: 1–888–333–HRSA until individuals with HIV/AIDS, substance focus of serving residents of medically September 12, 1999. abusers, homeless, and victims of underserved communities; or (B) during domestic violence. the two-year period preceding the fiscal After September 12, the new toll free Review Criteria year for which such an award is sought, number will be 1–877–HRSA (4772)– has achieved a significant increase in 123. Final criteria are included in the the rate of placing graduates in such Application Deadline: 11/15/1999. application kit. settings. This statutory general Projected Award Date: 06/30/2000. Estimated Amount of This Competition preference will only be applied to applications that rank above the 20th Authorization $2,872,340. percentile of applications recommended Public Health Service Act, Title VII, Estimated Number of Awards for approval by the peer review group. Section 747, 42 U.S.C. 293k. 19. Special Considerations Purpose Estimated Project Period Special consideration will be given to Grants are awarded for projects for the projects which prepare practitioners to 3 Years. training of physician assistants, and for care for underserved populations and the training of individuals who will For Programmatic Questions other high risk groups such as the teach in programs to provide such elderly, individuals with HIV/AIDS, Contact Person: CAPT Ed Spirer, training. The program assists schools to substance abusers, homeless, and MSW, MPH. meet the costs of projects to plan, victims of domestic violence. Phone Number: 1–301–443–1467. develop and operate or maintain such E-mail: [email protected]. Review Criteria programs. Technical Assistance Group Final criteria are included in the Eligibility Conference Call: October 07, 1999. To application kit. participate call CAPT Ed Spirer, MSW, Accredited schools of medicine, MPH at 1–301–443–1467. You may also Family Medicine osteopathic medicine or other public or fax the following information: name, Estimated Amount of This Competition private nonprofit entities are eligible to title, institutional affiliation, telephone apply. Eligible physician assistant and fax numbers to 1–301–443–1945, or $5,435,300. programs are those which are either E-mail the program specialist at Estimated Number of Awards accredited by the American Medical [email protected]. Association’s Committee on Allied 35. Health Education and Accreditation Residency Training in Primary Care (Family Medicine, General Internal Estimated Project Period (AMA–CAHEA) or its successor organization, the Commission on Medicine, General Pediatrics) 3 Years. Accreditation of Allied Health CFDA Number: 93.884A. General Internal Medicine/General Education Programs (CAAHEP). Application Availability: 08/06/1999. Pediatrics Funding Priorities and/or Preferences To Obtain This Application Kit Estimated Amount of This Competition Statutory Funding Preference: As Contact: 1–888–333–HRSA until $750,000. provided in Section 791(a) of the Public September 12, 1999. Health Service Act, preference will be After September 12, the new toll free Estimated Number of Awards given to any qualified applicant that: (A) number will be 1–877–HRSA (4772)– 5. Has a high rate for placing graduates in 123. practice settings having the principal Estimated Project Period Application Deadline: 09/27/1999. focus of serving residents of medically Projected Award Date: 06/30/2000. 3 Years. underserved communities; or (B) during the two-year period preceding the fiscal Authorization For Programmatic Questions year for which such an award is sought, Public Health Service Act, Title VII, Contact Person: Betty M. Ball. has achieved a significant increase in Section 747, 42 U.S.C. 293k Phone Number: 1–301–443–1467. the rate of placing graduates in such E-mail: [email protected]. settings. This statutory general Purpose Technical Assistance Group preference will only be applied to Grants are awarded to assist graduate Conference Call: October 15, 1999 and applications that rank above the 20th training programs in family medicine, October 20, 1999. percentile of applications recommended general internal medicine and general To participate call Ms. Betty Ball at 1– for approval by the peer review group. pediatrics to expand and improve the 301–443–1467. You may also fax the A priority will be offered to quality of residency training programs following information: name, title, applicants that can demonstrate a record that prepare graduates to enter primary institutional affiliation, telephone and of training individuals from care practice. Residency training fax numbers to 1–301–443–1945, or E- disadvantaged backgrounds (including programs should emphasize national mail the program specialist at racial/ethnic minorities under- innovations aimed at primary care [email protected]. represented in primary care practice). residency education across disciplines.

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Eligibility General Internal Medicine/General Funding Priorities and/or Preferences Pediatrics Applicant must be an accredited Statutory Funding Preference: As public or private nonprofit school of Estimated Amount of This Competition provided in Section 791(a) of the Public allopathic medicine or osteopathic $3,350,756. Health Service Act, preference will be medicine or a public or private given to any qualified applicant that: (A) nonprofit hospital or other public or Estimated Number of Awards Has a high rate for placing graduates in private nonprofit entity. Each allopathic 35. practice settings having the principal program must be fully or provisionally focus of serving residents of medically accredited by the Accreditation Council Estimated Project Period underserved communities; or (B) during for Graduate Medical Education. Each 3 Years. the two-year period preceding the fiscal osteopathic program must be approved year for which such an award is sought, by the American Osteopathic For Programmatic Questions has achieved a significant increase in Association. Family Medicine the rate of placing graduates in such Funding Priorities and/or Preferences Contact Person: Ellie Grant. settings. This statutory general preference will only be applied to Statutory Funding Preference: As Phone Number: 1–301–443–1467. E-mail: [email protected]. applications that rank above the 20th provided in Section 791(a) of the Public percentile of applications recommended Health Service Act, preference will be General Internal Medicine/General for approval by the peer review group. given to any qualified applicant that: (A) Pediatrics Special Considerations Has a high rate for placing graduates in Contact Person: Brenda Williamson. practice settings having the principal Phone Number: 1–301–443–1467. Special consideration will be given to focus of serving residents of medically E-mail: [email protected]. projects which prepare practitioners to underserved communities; or (B) during Technical Assistance Group care for underserved populations and the two-year period preceding the fiscal Conference Call: August 24, 1999 and other high risk groups such as the year for which such an award is sought, August 26, 1999. To participate call or elderly, individuals with HIV/AIDS, has achieved a significant increase in e-mail Ms. Brenda Williamson or Ms. substance abusers, homeless, and the rate of placing graduates in such Ellie Grant by August 18 at phone and victims of domestic violence. settings. This statutory general e-mail listed above. You may also fax Review Criteria preference will only be applied to the following information: name, title, applications that rank above the 20th institutional affiliation, telephone and Final criteria are included in the percentile of applications recommended fax numbers to 1–301–443–1945. application kit. for approval by the peer review group. A funding priority will be made Faculty Development in Primary Care Family Medicine available for applicants that can (Family Medicine, General Internal Estimated Amount of this Competition demonstrate training the greatest Medicine, General Pediatrics) $5,435,366. percentage of providers or CFDA Number: 93.895A. demonstrating significant improvements Application Availability: 08/06/1999 Estimated Number of Awards in the percentage of providers which 38. enter and remain in primary care To Obtain This Application Kit practice. A second priority will be Contact: 1–888–333–HRSA until Estimated Project Period offered to applicants who can September 12, 1999. 3 Years. demonstrate a record of training After September 12, the new toll free individuals from disadvantaged number will be 1–877–HRSA (4772)– General Internal Medicine/General backgrounds (including racial/ethnic 123. Pediatrics minorities, under-represented in Application Deadline: 10/22/1999. Estimated Amount of This Competition primary care practice). Projected Award Date: 06/30/2000. $3,350,757. Special Considerations Authorization Estimated Number of Awards Special consideration will be given to Public Health Service Act, Title VII, projects that prepare practitioners to Section 747, 42 U.S.C. 293k. 20. care for underserved populations and Estimated Project Period other high risk groups (i.e., elderly, HIV, Purpose AIDS, substance abusers, homeless and Grants are awarded to plan, develop 3 Years. victims of domestic violence). and operate a program for the training For Programmatic Questions Review Criteria of physicians who plan to teach in family medicine (including geriatrics), Contact Person: Elsie Quinones. Final criteria are included in the general internal medicine, general Phone Number: 1–301–443–1467. application kit. pediatrics, and to provide financial E-mail: [email protected]. Family Medicine assistance (in the form of traineeships Technical Assistance Group and fellowships) to physicians who are Conference Call: September 10, 1999 Estimated Amount of This Competition participating in any such program. and September 17, 1999. To participate $5,435,300. call Ms. Elsie Quinones at 1–301–443– Eligibility 1467. You may also fax the following Estimated Number of Awards Accredited schools of medicine or information: name, title, institutional 34. osteopathic medicine, public or private affiliation, telephone and fax numbers nonprofit hospitals, or other public or to 1–301–443–1945, or E-mail the Estimated Project Period private nonprofit entities are eligible to program specialist at 3 Years. apply. [email protected].

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Podiatric Residency in Primary Care Phone Number: 1–301–443–1467. Funding Priorities and/or Preferences CFDA Number: 93.181. E-mail: [email protected]. Technical Assistance Group Statutory Funding Preference: As Application Availability: 08/06/1999. Conference Call: August 25, 1999. For provided in Section 791(a) of the Public To Obtain This Application Kit additional information contact CAPT Ed Health Service Act, preference will be Spirer at 1–301–443–1467; by fax at 1– given to any qualified applicant that: (A) Contact: 1–888–333–HRSA until Has a high rate for placing graduates in September 12, 1999. 301–443–1945 or E-mail at [email protected]. practice settings having the principal After September 12, the new toll free focus of serving residents of medically number will be 1–877–HRSA (4772)– Model State-Supported Area Health underserved communities; or (B) during 123. Education Centers the two-year period preceding the fiscal Application Deadline: 09/30/1999. CFDA Number: 93.107. year for which an award is sought, has Projected Award Date: 06/30/2000. Application Availability: 08/06/1999. achieved a significant increase in the Authorization rate of placing graduates in such To Obtain This Application Kit settings. This statutory general Public Health Service Act, Title VII, Contact: 1–888–333–HRSA until preference will only be applied to Section 755(b)(2), 42 U.S.C. 294e. September 12, 1999. applications that rank above the 20th Purpose After September 12, the new toll free percentile of applications recommended number will be 1–877–HRSA (4772)– for approval by the peer review group. Grants are awarded to plan and 123. Funds shall be awarded to approved implement projects in preventive and applicants in the following order: (1) primary care training for podiatric Application Deadline: 01/14/2000. Competing continuations, (2) new starts physicians in approved or provisionally Projected Award Date: 08/30/2000. in States with no AHEC program, (3) approved residency programs that shall Authorization other new starts, and (4) competing provide financial assistance in the form Public Health Service Act, Title VII, supplementals. of traineeships to residents who Section 751, 42 U.S.C. 294A. participate in such projects and who Matching Requirements plan to specialize in primary care. Purpose Awardees shall make available Eligibility The program assists schools to (directly or through contributions from improve the distribution, supply, and State, county or municipal governments, Schools of podiatric medicine or quality of health personnel in the health public or private nonprofit hospitals or or the private sector) recurring non- services delivery system by encouraging Federal contributions in cash in an other appropriate public or private the regionalization of health professions nonprofit entities are eligible to apply. amount not less than 50 percent of the schools. Emphasis is placed on operating costs of the Model State- Funding Priorities and/or Preferences community-based training of primary Supported AHEC Program. care oriented students, residents, and Statutory Funding Preference: As Review Criteria provided in Section 791(a) of the Public providers. The Area Health Education Health Service Act, preference will be Centers (AHEC) program assists schools Final criteria are in the application given to any qualified applicant that: (A) in the development, and operation of kit. AHECs to implement educational Has a high rate for placing graduates in Estimated Amount of This Competition practice settings having the principal system incentives to attract and retain focus of serving residents of medically health care personnel in scarcity areas. $2,000,000. By linking the academic resources of the underserved communities; or (B) during Estimated Number of Awards the two-year period preceding the fiscal university health science center with year for which such an award is sought, local planning, educational and clinical 4. resources, the AHEC program has achieved a significant increase in Estimated Project Period the rate of placing graduates in such establishes a network of health-related settings. This statutory general institutions to provide educational 3 Years. services to students, faculty and preference will only be applied to For Programmatic Questions applications that rank above the 20th practitioners and ultimately to improve percentile of applications recommended the delivery of health care in the service Contact Person: Louis D. Coccodrilli, for approval by the peer review group. area. These programs are collaborative MPH. partnerships which address current Phone Number: 1–301–443–6950. Review Criteria health workforce needs within a region E-Mail: [email protected]. of a State or in an entire State. Final criteria are included in the Basic/Core Area Health Education application kit. Eligibility Centers Estimated Amount of This Competition The types of entities eligible to apply CFDA Number: 93.824. $119,969. for this program include public or Application Availability: 08/06/1999. private nonprofit accredited schools of Estimated Number of Awards medicine and osteopathic medicine and To Obtain This Application Kit 2. incorporated consortia made up of such Contact: 1–888–333–HRSA until schools, or the parent institutions of September 12, 1999. Estimated Project Period such schools. Applicants must also have After September 12, the new toll free 3 Years. previously received funds, but are no longer receiving funds under Section number will be 1–877–HRSA (4772)– For Programmatic Questions 751(a)(1) of the Public Health Service 123. Contact Person: CAPT Ed Spirer, Act, and are operating an AHEC Application Deadline: 01/14/2000. MSW, MPH. program. Projected Award Date: 08/30/2000.

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Authorization other new starts, and (4) competing (1) Identifying, recruiting, and selecting Public Health Service Act, Title VII, supplementals. individuals from disadvantaged backgrounds for education and training Section 751, 42 U.S.C. 294A. Matching Requirements in a health profession; (2) facilitating the Purpose Awardees shall make available entry of such individuals into such a (directly or through contributions from Grants are awarded to assist schools school; (3) providing counseling, State, county or municipal governments, to improve the distribution, supply and mentoring, or other services designed to or the private sector) non-Federal quality of health personnel in the health assist such individuals to complete contributions in cash in an amount that services delivery system by encouraging successfully their education at such a is not less than 50 percent of the the regionalization of health professions school; (4) providing, for a period prior operating costs of the AHEC program schools. Emphasis is placed on to the entry of such individuals into the except that the Secretary may grant a regular course of education of such a community-based training of primary waiver for up to 75 percent of the school, preliminary education and care oriented students, residents, and amount required in the first 3 years in health research training designed to providers. The Area Health Education which an awardee receives funds under assist them to complete successfully Centers (AHEC) program assists schools Section 751(a)(1) of the Public Health such regular course of education at such in the planning, development and Service Act. a school, or referring such individuals to operation of AHECs to initiate education institutions providing such preliminary system incentives to attract and retain Review Criteria education; (5) publicizing existing health care personnel in scarcity areas. Final criteria are in the application sources of financial aid available to By linking the academic resources of the kit. students in the education program of university health sciences center with such a school or who are undertaking Estimated Amount of This Competition local planning, educational and clinical training necessary to qualify them to resources, the AHEC program $9,000,000. enroll in such a program; (6) paying establishes a network of community- Estimated Number of Awards scholarships, as the Secretary may based training sites to provide determine, for such individuals for any educational services to students, faculty 9. period of health professions education and practitioners in underserved areas Estimated Project Period at a health professions school; (7) and ultimately, to improve the delivery paying such stipends for such of health care in the service area. The 3 Years. individuals for any period of education program embraces the goal of increasing For Programmatic Questions in student-enhancement programs the number of health professions (other than regular courses), except that graduates who ultimately will practice Contact Person: Louis D. Coccodrilli, such a stipend may not be provided to in underserved areas. MPH. an individual for more than 12 months Phone Number: 1–301–443–6950. Eligibility and in an amount determined E-Mail: [email protected]. appropriate by the Secretary; (8) The types of entities eligible to apply Health Careers Opportunity Program carrying out programs under which for this program include public or (HCOP) such individuals gain experience private nonprofit accredited schools of regarding a career in a field of primary medicine and osteopathic medicine and CFDA Number: 93.822. health care through working at facilities incorporated consortia made up of such Application Availability: 08/06/1999. of public or private nonprofit schools, or the parent institutions of To Obtain An Application Kit community-based providers of primary such schools. Also, in States in which health services; or (9) conducting Contact: 1–888–333–HRSA until no AHEC program is in operation, an activities to develop a larger and more September 12, 1999. accredited school of nursing is an competitive applicant pool through eligible applicant. After September 12, the new toll free partnerships with institutions of higher number will be 1–877–HRSA (4772)– Funding Priorities and/or Preferences education, school districts, and other 123. community-based entities. Statutory Funding Preference: As Application Deadline: 01/10/2000. provided in Section 791(a) of the Public Projected Award Date: 08/02/2000. Eligibility Health Service Act, preference will be Eligible applicants include accredited Authorization given to any qualified applicant that: (A) schools of medicine, osteopathic Has a high rate for placing graduates in Public Health Service Act, Title VII, medicine, public health, dentistry, practice settings having the principal Section 739, 42 U.S.C. 293c. veterinary medicine, optometry, focus of serving residents of medically Purpose pharmacy, allied health, chiropractic, underserved communities; or (B) during podiatric medicine, public and the two-year period preceding the fiscal The goal of the Health Careers nonprofit private schools that offer year for which an award is sought, has Opportunity Program (HCOP) is to assist graduate programs in behavioral and achieved a significant increase in the individuals from disadvantaged mental health, programs for the training rate of placing graduates in such backgrounds to undertake education to of physician assistants, and other public settings. The statutory general enter a health profession. The HCOP or private nonprofit health or preference will only be applied to program works to build diversity in the educational entities. applications that rank above the 20th health fields by providing students from percentile of applications recommended disadvantaged backgrounds an Funding Priorities and/or Preferences for approval by the peer review group. opportunity to develop the skills needed A funding preference will be given to Funds shall be awarded to approved to successfully compete, enter, and approved applications for programs that applicants in the following order: (1) graduate from health professions involve a comprehensive approach by Competing continuations, (2) new starts schools. The legislative purposes from several public or nonprofit private in States with no AHEC program, (3) which HCOP funds may be awarded are: health or educational entities to

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The network out activities to improve the information After September 12, the new toll free must include a minimum of four resources, clinical education, curricula number will be 1–877–HRSA (4772)– entities: a health professions school, an and cultural competence of the 123. undergraduate institution, a school graduates of the schools as it relates to Application Deadline: 02/22/2000. district, and a community-based entity. minority health issues; (5) to facilitate Projected Award Date: 09/30/2000. Up to one third of available faculty and student research on health competitive funds will be reserved for issues particularly affecting under- Authorization applicants with approved proposals represented minority groups, including Public Health Service Act, Title VII, who have not been funded during the research on issues relating to the Section 755, 42 U.S.C. 294e. previous three competitive cycles. delivery of health care; (6) to carry out a program to train students of the school Purpose Review Criteria in providing health services to a Grants are awarded to assist eligible Final criteria are included in the significant number of under-represented entities in meeting the costs associated application kit. minority individuals through training with expanding or establishing Estimated Amount of This Competition provided to such students at programs that will: (1) Expand community-based health facilities that enrollments in allied health disciplines $16,600,000. provide such health services and are that are in short supply or whose Estimated Number of Awards located at a site remote from the main services are most needed by the elderly; site of the teaching facilities of the (2) provide rapid transition training 47. school; and (7) to provide stipends as programs in allied health fields to Estimated Project Period appropriate. individuals who have baccalaureate 3 Years. Eligibility degrees in health-related sciences; (3) establish community-based training For Programmatic Questions Eligible applicants are: accredited programs that link academic centers to schools of allopathic medicine, Contact Person: CAPT Richard C. rural clinical settings; (4) provide career osteopathic medicine, dentistry, Vause, Jr. advancement training for practicing pharmacy, graduate programs in Phone Number: 1–301–443–2100. allied health professionals; (5) expand behavioral or mental health, or other E-mail: [email protected]. or establish clinical training sites for public and nonprofit health or allied health professionals in medically Centers of Excellence educational entities. Historically Black underserved or rural communities in CFDA Number: 93.157. Colleges and Universities as described order to increase the number of Application Availability: 08/31/1999. in Section 736(c)(2)(A) of the Public individuals trained; (6) develop Health Service Act and which received curriculum that will emphasize To Obtain an Application Kit a contract under Section 788B of the knowledge and practice in the areas of Contact: 1–888–333-HRSA until Public Health Service Act (Advanced prevention and health promotion, September 12, 1999. Financial Distress Assistance) for fiscal geriatrics, long-term care, home health After September 12, the new toll free year 1987 may apply for Centers of and hospice care, and ethics; (7) expand number will be 1–877-HRSA (4772)– Excellence (COE) grants under Section or establish interdisciplinary training 123. 736 of the Public Health Service Act. programs that promote the effectiveness Application Deadline: 01/15/2000. Funding Priorities and/or Preferences of allied health practitioners in geriatric Projected Award Date: 06/01/2000. assessment and the rehabilitation of the None. elderly; (8) expand or establish Authorization Review Criteria demonstration centers to emphasize innovative models to link allied health, Public Health Service Act, Title VII, Final criteria are included in the clinical practice, education, and Section 736, 42 U.S.C. 293. application kit. research; and (9) meet the costs of Purpose Estimated Amount of This Competition projects to plan, develop, and operate or The goal of this program is to assist $20,100,000. maintain graduate programs in eligible schools in supporting programs behavioral and mental health practice. Estimated Number of Awards of excellence in health professions Eligibility education for under-represented 16. minority individuals. The grantee is Eligible entities are health professions required to use the funds awarded: (1) Estimated Project Period schools, academic health centers, State To develop a large competitive 3 Years. or local governments or other applicant pool through linkages with appropriate public or private nonprofit institutions of higher education, local For Programmatic Questions entities. school districts, and other community- Contact Person: A. Roland Garcia, Eligible academic institutions shall based entities and establish an Ph.D. also be required to use funds in education pipeline for health Phone Number: 1–301–443–2100. collaboration with two or more professions careers; (2) to establish, E-mail: [email protected]. disciplines.

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Funding Priorities and/or Preferences Estimated Project Period award is sought, has achieved a 3 Years. significant increase in the rate of placing Statutory Funding Preference: As graduates in such settings. This provided in Section 791(a) of the Public For Programmatic Questions statutory general preference will only be Health Service Act, preference will be Contact Person: Dr. Norman L. Clark applied to applications that rank above given to any qualified applicant that: (A) the 20th percentile of applications Has a high rate for placing graduates in or Young Song. Phone Number: 1–301–443–1346 or recommended for approval by the peer practice settings having the focus of 1–301–443–3353. review group. serving residents of medically E-mail: [email protected] or Priority shall be given to qualified underserved communities; or (B) during [email protected]. the two-year period preceding the fiscal applicants that have a record of training year for which such an award is sought, Residencies in the Practice of Pediatric the greatest percentage of providers or has achieved a significant increase in Dentistry that have demonstrated significant the rate of placing graduates in such improvements in the percentage of CFDA Number: 93.897A. providers which enter and remain in settings. This statutory general Application Availability: 08/06/1999. preference will only be applied to pediatric dentistry. applications that rank above the 20th To Obtain This Application Kit Priority shall be given to qualified percentile of applications recommended Contact: 1–888–333–HRSA until applicants that have a record of training for approval by the peer review group. September 12, 1999. individuals who are from disadvantaged So that new applicants may compete After September 12, the new toll free backgrounds (including racial and equitably, a preference will be given to number will be 1–877–HRSA (4772)– ethnic minorities under-represented in those new programs that meet at least 123. pediatric dentistry). four of the criteria described in Section Application Deadline: 11/01/1999. Special Considerations 791(c)(3) of the Public Health Service Projected Award Date: 04/30/2000. Act concerning medically underserved Special consideration will be given to communities and populations. Authorization projects that prepare practitioners to care for underserved populations and A funding priority will be given to Public Health Service Act, Title VII, other high risk groups such as the qualified applicants who provide Section 747(a)(6), 42 U.S.C. 293k. elderly, individuals with HIV–AIDS, community-based training experiences Purpose substance abusers, homeless, and designed to improve access to health victims of domestic violence. care services in underserved areas. This This program shall provide grants to will include being responsive to assist schools in planning, developing, Special consideration will be given to population groups addressed in the or operating programs, and to provide qualified applicants who support the President’s Executive Orders 12876, financial assistance to residents in such ‘‘Kids Into Health Careers’’ initiative by 12900 and 13021. These will include programs, of pediatric dentistry. This establishing linkages with one or more such applicants as Hispanic Serving program places particular emphasis on elementary, middle or high schools with Institutions, Historically Black Colleges support of applications which a high percentage of minority and and Universities, and Tribal Colleges encourage: (1) Practice in underserved disadvantaged students to: (1) Inform and Universities serving Native areas; (2) provision of a broad range of students and parents about health Americans. pediatric dental services; (3) careers and financial aid to encourage coordination and integration of care; (4) interest in health careers; (2) promote Special Considerations meeting the needs of special rigorous academic course work to populations; and (5) recruitment and Special consideration will be given to prepare for health professions training; retention of under-represented qualified applicants who support the or (3) provide support services such as minorities. ‘‘Kids Into Health Careers’’ initiative by mentoring, tutoring, counseling, after establishing linkages with one or more Eligibility school programs, summer enrichment, and college visits. elementary, middle or high schools with To be eligible for a grant for residency a high percentage of minority and training in the practice of pediatric Review Critiera disadvantaged students to: (1) Inform dentistry, the applicant shall include students and parents about health Final criteria are included in the entities that have programs in dental application kit. careers and financial aid to encourage schools, approved residency programs interest in health careers; (2) promote in the pediatric practice of dentistry, Estimated Amount of This Competition rigorous academic course work to approved advanced education programs $600,000. prepare for health professions training; in the pediatric practice of dentistry, or or (3) provide support services such as approved residency programs in Estimated Number of Awards mentoring, tutoring, counseling, after pediatric dentistry. school programs, summer enrichment, 6. and college visits. Funding Priorities and/or Preferences Estimated Project Period Review Criteria Statutory Funding Preference: As provided in Section 791(a) of the Public 3 Years. Final criteria are included in the Health Service Act, preference will be For Programmatic Questions application kit. given to any qualified applicant that: (A) Contact Person: CDR Kathy Hayes or Estimated Amount of This Competition Has a high rate for placing graduates in practice settings and has the principal CDR Chris Halliday. $1,104,000. focus of serving residents of medically/ Phone Number: 1–301–443–4832 or 1–301–443–4142. Estimated Number of Awards dentally underserved communities; or (B) during the two-year period E-mail: [email protected] or 10–12. preceding the fiscal year for which an [email protected].

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Chiropractic Demonstration Project Review Criteria Special Considerations Grants Final criteria are included in the Special consideration will be given to CFDA Number: 93.212. application kit. qualified applicants who support the Application Availability: 12/22/1999. Estimated Amount of This Competition ‘‘Kids Into Health Careers’’ initiative by establishing linkages with one or more To Obtain This Application Kit $786,000. elementary, middle or high schools with a high percentage of minority and Contact: 1–888–333–HRSA until Estimated Number of Awards disadvantaged students to: (1) Inform September 12, 1999. 3. students and parents about health After September 12, the new toll free Estimated Project Period careers and financial aid to encourage number will be 1–877–HRSA (4772)– 3 Years. interest in health careers; (2) promote 123. rigorous academic course work to Application Deadline: 02/22/2000. For Programmatic Questions prepare for health professions training; Projected Award Date: 07/22/2000. Contact Person: Dr. Norman Clark. or (3) provide support services such as Phone Number: 1–301–443–1346. mentoring, tutoring, counseling, after Authorization E-mail: [email protected]. school programs, summer enrichment, and college visits. Public Health Service Act, Title VII, Dental Public Health Residency Section 755(b)(3), 42 U.S.C. 294e. Training Grants Review Criteria Purpose CFDA NUMBER: 93.236. Final criteria are included in the Application Availability: 08/06/1999. application kit. Grants are awarded to carry out demonstration projects in which To Obtain This Application Kit Estimated Amount of This Competition chiropractors and physicians collaborate Contact: 1–888–333–HRSA until $600,000. to identify and provide effective September 12, 1999. treatment for spinal and lower-back After September 12, the new toll free Estimated Number of Awards conditions. number will be 1–877–HRSA (4772)– 6. The project requirements include: (1) 123. Estimated Project Period The project must address the Application Deadline: 11/01/1999. identification and treatment of spinal Projected Award Date: 04/30/2000. 3 Years. and/or lower-back conditions; (2) the Authorization For Programmatic Questions project must be founded on Contact Person: CDR Kathy Hayes. collaborative efforts between the Public Health Service Act, Title VII, Phone Number: 1–301–443–4832. school(s) of allopathic or osteopathic Section 768, 42 U.S.C. 295c. E-mail: [email protected]. medicine; (3) each project must include Purpose a strong research protocol which will Residencies and Advanced Education in The purpose of this program is: (1) to result in a significant expansion of the Practice of General Dentistry plan and develop new residency documented research in the area training programs and to maintain or CFDA Number: 93.897. addressed and which is suitable for improve existing residency training Application Availability: 08/06/1999. publication in refereed health programs in dental public health; and professions journals, including research To Obtain an Application Kit (2) to provide financial assistance to oriented publications; (4) the project residency trainees enrolled in such Contact: 1–888–333–HRSA until must include an explicit strategy for programs. September 12, 1999. case-finding and a strategy for making After September 12, the new toll free direct comparisons to other forms of Eligibility number will be 1–877–HRSA (4772)– treatment. The results must be A School of Public Health or Dentistry 123. generalizable to patients cared for in that offers a Dental Public Health Application Deadline: 11/01/1999. clinical practices addressing spinal and/ Program accredited by the American Projected Award Date: 04/30/2000. or lower-back conditions; and (5) Dental Association Commission on whenever feasible, minorities and Dental Accreditation is eligible to apply. Authorization women should be included in study Each applicant must demonstrate that Public Health Service Act, Title VII, populations so that research findings the institution has or will have available Section 747, 42 U.S.C. 293k. can be of benefit to all persons at risk full-time faculty members with training Purpose of the disease, disorder, or condition and experience in the field of dental under study. public health and support from other This program strives to increase the Eligibility faculty members trained in public number of training opportunities in health and other relevant specialties and postdoctoral general dentistry and to To be eligible for a Chiropractic disciplines. improve program quality. For the Demonstration Project, the applicant upcoming grant cycle, applicants are shall be: a health professions school, an Funding Priorities and/or Preferences encouraged to detail manners in which academic health center, a State or local Priority shall be given to qualified graduates of the general dentistry government, other appropriate public or applicants that have a record of serving residency will be well trained in private nonprofit entity, a private individuals who are from disadvantaged meeting the treatment needs of pediatric nonprofit school, or a college or backgrounds (including under- patient populations. This program University of Chiropractic. represented racial and ethnic places particular emphasis on support Funding Priorities and/or Preferences minorities) and graduating large of applications which encourage proportions of individuals who serve in practice in underserved areas, provision None. underserved communities. of a broad range of clinical services,

VerDate 18-JUN-99 12:05 Aug 17, 1999 Jkt 183247 PO 00000 Frm 00035 Fmt 4701 Sfmt 4703 E:\FR\FM\A18AU3.066 pfrm07 PsN: 18AUN2 45050 Federal Register / Vol. 64, No. 159 / Wednesday, August 18, 1999 / Notices coordination and integration of care, or (3) provide support services such as and participation in health professions meeting the needs of special mentoring, tutoring, counseling, after and nursing training activities. populations, and recruitment and school programs, summer enrichment, Applications shall be jointly retention of under-represented and college visits. submitted by at least two eligible minorities. applicants with the express purpose of Review Criteria assisting individuals in academic Eligibility Final criteria are included in the institutions in establishing long-term To be eligible for a grant for residency application kit. collaborative relationships with health training in the practice of general care providers in rural areas. dentistry, the applicant shall include Estimated Amount of This Competition Applicants must designate a rural entities that have programs in dental $1,900,000. health care agency or agencies for clinical treatment or training including schools, approved residency programs Estimated Number of Awards in the general practice of dentistry, and hospitals, community health centers, approved advanced education programs 10. migrant health centers, rural health in the general practice of dentistry. Estimated Project Period clinics, community behavioral and mental health centers, long-term care Funding Priorities and/or Preferences 3 Years. facilities, Native Hawaiian health Statutory Funding Preference: As For Programmatic Questions centers or facilities operated by the provided in Section 791(a) of the Public Indian Health Service or an Indian tribe Health Service Act, preference will be Contact Person: CDR Kathy Hayes. or tribal organization or Indian given to any qualified applicant that: (A) Phone Number: 1–301–443–4832. organization under a contract with the Has a high rate for placing graduates in E-mail: [email protected]. Indian Health Service under the Indian practice settings and have the principal Quentin N. Burdick Program for Rural Self-Determination Act. focus of serving residents of medically/ Interdisciplinary Training dentally underserved communities; or Funding Priorities and/or Preferences (B) during the two-year period CFDA Number: 93.192. Statutory Funding Preference: As preceding the fiscal year for which an Application Availability: 08/06/1999. provided in Section 791(a) of the Public award is sought, has achieved a To Obtain This Application Kit Health Service Act, preference will be significant increase in the rate of placing given to any qualified applicant that: (A) Contact: 1–888–333–HRSA until graduates in such settings. This Has a high rate for placing graduates in September 12, 1999. statutory general preference will only be practice settings having the principal applied to applications that rank above After September 12, the new toll free focus of serving residents of medically the 20th percentile of applications number will be 1–877–HRSA (4772)– underserved communities; or (B) during recommended for approval by the peer 123. the two-year period preceding the fiscal review group. Application Deadline: 10/22/1999. year for which such an award is sought, Priority shall be given to qualified Projected Award Date: 06/01/2000. has achieved a significant increase in applicants that have a record of training the rate of placing graduates in such Authorization the greatest percentage of providers, or settings. This statutory general that have demonstrated significant Public Health Service Act, Title VII, preference will only be applied to improvements in the percentage of Section 754, 42 U.S.C. 294d. applications that rank above the 20th providers which enter and remain in Purpose percentile of applications recommended general dentistry. for approval by the peer review group. Priority shall be given to qualified The goal of this program is to provide So that new applicants may compete applicants that have a record of training or improve access to health care in rural equitably, a preference will be given to individuals who are from disadvantaged areas. Specifically, projects funded those new programs that meet at least backgrounds (including racial and under this authority shall be designed four of the criteria described in Section ethnic minorities under-represented in to: (a) Use new and innovative methods 791(c)(3) of the Public Health Service general dentistry). to train health care practitioners to Act concerning medically underserved provide services in rural areas; (b) communities and populations. Special Considerations demonstrate and evaluate innovative Special consideration shall be given interdisciplinary methods and models Special Considerations to projects that prepare practitioners to designed to provide access to cost- Special consideration will be given to care for under-served populations and effective comprehensive health care; (c) qualified applicants who provide other high risk groups such as the deliver health care services to community-based training experiences elderly, individuals with HIV–AIDS, individuals residing in rural areas; (d) designed to improve access to health substance abusers, homeless, and enhance the amount of relevant research care services in underserved areas. This victims of domestic violence. conducted concerning health care issues will include being responsive to Special consideration will be given to in rural areas; and (e) increase the population groups addressed in the qualified applicants who support the recruitment and retention of health care President’s Executive Orders 12876, ‘‘Kids Into Health Careers’’ initiative by practitioners from rural areas and make 12900 and 13021. These will include establishing linkages with one or more rural practice a more attractive career such applicants as Hispanic Serving elementary, middle or high schools with choice for health care practitioners. Institutions, Historically Black Colleges a high percentage of minority and and Universities, and Tribal Colleges Eligibility disadvantaged students to: (1) Inform and Universities serving Native students and parents about health Applications will be accepted from Americans. careers and financial aid to encourage health professions schools, academic Special consideration will be given to interest in health careers; (2) promote health centers, State or local qualified applicants who support the rigorous academic course work to governments or other appropriate public ‘‘Kids Into Health Careers’’ initiative by prepare for health professions training; or private nonprofit entities for funding establishing linkages with one or more

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Eligible applicants include accredited facilities. Geriatric Education Centers Estimated Number of Awards schools of public health or other public facilitate training of health professional or nonprofit private institutions faculty, students, and practitioners in 11. accredited for the provision of graduate the diagnosis, treatment, and prevention Estimated Project Period or specialized training in public health. of disease, disability, and other health problems of the aged. Health Funding Priorities and/or Preferences 3 Years. professionals include allopathic For Programmatic Questions In awarding grants or contracts under physicians, osteopathic physicians, this authority, the Secretary shall give dentist, optometrists, podiatrists, Contact Person: Judith E. Arndt. preference to accredited schools of pharmacists, nurse practitioners, Phone Number: 1–301–443–6867. public health. physicians assistants, chiropractors, E-mail: [email protected]. Special Considerations clinical psychologists, health Public Health Training Centers Grant administrators, and other allied health Program Special consideration will be given to professionals. Projects supported under qualified applicants who support the CFDA Number: 93.188A. these grants must offer training ‘‘Kids Into Health Careers’’ initiative by Application Availability: 08/06/1999. involving four or more health establishing linkages with one or more professions, one of which must be To Obtain This Application Kit elementary, middle or high schools with allopathic or osteopathic medicine, and Contact: 1–888–333–HRSA until a high percentage of minority and must address one or more of the September 12, 1999. disadvantaged students to: (1) Inform following statutory purposes: (a) students and parents about health Improve the training of health After September 12, the new toll free careers and financial aid to encourage professionals in geriatrics, including number will be 1–877–HRSA (4772)– interest in health careers; (2) promote geriatric residencies, traineeships, or 123. rigorous academic course work to fellowships; (b) develop and Application Deadline: 12/06/1999. prepare for health professions training; disseminate curricula relating to the Projected Award Date: 09/30/2000. or (3) provide support services such as treatment of the health problems of Authorization mentoring, tutoring, counseling, after elderly individuals; (c) support training school programs, summer enrichment, and retraining of faculty to provide Public Health Service Act, Title VII, and college visits. instruction in geriatrics; (d) support Section 766, 42 U.S.C. 295a. continuing education of health Review Criteria Purpose professionals who provide geriatric care; Final criteria are included in the and (e) provide students with clinical The goal of the Public Health Training application kit. training in geriatrics in nursing homes, Centers Grant Program is to improve the chronic and acute disease hospitals, Nation’s public health system by Estimated Amount of this Competition ambulatory care centers, and senior strengthening the technical, scientific, $3,000,000. centers. managerial and leadership competencies and capabilities of the Estimated Number of Awards Eligibility current and future public health 10. Grants may be made to accredited workforce. Emphasis is placed on health professions schools as defined by Estimated Project Period developing the existing public health Section 799B(1) of the Public Health workforce as a foundation for improving 5 Years. Service Act, or programs for the training the infrastructure of the public health of physicians assistants as defined by For Programmatic Questions system and helping achieve the Healthy Section 799B(3), or schools of allied People 2010 Objectives. With respect to Contact Person: Ronald Merrill. health as defined in Section 799B(4), or a public health training center, Phone Number: 1–301–443–3460. schools of nursing as defined by Section applicants must agree to: (1) Specifically E-mail: [email protected]. 801(2). designate a geographic area, including medically underserved populations, Geriatric Education Centers Funding Priorities and/or Preferences e.g., elderly, immigrants/refugees, CFDA Number: 93.969. Statutory Funding Preference: As disadvantaged, to be served by the Application Availability: 10/09/1999. provided in Section 791(a) of the Public

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Health Service Act, preference will be Phone Number: 1–301–598–6887. Eligibility given to any qualified applicant that: (A) E-mail: [email protected]. Grants may be made to accredited Has a high rate for placing graduates in public or private nonprofit schools of practice settings having the focus of Geriatric Training Regarding Physicians and Dentists medicine, schools of osteopathic serving residents of medically medicine, teaching hospitals, or underserved communities; or (B) during CFDA Number: 93.156. graduate medical education programs. the two-year period preceding the fiscal Application Availability: 10/09/1999. Two-year fellowship programs must be year for which such an award is sought, under the programmatic control of a has achieved a significant increase in To Obtain This Application Kit graduate medical education program in the rate of placing graduates in such Contact: 1–888–333–HRSA until internal medicine or family medicine settings. This statutory general September 12, 1999. (including osteopathic general practice). preference will only be applied to The 1-year retraining program shall be applications that rank above the 20th After September 12, the new toll free based in a graduate medical education percentile of applications recommended number will be 1–877–HRSA (4772)– program in internal medicine or family for approval by the peer review group. 123. So that new applicants may compete medicine or in a department of Application Deadline: 12/09/1999. geriatrics or psychiatry. equitably, a preference will be given to Projected Award Date: 06/01/2000. those new programs that meet at least Funding Priorities and/or Preferences four of the criteria described in Section Authorization 791(c)(3) of the Public Health Service Statutory Funding Preference: As Public Health Service Act, Title VII, provided in Section 791(a) of the Public Act concerning medically underserved Section 753(b), 42 U.S.C. 294c. communities and populations. Health Service Act, preference will be A funding priority will be given to Purpose given to any qualified applicant that: (A) qualified applicants who provide Has a high rate for placing graduates in community-based training experiences Grants are given for faculty training practice settings having the focus of designed to improve access to health projects in geriatric medicine and serving residents of medically care services in underserved areas. This dentistry. The purpose of this grant underserved communities; or (B) during will include being responsive to program is to provide support, the two-year period preceding the fiscal population groups addressed in the including fellowships, for geriatric year for which such an award is sought, President’s Executive Orders 12876, training projects to train physicians, has achieved a significant increase in 12900 and 13021. These will include dentists and behavioral and mental the rate of placing graduates in such such applicants as Hispanic Serving health professionals who plan to teach settings. This statutory general Institutions, Historically Black Colleges geriatric medicine, geriatric behavioral preference will only be applied to and Universities, and Tribal Colleges or mental health, or geriatric dentistry. applications that rank above the 20th and Universities serving Native Projects supported under these grants percentile of applications recommended Americans. must offer a one-year retraining program for approval by the peer review group. in geriatrics for: (a) Physicians who are So that new applicants may compete Special Considerations faculty members in departments of equitably, a preference will be given to Special consideration will be given to internal medicine, family medicine, those new programs that meet at least qualified applicants who support the gynecology, geriatrics, and behavioral or four of the criteria described in Section ‘‘Kids Into Health Careers’’ initiative by mental health at schools of medicine 791(c)(3) of the Public Health Service establishing linkages with one or more and osteopathic medicine; dentists who Act concerning medically underserved elementary, middle or high schools with are faculty members at schools of communities and populations. a high percentage of minority and dentistry or at hospital departments of A funding priority will be given to disadvantaged students to: (1) Inform dentistry; and behavioral or mental qualified applicants who provide students and parents about health health professionals who are faculty community-based training experiences careers and financial aid to encourage members in departments of behavioral designed to improve access to health interest in health careers; (2) promote or mental health; and (b) a two-year care services in underserved areas. This rigorous academic course work to internal medicine or family medicine will include being responsive to prepare for health professions training; fellowship program which provides population groups addressed in the or (3) provide support services such as emphasis in geriatrics, which shall be President’s Executive Orders 12876, mentoring, tutoring, counseling, after designed to provide training in clinical 12900 and 13021. These will include school programs, summer enrichment, geriatrics and geriatrics research for: such applicants as Hispanic Serving and college visits. physicians who have completed Institutions, Historically Black Colleges graduate medical education programs in Review Criteria and Universities, and Tribal Colleges internal medicine, family medicine, and Universities serving Native Final criteria are included in the behavioral or mental health, neurology, Americans. application kit. gynecology, or rehabilitation medicine; Special Considerations Estimated Amount of this Competition dentists who have demonstrated a commitment to an academic career and Special consideration will be given to $1,885,000. who have completed postdoctoral qualified applicants who support the Estimated Number of Awards dental training, including postdoctoral ‘‘Kids Into Health Careers’’ initiative by 9–12. dental education programs or who have establishing linkages with one or more relevant advanced training or elementary, middle or high schools with Estimated Project Period experience; and behavioral or mental a high percentage of minority and Up to 5 Years. health professionals who have disadvantaged students to: (1) Inform completed graduate medical education students and parents about health For Programmatic Questions programs in behavioral or mental careers and financial aid to encourage Contact Person: Diane Hanner. health. interest in health careers; (2) promote

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Authorization Review Criteria Funding Priorities and/or Preferences Public Health Service Act, Title VIII, Final criteria are included in the Preference will be given to qualified Section 821, 42 U.S.C. 296m. application kit. applicants meeting the following conditions: Purpose Estimated Amount of This Competition 1. Not less than 25 percent of the Grants are awarded to increase $1,200,000. graduates of the applicant are engaged nursing education opportunities for in full-time practice settings in Estimated Number of Awards individuals who are from disadvantaged medically underserved communities; backgrounds (including racial and 4. 2. The applicant recruits and admits ethnic minorities under-represented Estimated Project Period students from medically underserved among registered nurses) by providing communities; student scholarships or stipends, pre- 5 Years. 3. For the purpose of training entry preparation, and retention For Programmatic Questions students, the applicant has established activities. relationships with public and nonprofit Contact Person: Barbara Broome. providers of health care in the Eligibility Phone Number: 1–301–443–6887. community involved; and Eligible applicants are schools of E-mail: [email protected]. 4. In training students, the applicant nursing, nursing centers, academic Health Administration Traineeships emphasizes employment with public or health centers, State or local and Special Projects nonprofit private entities. governments and other public or private nonprofit entities. CFDA Number: 93.962. Special Considerations Application Availability: 08/06/1999. Special consideration will be given to Funding Priorities and/or Preferences To Obtain This Application Kit qualified applicants who support the Statutory Funding Preference: As ‘‘Kids Into Health Careers’’ initiative by provided in Section 805 of the Public Contact: 1–888–333–HRSA until establishing linkages with one or more Health Service Act, preference shall be September 12, 1999. elementary, middle or high schools with given to applicants with projects that After September 12, the new toll free a high percentage of minority and will substantially benefit rural or number will be 1–877–HRSA (4772)– disadvantaged students to: (1) Inform underserved populations, or help meet 123. students and parents about health public health nursing needs in State or Application Deadline: 10/15/1999. careers and financial aid to encourage local health departments. Projected Award Date: 07/01/2000. interest in health careers; (2) promote rigorous academic course work to Review Criteria Authorization prepare for health professions training; Final criteria are included in the Public Health Service Act, Title VII, or (3) provide support services such as application kit. Section 769, 42 U.S.C. 295d. mentoring, tutoring, counseling, after school programs, summer enrichment, Estimated Amount of This Competition Purpose and college visits. $1,300,000. Grants are awarded to support eligible students enrolled in accredited graduate Review Criteria Estimated Number of Awards programs in health administration, Final criteria are included in the 8. hospital administration, or health policy application kit. Estimated Project Period analysis and planning, and to assist in Estimated Amount of This Competition the development or improvement of 3 Years. $1,044,600. programs to prepare students for For Programmatic Questions employment with public or nonprofit Estimated Number of Awards private entities. Contact Person: Ernell Spratley. 55. Phone Number: 1–301–443–5763. Eligibility Estimated Project Period E-mail: [email protected]. Eligible applicants are State or local 3 Years. Basic Nurse Education and Practice governments (that have in effect Grants preventive medical and dental public For Programmatic Questions health residency programs) or public or CFDA Number: 93.359A. Contact Person: Thomas H. Perez. Application Availability: 08/06/1999. nonprofit private educational entities Phone Number: 1–301–443–3231. (including graduate schools of social E-mail: [email protected]. To Obtain This Application Kit work and business schools that have health management programs) that offer Nursing Workforce Diversity Grants Contact: 1–888–333–HRSA until September 12, 1999. a graduate program in health CFDA Number: 93.178A. administration, hospital administration Application Availability: 08/06/1999. After September 12, the new toll free or health policy analysis and planning number will be 1–877–HRSA (4772– accredited by the Accrediting To Obtain This Application Kit 123. Commission on Education in Health Contact: 1–888–333–HRSA until Application Deadline: 02/22/2000. Services Administration. Applicants September 12, 1999. Projected Award Date: 06/30/2000.

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Authorization For Programmatic Questions Estimated Number of Awards Public Health Service Act, Title VIII, Contact Person: Angela Martinelli. 10. Section 831, 42 U.S.C. 296p. Phone Number: 1–301–443–6333. Estimated Project Period E-mail: [email protected]. Purpose 1 year. Public Health Nursing Experiences in Grants are awarded to enhance the State and Local Health Departments for For Programmatic Questions educational mix and utilization of the Baccalaureate Nursing Students basic nursing workforce by Contact Person: Joan Weiss, PhD, RN, strengthening programs that provide CFDA Number: 93.359B. CRNP. basic nurse education, such as through: Application Availability: 08/06/1999. Phone Number: 1–301–443–5486. E-mail: [email protected]. (1) Establishing or expanding nursing To Obtain This Application Kit Technical Assistance Conference Call: practice arrangements in October 4, 1999. noninstitutional settings to demonstrate Contact: 1–888–333–HRSA until September 12, 1999. To participate in the conference call methods to improve access to primary or for additional information contact health care in medically underserved After September 12, the new toll free Joan Weiss at 301–443–5486; by fax at communities; (2) providing care for number will be 1–877–HRSA (4772)– 1–301–443–8586 or E-mail at underserved populations and other 123. [email protected]. Please indicate intent high-risk groups such as the elderly, Letter of Intent Deadline: 11/01/1999. to submit an application by E-mail, individuals with HIV–AIDS, substance Application Deadline: 11/17/1999. phone or fax to Joan Weiss, PhD, RN, abusers, the homeless, and victims of Projected Award Date: 03/31/2000. CRNP. domestic violence; (3) providing managed care, quality improvement, Authorization Advanced Education Nursing Grants and other skills needed to practice in Public Health Service Act, Title VIII, CFDA Number: 93.299A. existing and emerging organized health Section 831, 42 U.S.C. 296p. Application Availability: 08/06/1999. care systems; (4) developing cultural competencies among nurses; (5) Purpose To Obtain This Application Kit expanding the enrollment in The purpose of this request for Contact: 1–888–333–HRSA until baccalaureate nursing programs; (6) applications is to provide seed money to September 12, 1999. promoting career mobility for nursing assist eligible entities to strengthen the After September 12, the new toll free personnel in a variety of training public health nursing practice clinical number will be 1–877–HRSA (4772)– settings and cross training or specialty experience (practicum) component of 123. training among diverse population the baccalaureate nursing program. Application Deadline: 01/28/2000. groups; or (7) providing education for Funds may be used to assist the Projected Award Date: 06/30/2000. informatics, including distance learning applicant to plan, implement, and methodologies. evaluate a public health nursing Authorization Eligibility practice experience that will expose Public Health Service Act, Title VIII, students to: (1) Selected core functions Section 811, 42 U.S.C. 296j. Eligible applicants for purposes one of public health (assessment, policy and five are schools of nursing. Eligible development, and assurance) and Purpose applicants for purposes two, three, four, essential services; (2) the mission of the Grants are awarded to eligible six, and seven are schools of nursing, State and/or local health departments; institutions for projects that support the nursing centers, academic health and (3) how a variety of public health enhancement of advanced nursing centers, State or local governments and practitioners function as a team in education and practice. For the purpose other public or private nonprofit promoting, protecting, and maintaining of this section, advanced education entities. the public’s health. This plan may be nurses means individuals trained in Funding Priorities and/or Preferences implemented with a small number of advanced degree programs including baccalaureate nursing students. individuals in combined RN to Master’s Statutory Funding Preference: As degree programs, post-nursing Master’s provided in Section 805 of the Public Eligibility certificate programs, or in the case of Health Service Act, preference shall be Eligible applicants are schools of nurse midwives, in certificate programs given to applicants with projects that nursing and State or local governments. in existence on November 12, 1998, to will substantially benefit rural or serve as nurse practitioners, clinical Funding Priorities and/or Preferences underserved populations, or help meet nurse specialists, nurse midwives, nurse public health nursing needs in State or Statutory Funding Preference: As anesthetists, nurse educators, nurse local health departments. provided in Section 805 of the Public administrators or public health nurses. Health Service Act, preference will be Review Criteria given to applicants with projects that Eligibility Final criteria are included in the will substantially benefit rural or Eligible applicants are schools of application kit. underserved populations, or help meet nursing, academic health centers, and other public or private nonprofit Estimated Amount of This Competition public health nursing needs in State or local health departments. entities. $3,800,000. Review Criteria Funding Priorities and/or Preferences Estimated Number of Awards Final criteria are included in the Statutory Funding Preference: As 19. application kit. provided in Section 805 of the Public Health Service Act, preference shall be Estimated Project Period Estimated Amount of This Competition given to applicants with projects that 3 Years. $250,000. will substantially benefit rural or

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Section 811(f)(3) of the PHS Act, will be Anesthetists (AANA) Council on Estimated Amount of This Competition given to an eligible entity that agrees to Accreditation of Nurse Anesthesia Educational Programs. $16,500,000. expend the award to train advanced education nurses who will practice in Funding Priorities and/or Preferences Estimated Number of Awards health professional shortage areas Statutory Funding Preference: As 75. designated under Section 332 of the provided in Section 805 of the Public PHS Act. Estimated Project Period Health Service Act, preference shall be Review Criteria given to applicants with projects that 3 Years. Final criteria are included in the will substantially benefit rural or For Programmatic Questions application kit. underserved populations or help meet Contact Person: Joan Weiss. public health nursing needs in State or Phone Number: 1–301–443–6333. Eligible Organizations local health departments. E-mail: [email protected]. Eligible applicants are schools of Special Considerations nursing, academic health centers, and Advanced Education Nursing Traineeships for individuals in other public or private nonprofit Traineeship Grants advanced education programs are entities. CFDA Number: 93.299B. provided under Section 811(a)(2) of the Application Availability: 08/06/1999. Estimated Amount of This Competition Public Health Service Act. A statutory $15,698,000 for traineeship awards. special consideration, as provided for in To Obtain This Application Kit Section 811(f)(3) of the PHS Act, will be Contact: 1–888–333–HRSA until Number of Expected Awards given to an eligible entity that agrees to September 12, 1999. 280. expend the award to train advanced education nurses who will practice in After September 12, the new toll free Expected Project Period number will be 1–877–HRSA (4772)– health professional shortage areas 123. 1 Year. designated under Section 332 of the Application Deadline: 12/03/1999. For Programmatic Questions PHS Act. Projected Award Date: 04/28/2000. Contact Person: Marcia Starbecker. Review Criteria Authorization Phone Number: 301–443–6333. Final criteria are included in the E-mail: [email protected]. Public Health Service Act, Title VIII, application kit. Section 811, 42 U.S.C. 296j. Advanced Education Nursing—Nurse Estimated Amount of This Competition Anesthetist Traineeship Grant Program Purpose $1,200,000. CFDA Number: 93.299C. Grants are awarded to eligible Application Availability: 08/06/1999. Number of Expected Awards institutions to meet the cost of 70. traineeships for individuals in advanced To Obtain This Application Kit nursing education programs. Contact: 1–888–333–HRSA until Estimated Project Period Traineeships are awarded to individuals September 12, 1999. 1 Year. by participating educational institutions After September 12, the new toll free For Programmatic Questions offering Master’s and doctoral degree number will be 1–877–HRSA (4772)– programs, combined RN to Master’s 123. Contact Person: Marcia Starbecker. degree programs, post-nursing Master’s Application Deadline: 12/03/1999. Phone Number: 1–301–443–6333. certificate programs, or in the case of Projected Award Date: 04/28/2000. E-mail: [email protected]. nurse midwives, certificate programs in Advancement of Telehealth existence on November 12, 1998 to Authorization serve as nurse practitioners, clinical Public Health Service Act, Title VIII, Rural Telemedicine Grant Program nurse specialists, nurse midwives, nurse Section 811, 42 U.S.C. 296j. CFDA Number: 93.211. anesthetists, nurse educators, nurse Application Availability: 12/01/1999. administrators or public health nurses. Purpose The traineeship program is a formula Grants are awarded to eligible To Obtain an Application Kit program and all eligible schools will institutions for projects that support Contact: 1–888–333–HRSA until receive awards. traineeships for licensed registered September 12, 1999. nurses enrolled as full-time students Funding Priorities and/or Preferences After September 12, the new toll free beyond the twelfth month of study in a number will be 1–877–HRSA (4772)– Statutory Funding Preference: As Master’s nurse anesthesia program. The 123. provided in Section 805 of the Public traineeship program is a formula Letter of Intent Deadline: 01/31/2000. Health Service Act, preference shall be program and all eligible entities will Application Deadline: 03/01/2000. given to applicants with projects that receive awards. Projected Award Date: 08/31/2000. will substantially benefit rural or underserved populations, or help meet Eligible Organization Authorization public health nursing needs in State or Eligible applicants are schools of Public Health Service Act, Title III, local health departments. nursing, academic health centers, and Section 330A, 42 U.S.C. 254c.

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Purpose funded mental health facilities, rural schools. Each recipient of loan To demonstrate how telemedicine/ home care agencies, rural nursing repayment must agree to serve as a telehealth can be used as a tool in homes, and rural school health faculty member for at least 2 years. programs/clinics. Any additional developing integrated systems of health Eligibility care, improving access to health services requirements based on legislative Schools of medicine, osteopathic for rural citizens and reducing the changes will be noted in the application medicine, dentistry, veterinary isolation of rural health care kit. medicine, optometry, podiatric practitioners, and to collect information Funding Priorities and/or Preferences medicine, pharmacy, public health, for the systematic evaluation of the Funding preferences are included in allied health, nursing and graduate feasibility, costs, appropriateness and the application kit. programs in behavioral and mental acceptability of rural telemedicine/ health are eligible to apply. telehealth. Grantees may not use in Review Criteria An individual is eligible to compete excess of 40 percent of their Federal Final criteria are included in the for participation in the FLRP if the grant funds each year for the purchase application kit. individual is from a disadvantaged or lease and installation of equipment background and: (1) Has a degree in (i.e., equipment used inside the health Estimated Amount of This Competition medicine, osteopathic medicine, care facility or home for providing $8,000,000. dentistry, nursing, or another health telehealth services such as codecs, profession; (2) is enrolled in an cameras, monitors, computers, Estimated number of awards approved graduate training program in multiplexers, etc.). Grantees may not 25. one of the health professions listed use Federal funds to purchase or install above; or (3) is enrolled as a full-time transmission equipment (i.e., Estimated Project Period student in an accredited (as determined microwave towers, large satellite dishes, 3 Years. by the Secretary) school listed above amplifiers, or laying of telephone or For Programmatic Questions and is in the final year of training cable lines). Grantees may not use leading to a degree from an eligible Federal funds to build or acquire real Contact Person: Cathy Wasem or Amy school. property or for construction except to Barkin. the extent that such funds are used for Phone Number: 1–301–443–0447. Funding Priorities and/or Preferences E-mail: [email protected] or minor renovations related to the None. installation of telemedicine/telehealth [email protected]. equipment. No more than 20 percent of Note to Potential Applicants Special Considerations the amounts provided under the grants Special consideration will be given to can be used to pay for the indirect costs The Office for the Advancement of Telehealth anticipates announcing a the extent to which the individual meets associated with carrying out the the intent of the program to expand activities of the grant. similar telemedicine/telehealth program for urban underserved and hard-to-reach disadvantaged representation in health Eligibility populations in December 1999, subject professions faculty positions. In general, any public (non-Federal) to the availability of funds. Review Criteria or private nonprofit entity that is: (1) a Other HRSA Programs Final criteria are included in the health care provider and a member of an application kit. existing or proposed telemedicine/ Faculty Loan Repayment Program telehealth network, or (2) a consortium (FLRP) Estimated Amount of This Competition of providers that are members of an CFDA Number: 93.923. $800,000. existing or proposed telemedicine/ Application Availability: 01/03/2000. telehealth network. The applicant must Estimated Number of Awards To Obtain This Application Kit be a legal entity capable of receiving 25. Federal grant funds. The applicant may Contact: 1–888–333–HRSA until be located in either a rural or urban September 12, 1999. Estimated Project Period area. Other telemedicine network After September 12, the new toll free Not less than 2 Years. members may be public or private, number will be 1–877–HRSA (4772)– For Programmatic Questions nonprofit or for-profit. Health facilities 123. operated by a Federal agency may be Application Deadline: 03/31/2000. Contact Person: Jeff Potts. members of the network but not the Projected Award Date: 09/01/2000. Phone Number: 1–301–443–1700. applicant. A telemedicine/telehealth E-mail: [email protected]. Authorization network shall, at a minimum, be Scholarships for Disadvantaged composed of a multi-speciality entity Public Health Service Act, Title VII, Students (SDS) that is located in an urban or rural area Section 738(a), 42 U.S.C. 293b. which can provide 24-hour-a-day CFDA Number: 93.925. access, as appropriate, to a range of Purpose Application Availability: 02/01/2000. diagnostic, therapeutic, ongoing The FLRP encourages expansion of To Obtain an Application Kit management, preventive, and disadvantaged representation in health monitoring services. It must also have at professions faculty positions. The Contact: 1–888–333–HRSA until least two rural health care facilities, program provides loan repayment, in September 12, 1999. which may include rural hospitals amounts not to exceed $20,000 for each After September 12, the new toll free (fewer than 100 staffed beds), rural year of service, for individuals from number will be 1–877–HRSA (4772)– health professional office practices, disadvantaged backgrounds who agree 123. rural health clinics, rural community or to serve as members of the faculties of Application Deadline: 03/15/2000. migrant health centers, rural publicly- eligible health professions and nursing Projected Award Date: 05/31/2000.

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Authorization Phone Number: 1–301–443–4776. Estimated Project Period Public Health Service Act, Title VII, E-mail: [email protected]. None. Section 737, 42 U.S.C. 293a. Nursing Education Loan Repayment Funding Priorities and/or Preferences Program Purpose In making awards under this Section, The SDS program contributes to the CFDA Number: 93.908. preferences will be given to qualified diversity of the health professions Application Availability: 03/01/2000. applicants who have the greatest student and practitioner populations. To Obtain This Application Kit financial need and who agree to serve in The program provides funding to Contact: 1–888–333–HRSA until the types of health facilities described eligible health professions and nursing September 12, 1999. above that are located in geographic schools to be used for scholarships to areas determined by the Secretary to students from disadvantaged After September 12, the new toll free have a shortage of and need for nurses. backgrounds who have financial need number will be 1–877–HRSA (4772)– for scholarships and are enrolled, or 123. Review Criteria accepted for enrollment, as full-time Application Deadline: 05/01/2000. Awards are determined by formula. students at the eligible schools. Projected Award Date: 09/01/2000. For Programmatic Questions Authorization Eligibility Contact Person: Winifred Lapp. (1) Schools of allopathic medicine, Public Health Service Act, Title VIII, Phone Number: 1–301–594–4400. osteopathic medicine, dentistry, Section 846, 42 U.S.C. 297m. E-mail: [email protected]. optometry, pharmacy, podiatric Purpose HRSA’s Approach to Performance medicine, veterinary medicine, public Measurement health, nursing, chiropractic, graduate Under the Nursing Education Loan programs in behavioral and mental Repayment Program (NELRP), registered The Health Resources and Services health, physician assistants, or allied nurses are offered the opportunity to Administration (HRSA) is the lead health are eligible to apply; and (2) enter into a contractual agreement with Federal agency in promoting access to schools with a program for recruiting the Secretary, under which the Public health care services that create and and retaining students from Health Service agrees to repay up to 85 improve the Nation’s health. With a disadvantaged backgrounds, including percent of the nurse’s indebtedness for statutory emphasis on special needs, students who are members of racial and nursing education loans. In exchange, underserved, and vulnerable ethnic minority groups. the nurse agrees to serve for a specified populations, HRSA mobilizes its period of time in certain types of health bureaus, programs, staff and partners to Funding Priorities and/or Preferences facilities identified in statue. assure access to quality health care. An applicant must provide assurances HRSA is an agency with multiple Eligibility that preference in providing programs but with a single strategic scholarships will be given to students Applicants must have completed all goal: Assure 100% access to health care for whom the costs of attending the of their training requirements for and 0% disparities for all Americans. schools would constitute a severe registered nursing and be licensed prior We do not rely solely on the HRSA financial hardship and to former to beginning service. Individuals budget or even other Federal funding in recipients of Exceptional Financial eligible to participate must: (a) Have our quest to meet our goal. Instead, we Need and Financial Assistance for received, prior to the start of service, a work to establish alliances and Disadvantaged Health Professions baccalaureate or associate degree in partnerships with a broad array of Students Scholarships. nursing; (b) Have unpaid education organizations ranging from State and Funding Priorities and/or Preferences loans obtained for nurse training; (c) Be local governments to foundations and a citizen or Nation of the U.S.; (d) Have corporations. A priority will be given to eligible a current unrestricted license in the In order to support our goal, HRSA entities that are health professions and State in which they intend to practice; has established four strategies: nursing schools based on the proportion and (e) Agree to be employed for not • Eliminate Barriers to Care; of graduating students going into less than two years in a full-time • Eliminate Health Disparities; primary care, the proportion of under- clinical capacity in: (1) An Indian • Assure Quality of Care; and represented minority students, and the Health Service Health Center; (2) a • Improve Public Health and Health proportion of graduates working in Native Hawaiian Health Center; (3) a Care Systems. medically underserved communities. public hospital (operated by a State, Within each of these strategies there Review Criteria county, or local government); (4) a are three substrategies to fully health center funded under Section 330 implement them (see Model). We have Final criteria are included in the of the Public Health Service Act aligned our strategic plan, our application kit. (including migrant, homeless, and Government Performance and Results Estimated Amount of This Competition public housing health centers); (5) a Act (GPRA) measures, and our budget under these activities. $38,966,000. rural health clinic (Section 1861 (aa)(2) of the Social Security Act); or (6) a The GPRA requires Federal agencies Estimated Number of Awards public or nonprofit private health to prepare 5-year Strategic Plans setting 1,000. facility determined by the Secretary to out long-term goals and objectives, have a critical shortage of nurses. Annual Performance Plans committing Estimated Project Period to short-term performance goals, and 1 Year. Estimated Amount of This Competition Annual Performance Reports explaining $2,240,000. and documenting how effective the For Programmatic Questions Agency’s actions have been at achieving Contact Person: Angie Lacy or Andrea Estimated Number of Awards the stated goals. Castle. 200. HRSA accomplishes its mission by:

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• Working with States and factors, geographic location, and • Supporting innovative partnerships communities which form the foundation economic circumstances. to promote effective, integrated systems for developing integrated service • Assisting States and communities to of care for all population groups. identify and address unmet service systems and the appropriate health • Promoting the recruitment, training, needs and workforce gaps in the health workforce to help assure access to and retention of a culturally and care system. essential high-quality health care. • linguistically competent and diverse • Promoting continuous quality Assuring that these systems take improvement in health services delivery health care workforce. into account cultural and linguistic and health professions education.

Strategy 1: Eliminate Barriers to Care Primary Health Care for the Poor, health and support services for under-or • Increase utilization for underserved Uninsured and Isolated uninsured people with HIV/AIDS. The • Increase Access Points • HRSA supports a network of AIDS Drug Assistance Programs are • Focus on target population primary care health centers that deliver designed to make available the latest primary care—preventing disease and therapeutic approaches to care for those Strategy 2: Eliminate Health Disparities treating illness—in underserved areas. who would not otherwise have access to • Reduce incidence/prevalence of Each year, more than 9 million such care. disease and morbidity/mortality Americans receive care through HRSA Training Health Professionals to Serve • Increase utilization for underserved health centers. More than half of those the Underserved populations receiving care are members of working • • Focus on target populations families with no health insurance. HRSA supports a variety of community-based training programs to Strategy 3: Assure Quality of Care Health Care for Americans With Special train the next generation of physicians, • Promote appropriateness of care Health Care Needs nurses and other health professionals to • Assure effectiveness of care • A major HRSA focus is on the work effectively in managed care, to • Improve customer/patient health of mothers, children and youth, become productive members of health satisfaction particularly minority, low-income and care teams, and to increase the uninsured individuals and families who provision of services in underserved Strategy 4: Improve Public Health and face barriers to needed health services, areas. Health Care Systems such as prenatal care and immunization. Approach to Performance Measurement • Improve Information development Through the Maternal and Child Health and dissemination Block Grant, each State assesses the HRSA has made a strong effort to • Promote education and training of health care needs of its pregnant build a performance management the Public Health and Health Care women, children and adolescents, then approach into the way it conducts its Workforce develops and implements a plan to meet business. The agency structured the • Promote systems and infrastructure them. development of its internal strategic development • Ryan White CARE Act programs are planning process to be consistent with The overall approach that HRSA designed to help people with HIV/AIDS the requirements of the Government follows is focused on: live better and longer. Funding provides Performance and Results Act. The goals

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DEPARTMENT OF ENERGY Energy, 1000 Independence Avenue, III. Description of Proposal SW, Washington, DC 20585. IV. Regulatory Review 10 CFR Parts 709, 710, and 711 Alternatively, comments may be e- A. National Environmental Policy Act mailed to the following address: B. Regulatory Flexibility Act [Docket No. CN±RM±99±POLY] C. Review Under the Paperwork Reduction [email protected]. Where possible, Act RIN 1992±AA24 commentors should identify the specific D. Unfunded Mandates Reform Act of 1995 section of the proposed rule to which E. Treasury and General Government Polygraph Examination Regulation they are responding. Appropriations Act, 1999 AGENCY: Department of Energy. Copies of the public hearing F. Executive Order 12866 G. Executive Order 12612 ACTION: transcripts, written comments received, Notice of proposed rulemaking H. Executive Order 12875 and public hearings. technical reference material referred to in this notice, and any other docket I. Executive Order 12988 J. Review Under Executive Order 13084 SUMMARY: The Department of Energy material may be reviewed and copied at V. Opportunity for Public Comment (DOE or the Department) proposes the DOE Freedom of Information regulations for the use of polygraph Reading Room, Room 1E–190, 1000 I. Introduction examinations for certain DOE and Independence Avenue, SW, The Atomic Energy Act of 1954 (AEA contractor employees, applicants for Washington, DC 20585, between the or Atomic Energy Act) assigns to DOE employment, and other individuals hours of 9 a.m. and 4 p.m. Monday certain atomic energy defense assigned or detailed to Federal positions through Friday, except Federal holidays. production and clean-up obligations at DOE. The proposed regulations The docket material for this rulemaking that are discharged at various DOE- describe the categories of individuals will be filed under ‘‘CN–RM–99– owned, contractor-operated installations who would be eligible for polygraph POLY.’’ The Federal Register notice and around the United States. Section 161 of testing and controls for the use of such supporting documentation can be the AEA authorizes DOE to adopt rules testing and for prevention of located on DOE’s Internet home page at necessary to carry out those functions, unwarranted intrusion into the privacy the following address: http:// 42 U.S.C. 2201. Under that authority, of individuals. These regulations are home.doe.gov/news/fedreg.htm. DOE today proposes regulations for being proposed to comply with various The public hearings for this using counterintelligence-scope Executive Orders which require the rulemaking will be held at the following polygraph examinations for national Department to protect classified addresses: security purposes, and exculpatory information. These regulations for the Livermore, CA: Lawrence Livermore polygraph examinations at the request use of polygraph examinations for National Laboratory, Building 123 of an individual, while protecting the certain DOE and contractor employees Auditorium (use South West Gate rights of individuals. All such are intended to protect highly sensitive entrance, East Avenue). polygraph examinations will be and classified information and materials Albuquerque, NM: Sandia National voluntary. However, if an individual to which such employees have access. Laboratories, Steve Schiff refuses to submit to an examination that This rulemaking also proposes Auditorium, Building 825. is for national security purposes, DOE conforming changes to regulations Los Alamos, NM: Los Alamos National and its contractors may decline to select governing the Department’s Personnel Laboratory, Administration Building, the individual for the sensitive positions Security Assurance Program and Main Auditorium (1st floor). specified in this rule, and DOE may Personnel Assurance Program. Washington, DC: U.S. Department of deny the individual access to the DATES: The comment period for this Energy, Auditorium (ground floor, E information that justified conducting proposed rule will end on October 4, corridor), 1000 Independence the examination. 1999. Public hearings will be held on: Avenue, SW, Washington, DC. II. Background September 14, 1999 in Livermore, CA For more information concerning from 9 a.m. to 1 p.m. and 3 p.m. to 7 public participation in this rulemaking DOE, as the successor agency to the p.m.; September 16, 1999, in proceeding, see Section V of this notice Atomic Energy Commission, has broad Albuquerque, NM from 9 a.m. to 1 p.m. (Opportunity for Public Comment). responsibilities under the AEA to direct and 3 p.m. to 7 p.m.; September 17, FOR FURTHER INFORMATION CONTACT: the development, use, and control of 1999, in Los Alamos, NM from 9 a.m. atomic energy. These responsibilities to 1 p.m. and 3 p.m. to 6 p.m.; and Douglas Hinckley, U.S. Department of include a specific mandate to protect September 22, 1999, in Washington D.C. Energy, Office of Counterintelligence, sensitive and classified information and from 9 a.m. to 1 p.m. CN–1, 1000 Independence Avenue, materials involved in the design, Requests to speak at any of the SW, Washington, DC 20585, (202) production, and maintenance of nuclear hearings should be phoned in to Andi 586–5901 weapons, as well as a general obligation Kasarsky, (202) 586–3012, by September Lise Howe, U.S. Department of Energy, to ensure that permitting an individual 10, for the Livermore, CA hearing; Office of General Counsel, GC–73, to have access to information classified September 14, for the Albuquerque, NM 1000 Independence Avenue, SW, under the AEA will not endanger the hearing; September 15, for the Los Washington, DC 20585, (202) 586– nation’s common defense and security. Alamos, NM hearing; and September 20, 2906 In addition, various Executive Orders for the Washington, DC hearing. Each For information concerning the public of government-wide applicability presentation is limited to 5 minutes to hearings, requests to speak at the require DOE to take steps to protect ensure that all persons have an hearings, submission of written classified information. Executive Order opportunity to speak. comments or docket file information No. 12958, Classified National Security ADDRESSES: Written comments (10 contact: Andi Kasarsky at (202) 586– Information (April 17, 1995), requires copies) should be addressed to Douglas 3012. the Secretary to establish controls to J. Hinckley, Office of SUPPLEMENTARY INFORMATION: ensure that classified information is Counterintelligence, CN–1, Docket No. I. Introduction used only under conditions that provide CN–RM–99–POLY, U.S. Department of II. Background adequate protection and prevent access

VerDate 18-JUN-99 12:11 Aug 17, 1999 Jkt 183247 PO 00000 Frm 00002 Fmt 4701 Sfmt 4702 E:\FR\FM\A18AU2.003 pfrm07 PsN: 18AUP2 Federal Register / Vol. 64, No. 159 / Wednesday, August 18, 1999 / Proposed Rules 45063 by unauthorized persons. Executive prohibitions polygraph examinations Notice is publicly available at http:// Order 12968, Access to Classified administered by DOE in the www.explorer.doe.gov:1776/htmls/regs/ Information (August 2, 1995), requires performance of its counterintelligence doe/newserieslist.html on the DOE the Secretary to establish and maintain function to any expert, consultant or Directives website. an effective program to ensure that contractor employee of DOE in As a second step, DOE is proposing employee access to classified connection with atomic energy defense information is clearly consistent with activities, 29 U.S.C. 2006(b)(1)(B). The today to expand the polygraph the interests of national security. In statute also specifically exempts examination program to cover all addition, in February 1998, President polygraph examinations administered employees at its facilities, contractor Clinton issued Presidential Decision by a Federal agency, in the performance employees as well as Federal Directive–61, ‘‘U.S. Department of of an intelligence or counterintelligence employees, in positions with access to Energy Counterintelligence Program,’’ a function, to an individual whose duties the most sensitive categories of classified document containing the involve access to top secret classified classified information and materials, as President’s determination that DOE information or information designated well as applicants for such positions. must do more to protect the highly as being within a Special Access When final, this rule will establish sensitive and classified information at Program (SAP), 29 U.S.C. 2006(b)(2). In polygraph examination regulations that its facilities. The President instructed DOE’s view, polygraph examinations are apply to both Federal and contractor DOE to develop and implement specific a useful investigatory tool for employees. DOE also has submitted a measures to reduce the threat to such counterintelligence purposes because copy of this proposed rule to OPM. information, including implementation they assist in eliciting comprehensive of a polygraph program. An unclassified information, and in distinguishing DOE acknowledges that some version of the Presidential Decision between deception and non-deception. individuals consider polygraph Directive is available in the DOE Congress left to DOE the discretion to examination results to be generally Freedom of Information Reading Room. develop rational procedures for unreliable and believe that they should As an element of carrying out its evaluating and processing the results of not be used as the basis for any action national security mission, DOE has polygraph examinations and for with regard to an employee. However, instituted a counterintelligence program protecting individuals from misuse of DOE is aware of no scientific studies to strengthen its protection of such an examination. that establish that polygraph information and technologies in Along with the strong need for examination results are unreliable for connection with DOE’s atomic energy protection of classified and sensitive use as an investigative tool, as DOE defense activities. DOE believes that information in its possession, DOE today has proposed to use them. As an requiring counterintelligence-scope recognizes the importance of protecting investigative tool, polygraph polygraph examinations for individuals individuals’ rights. In the 1960s, examinations results are superior to in positions with access to the most President Lyndon B. Johnson issued a random interviews relying on purely sensitive information in connection memorandum entitled ‘‘Use of subjective evaluations. DOE also is with DOE’s atomic energy defense Polygraph in the Executive Branch’’ aware that some individuals think activities is a necessary, prudent which is intended to ‘‘prevent today’s proposed rule could have an unwarranted intrusion into the privacy measure to fulfill DOE’s national effect on the recruitment and retention security responsibilities. A of individuals.’’ The memorandum of qualified personnel. Nevertheless, counterintelligence-scope polygraph prohibits subjecting Federal employees DOE believes that established examination both serves as a means to to polygraph examinations except in deter unauthorized disclosures of limited situations. One of the exceptions procedures for polygraph testing, classified information and provides a permits an executive department or limitations on the scope of questions, means for possible early detection of agency that has an intelligence or qualifications standards for polygraph disclosures to enable DOE to take steps counterintelligence mission directly examiners, and limitations on the use of promptly to prevent further harm to the affecting national security to use polygraph examination results with national security. polygraph examinations for regard to final adverse actions, will be A counterintelligence-scope employment screening and personnel perceived as fair by most potential polygraph examination also is an investigations, and in intelligence and employees and will protect the integral element of the DOE Accelerated counterintelligence operations. In such legitimate interests of existing Access Authorization Program (AAAP), cases, the agency must complete a employees. DOE invites members of the a program that DOE utilizes to grant review process with the Office of public to comment on the balance it has interim security clearances on an Personnel Management (OPM). struck in today’s proposal between expedited basis. In addition, use of a As an initial step toward developing legitimate national security interests polygraph examination when an and implementing a polygraph and regulatory limitations to protect individual requests one as a means of requirement for sensitive positions, DOE employees from inappropriate or exculpation in order to resolve a issued an internal DOE directive, DOE imprudent use of polygraph counterintelligence investigation or Notice 472.2, Use of Polygraph examinations and the results of such personnel security issue hastens the Examinations, that establishes a examinations. DOE’s prompt resolution of such issues. polygraph requirement for Federal The Employee Polygraph Protection employees who occupy or seek to Today’s action continues DOE’s Act (Pub. L. 100–347) (EPPA) generally occupy certain sensitive positions. The efforts to carry out its statutory prohibits the use of polygraph DOE Notice also provides for polygraph responsibilities and Presidential examinations in private employment examinations to be administered to direction to provide strong programs to settings, but that law does not apply to Federal employees as part of the AAAP protect against the disclosure of the Federal government or its and, upon request, as a means of information and materials that could employees. In addition, the EPPA exculpation. The DOE Notice has been harm national defense and security. specifically exempts from its submitted to OPM for its review. The

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III. Description of Proposal categories that warrant polygraph Section 709.14 What Are the examination and the order of priority for Consequences of a Refusal To Take a PART 709, Subpart A—General Polygraph Examination? Provisions conducting polygraph examinations of the DOE and contractor employees in All polygraph examinations Section 709.3 What Are the the eligible positions. administered by DOE are voluntary. Definitions of the Terms Used in This In addition to the programs whose There may, however, be consequences Part? employees would be eligible for a resulting from a refusal to take, or This section proposes definitions for polygraph examination, there are two failure to complete, a polygraph terms used in the rule. The definition other circumstances under which DOE examination. This section describes the for the phrase ‘‘adverse personnel would administer polygraph possible consequences of an action’’ for Federal employees is derived examinations. First, a individual’s refusing to take, or failing from 5 U.S.C. Chapter 75, and for counterintelligence-scope polygraph to complete, a required polygraph contractor employees from correlative examination is an element of the AAAP, examination. principles under the National Labor Failure to complete the polygraph which is a voluntary program under Relations Act. The terms examination is treated the same as a which an individual’s DOE access ‘‘counterintelligence’’ and refusal to take a polygraph examination. authorization (security clearance) may ‘‘intelligence’’ are based on definitions If an individual refuses to take, or in the National Security Act of 1947. 50 be expedited. Second, individuals terminates at any time prior to U.S.C. 401a. The definition for would be permitted, at their own completion, a polygraph examination, ‘‘polygraph’’ is the same as that used by option, to request a polygraph that individual may be denied access to the Department of Labor in its examination in order to resolve the information and denied involvement regulations implementing the EPPA. 29 questions that have arisen in either the in the activities that justified conducting CFR part 801. The definition for personnel security or the examination, consistent with ‘‘Special Access Program or SAP’’ is counterintelligence areas; these proposed § 709.15. In some based on the definition of that term in examinations are referred to as circumstances, for example individuals Executive Order 12958, Classified exculpatory polygraph examinations. with counterintelligence or intelligence National Security Information (April 17, responsibilities, the information or Section 709.5 How Will an Individual 1995). activities may be essential to the Know If His or Her Position Will Be individual’s ability to do his or her job. Section 709.4 To Whom Does the Eligible for Polygraph Examination? In such a case, the employer (whether Polygraph Examination Requirement it is DOE or a contractor) must make Under This Part Apply? As proposed, all employees of the programs described in § 709.4(a)(1)–(8) every effort to find a new position for This section proposes the programs are eligible for polygraph examinations. which the individual would be suitable, whose employees would be eligible for If there is a vacant position within one consistent with that denial of access. If polygraph examination. The programs the individual is on assignment or detail of these programs, DOE or its include employees and applicants for to DOE from another agency, the contractors must indicate in the job or employment with DOE and its individual may simply be returned to contractors (including subcontractors at vacancy announcement that the the employing agency. all tiers), and also individuals who may employee selected would be eligible for If a DOE employee refuses to take a be assigned or detailed to Federal a polygraph examination. required polygraph examination, DOE positions at DOE. There are eight Subpart B—Polygraph Examination cannot record the fact of that refusal in program categories whose employees Protocols and Protection of National the individual’s personnel file. are eligible for polygraph examination. Security Nevertheless, DOE may record the These include counterintelligence and refusal in a personnel security file. The intelligence positions; positions Section 709.11 What Types of Topics prohibition on recording a DOE requiring access to special access Are Within the Scope of a Polygraph employee’s refusal to take a polygraph programs; positions subject to the Examination? examination in an individual’s Personnel Assurance Program (PAP) or personnel file is contained in President Personnel Security Assurance Program Polygraph examinations would be Lyndon B. Johnson’s Memorandum on (PSAP); positions with a need-to-know counterintelligence-scope, designed to ‘‘Use of the Polygraph in the Executive or access to information specifically address the narrow topics of whether Branch.’’ Because that memorandum is designated by the Secretary or his the individual has engaged, or is not explicitly applicable to contractor delegatee regarding the design and engaging, in espionage, sabotage, employees and because DOE does not operation of nuclear weapons and terrorism, unauthorized disclosures of maintain personnel files for contractor associated use and control features; classified information, unauthorized employees, DOE has limited the positions within the Office of foreign contacts, or deliberate damage to prohibition in the rule to Federal Independent Oversight and Performance or malicious misuse of a U.S. employees. However, the Department Assurance, or any successor thereto, government information or defense recommends that its contractors adopt a involved in inspection and assessment system. The only time topics other than similar policy with respect to contractor of safeguards and security functions, these would be within the scope of a employees. including cyber security, of the polygraph examination is when an Exculpatory polygraph examinations Department; and positions within the individual has requested an exculpatory are administered only at the request of Office of Security and Emergency examination. In the case of exculpatory the individual, and an individual is Operations, or any successor thereto. examinations, the topics are limited to under no obligation to request an DOE will establish an internal process the personnel security or exculpatory polygraph examination. To to review these programs in order to ensure there are no inappropriate counterintelligence matter at issue. develop the criteria for identifying the consequences if an individual does not specific positions in the eight program request an exculpatory polygraph

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All polygraph examination records Similarly, the fact that an individual has Section 709.21 When Is an Individual will be maintained in systems of records not requested an exculpatory Notified That a Polygraph Examination established under the Privacy Act of examination may not be recorded in an Is Scheduled? 1974 with appropriate protections on individual’s personnel security or confidentiality. In accordance with the DOE has elected to establish a investigative file or the personnel file of Privacy Act, the records cannot be minimum of forty-eight hours advance a Federal employee. Because DOE does disclosed, except in response to a notification of scheduled polygraph not maintain personnel files for written request by, or with the prior examinations. DOE believes that the contractor employees, DOE has limited written consent of, the individual to forty-eight hours should provide an the prohibition in the rule to Federal whom the record pertains unless individual sufficient time to secure any employees. However, the Department desired legal counsel or another disclosure would be permitted by the recommends that its contractors adopt a Privacy Act. similar policy with respect to contractor representative. DOE has provided two employees. exceptions to the rule, a good cause Parts 710 and 711 exception and an exception when the Section 709.15 How Does DOE Use individual waives the advance notice. DOE proposes conforming changes to Polygraph Examination Results? Under the good cause exception, DOE regulations established for the Personnel If following the completion of the may provide an individual less than Security Assurance Program (PSAP), 10 polygraph test there are any unresolved forty-eight hours advance notification of CFR part 710, subpart B, and the issues, the polygraph examiner must a polygraph examination when the Personnel Assurance Program (PAP), 10 conduct an in-depth interview of the Secretary of Energy or the Secretary’s CFR part 711. All positions subject to individual to address those unresolved designee determines that the these programs would be eligible for the issues. After the in-depth interview, if information to which the individual has polygraph examination provisions of there are remaining unresolved issues access is of such extreme sensitivity that proposed part 709. that raise significant questions relevant waiting forty eight hours poses an IV. Regulatory Review to the individual’s access to the unacceptable risk to national security or information or involvement in the defense. The waiver provision would A. National Environmental Policy Act activities that justified the polygraph favor an individual who wishes a examination, DOE will so advise the polygraph examination as quickly as This proposed rule would establish individual and provide an opportunity possible either for exculpatory reasons regulations for use of polygraph for the individual to undergo an or to expedite his or her access to examinations. DOE has determined that additional polygraph examination. If the information or involvement in activities this rule is covered under the additional polygraph examination is not that justify the polygraph examination. Categorical Exclusion found in the Department’s National Environmental sufficient to resolve the matter, DOE Section 709.22 What Rights to Counsel Policy Act regulations at paragraph A.6 must undertake a comprehensive or Other Representation Does an investigation of the individual, using Individual Have? of appendix A to subpart D, 10 CFR part the polygraph examination as an 1021, which applies to rulemakings that investigative lead. An individual has a right to consult are strictly procedural. Accordingly, After completion of the polygraph with anyone before any polygraph neither an environmental assessment examination(s), the Department will examination. The individual may obtain nor an environmental impact statement conduct an eligibility evaluation that legal counsel, professional assistance, or is required. considers polygraph examination union representation. However, these results, the individual’s personnel representatives may not be present B. Regulatory Flexibility Act security file, and other pertinent during any phase of the polygraph information. DOE may conduct a examination. Consistent with the Regulatory personal interview as an element of the Flexibility Act, 5 U.S.C. 601, et seq., Section 709.25 Are There Limits on eligibility evaluation. Based upon the DOE must prepare an initial regulatory Use of Polygraph Examination Results eligibility evaluation, the individual flexibility analysis for a proposed rule may be denied access to the information That Reflect ‘‘Deception Indicated’’ or unless DOE certifies that the rule would and denied involvement in the activities ‘‘No Opinion’’? not have a substantial impact on a that justified the polygraph DOE believes that, while polygraph significant number of small entities. examination. If the eligibility evaluation examinations are a useful tool, they This rulemaking would not directly results raise questions of loyalty to the should not constitute the sole basis for regulate small businesses or small United States, DOE must refer the taking any action against an individual, governmental entities. It would apply matter to the Federal Bureau of except when the Secretary or the principally to individuals who are Investigation for investigation under Secretary’s designee determines that existing employees of, or applicants for section 145d of the Atomic Energy Act permitting the individual continued employment by, some of the DOE’s (42 U.S.C. 2165d). If the eligibility access to protected information would prime contractors who are all large evaluation results reflect derogatory pose an unacceptable risk to national businesses. There may be some affected information and the individual already defense and security. While an small businesses that are subcontractors, holds an access authorization, DOE may individual’s access may be suspended but the rule would not impose initiate an administrative review of the pursuant to such a Secretarial unallowable costs. Accordingly, DOE individual’s access authorization determination, DOE will in all such certifies that the rule will not have a eligibility under the DOE regulations cases investigate further under § 709.15 substantial impact on a significant governing eligibility for access in order to resolve the issue. number of small entities.

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C. Review Under the Paperwork integrity of the family as an institution. affected conduct rather than a general Reduction Act Accordingly, DOE has concluded that it standard and promote simplification DOE has determined that this rule, as is not necessary to prepare a Family and burden reduction. With regard to proposed, does not contain any new or Policymaking Assessment. the review required by section 3(a), section 3(b) of Executive Order 12988 amended record keeping, reporting, or F. Executive Order 12866 specifically requires that Executive application requirements, or any other Section 6 of Executive Order 12866 type of information collection agencies make every reasonable effort to provides for a review by the Office of ensure that the regulation: (1) Clearly requirements subject to the Paperwork Information and Regulatory Affairs Reduction Act (Pub. L. 96–511). specifies the preemptive effect, if any; (OIRA) of a significant regulatory action, (2) clearly specifies any effect on D. Unfunded Mandates Reform Act of which is defined to include an action existing Federal law or regulation; (3) 1995 that may have an effect on the economy provides a clear legal standard for of $100 million or more, or adversely The Unfunded Mandates Reform Act affected conduct while promoting affect, in a material way, the economy, of 1995 (Pub. L. 104–4) generally simplification and burden reduction; (4) competition, jobs, productivity, the requires Federal agencies to closely specifies the retroactive effect, if any; (5) environment, public health or safety, or examine the impacts of regulatory adequately defines key terms; and (6) State, local, or tribal governments. DOE actions on State, local, and tribal addresses other important issues has concluded that this proposed rule is governments. Subsection 101(5) of title affecting clarity and general not a significant regulatory action. I of that law defines a Federal draftsmanship under any guidelines intergovernmental mandate to include G. Executive Order 12612 issued by the Attorney General. Section 3(c) of Executive Order 12988 requires any regulation that would impose an Executive Order 12612, 52 FR 41685, enforceable duty upon State, local, or Executive agencies to review regulations requires that regulations, rules, in light of applicable standards in tribal governments, except, among other legislation, and any other policy actions things, a condition of Federal assistance section 3(a) and section 3(b) to be reviewed for any substantial direct determine whether they are met or it is or a duty arising from participating in a effect on States, on the relationship voluntary federal program. Title II of unreasonable to meet one or more of between the Federal government and them. DOE has completed the required that law requires each Federal agency to the States, or in the distribution of assess the effects of Federal regulatory review and determined that, to the power and responsibilities among extent permitted by law, the rule, as actions on State, local, and tribal various levels of government. If there governments, in the aggregate, or to the proposed, meets the relevant standards are substantial effects, then the of Executive Order 12988. private sector, other than to the extent Executive Order requires a preparation such actions merely incorporate of a Federalism assessment to be used J. Review Under Executive Order 13084 requirements specifically set forth in a in all decisions involved in statute. Section 202 of that title requires Under Executive Order 13084 promulgating and implementing policy (Consultation and Coordination with a Federal agency to perform a detailed action. The rule, as proposed in this assessment of the anticipated costs and Indian Tribal Governments), DOE may notice, will not have a substantial direct not issue a discretionary rule that benefits of any rule that includes a effect on the institutional interests or Federal mandate which may result in significantly or uniquely affects Indian traditional functions of the States. tribal governments and imposes costs to State, local, or tribal Accordingly, no assessment or analysis governments, or to the private sector, of substantial direct compliance costs. is required under Executive Order This proposed rulemaking would not $100 million or more. Section 204 of 12612. that title requires each agency that have such effects. Accordingly, proposes a rule containing a significant H. Executive Order 12875 Executive Order 13084 does not apply to this rulemaking. Federal intergovernmental mandate to Executive Order 12875 (Enhancing develop an effective process for Intergovernmental Partnership), V. Opportunity for Public Comment obtaining meaningful and timely input provides for reduction or mitigation, to A. Written Comments from elected officers of State, local, and the extent allowed by law, of the burden tribal governments. on State, local and tribal governments of Interested individuals are invited to This rule, as proposed, is not likely to unfunded Federal mandates not participate in this proceeding by result in any Federal mandate that may required by statute. The analysis under submitting data, views or comments result in the expenditure by State, local, the Unfunded Mandates Reform Act of with respect to this proposed rule. To and tribal governments in the aggregate, 1995 above, satisfies the requirements of help the Department review the or by the private sector, of $100 million Executive Order 12875. Accordingly, no submitted comments, commentors are or more in any one year. Accordingly, further analysis is required under requested to reference the paragraph(s) no assessment or analysis is required Executive Order 12875. (e.g., 850.3(a)) to which they refer when under the Unfunded Mandates Reform possible. Act of 1995. I. Executive Order 12988 Ten copies of written comments With respect to the review of existing should be submitted to the address E. Treasury and General Government regulations and the promulgation of indicated in the ADDRESSES section of Appropriations Act, 1999 new regulations, section 3(a) of this NOPR. Comments should be Section 654 of the Treasury and Executive Order 12988, Civil Justice identified on the outside of the envelope General Government Appropriations Reform, 61 FR 4729 (February 7, 1996), and on the comments themselves with Act, 1999 (Pub. L. 105–277) requires imposes on Executive agencies the the designation, ‘‘Polygraph Rule, Federal agencies to issue a Family general duty to adhere to the following Docket No. CN–RM–99–POLY.’’ Should Policymaking Assessment for any requirements: (1) Eliminate drafting anyone wishing to provide written proposed rule that may affect family errors and ambiguity; (2) write comments be unable to provide ten well-being. Today’s proposal would not regulations to minimize litigation; and copies, alternative arrangements can be have any impact on the autonomy or (3) provide a clear legal standard for made in advance with the Department.

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DOE will consider all comments Reading Room at the address provided Subpart CÐSafeguarding Privacy and received on or before the date specified in the ADDRESSES section of this NOPR. Employee Rights at the beginning of this NOPR and other Transcripts may also be purchased from 709.21 When is an individual notified that relevant information before final action the court reporter. a polygraph examination is scheduled? is taken on the proposed rule. 709.22 What rights to counsel or other All submitted comments will be If DOE must cancel the hearings, it representation does an individual have? available for public inspection as part of will make every effort to give advance 709.23 How does DOE obtain an the administrative record on file for this notice. individual’s consent to a polygraph examination? rulemaking, which is in the DOE List of Subjects 709.24 What other information is provided Freedom of Information Reading Room to the individual prior to a polygraph at the address indicated in the 10 CFR Part 709 examination? ADDRESSES section of this NOPR. 709.25 Are there limits on use of polygraph Pursuant to the provisions of 10 CFR Polygraph tests. examination results that reflect 1004.11, anyone submitting information 10 CFR Part 710 ‘‘deception indicated’’ or ‘‘no opinion’? or data which he or she believes to be 709.26 How does DOE protect the confidential and exempt by law from Administrative practice and confidentiality of polygraph examination records? public disclosure should submit one procedure, Classified information, complete copy of the document, as well Government contracts, Government Subpart DÐPolygraph Examination and as two copies, if possible, from which employees, Nuclear materials. Examiner Standards the information has been deleted. The 709.31 What are the DOE standards for Department will make its own 10 CFR Part 711 polygraph examinations and polygraph determination as to the confidentiality examiners? of the information and treat it Administrative practice and 709.32 What are the training requirements accordingly. procedure, Alcohol abuse, Drug abuse, for polygraph examiners? Government contracts, Government Authority: 42 U.S.C. 2011, et seq., 42 B. Public Hearings employees, Health, Nuclear safety, and U.S.C. 7101, et seq. Public hearings will be held at the Occupational safety and health. Subpart AÐGeneral Provisions times, dates and locations indicated in Issued in Washington, DC, on August 11, the DATES and ADDRESSES section of this 1999. § 709.1 What is the purpose of this part? NOPR. Any person who is interested in Edward J. Curran, (a) The purpose of this part is to making an oral presentation should provide guidelines for: make a phone request to the number in Director, Office of Counterintelligence. (1) The use of counterintelligence- the DATES section of this NOPR. The For the reasons stated in the scope polygraph examinations in person should provide a daytime phone preamble, DOE hereby proposes to connection with the atomic energy number where he or she may be amend Chapter III of title 10 of the Code reached. Persons requesting an defense activities of the Department; of Federal Regulations as set forth (2) The use of counterintelligence- opportunity to speak will be notified of scope polygraph examinations for the approximate time they will be below: individuals whose duties involve access speaking. To ensure that as many 1. New Part 709 is added to read as to top secret classified information or persons as possible have the follows: information designated as being within opportunity to present comments, a a special access program (SAP); and maximum of five minutes may be PART 709ÐPOLYGRAPH (3) The use of exculpatory polygraph allotted to each speaker. However, if EXAMINATION REGULATIONS examinations, upon the request of an there is time at the end of the hearing, individual, in order to resolve DOE may allot additional time to the Subpart AÐGeneral Provisions counterintelligence investigations and speakers present. Persons making oral 709.1 What is the purpose of this part? personnel security issues. statements should bring 6 copies of their 709.2 What is the scope of this part? (b) This part also provides guidelines statement to the hearing and submit 709.3 What are the definitions of the terms for protecting the rights of individual them at the registration desk. used in this part? DOE and DOE contractor employees In the event that requests exceed the 709.4 To whom does the polygraph subject to this rule. time allowed, DOE reserves the right to examination requirement under this part apply? schedule speakers, presentations and to § 709.2 What is the scope of this part? establish the procedures for conducting 709.5 How will an individual know if his or her position will be eligible for a This part includes: the hearing. A DOE official will be polygraph examination? (a) A description of the conditions designated to preside at each hearing, under which DOE may administer and Subpart BÐPolygraph Examination which will not be judicial or use polygraph examinations; evidentiary. Only those persons Protocols and Protection of National Security (b) A description of the positions conducting the hearing may ask which DOE may subject to polygraph questions. Any further procedural rules 709.11 What types of topics are within the examination; needed to conduct the hearing properly scope of a polygraph examination? (c) Controls on the use of polygraph will be announced by the DOE presiding 709.12 How does DOE determine the examinations; and wording of questions? official. (d) Safeguards to prevent unwarranted A transcript of each hearing will be 709.13 May an individual refuse to take a polygraph examination? intrusion into the privacy of made available to the public. DOE will individuals. retain the record of the full hearing, 709.14 What are the consequences of a refusal to take a polygraph examination? including the transcript, and make it § 709.3 What are the definitions of the 709.15 How does DOE use polygraph terms used in this part? available for inspection and copying in examination results? the DOE Freedom of Information For purposes of this part:

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Accelerated Access Authorization examiner is presenting a series of tests, questions that have arisen in the context Program or AAAP means the program the test data analysis phase, and the of counterintelligence investigations or for granting interim access to classified post-test phase. personnel security issues. These matter and special nuclear material Polygraph test means that portion of examinations are referred to in this part based on a drug test, a National Agency the polygraph examination during as exculpatory polygraph examinations. Check, a psychological assessment, and which the polygraph instrument collects (b) This part does not apply to: a counterintelligence-scope polygraph physiological data based upon the (1) A Presidential appointee, if such examination consistent with this part. examinee’s responses to test questions an appointee has received a favorably Adverse personnel action means: from the examiner. adjudicated, full-field Federal Bureau of (1) With regard to a DOE employee, Presidential appointee means an Investigation background investigation; any of the applicable personnel actions individual appointed by the President (2) A position requiring access to described in chapter 75 of title 5, United and confirmed by the Senate. SAP’s that are intelligence-related and States Code; or Special Access Program or SAP therefore subject to requirements (2) With regard to a contractor means a program established under promulgated by the Director of Central employee, the discharge, discipline, or Executive Order 12958 for a specific Intelligence; denial of employment or promotion, or class of classified information that (3) Any individual for whom the any other discrimination in regard to imposes safeguarding and access Secretary of Energy gives a written hire or tenure of employment or any requirements that exceed those waiver in the interest of national term or condition of employment. normally required for information at the security; or Contractor means DOE contractors same classification level. (4) Any individual for whom the and subcontractors at all tiers. Director, Office of Counterintelligence, Counterintelligence means § 709.4 To whom does the polygraph examination requirement under this part gives a waiver, based upon certification information gathered and activities from another Federal agency that the conducted to protect against espionage, apply? (a) Except as provided in paragraph individual has successfully completed a other intelligence activities, sabotage, or full scope or counterintelligence-scope assassinations conducted by or on (b) of this section, this part applies to DOE and contractor employees and polygraph examination administered behalf of foreign governments or within the last five years. elements thereof, foreign organizations, applicants for employment, and other individuals assigned or detailed to (c) The Director, Office of or foreign persons, or international Counterintelligence, in consultation terrorist activities. Federal positions at DOE, who are in: (1) Positions that DOE has determined with the appropriate Program Manager, DOE means the Department of Energy. will establish the criteria for identifying Intelligence means information include counterintelligence activities or the specific positions described in relating to the capabilities, intentions, or access to counterintelligence sources § 709.4(a)(1)–(8) that warrant polygraph activities of foreign governments or and methods; examination and the order of priority for elements thereof, foreign organizations (2) Positions that DOE has determined conducting polygraph examinations of or foreign persons. include intelligence activities or access Personnel Assurance Program or PAP to intelligence sources and methods; the DOE and contractor employees in means the human reliability program set (3) Positions requiring access to the eligible positions. forth under 10 CFR part 711 designed to information that is protected within a § 709.5 How will an individual know if his ensure that individuals assigned to non-intelligence special access program or her position will be eligible for a nuclear explosive duties do not have (SAP) designated by the Secretary of polygraph examination? emotional, mental or physical Energy; All positions in the programs incapacities that could result in a threat (4) Positions that are subject to the described in § 709.4(a)(1)–(8) are eligible to nuclear explosive safety. Personnel Security Assurance Program for polygraph examination. Any job Personnel Security Assurance (PSAP); announcement or posting with respect Program or PSAP means the program set (5) Positions that are subject to the to any position in those programs must forth under subpart B of 10 CFR part Personnel Assurance Program (PAP); indicate that the individual selected for 710 for assuring the highest standards of (6) Positions that DOE has determined the position is eligible for a polygraph reliability for individuals with access to have a need-to-know or access to examination. certain material or facilities. information specifically designated by Polygraph means an instrument that: the Secretary or his delegatee regarding Subpart BÐPolygraph Examination (1) Records continuously, visually, the design and operation of nuclear Protocols and Protection of National permanently, and simultaneously weapons and associated use and control Security changes in cardiovascular, respiratory, features; and electro dermal patterns as minimum (7) Positions within the Office of § 709.11 What types of topics are within instrumentation standards; and Independent Oversight and Performance the scope of a polygraph examination? (2) Is used, or the results of which are Assurance, or any successor thereto, (a) DOE may ask questions that are used, for the purpose of rendering a involved in inspection and assessment appropriate to a counterintelligence- diagnostic opinion regarding the of safeguards and security functions, scope examination or that are relevant honesty or dishonesty of an individual. including cyber security, of the to the matter at issue in an exculpatory Polygraph examination means a Department; examination. process that encompasses all activities (8) Positions within the Office of (b) A counterintelligence-scope that take place between a polygraph Security and Emergency Operations, or polygraph examination is limited to examiner and examinee during a any successor thereto; topics concerning the examinee’s specific series of interactions. These (9) The Accelerated Access involvement in espionage, sabotage, interactions may include the pretest Authorization Program (AAAP); and terrorism, unauthorized disclosure of interview, the use of the polygraph (10) Positions where the applicant or classified information, unauthorized instrument to collect physiological data incumbent has requested a polygraph foreign contacts, or deliberate damage to from the examinee while the polygraph examination in order to respond to or malicious misuse of a U.S.

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DOE and its contractors may not record individual’s access authorization The examiner determines the exact eligibility under the DOE regulations wording of the polygraph questions an individual’s refusal to take an governing eligibility for access based on the examiner’s pretest exculpatory polygraph examination in authorization (security clearance) at 10 interview of the examinee, the the individual’s personnel security file, examinee’s understanding of the or any investigative file. DOE also may CFR part 710. questions, and other input from the not record the fact of that refusal in the (3) For cases involving a question of examinee. employee’s personnel file. loyalty to the United States, DOE may (f) If a DOE employee refuses to take refer the matter to the Federal Bureau of § 709.13 May an individual refuse to take a a polygraph examination, DOE cannot Investigation as required by section polygraph examination? record the fact of that refusal in the 145d of the Atomic Energy Act. (a) Yes. An individual may refuse to employee’s personnel file. take a polygraph examination, and an (4) If the individual is an applicant for § 709.15 How does DOE use polygraph employment, assignment, or detail to individual being examined may examination results? terminate the examination at any time. one of the positions described in (b) If an individual terminates a (a) If following the completion of the § 709.4(a)(1)–(8), DOE and its polygraph examination prior to the polygraph test there are any unresolved contractors may refuse to employ, assign completion of the examination, the DOE issues, the polygraph examiner must or detail the individual to the identified may treat that termination as a refusal conduct an in-depth interview of the position. individual to address those unresolved to take a polygraph examination under (5) For an individual assigned or § 709.14. issues. (b) If, after the polygraph detailed to DOE, DOE may remove the § 709.14 What are the consequences of a examination, there are remaining individual from access to the refusal to take a polygraph examination? unresolved issues that raise significant information that justified the polygraph (a) If the individual is an applicant for questions relevant to the individual’s examination and return the individual employment, assignment, or detail to access to the information or to the agency of origin. one of the positions described in involvement in the activities that § 709.4(a)(1)–(8) and the individual justified the polygraph examination, Subpart CÐSafeguarding Privacy and refuses to take a polygraph examination, DOE must so advise the individual and Employee Rights DOE and its contractors may refuse to provide an opportunity for the § 709.21 When is an individual notified that employ, assign, or detail the individual individual to undergo an additional a polygraph examination is scheduled? to the identified position. polygraph examination. If the additional (b) If the individual is a DOE polygraph examination is not sufficient When a polygraph examination is employee whose current position does to resolve the matter, DOE must scheduled, DOE must notify the not require a polygraph examination undertake a comprehensive individual of the date, time, and place and is an applicant for employment, investigation of the individual, using of the polygraph examination, and the assignment, or detail to one of the the polygraph examination as an individual’s right to obtain and consult positions described in § 709.4(a)(1)–(8), investigative lead. with legal counsel or to secure another the individual’s refusal to take a (c) DOE will conduct an eligibility representative prior to the examination. polygraph examination will not affect evaluation that considers examination DOE must offer to make a copy of these the individual’s current employment results, the individual’s personnel regulations available to the individual. status. security file, and other pertinent The individual must receive the (c) If the individual is an incumbent information. As part of the eligibility notification at least forty-eight hours, in a position described in § 709.4(a)(1)– evaluation process, DOE may interview excluding weekend days and holidays, (8), and refuses to take a polygraph the individual. before the time of the examination examination, DOE may deny that (d) Upon completion of the eligibility except when good cause is shown or individual access to the information or evaluation, DOE will determine whether involvement in the activities that the individual may have or continue to when the individual waives the advance justified conducting the examination, have access to the information or notice provision. consistent with § 709.15. If the involvement in the activities that § 709.22 What rights to counsel or other individual is a DOE employee, DOE may justified the examination. If DOE representation does an individual have? reassign or realign the individual’s decides to discontinue the individual’s duties or take other action, consistent access to the information or At the individual’s own expense, an with that denial of access. involvement in the activities that individual has the right to obtain and (d) If an individual refuses to take a justified the examination, the following consult with legal counsel or another polygraph examination as part of the may occur: representative prior to the examination. Accelerated Access Authorization (1) DOE may deny the individual The counsel or representative may not Program, DOE must terminate the access to the information that justified be present during the polygraph accelerated authorization process and conducting the examination, and if the examination.

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§ 709.23 How does DOE obtain an records established under the Privacy § 709.32 What are the training individual's consent to a polygraph Act of 1974. requirements for polygraph examiners? examination? (d) Polygraph examination records (a) Examiners must undergo a DOE may not administer a polygraph and reports used to make AAAP minimum of forty hours training examination unless DOE has: determinations or generated as a result annually within the discipline of (a) Notified the individual of the of an exculpatory personnel security Forensic Psychophysiological Detection polygraph examination in writing; polygraph examination will be of Deception. (b) Offered to the individual a copy of maintained in a System of Records. (b) The following organizations these regulations; and (e) DOE must afford the full privacy provide acceptable curricula to meet the (c) Obtained voluntary written protection provided by law to training requirement of paragraph (a) of consent from the individual. information regarding an employee’s this section: § 709.24 What other information is refusal to take a polygraph examination. (1) American Polygraph Association, provided to the individual prior to a (2) American Association of Police polygraph examination? Subpart DÐPolygraph Examination and Examiner Standards Polygraphists, and Before administering the polygraph (3) Department of Defense Polygraph examination, the examiner must: § 709.31 What are the DOE standards for Institute. (a) Inform the individual of the use of polygraph examinations and polygraph audio and video recording devices; examiners? PART 710ÐCRITERIA AND (b) Explain to the individual the (a) DOE adheres to the procedures and PROCEDURES FOR DETERMINING characteristics and nature of the standards established by the Department ELIGIBILITY FOR ACCESS TO polygraph instrument and examination; of Defense Polygraph Institute (DODPI). CLASSIFIED MATTER OR SPECIAL (c) Explain the physical operation of DOE only administers DODPI approved NUCLEAR MATERIAL the instrument and the procedures to be testing formats. The DOE Test Center followed during the examination; 2. The authority citation for part 710 has been inspected, approved and/or (d) Review with the individual the continues to read as follows: certified by DODPI, the U.S. Air Force questions to be asked during the Office of Special Investigations, Authority: Sec. 145, 68 Stat. 942 (42 U.S.C. examination; and 2165) and sec. 161, 68 Stat. 948 (42 U.S.C. (e) Advise the individual of the American Polygraph Association, and the American Association of Police 2201); E.O. 10450, 3 CFR 1949–1953 Comp., individual’s privilege against self- p. 936, as amended; E.O. 10865, 3 CFR 1959– incrimination. Polygraphers 1963 Comp., p. 398, as amended, 3 CFR (b) The polygraph examiner must be Chap. IV; sec. 104(c), 38 Stat. 1237 (42 U.S.C. § 709.25 Are there limits on use of certified to conduct polygraph 5814); sec. 105(a), 88 Stat. 1238 (42 U.S.C. polygraph examination results that reflect examinations under this part by the 5815); secs. 641, 644, 646, 91 Stat. 598, 599 ``deception indicated'' or ``no opinion'? DOE Psychophysiological Detection of (42 U.S.C. 7251, 7254, and 7256). DOE or its contractors may not: Deception/Polygraph Program Quality 3. In § 710.57 (subpart B), paragraphs (a) Take an adverse personnel action Control Official. (f) through (i) are redesignated as against an individual solely on the basis (c) To be certified under paragraph (b) paragraphs (g) through (j) and a new of a polygraph examination result of of this section, an examiner must have paragraph (f) is added to read as follows: ‘‘deception indicated’’ or ‘‘no opinion’’ the following minimum qualifications: except when the Secretary or the (1) The examiner must be an § 710.57 Supervisory review. Secretary’s designee makes a written experienced counterintelligence or * * * * * determination that the information to criminal investigator with extensive (f) Applicants tentatively selected for which the individual has access is of additional training in using PSAP positions and each individual such extreme sensitivity that access computerized instrumentation in occupying a PSAP position, but not yet under the circumstances poses an Psychophysiological Detection of holding a PSAP access authorization, unacceptable risk to national security or Deception and in psychology, must submit to a polygraph examination defense; or physiology, interviewing, and under 10 CFR part 709. (b) Use a polygraph examination that interrogation. * * * * * reflects ‘‘deception indicated’’ or ‘‘no (2) The examiner must have a opinion’’ as a substitute for any other favorably adjudicated Single-scope PART 711ÐPERSONNEL ASSURANCE required investigation. Background Investigation and complete PROGRAM (PAP) § 709.26 How does DOE protect the a counterintelligence-scope polygraph confidentiality of polygraph examination examination. 4. The authority citation for Part 711 records? (3) The examiner must receive basic continues to read as follows: (a) DOE owns all polygraph Forensic Psychophysiological Detection Authority: 42 U.S.C. 2201(p), 7191. examination records and reports. of Deception training from the DODPI. (b) Except as provided in paragraph (4) The examiner must be certified by 5. In § 711.5, paragraph (b)(8) is added (c) of this section, the Office of DOE to conduct the following tests: to read as follows: Counterintelligence maintains all (i) Test for Espionage, Sabotage, and § 711.5 General requirements. Terrorism; polygraph examination records and * * * * * reports in a system of records (ii) Counterintelligence-Scope (b) * * * established under the Privacy Act of Polygraph Tests; 1974, 5 U.S.C. 552a. (iii) Zone Comparison Tests; (8) Be eligible for a polygraph (c) The Office of Intelligence also may (iv) Modified General Question Tests; examination under 10 CFR part 709. maintain polygraph examination reports (v) Peak of Tension Tests; and, * * * * * generated with respect to individuals (vi) Relevant and Irrelevant and [FR Doc. 99–21290 Filed 8–17–99; 8:45 am] identified in § 709.4(a)(2) in a system of Directed Lie Control Tests. BILLING CODE 6450±01±P

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ENVIRONMENTAL PROTECTION isolated problem discharges occur, analysis is presented in the Economic AGENCY existing pretreatment authority is Assessment for the Final Action available to control these isolated Regarding Pretreatment Standards for 40 CFR Part 441 discharges. EPA believes that for this the Industrial Laundries Point Source industry, the best way to control Category (hereafter, ‘‘Economic [FRL±6373±5] effluent discharges of certain organic Assessment’’; EPA Report No. EPA– RIN 2040±AB97 pollutants is to remove the pollutants 821–R–99–011.) and in the Cost- which are contained on the laundry Effectiveness Analysis for the Final Effluent Limitations Guidelines and items before they are washed. EPA’s Action Regarding Pretreatment Pretreatment Standards for the Office of Solid Waste (OSW) plans to Standards for the Industrial Laundries Industrial Laundries Point Source address the amount of certain waste Point Source Category (hereafter, ‘‘Cost- Category solvents being sent to laundries in a Effectiveness Analysis’’; EPA Report No. AGENCY: Environmental Protection future rulemaking (the first quarter of EPA–821–R–99–009). EPA’s Agency (EPA). the year 2000) with an aim toward environmental benefits analysis is decreasing the amount of solvent based presented in the Water Quality Benefits ACTION: Withdrawal of proposed rule. organics on towels. Analysis for the Final Action Regarding SUMMARY: On December 17, 1997 (62 FR DATES: In accordance with 40 CFR Part Pretreatment Standards for the 66182), EPA published proposed 23, this final action shall be considered Industrial Laundries Point Source pretreatment standards for the control of issued for the purposes of judicial Category (hereinafter, ‘‘WQBA’’). EPA’s wastewater pollutants from the review at 1 pm Eastern time on responses to comments on the proposal industrial laundries industry. After September 1, 1999. Under section and a Notice of Data Availability careful consideration of all of the 509(b)(1) of the CWA, judicial review of (NODA) which are part of this action are information in the record for this the Administrator’s final action presented in the Comment Response rulemaking, EPA has decided not to regarding effluent limitations guidelines Document for the Final Action promulgate national categorical and pretreatment standards can only be Regarding Pretreatment Standards for pretreatment standards for the industrial had by filing a petition for review in the the Industrial Laundries Point Source laundries point source category because United States Court of Appeals within Category (hereinafter, ‘‘Comment industrial laundry discharges to 120 days after the decision is considered Response Document’’). publicly owned treatment works issued for purposes of judicial review. Organization of this Document (POTWs) do not present a national ADDRESSES: For additional technical problem warranting national regulation. information write to Ms. Marta E. I. Legal Authority EPA is not issuing effluent limitations Jordan, Engineering and Analysis II. Background guidelines and new source performance Division (4303), U.S. EPA, 401 M Street A. Clean Water Act standards for direct dischargers since SW, Washington, DC 20460 or send e- B. Pollution Prevention Act C. Profile of the Industry there are no direct dischargers and no mail to: Jordan. [email protected] or call at D. Proposed Rule means to evaluate performance to (202) 260–0817. For additional E. Notice of Data Availability determine the appropriate level of economic information contact Mr. 1. Towel Only Option control for national rulemaking George Denning at the address above or 2. Total Petroleum Hydrocarbons (TPH) purposes. For this action, EPA by calling (202) 260–7374. 3. Pollution Prevention Program considered many regulatory technology The complete administrative record F. Changes Since Proposal options as well as the no regulation (excluding confidential business 1. Cost Changes option. EPA has determined that information) for this action is available 2. Pollutant Loading and Reduction indirect discharges from industrial for review at EPA’s Water Docket at EPA Changes laundries do not warrant national Headquarters at Waterside Mall, room 3. Economic Analysis Changes regulation because of the small amount EB–57, 401 M Street, SW, Washington, III. Decision Not to Regulate Industrial of pollutants removed by pretreatment DC 20460. For access to docket Laundries options determined to be economically materials, call (202) 260–3027 between A. Summary of Options Considered achievable. For existing sources, EPA 9:00 am and 3:30 pm for an B. Pretreatment Standards for Existing Sources (PSES) estimates that a rule for this industry appointment. A reasonable fee may be 1. Selected Option would remove less than 650 pounds of charged for copying. 2. Rationale for Selected Option pollutant per facility per year (which, FOR FURTHER INFORMATION CONTACT: Ms. C. Pretreatment Standards for New Sources on a toxic-weighted basis, is only 32 Marta E. Jordan, (202) 260–0817. (PSNS) pound equivalents). For new sources, SUPPLEMENTARY INFORMATION: IV. Costs and Economic Impacts for the EPA estimates that a rule for this Regulatory Options industry would remove less than 1,040 Supporting Documentation A. Introduction pounds of pollutant per facility per year The basis for this final action is B. Economic Impact Methodology (which, on a toxic-weighted basis, is detailed in four documents, each of 1. Introduction only 51 pound equivalents). These which is supported in turn by 2. Methodology Overview pollutant reductions represent much additional information and analyses in C. Summary of Costs and Economic smaller removals than any other the rulemaking record. EPA’s technical Impacts categorical pretreatment standards foundation for this final action is 1. Number of Facilities and Costs of the Regulatory Options promulgated by EPA. EPA’s record does presented in the Technical Development 2. Economic Impacts of the Regulatory not demonstrate that Publicly Owned Document for the Final Action Options Treatment Works (POTWs) are generally Regarding Pretreatment Standards for a. Impacts from Regulatory Options for experiencing problems with discharges the Industrial Laundries Point Source Existing Sources from this industry, and EPA believes Category (hereafter, ‘‘Technical b. Impacts from Regulatory Options for that such discharges will rarely, if ever, Development Document’’; EPA Report New Sources present a problem. To the extent that No. 821–R–99–010. EPA’s economic 3. Small Business Analysis

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4. Cost-Benefit Comparison Industrial Laundries Point Source items, gloves, buffing pads, absorbents, V. Total Toxic and Nonconventional Pounds Category. uniforms and filters. Reduced By Options Considered for the Natural Resources Defense Council, Industrial laundry facilities are Final Action VI. Pass Through Analysis Inc. (NRDC) and Public Citizen, Inc., located in all 50 states and all 10 EPA VII. Cost-Effectiveness Analysis challenged the Effluent Guidelines Plan regions. By state, the largest number of VIII. Environmental Benefits Analysis in a suit filed in U.S. District Court for industrial laundries are in California. By A. Summary the District of Columbia (NRDC et al v. EPA region, the largest concentration of B. Changes Since the Proposal Reilly, Civ. No. 89–2980). The plaintiffs industrial laundries is in Region V. Most C. Benefits of Action charged that EPA’s plan did not meet of the industrial laundering facilities are 1. Reduced Pollutant Discharges the requirements of section 304(m). A in large urban areas. Industrial laundries 2. Reduced Human Health Risk Consent Decree in this litigation was vary in size from one-or two-person 3. Improved Recreational Fishing entered by the Court on January 31, facilities to large corporations that Opportunities 4. Reduced Impacts on POTWs 1992. The terms of the Consent Decree operate many facilities with hundreds of a. Modeled POTW Impacts are reflected in the Effluent Guidelines employees nationwide. Annual laundry b. Discussion with POTW Operators and Plan most recently published on production per facility ranges from Pretreatment Coordinators September 4, 1998 (63 FR 47285). This approximately 44,000 to over 32 million IX. Non-Water Quality Environmental plan states, among other things, that pounds, with a total annual industry Impacts EPA proposed effluent limitations production of over 9 billion pounds. At A. Air Pollution guidelines and standards for the proposal, EPA estimated that the B. Solid Waste Generation industrial laundries point source industrial laundry industry consisted of C. Energy Requirements category in November 1997 and that approximately 1,747 facilities X. Related Acts of Congress and Executive Orders EPA would take final action by June nationwide. Appendix A to the Notice—Lists of 1999. This notice serves to inform the In analyzing data submitted as part of Abbreviations, Acronyms, Definitions public of EPA’s final action pursuant to the comment period of the proposed and Other Terms Used in this Notice the decree. rule, EPA decided to eliminate clean room items (i.e., items used in particle- I. Legal Authority B. Pollution Prevention Act and static-free environments by This final action withdraws the The Pollution Prevention Act of 1990 computer manufacturing, proposed pretreatment standards for the (PPA) (42 U.S.C. 13101 et seq., Pub. L. pharmaceutical, biotechnology, industrial laundries point source 101–508, November 5, 1990) declares it aerospace, and other customers to category. EPA takes this action pursuant to be the national policy of the United control contamination in production to sections 301, 304, 306, 307, 308, 402, States that pollution should be areas) from the industrial textile items and 501 of the Clean Water Act, 33 prevented or reduced whenever feasible; list. EPA compared data of pollutant U.S.C. 1311, 1314, 1316, 1317, 1318, pollution that cannot be prevented concentrations in clean room items to 1342, and 1361. should be recycled in an pollutant concentrations in linens and environmentally safe manner, whenever industrial textile items. EPA found the II. Background feasible; pollution that cannot be clean room item pollutant A. Clean Water Act prevented or recycled should be treated concentrations lower than the linen in an environmentally safe manner concentrations and excluded the clean The Federal Water Pollution Control whenever feasible; and disposal or room items from the list. Since EPA Act Amendments of 1972 (Clean Water release into the environment should be excluded clean room items from the Act) established a comprehensive employed only as a last resort (Section definition of industrial laundry textile program to ‘‘restore and maintain the 6602; 42 U.S.C. 13101(b)). In short, items the number of facilities affected chemical, physical, and biological preventing pollution before it is created by this action decreased by five integrity of the Nation’s waters,’’ is preferable to trying to manage, treat facilities. Thus, EPA’s current estimate (section 101 (a)). To implement the Act, or dispose of it after it is created. of industrial laundries consists of 1,742 EPA is to issue effluent limitations facilities nationwide. guidelines, pretreatment standards and C. Profile of the Industry D. Proposed Rule new source performance standards for An industrial laundry is any facility industrial dischargers. These types of that launders industrial textile items On December 17, 1997 (62 FR 66182), effluent guidelines and standards are from off-site as a business activity (i.e., EPA published proposed pretreatment summarized in the proposed regulation launder industrial textile items for other standards for the control of wastewater at 62 FR 66182 (December 17, 1997). business entities for a fee or through a pollutants from the industrial laundries Section 304(m) of the Clean Water Act cooperative arrangement). Either the industry. The proposed rule covered (33 U.S.C. 1314(m)), added by the Water industrial laundry or the off-site facilities that launder industrial textile Quality Act of 1987, requires EPA to customer may own the industrial items from off-site as a business activity establish schedules for (1) reviewing laundered textile items. This definition (i.e., launders industrial textile items for and revising existing effluent limitations includes textile rental companies that other business entities for a fee or guidelines and standards (‘‘effluent perform laundering operations. For this through a cooperative arrangement). guidelines’’), and (2) promulgating new action, laundering means washing with EPA proposed an exclusion for existing effluent guidelines. On January 2, 1990 water, including water washing facilities processing less than one EPA published an Effluent Guidelines following dry cleaning. Laundering does million pounds of incoming laundry Plan (55 FR 80), in which schedules not include laundering exclusively and less than 255,000 pounds of shop were established for developing new through dry cleaning. Industrial textile and/or printer towels per calendar year and revised effluent guidelines for items include, but are not limited to, to eliminate unacceptable several industry categories. One of the industrial: shop towels, printer towels, disproportionate adverse economic industries for which the Agency furniture towels, rags, mops, mats, rugs, impacts on the smaller facilities. By established a schedule was the tool covers, fender covers, dust control excluding these facilities, EPA’s

VerDate 18-JUN-99 12:14 Aug 17, 1999 Jkt 183247 PO 00000 Frm 00003 Fmt 4701 Sfmt 4702 E:\FR\FM\A18AU2.001 pfrm07 PsN: 18AUP3 45074 Federal Register / Vol. 64, No. 159 / Wednesday, August 18, 1999 / Proposed Rules proposed rule would have applied to was limited data identifying analysis. This analysis, in part, 1,606 facilities nationwide. performance of the control technologies compares for various technology options EPA proposed pretreatment standards treating the towel only wastewater. the cost of removing toxic and based on chemical precipitation Thus, EPA decided not to pursue the nonconventional pollutants that would technology for 11 parameters (3 metals, towel only options. otherwise pass through the POTW. EPA 7 organics, and one bulk parameter expresses these pollutant removals as 2. Total Petroleum Hydrocarbons (TPH) known as silica gel treated-hexane ‘‘pound equivalents’’ which EPA extracted material (SGT-HEM)). SGT- In the NODA, EPA also discussed estimates by multiplying pounds of a HEM was formerly called total issues related to how TPH was used for pollutant removed by an assigned toxic petroleum hydrocarbon (TPH) under a two different analyses—the pass weighting factor. The assigned toxic previously used analytical method. The through analysis and the cost- weighting factor for each pollutant is analytical method used for measuring effectiveness analysis. As part of the based on the pollutant’s relative toxicity SGT-HEM, EPA’s Method 1664, was analyses conducted for the NODA, EPA to copper. At proposal, EPA included approved in a final rulemaking in the incorporated data submitted on the the bulk parameter TPH in the cost- Federal Register on May 14, 1999 (64 POTW removal of the bulk parameter effectiveness calculations. Following the FR 26315); the parameter is now called SGT–HEM (TPH). The new data showed TPH study, EPA used a revised toxic Non-polar material (NPM). nondetects for TPH in the POTW weighting factor for TPH based on the EPA received comments on the effluent. Thus, for the pass through toxic weighting factors for the proposed exclusion and on the analysis conducted for the NODA, EPA individual constituents of SGT–HEM technology basis used in calculating estimated a POTW removal of greater (TPH). Based on the identified limits. Other comments related to the than 74 percent for SGT–HEM (TPH) constituents of SGT–HEM (TPH), EPA necessity of a national rule, costs of based on the highest influent revised its average toxic weighting compliance, benefits, cost-effectiveness, measurement of SGT–HEM (see NODA, factor for the bulk parameter TPH from the toxic weighting factor and the 63 FR 71054). 0.10 (used at proposal) to 0.009. EPA POTW percent removal or SGT-HEM In the NODA, EPA also discussed the used this value, as discussed in the (TPH). EPA evaluated all of the issues new data collected related to NODA, to identify the ‘‘total toxic based on the additional information constituents of TPH and modifications pound equivalents’’ of SGT–HEM (TPH) gathered by EPA or received during the made to improve both the pass through removed by the rule. EPA also comment period following the proposal. and cost-effectiveness analyses based on calculated cost-effectiveness based on EPA then discussed the results of most this new data. Following the proposal, removals of the individual constituents of these evaluations in a notice of data EPA conducted a study to evaluate the of SGT–HEM (TPH) rather than on availability discussed below. bulk parameter SGT–HEM (TPH) in removals of the bulk parameter SGT– order to identify more accurately the E. Notice of Data Availability HEM (TPH). The results of the analyses constituents comprising the SGT–HEM using both the individual constituents EPA published a notice of data (TPH) measurement. The study was only and the bulk parameter TPH can be availability (NODA) on December 23, conducted by sampling the influents found in the record and supporting 1998 (63 FR 71054). The NODA and effluents of the Dissolved Air documents. presented a summary of the data Flotation (DAF) and Chemical gathered or received from commenters Precipitation (CP) treatment units at the 3. Pollution Prevention Program since the proposal, an assessment of the same facilities EPA sampled prior to In comments on the proposal and usefulness of the data in EPA’s analyses; and soon after proposal. EPA analyzed NODA, the industrial laundries trade a description and evaluation of a these samples for SGT–HEM (TPH) and associations, Uniform and Textile modified technology option suggested total oil and grease using Method 1664 Service Association and Textile Rental by commenters; and a discussion of a and evaluated the sample extracts using Services Association of America, (UTSA voluntary industry program, along with gas chromatography and mass and TRSA) submitted a description of a certain other specific issues raised by spectroscopy (GC/MS) methods. Based voluntary multi-media environmental commenters. on these analyses, EPA was able to stewardship and pollution prevention identify several constituents measured program as an alternative approach to a 1. Towel Only Option as part of the SGT–HEM (TPH) national pretreatment standard. The In response to comments received on parameter. Most of the constituents centerpiece of the voluntary program is the proposal, EPA evaluated an option identified in the influent samples were a series of initiatives seeking to achieve covering only facilities laundering shop n-alkanes, as well as naphthalene, bis(2- an annual reduction of pollutants being and/or printer towels (‘‘towel only’’). ethylhexyl) phthalate and 2- discharged of 20,000 toxic pound EPA provided information on the towel methylnaphthalene. The identified equivalents and an annual reduction of only option in the NODA. This option constituents, however, represent only a up to 25 percent in industry water, was a modified version of the ‘‘heavy’’ very small portion of the total SGT– energy, and washroom chemical usage options presented in the proposal. This HEM (TPH) measurement. (on a per pound of textiles laundered towel only alternative would have In the NODA, EPA solicited basis) by the year 2002. The program applied to 1,333 facilities nationwide. additional information on influent and would be initiated by UTSA and TRSA Based on comments on the NODA, EPA effluent pollutant concentrations from surveying the industry to develop a decided that the towel only options POTWs operating secondary treatment. 1997 ‘‘benchmark’’ against which were complicated to implement and EPA did not receive any additional data progress towards these reduction goals enforce and could result in significantly in response to the NODA that was will be measured. EPA supports increased monitoring costs for useful in revising POTW percent industry efforts to reduce pollution at compliance with both the categorical removals for individual constituents, the source, and believes that the standards for one portion of the including the identified constituents of environment would benefit from this facility’s discharge, as well as with local SGT–HEM (TPH). pollution prevention program whether limits applied to the remainder of the As part of EPA’s analysis for the rule, or not categorical pretreatment facility’s discharge. In addition, there EPA also conducted a cost-effectiveness standards are established.

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F. Changes Since Proposal had minor effects on the overall evaluate POTW removal of non- industry pollutant loadings and volatile n-alkanes, EPA conducted 1. Cost Changes removals. two analyses. One used the average Engineering cost changes have been —For the primary assessment, EPA percent removal of the two n-alkanes, made based on supplementary data and removed the toxic weighting factor the other used the 74 percent removal comments. These changes, which are (TWF) for total petroleum identified in NODA as the basis for reflected in the economic impact hydrocarbon (TPH) and included the POTW removal of TPH, of which the analyses, cost-effectiveness analysis, TWFs for the identified constituents non-volatile n-alkanes are and small business analyses, are of TPH in the pollutant loadings and constituents. EPA also evaluated pass discussed more fully in the Technical removals calculations. EPA also through of the n-alkanes based on Development Document (TDD), evaluated pollutant loadings and another method which used the Economic Assessment (EA), and Cost- removals using the adjusted TWF for POTW removal for the individual n- Effectiveness documents. The major TPH as described in the NODA. alkanes based on the 94 percent changes since the proposal resulted Under either analysis, this greatly average of the same two n-alkanes from the following: decreased the pound-equivalent used in the first method, regardless of —EPA removed three model clean room loadings and removals for all options. their volatility. Both changes facilities (equivalent to five facilities —EPA incorporated new sampling data increased the pollutant removals of n- in the industry) from the scope of the collected since proposal for the alkanes by POTWs and decreased the rule, based on the raw wastewater chemical precipitation technology pollutant removals that would occur loadings for their items. This change option, which modified the long term under the technology options had minor effects on the overall averages for those options. This considered. change had minimal effects on the industry costs. loadings calculations for the options. 3. Economic Analysis Changes —EPA added a cost for facilities that —For calculating pollutant loadings, currently (based on 1993 data) operate Based on comments, EPA made three EPA used a revised pass through changes to the economic impact dissolved air flotation (DAF) and analysis. At proposal, EPA performed chemical precipitation in order to methodology. These are discussed more the pass through analyses on TPH fully in the EA. upgrade performance to meet the (and not the individual pollutants that projected standards. This change comprise TPH) using the average —The main analysis assumes that costs increased the capital and O & M costs percent removal of three individual n- of compliance cannot or will not be for all options. alkanes. For this final action, as passed through to customers, but are —EPA revised the labor costs associated discussed in the NODA, EPA absorbed by the affected facilities, as with the operation and maintenance performed the pass through analysis was done in an appendix to the EA for of the option treatment equipment. on the individual pollutants that the proposal. EPA is using this The labor costs are now calculated as comprise TPH (i.e., n-alkanes and assumption in its primary impact one full-time equivalent operator per others). analyses because it is possible that treatment system, which generally —Further, for all pollutants EPA looked some facilities or firms might not be increased the costs for all options. at Henry’s Law Constants to see if the able to pass through as much of their —EPA increased the required square individual pollutants were volatile. If costs as would other facilities. This footage and the cost per square foot of the pollutants were volatile, EPA could happen where there is regional buildings that were included in the determined POTW percent removal or local competition between option costs to house the treatment based on the POTW removal model industrial laundries and between systems, thus increasing the costs for for the pollutant with the most similar industrial laundries and disposable all options. Henry’s Law Constant, as presented in product vendors or other providers of —EPA changed the sludge generation the development document for the substitutes. Given that EPA believes rates of the treatment technologies pharmaceutical manufacturing that this is a competitive industry, based on available treatment system industry effluent limitations EPA believed this conservative data. This change had a minor effect guidelines and standards (63 FR assumption was appropriate. A cost on the option costs (some model 50388) using a combination of POTW passthrough approach is discussed as facility costs increased, while others empirical data and the Water 8 a sensitivity analysis in an appendix decreased). biodegradation model. in the EA. 2. Pollutant Loading and Reduction —Finally, for the n-alkanes that were —Minor refinements to the cash flow Changes not volatile, EPA used the average analysis and firm failure analysis POTW percent removal of two n- addressed several issues. For Pollutant loading and reduction alkanes that were used for the example, depreciation is no longer changes have been made based on proposal to represent the SGT–HEM annualized in the Altman’s Z′′ supplementary data and comments. (TPH) POTW percent removal. EPA analysis. These changes do not affect These changes, which are reflected in did not use the percent removal from the economic results in any the pass through and cost-effectiveness a third n-alkane because the percent significant way. See the Comment analyses, are discussed more fully in the removal is reported simply as ‘‘greater Response Document for additional Technical Development Document and than 9 percent’’; and therefore the detail on these changes. Cost-Effectiveness documents. The actual removal based on this data —Based on public comment describing major changes since the proposal could be anywhere between 9 and 99 industry experience with buyouts, resulted from the following: percent. However, the two n-alkanes EPA now estimates 75 percent of a —EPA removed three model clean room are volatile, under the Henry’s Law facility’s employees will lose their facilities (equivalent to five facilities Constant approach above, and EPA jobs if that facility’s parent company in the industry) from the scope of the believes their removal by POTWs may is predicted to be a firm failure. EPA rule, based on the raw wastewater overstate the POTW removal of all n- believes this estimate reflects a loadings for their items. This change alkanes that are not volatile. To reasonable upper-bound estimate of

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short-term potential employment 2. Rationale for Selected Option production cutoffs that exclude facilities losses due to firm failure. After careful consideration of all of with between one and three million total pounds of incoming laundry and III. Decision Not To Regulate Industrial the information in the record for this less than 120,000 pounds of shop and/ Laundries rulemaking, EPA has decided not to promulgate national categorical or printer towels and facilities with up A. Summary of Options Considered pretreatment standards for the industrial to 1 million total pounds of incoming EPA considered various options prior laundries point source category because laundry and less than 255,000 pounds to taking this final action. Among the industrial laundry discharges to of shop and/or printer towels. This final options EPA considered were ‘‘no publicly owned treatment works option would result in 44 facility regulation’’ and a number of regulatory (POTWs) do not present a national closures (2.5 percent of the total options. problem warranting additional national industry) and no firm failures, with For the regulatory options, EPA regulation under the Clean Water Act. In resulting direct employment losses of evaluated various options using two making a final decision, EPA identified 2,261 jobs. The exclusion is justified major technologies as bases for the various technologies as candidate PSES because the facilities excluded would standards: chemical precipitation and technologies. EPA determined that some have suffered a disproportionate closure dissolved air flotation. EPA also of these technology options are not rate of 12 percent and disproportionate evaluated several exclusions within the economically achievable due to the failure rate of 20 percent under the rule. towel only option discussed in detail in number of plant closures and firm EPA rejected Option CP–1 (i.e., CP the NODA and mentioned above. In failures estimated. After determining with production cutoffs only to 1 evaluating these options, EPA what options would be economically million total pounds of incoming considered the total pounds and toxic achievable, EPA estimated the total laundry and less than 255,000 pounds pound equivalents removed by any pounds of pollutant discharges that of shop and/or printer towels) due not economically achievable option, the would be removed by the rule. One only to the number of facility closures degree to which these pollutants pass measure of the toxic and (61) and employment losses (2,684 jobs) through the POTW and the extent to nonconventional pounds of pollutant that would result, but also due to the which POTWs can adequately treat discharges that would be removed by number of firm failures (72) and these pollutants. To mitigate the rule results from assigning resulting employment losses (1,721 jobs) disproportionately adverse economic pollutants a ‘‘toxic weighting factor’’ under this option. The 61 facility impacts of a rule, EPA considered based on the pollutant’s relative toxicity closures represent about 3.5 percent of excluding the following facilities from to copper. Measured this way, EPA all facilities and the 72 firm failures the scope of the regulation: determined that the rule would remove represent 8 percent of firms. These firm • Option CP–1: facilities that launder only 32 toxic pound equivalents per failures are in addition to the facility less than one million pounds of facility per year, depending on the closures. Firm failures would result in incoming laundry (total) and less than option. This is a relatively small total additional employment loss because in 255,000 pounds of shop and/or printer amount of toxic and nonconventional the industrial laundry industry, when a towels per calendar year (i.e., the pollutant reductions, as confirmed by facility is bought by a firm already in exclusion in the proposed rule); comparison with other industries for the industry, it is likely that the facility • Option CP–2: facilities that launder which effluent limitations guidelines would no longer be a production between one and three million pounds have been promulgated. The details of facility, but instead be turned into a of incoming laundry (total) and less this assessment are found in the depot or transfer station which based on than 120,000 pounds of shop and/or Technical Development Document and examples of recent buyouts, results in printer towels per calendar year, in EA and are summarized below. an estimated 75 percent loss of addition to those facilities that launder EPA examined the economic employment. Thus, under this option, less than one million pounds of achievability of a wide array of options that EPA rejects as not economically incoming laundry (total) and less than for the rule. This included varying the achievable, the closures and firm 255,000 pounds of shop and/or printer technology basis for the rule, i.e., failures would have resulted in direct towels per calendar year; or chemical precipitation (CP), dissolved employment losses of 4,405 jobs, or 3.4 • Option CP–3: facilities that launder air flotation (DAF); requiring treatment percent of the industry’s employment. less than five million pounds of of only shop and/or printer towels; and While EPA does not have a bright line incoming laundry (total) and less than various regulatory exclusions or for determining what level of impact is 255,000 pounds of shop and/or printer ‘‘cutoffs’’ based on total production and economically achievable for the towels per calendar year. amount of shop and/or printer towels industry as a whole, EPA looked for a EPA also considered and analyzed laundered. For the reasons noted in breakpoint that would mitigate adverse additional exclusions; descriptions and Section II.E., EPA decided not to pursue economic impacts without greatly results are discussed in further detail in the towel only options. In evaluating the affecting the toxic pound equivalents the Economic Assessment. options based upon DAF, EPA found being removed under a rule. Here, by B. Pretreatment Standards for Existing that these options removed fewer toxic moving from the first option to the Sources (PSES) pound equivalents than the comparable second option, that is, by adding an options based upon CP, but at higher additional production cut-off of one to 1. Selected Option cost and comparable impact. For this three million total pounds of incoming After considering all of the reason, EPA focuses on the CP options laundry and less than 120,000 pounds information collected and analyzed, only in this preamble, but makes the of shop and/or printer towels, EPA was EPA has selected the ‘‘no additional same conclusions for the comparable able to reduce employment losses by regulation’’ option as its final action. In DAF options. almost half, from 4,405 to 2,261 while other words, EPA has decided not to EPA determined that looking at only losing about 8.7 percent toxic establish categorical pretreatment impacts on the industry as a whole, an pound equivalents that would be standards for existing dischargers in this economically achievable option removed under the first option. Thus, industry. (referred to as CP–2) is based on CP with EPA rejected the first option (option

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CP–1) that would result in 61 facility designed to treat and can effectively removed do not warrant national closures and 72 additional firm failures treat these pollutants. Thus, EPA has regulation and there is not a significant as not economically achievable. determined that there is insignificant concern with pass through and If EPA had chosen a greater exclusion pass through of total pounds or toxic interference at the POTW. Further, (Option CP–3 with production cutoffs of pound equivalents of pollutants although not a decision factor for the up to five million total pounds of discharged to POTWs by industrial final action, EPA expects that the incoming laundry and less than 255,000 laundries such that national categorical industry’s commitment to a pollution pounds of shop and/or printer towels) pretreatment standards are not prevention program will be beneficial. there would be two closures and no firm warranted. EPA also examined the total The program projects reductions of failures. Under this option, EPA pounds and total pound equivalents 20,000 toxic pound equivalents per year projected only 235 job losses, but would removed under a rule with the first to water, and includes non-water quality have lost a greater percentage of toxic cutoff and determined that the amount benefits, as well. For example, EPA pound equivalents. Although EPA of pounds removed is also insignificant estimates that a 10–25 percent reduction identified both option 2 and option 3 as and does not warrant national in energy use would save 3.1 trillion to the economically achievable options, regulation. This analysis is discussed in 7.8 trillion BTUs, reducing air emissions EPA rejected option 3 as not the ‘‘best’’ the Development Document for the final of carbon dioxide by up to 900 million technology since EPA believes that for action. pounds per year, if natural gas is the BAT or PSES the term ‘‘economic EPA has little, if any, record evidence fuel source. Reduced use of other fuels achievability’’ contemplates acceptance that POTWs are currently having pass would also result in reduced emissions of some adverse economic impacts. through or interference problems due to of sulfur dioxide and particulates. (See For Option CP–2, which EPA found to industrial laundry effluent. In the event Section 16 of the record for EPA’s be economically achievable for the that a particular industrial laundry assessment of the environmental industry as a whole, EPA estimates could create a local problem, EPA benefits of the pollution prevention average removals of only 32 toxic pound believes the existing pretreatment goals). equivalents per facility per year. These program is fully adequate to control EPA recognizes this final decision reductions are much lower than any these discharges at the local level. reflects a significant shift from the other categorical pretreatment standards The small total removals achieved by preferred option at proposal. As promulgated by EPA. For example, for the rule are reflected in the cost- described in the preceding paragraphs, Organic Chemicals, Plastics, and effectiveness results. Cost-effectiveness this shift reflects the new information Synthetic Fibers (OCPSF), is expressed as the ratio of costs to toxic and revised analysis that EPA presented Electroplating, Battery Manufacturing, pound equivalent pollutant removals in the notice of data availability, 63 FR and Porcelain Enameling, toxic pound achieved by a regulatory option. While 71054, and discussed above. First, equivalents removed per facility per EPA is not required to consider cost- POTW removal of SGT–HEM (TPH) is year range from 6,747 to 14,960. For effectiveness in establishing BAT, new greater than thought at proposal. some of the more recently proposed source standards or pretreatment Second, the constituents of TPH that rules the reductions are lower, but not standards, EPA typically estimates the have been identified are not as toxic as nearly as low as projected for industrial cost-effectiveness of its options previously believed. Both of these laundries. For example, for particularly to determine which option factors have resulted in reduced Transportation Equipment Cleaning and along a spectrum of options is most projections of the toxic pound Metal Products and Machinery efficient. For this rule, all of the equivalents annually removed by the Proposals the toxic pound equivalents regulatory options considered have high rule from about 407,000 down to less removed per facility per year would average cost-effectiveness values than 39,000 toxic pound equivalents. In range from 492 to 693. ($2,360/toxic pound equivalent for the addition, the projected economic POTWs are effective at treating economically achievable option) impacts of the proposal option are industrial laundry effluent. EPA resulting from the very small removals greater than originally estimated. estimates POTW removal efficiency of that occur under that option. Finally, EPA’s record demonstrates that SGT–HEM (TPH) to be greater than 74 EPA further believes that the most the occurrence of individual local percent. Because the actual percent effective way to address organic wastes problems from laundry discharges are removal could not be calculated and from certain solvents in the discharges not as prevalent as EPA thought at the could be much higher (i.e., 95–99 to POTWs is reduce their use or toxicity time of proposal. percent), EPA believes that SGT–HEM in the customer facilities in the first (TPH) does not pass through. Although place or to remove them before washing, C. Pretreatment Standards for New EPA does not have data showing how either at the customer’s facility or at the Sources (PSNS) much greater than 74 percent is the laundry. EPA’s Office of Solid Waste The options considered for PSNS are treatment efficiency, EPA expects that (OSW) is planning to conduct similar to those considered for PSES. the treatment is significantly more rulemaking to address certain organic After considering all of the information effective because all of the POTW solvents found mainly in shop and/or in the record, EPA has determined not effluent data are below the analytical printer towels before they are washed. to require pretreatment standards for detection limit. For the individual toxic EPA expects to propose this rulemaking new sources because as is the case for and nonconventional pollutants, EPA in the Federal Register in the first existing sources, discharges from new determined that POTW removal quarter of the year 2000. sources do not present a national efficiencies ranged from 18 to 99 EPA believes that the decision not to problem warranting national regulation. percent. A rule based on the promulgate national categorical EPA estimates that there will be at economically achievable option would pretreatment standards for industrial most 27 new sources each year. (In fact remove only a total of 39,000 toxic laundries is the most reasonable the number is likely to be lower since pound equivalents nationwide per year; decision based on the record. While it is based on the number of new entities or 32 toxic pounds per facility per year EPA has broad discretion to promulgate that started in a three year period, some on average. With respect to such standards, EPA retains discretion of which likely were existing facilities conventional pollutants, POTWs are not to do so where the total pounds with new ownership.) Under a rule with

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Other sources total of about 19,740 total pounds of and international markets, inflation, include comments to the proposal and pollutant and 945 toxic pounds per distribution, industry consolidation, NODA, government data from the year. Because the total pounds and environmental justice and industrial Bureau of the Census, industry trade pound equivalents per facility that laundries customers. The EA covers journals, and several preliminary would be removed by PSES are various regulatory options in addition to surveys of the industry, including the comparable to those for existing sources, the three summarized in this notice. 1989 Preliminary Data Summary for the same reasons for not issuing EPA also conducted an analysis Industrial Laundries, the 1993 Industrial pretreatment standards for existing equivalent to a Final Regulatory Laundries Industry Screener sources also apply to new sources. This Flexibility Analysis under the Questionnaire, and the 1994 Industrial is true not only for the option selected Regulatory Flexibility Act (RFA) as Laundries Supplemental Screener as economically achievable, but also amended by the Small Business Questionnaire. under a rule that would apply the first Regulatory Enforcement Act (SBREFA), 2. Methodology Overview cutoff. This analysis is discussed in the which estimates effects on small Development Document for the final entities. EPA also prepared an analysis Central to the EA is the cost action. of pollutant removals and average cost- annualization model, which uses In developing estimates of total effectiveness of all options. facility-specific cost data and other pounds of pollutants that would be inputs (discussed in Chapter 11 of the reduced by the rule, EPA determined B. Economic Impact Methodology Technical Development Document) to what option would not present a barrier 1. Introduction determine the annualized capital and to entry for new sources. Here, EPA operating and maintenance (O&M) costs Section IV.B.2 (and, in more detail, of improved wastewater treatment. This considered whether a small production the EA and record) summarizes the exclusion should apply for new sources model uses these costs along with an methodology EPA used to estimate the annual compliance monitoring cost with equivalent to the one that would have economic impacts that result from applied to existing sources. EPA the facility-specific real cost of capital compliance costs associated with the (discount rate) over a 16-year analytic determined that it would be appropriate regulatory options. The analysis in the to apply the same production threshold time frame to generate the annual cost EA consists of eight major components: of compliance for each option. EPA for PSNS because for this industry, the (1) An assessment of the number of costs of the rule are similar regardless of chose the 16-year time frame for facilities that could have been affected analysis based on the depreciable life whether a facility is a new source or an by pretreatment standards; (2) an existing source and thus new smaller for equipment of this type, 15 years estimate of the annual aggregate cost for according to Internal Revenue Service facilities would likely suffer the same these facilities to comply with (IRS) rules, plus approximately one year disproportionate impacts that existing pretreatment standards using facility- for purchasing and installing the smaller facilities would suffer under a level capital and operating and equipment. As an alternative to rule. For example, under the costs of a maintenance (O&M) costs; (3) an installing wastewater treatment, the cost rule, all of the new sources projected to evaluation of potential facility closures, model also generates the annualized close would have been under the using a financial model that projects cost of hauling wastewater offsite. The threshold for the exclusion. This impacts on facilities’ cash flow (closure cost model compares the treatment costs represents a disproportionate impact on analysis); (4) an evaluation of potential to the hauling costs (where this those smaller facilities. Also, EPA was firm failures; (5) an evaluation of alternative is available), and selects the concerned that it would not provide a potential secondary impacts such as lower of the two. level playing field to require a new those on employment, markets, EPA then converts the annual cost for smaller facility to compete with an inflation, distribution, industry each facility into a present value change existing smaller facility that would be consolidation, environmental justice in cash flow, which is subtracted from excluded under the production and industrial laundry customers; (6) an the estimated baseline present value of threshold for the rule, and this assessment of the potential for impact facility cash flow. EPA estimated competitive disadvantage could be a on new sources (barrier to entry); (7) an baseline present value of facility cash barrier to entry if the production analysis of the effects of potential flow based on the average of three years threshold for new and existing sources compliance costs on small entities; and of financial data from each facility in were not the same. (8) a cost-benefit analysis. the Section 308 survey under an IV. Costs and Economic Impacts for the All costs in today’s notice are assumed no-growth scenario (i.e., the Regulatory Options reported in 1998 dollars, with the annual cash flow, calculated as the 3- exception of average cost-effectiveness year average, is expected to remain the A. Introduction results, which, by convention, are same over the 16-year period of This section describes the capital reported in 1981 dollars. The EA analysis). If the change in present value investment and annualized costs of presents costs in 1993 dollars. The of cash flow (which is derived from the compliance of the three regulatory Engineering News Record Construction annualized costs of compliance of a options outlined in Section III and the Cost Index was used to inflate costs to regulatory option) causes a facility’s potential economic impacts of these 1998 dollars. The sources of data for the estimated cash flow to change from compliance costs on current and future economic analysis are the same as positive in the baseline to zero or facilities and firms in the industry. reported in the preamble to the negative, over the 16-year period of EPA’s economic assessment is presented proposed rule (62 FR 66182) with analysis, EPA considers the facility in detail in the Economic Assessment updates to the profile, costs, and likely to close (i.e., liquidate) as a result

VerDate 18-JUN-99 17:44 Aug 17, 1999 Jkt 183247 PO 00000 Frm 00008 Fmt 4701 Sfmt 4702 E:\FR\FM\18AUP3.XXX pfrm03 PsN: 18AUP3 Federal Register / Vol. 64, No. 159 / Wednesday, August 18, 1999 / Proposed Rules 45079 of that regulatory option. Salvage value, based on empirical data to characterize that there are 1,742 industrial laundries as at proposal, was not used in the the financial health of firms. This facilities. Of these, 136 to 953 facilities closure analysis, although EPA did equation calculates one number, based would have been excluded from the perform sensitivity analyses, which are on the financial data, that can be regulation, depending on the production presented in an appendix in the EA. For compared to index numbers that define cutoff. As described in Section III, EPA reasons discussed in the EA and the ‘‘good’’ financial health, considered three primary exclusions in Comment Response Document, salvage ‘‘indeterminate’’ financial health, and addition to analyzing the impacts with value was either considered ‘‘poor’’ financial health. All firms whose no cutoff. To summarize, the exclusions inappropriate or did not substantially Altman’s Z’’ number changes such that are (1) All facilities laundering less than change the outcome of the analysis. the firm goes from a ‘‘good’’ or 1 million pounds of incoming laundry Note that facilities that reported ‘‘indeterminate’’ baseline category to a per calendar year and less than 255,000 negative cash flow over the 3-year ‘‘poor’’ postcompliance category are pounds of shop and/or printer towels period of the survey are considered classified as likely to have significant per calendar year (abbreviated as the baseline closures and are not considered difficulties raising the capital needed to 1MM/255K cutoff, which was the cutoff affected by the regulatory options for comply with a regulatory option, which originally proposed by EPA, and which several reasons: (1) Many of these can indicate the likelihood of firm would have excluded 136 facilities or 8 facilities are owned by multifacility bankruptcy, or loss of financial percent of all facilities), (2) all facilities firms. These facilities may be independence. laundering between 1 and 3 million transferring production (laundering EPA estimated direct employment pounds of total laundry per year and services at or near cost) from other impacts associated with both the facility less than 120,000 pounds of shop facilities owned by the same parent closure and firm failures. In addition, towels, in addition to those excluded company, or otherwise not expected to EPA took the extra steps to consider and above under the 1MM/255K cutoff be self-supporting by the parent. EPA estimate national and regional level (abbreviated as the 3MM/120K cutoff, analyzes the parent firms of these employment impacts. These extra steps which would exclude 518 facilities or facilities in the firm-level analysis. (2) provide EPA with additional 30 percent of all facilities), and (3) all OMB guidance suggests that agencies information and analysis about the facilities laundering less than 5 million develop a baseline that is ‘‘the best potential effects on the national pounds of total laundry and less than assessment of the way the world would economy. For example, closures and 255,000 pounds of shop towels look absent the proposed regulation. failures of industrial laundry facilities (abbreviated as the 5MM/255K cutoff, That assessment may consider a wide or firms could lead to economic and which would have excluded 953 range of factors, including the likely financial impacts in other sectors of the facilities or 55 percent of all facilities). evolution of the market * * *.’’ EPA’s economy. These economic impacts There are 903 firms owning the 1,742 best assessment is that some facilities could potentially affect suppliers or facilities. A total of 837 of the 903 firms currently operating may not remain in customers that are in other sectors of the (93 percent) are ‘‘small businesses’’ business to install and operate the economy. Moreover, these impacts according to SBA definitions (revenues pollution control equipment. EPA could be positive or negative, e.g., jobs less than $10.5 million per year). The cannot say for certain which facilities could be created for installing pollution analysis looks separately at single- these may be, but can assert that those control equipment or jobs could be lost facility firms (those firms where the firm facilities that are currently considered with a decrease in business from the and the facility are a single entity) and not financially viable because their cash industrial laundries industry. This multifacility firms (firms that own more flow is zero or negative (among those additional comprehensive analysis of than one facility; generally, these firms not owned by multifacility firms) are the impacts at the national level relied upon are larger than single facility firms). likeliest facilities to close without ever procedures known as input-output There are a total of 830 single-facility installing and operating pollution analysis. These analyses are discussed firms in the industry (92 percent), the control equipment. It is possible that a fully in the EA. vast majority of which meet the SBA facility estimated to be a baseline Another key analysis EPA performs is definition of small. closure may remain open, but the an analysis to determine impacts on The total cost of each regulatory converse is also true—a facility new sources, which is primarily a option is based on engineering cost projected to remain open until it is ‘‘barrier-to-entry analysis’’ to determine estimates. The Technical Development subject to a regulatory option may whether the compliance costs would Document describe EPA’s development actually close independently of the have prevented a new source from of these cost estimates (EPA 821–R–99– effects of the regulatory options. Thus, entering the market. This analysis also 010). Briefly, EPA developed cost equations for capital and O&M costs EPA believes it is consistent with OMB looks at whether new industrial guidance to estimate postcompliance (including monitoring and laundries would have been at a closures by counting closures that are recordkeeping) for the wastewater competitive disadvantage compared projected to close solely due to the treatment technologies. For the CP with existing sources. Market effects effect of compliance costs. options, the components of the cost and barriers to entry associated with the In the firm failure analysis, EPA uses estimates include screen, stream small source exclusion also are the capital costs, O&M costs, and an splitting, equalization, chemical qualitatively investigated. early-year depreciation figure to precipitation, pH adjustment, sludge compute a change in earnings, assets, C. Summary of Costs and Economic dewatering, building and monitoring. liabilities, and working capital at the Impacts Table IV.C.2.1. presents a summary of firm level (accounting for costs for the total annualized costs for the various multiple facilities, where applicable). 1. Number of Facilities and Costs of the production cutoffs associated with CP. These postcompliance financial figures Regulatory Options A parallel set of results for DAF is are used in a computerized model of This section presents the costs for the presented in the EA. The costs of the financial health on a firm-by-firm basis. three regulatory options outlined in regulatory options are estimated to The model uses an equation known as Section III. The costs for other options range from $61.3 million for the option Altman’s Z′′, which was developed are presented in the EA. EPA estimates with the 5MM/255K cutoff to $145.8

VerDate 18-JUN-99 12:14 Aug 17, 1999 Jkt 183247 PO 00000 Frm 00009 Fmt 4701 Sfmt 4702 E:\FR\FM\A18AU2.001 pfrm07 PsN: 18AUP3 45080 Federal Register / Vol. 64, No. 159 / Wednesday, August 18, 1999 / Proposed Rules million under the option with no cutoff. EPA estimates that 44 facilities would location or at the same time as the The 3MM/120K cutoff is estimated to have closed (2.5 percent of all facilities). losses). The gains to the industrial cost $103.2 million per year. In addition to these closures, EPA laundries industry would have included predicts firm failures for 72 firms under operators of pollution control systems TABLE IV.C.2.1.ÐCOSTS OF no cutoff and under the 1MM/255K that might be hired by facilities and REGULATORY OPTIONS CONSIDERED cutoff. EPA estimated no firm failures additional workers hired to expand [$1998] for the 3MM/120K cutoff and the some production at facilities located in 5MM/255K cutoff . market areas with facility closures. In Total EPA estimates that a total direct job the economy as a whole, gains due to annualized loss of 235 to 3,318 full-time equivalents increased production and installation of Option and cutoff considered post tax (1 FTE=2,080 hours of labor) would pollution control devices would have (Production/Shop Towels) cost ($millions, have occurred as a result of the facility occurred. 1998) closures projected under the various CP Employment losses from closures options, depending on cutoff. The might not be the only losses that could CP Options 3MM/120K cutoff is associated with a occur. Employment losses might have loss of 2,261 FTEs due to closures. occurred as a result of firm failures. No cutoff ...... 145.8 1MM/255K ...... 137.4 These losses would have contributed to When 75 percent of the employment at 3MM/120K ...... 103.2 losses elsewhere in the economy, these failing firms are added to the 5MM/255K ...... 61.3 because a closure can affect other parts employment losses that might have of the economy as inputs to the closed occurred under the various cutoffs, EPA 2. Economic Impacts of the Regulatory facility are no longer needed and estimates that the direct employment Options demand for products by laid off workers losses associated with the CP option is reduced. The sum of the direct losses would have been 235 FTEs (note that no a. Impacts From Regulatory Options for from closures and these other indirect failures were estimated under the Existing Sources and induced losses range from 404 to 5MM/255K cutoff) to as high as 5,039 Table IV.D.2.2 summarizes the closure 5,707 FTEs, depending on cutoff. The FTEs under no cutoff. The and employment impacts of the CP 3MM/120K cutoff is associated with 3MM/120K cutoff is associated with no options. Closure and firm failure nationwide losses of 3,889 FTEs due to additional losses of employment due to impacts from the DAF options are closures. The employment losses failures. When direct and indirect identical and are reported in an associated with closures overstate actual employment effects are estimated, total Appendix to the EA. EPA estimates that net losses to the industry and to the losses associated with both closures and the CP options would have resulted in economy, because some employment failures are estimated to be as high as closures of from 2 facilities under the gains in the industry and throughout the 404 to 8,667 FTEs, depending on cutoff. 5MM/255K cutoff to 106 facilities under economy would have occurred The 3MM/120K cutoff is associated with no cutoff (0.1 to 6.1 percent of all 1,742 (although the gains might not have total nationwide losses of 3,889 FTEs facilities). Under the 3MM/120K cutoff, occurred in the same geographic due to both closures and failures.

TABLE IV.D.2.2ÐSUMMARY OF OPTION IMPACTS

Impact No cutoff 1MM/255K 3MM/120K 5MM/255K

Facility Closures ...... 106 61 44 2 Direct Employment Losses from Closures ...... 3,318 2,684 2,261 235 Economy-Wide Employment Losses Due To Closures ...... 5,707 4,617 3,889 404 Firm Failures ...... 72 72 0 0 Direct Employment Losses from Closures Plus Failures ...... 5,039 4,405 2,261 235 Economy-Wide Employment Losses from Closures Plus Failures ...... 8,667 7,576 3,889 404

Losses due to closures are not the loss would have been $62.6 million to losses that would have occurred when only losses to the national economy, nor $149.9 million per year at most, which market equilibrium was achieved. are those losses net losses (after is about 0.001 percent of Gross Domestic Although the CP options are estimated accounting for gains). EPA predicts Product in 1998. Thus EPA expects, at to have produced a short-term employment impacts to the national- the national level, that the CP options employment loss to the industrial level economy on the basis of the output would have had negligible impact on laundries industry of 235 to 5,039 FTEs losses calculated for the U.S. economy U.S. employment and output. based on closures and failures, this is using the input-output analysis EPA also investigated employment less than the long-term net direct described in Section IV.A.2. Based on impacts driven by output reductions in employment losses that would be this analysis, which estimates both the industrial laundries industry alone. calculated on the basis of output losses national employment losses stemming Within the industrial laundries assuming no costs could be passed from decreased output in the industrial industry, nonclosing facilities could through to customers. Assuming no cost laundries industry and offsetting gains have experienced gains in production passthrough, as many as 2,884 to 6,692 stemming from increased output of (and thus gains in output and FTEs (2.2 percent to 5.2 percent of total pollution control equipment, the CP employment) or losses in production, employment in the industry) might have options would have resulted in a net depending on how many facilities were been lost over the long term (inclusive loss of employment at the national level expected to close and whether the loss of closure- and failure-based losses, but in all industry sectors of 3,389 to 7,900 of production to the economy net of gains in employment due to FTEs, which is less than 0.01 percent of represented by closing facilities hiring of pollution control system the U.S. labor force in 1998. Net output exceeded or fell short of production operators) in the industrial laundries

VerDate 18-JUN-99 12:14 Aug 17, 1999 Jkt 183247 PO 00000 Frm 00010 Fmt 4701 Sfmt 4702 E:\FR\FM\A18AU2.001 pfrm07 PsN: 18AUP3 Federal Register / Vol. 64, No. 159 / Wednesday, August 18, 1999 / Proposed Rules 45081 industry under the CP option, passed through to customers. A realistic but this reduction must be compared to depending on cutoff. The 3MM/120k estimate of the cost increase at a typical the approximate 6 percent per year cutoff is associated with a loss of 4,897 medium size printer (a key industrial growth in revenues seen in recent years. FTEs. This worst-case estimate shows laundry customer industry) would be This growth in revenues appears to be greater losses than those estimated using about $200 per year, or about a 0.6 driven by increasing production (to the production losses calculated using percent increase in laundry costs. EPA meet new demands for industrial EPA’s market model (and assuming believes this level of impact is laundry services), while increasing costs are passed through to customers), representative at most sizes and types of productivity and declining costs of which projects that, in fact, very small industrial laundry customers. Therefore, production (in the baseline), combined net gains might have occurred over time EPA does not expect price increases, with revenue growth, have contributed (from 30 to 87 FTEs gained, depending should they have occurred, to have had to higher profitability. EPA expects that on cutoff). Thus, the 3MM/120K cutoff a major impact on customers. the options would have had a one-time would be expected to result in net EPA also investigated the likelihood effect on revenue and profit growth, but employment losses ranging from 2,520 that customers might substitute in actuality, with a continuing economic to 4,897 FTEs. disposable items for laundered items or boom, the overall effect might have been For the community-level analysis, begin operating on-site laundries under only a reduction in the increase in under the conservative approach for the various regulatory options. Both the production. In a downturn, however, estimating community employment substitution of disposable items for EPA recognizes that output losses due to impacts described above, EPA laundered items and the installation and a downturn might have been greater determined that closures and failures operation of on-site laundries are than they would be without a would have resulted in a maximum associated with potential negative regulation. change in a community’s impacts on customers that might deter unemployment rate of less than one them from choosing these potential b. Impacts From Regulatory Options for percent under all cutoffs considered. substitutes. Disposable items can be New Sources EPA considers the options likely to more expensive to use than laundered EPA’s decision not to promulgate have had a minimal impact on items, may not meet quality pretreatment standards applies to new international markets. Under the higher requirements (e.g., disposable printer sources as well. This section presents cutoffs such as the 5MM/255K cutoff towels tend to be linty) and are, in EPA’s assessment of what impacts on (which would have excluded 55 percent certain circumstances, regulated under new sources might have been had EPA of the 1,742 facilities, the options might other environmental statutes. Lint-free decided to promulgate pretreatment have had some effect on the ability of disposable wipers (such as those used in standards for new sources under the larger facilities to compete. These larger clean rooms) are very expensive, and same option and exclusion selected for facilities generally, however, have a currently are only used in situations existing sources (CP–IL under the 3MM/ competitive advantage over the smaller where even reusable wipers provided by 120K cutoff). EPA assessed impacts on excluded facilities. Most are owned by industrial laundries are not sufficiently new sources by determining whether large multifacility firms that benefit lint-free. Meanwhile because of the high the regulatory options would have from economies of scale not available to initial costs to install equipment on-site resulted in a barrier to entry into the the smaller, single-facility firms. For the and the likelihood that any price market. most part, the nonexcluded facilities increase associated with industrial EPA has found that overall impacts have greater financial resources and laundry service would have been small, from either the CP–IL or DAF–IL could have better absorbed the costs of on-site laundries could have required options would not have been any more compliance. All analyses have been run years before any cost savings might be severe on new sources than those on under the assumption that no costs are realized. Given the disincentives existing sources as long as both are passed through to customers, thus the towards those substitutes indicated subject to the same cutoff, since the analysis shows that the vast majority of above, particularly under the higher costs faced by new sources generally these larger facilities would have been cutoffs (e.g., the 5MM/255K cutoff), will be similar to those faced by existing able to compete on the basis of price. prices would have been unlikely to rise sources. Because most new sources and Furthermore, as discussed below in the noticeably. EPA does not believe that existing sources would have faced Small Business Analyses section, EPA the options considered would have had similar costs, EPA has determined that believes that any potential adverse a substantial effect on substitution of the CP–IL option under the 3MM/120K impacts to the facilities not excluded disposable items for laundered items or cutoff for new sources would not have under the various options would have caused an increase in industrial posed a barrier to entry on the basis of been far outweighed by the benefits of laundering on-site for industrial competitiveness. reducing adverse economic impacts on laundries services in any major way as EPA also examined whether there the most vulnerable firms in the a result of price increases. Furthermore, would be a barrier to entry for small industry. since EPA has assumed for these new sources based on disproportionate EPA also estimates that the options analyses that no costs are passed impacts measured as closures or considered would have had minimal through to customers, under the cutoffs failures. EPA investigated facilities in impacts on inflation and insignificant considered, most firms and facilities the Section 308 Survey that indicated distributional effects. The no regulation would have been able to absorb the cost they were new or relatively new at the decision will not change the status quo of the options if they felt their time of the survey. Using the Section and this will not affect industrial customers would have switched to 308 Survey data, EPA expects that new laundry competitors, such as the substitutes had price increased. sources would generally have exceeded disposable industry. The options also Any cost of compliance that is not most of the threshold size cutoffs that would have had minimal impacts on passed through to customers, however, EPA considered for existing sources. industrial laundries customers. EPA would have resulted in some reduction Sixty percent of facilities identified as investigated the impact on customers in in production (assuming no other new exceed the 5MM/255K cutoff. The the unlikely event that most costs of the factors in the industrial market changed) number of new source facilities coming options considered could have been as firms attempted to maximize profits, on line each year is extremely small.

VerDate 18-JUN-99 12:14 Aug 17, 1999 Jkt 183247 PO 00000 Frm 00011 Fmt 4701 Sfmt 4702 E:\FR\FM\A18AU2.001 pfrm07 PsN: 18AUP3 45082 Federal Register / Vol. 64, No. 159 / Wednesday, August 18, 1999 / Proposed Rules

Over a three year period (1991, 1992, according to SBA Guidelines (revenues pounds of a pollutant removed and and 1993), according to Section 308 less than $10.5 million per year). The multiplying this number by a toxic Survey data, laundry operations began analysis looks separately at single- weighting factor (TWF). EPA calculates at about only 80 facilities (and it is not facility firms (those firms where the firm TWFs for priority pollutants and some absolutely clear from the data whether and the facility are a single entity) and additional nonconventional pollutants these facilities were actually new multifacility firms (firms that own more using ambient water quality criteria and dischargers or were existing dischargers than one facility; generally, these firms toxicity values. The TWFs are then acquired in that year by a different are larger than single facility firms). standardized by relating them to a firm). Over the 3-year period, this There are a total of 830 single-facility particular pollutant at a certain point in amounts to 27 new sources a year at firms out of 903 total firms in the time, in this case, copper. As of 1985 the most, or only 1.5 percent of existing industry (92 percent), the vast majority water quality criterion for copper was facilities. Given the small level of of which (812) meet the SBA definition revised, thus the TWF for copper also growth in the industrial laundries of small. Only 25 multifacility firms has been revised. PEs are calculated industry, EPA believes that new sources meet this definition. Under the 3MM/ only for pollutants for which TWFs are primarily replacing production from 120K cutoff, 363 small, single-facility have been estimated, thus they do not closing facilities that exit the market. firms (45 percent of small, single facility reflect potential toxicity of some Of these facilities identified as new or firms) would have been excluded. nonconventional and, to date, any relatively new facilities, EPA Had EPA promulgated a rule, no small conventional pollutants. EPA does not determined that the average revenues of firms would have closed or failed under include pollutant removals to the extent this group exceeded $4 million per year, the 5MM/255K cutoff, but 126 small, that those pollutants are reliably and the amount of laundry processed single-facility firms would have closed removed at the POTW, but only averaged over 5 million pounds per or failed under the 1MM/255K cutoff includes the removal of pollutants that year. Only 24 to 32 facilities out of 80 (54 closures and 72 failures, or 18.4 would not be removed by the POTW. total newer facilities (weighted), or 30 to percent of all small firms in the As noted earlier, based on new data 40 percent, would meet the size postcompliance analysis). Under the and as discussed in the NODA, EPA threshold for the exclusions EPA 3MM/120K cutoff, 39 small, single- estimated toxic weighting factors for the investigated for existing sources. On a facility firms would have closed or individual components of SGT–HEM yearly basis (given that these facilities failed (39 closures and no failures, or (TPH), such as certain alkanes and started up over the 3 years of the survey) 5.7 percent of the 684 small firms in the naphthalene, bis(2-ethylhexyl) phthalate EPA estimates that 8 to 11 facilities of postcompliance analyses). and 2-methylnaphthalene to estimate the size, on average, that would meet an toxic pound equivalent removals for the 4. Cost-Benefit Comparison exclusion similar to those investigated decision. for existing sources might be started up EPA estimates that the pretax costs of each year. Under the 3MM/120K cutoff, compliance, as can be seen in the EA for TABLE IV.E.1.ÐPOLLUTANT REMOVALS 30 facilities total, or 10 per year, on the proposal, generally make up nearly OF CP OPTIONS AND CUTOFFS CON- average, would meet this exclusion. all of the monetizable social costs of SIDERED Overall, in the group of 80 facilities, 6 pretreatment standards. Additional very facilities (weighted), or 7.5 percent, small costs are associated with costs to Option/ Pounds Toxic pound were identified as postcompliance permitting authorities and the Cutoff removed equivalents closures (based on a closure by one administrative costs of providing removed surveyed nonindependent facility). unemployment benefits. CP These facilities would have been EPA thus approximates the social exempted under all cutoffs considered. costs of a rule using the pretax No Cutoff ...... 891,572 43,013 Given the above results, EPA finds that compliance costs of the option and 1MM/255K ...... 871,422 42,249 had new sources been regulated under cutoff. EPA would have selected had the 3MM/120K ...... 794,448 38,566 the 3MM/120K cutoff, the rule for new Agency promulgated a rule. The pretax 5MM/255K ...... 636,660 31,469 sources would have been economically cost of the CP–IL option under the achievable and no barriers to entry 3MM/120K cutoff is $149.1 million per As noted above, EPA also estimated would have occurred. year in 1998 dollars. This figure can be the toxic pound equivalent removed by Furthermore, because both new compared with the monetized benefits the rule using a toxic weighting factor sources and existing sources would of $0.16 to $0.79 million in 1998 for the bulk parameter TPH (SGT–HEM). have been provided the same exclusion, dollars. The components of these This analysis was not EPA’s primary EPA avoids a situation where a level benefits and their value are summarized analysis because EPA historically playing field would not be provided for in detail in Section VIII of this final assigns TWFs to the individual new sources relative to existing sources. action. constituents and because EPA only This could occur when a new smaller identified a very small percentage V. Total Toxic and Nonconventional facility that was not excluded from the (approximately two percent) of the Pounds Reduced by Options Considered rule must compete with an existing constituents comprising TPH (SGT– for the Final Action smaller facility that was excluded under HEM). To derive a toxic weighting factor the production threshold for the rule. In addition to the foregoing analyses, for the bulk parameter TPH (SGT–HEM) This competitive disadvantage could be EPA has estimated toxic and in this case, EPA extrapolated the toxic a barrier to entry if the production nonconventional pollutant reductions weighting factor from the identified threshold for new and existing source for all options and cutoffs considered constituents to all of the TPH pounds. were not the same. for the final action. These results are While EPA thinks that this approach for expressed in terms of the ‘‘pound estimating the toxic pound equivalents 3. Small Business Analysis equivalent’’ (PE) removed. PE is a for a bulk parameter may be reasonable There are 903 firms owning the 1,742 measure that addresses differences in where a large percentage of constituents facilities. A total of 837 out of the 903 the toxicity of pollutants removed. Total can be identified, EPA was not able to firms or 93 percent are ‘‘small business’’ PEs are derived by taking the number of do so here. The uncertainty inherent in

VerDate 18-JUN-99 12:14 Aug 17, 1999 Jkt 183247 PO 00000 Frm 00012 Fmt 4701 Sfmt 4702 E:\FR\FM\A18AU2.001 pfrm07 PsN: 18AUP3 Federal Register / Vol. 64, No. 159 / Wednesday, August 18, 1999 / Proposed Rules 45083 extrapolating the toxicity of so industry. In addition, EPA looks at the of conducting the pass through analysis minuscule a fraction of TPH engineering design aspects of the using the other methodologies show constituents to the entire TPH parameter candidate technologies and the ability of only minor differences in pollutant is too great for EPA to use for its the POTW to treat pollutants to removals. primary analysis. Nevertheless, EPA determine if certain pollutants pass would not have made a different through (e.g., soluble organic VII. Cost-Effectiveness Analysis decision based on this alternative compounds exhibiting some degree of In addition to calculating pound analysis. volatility). equivalent (PE) removals, the Agency By contrast, General Pretreatment also calculated the average cost- VI. Pass Through Analysis Standards authorize POTWs to set local effectiveness of the various options and Categorical pretreatment standards are limits for individual indirect cutoffs considered. EPA calculates technology-based standards for indirect dischargers in order to prevent pass dischargers in an industrial category. through or interference, or what is average cost-effectiveness on the basis of Pretreatment Standards for Existing necessary for the POTW to meet its cost per toxic pound equivalent Sources (PSES) and Pretreatment NPDES permit limit. Under the General removed. For this rule, EPA did not Standards for New Sources (PSNS) are Pretreatment Standards, pass through is perform an incremental cost- analogous to the BAT (Best Available defined as a discharge that exits the effectiveness analysis, which evaluates Technology Economically Achievable) POTW into waters of the U.S. in cost-effectiveness incrementally and best available demonstrated quantities or concentrations, which between options along the same technology (BADT for NSPS) for alone or in conjunction with a discharge treatment train. Average cost- existing and new source direct or discharges from other sources, cause effectiveness, which evaluates an option dischargers, respectively. For the a violation of any requirement of the or cutoff relative to a baseline, or no development of the national categorical POTW’s NPDES permit. regulation option, was calculated. The pretreatment standards, EPA determines Results of the pass through analysis average cost-effectiveness ratio is whether pollutants discharged to show that there is not significant pass calculated as the costs of an option at POTWs pass through to waters of the through, while pretreatment using CP that cutoff in 1981 dollars (the standard U.S. by comparing the percentage of the would produce some additional removal year for all cost-effectiveness studies) pollutant removed by well-operated of some pollutants, the removals divided by the total removals calculated POTWs achieving secondary treatment associated with these pollutants are under that option and cutoff. Costs with the percentage of the pollutant small in absolute pounds and toxic evaluated include the pretax direct removed by the candidate BAT or pound equivalents. For the compliance costs, such as capital pretreatment technologies. For this economically achievable option (see expenditures and O&M costs, including industry, there is no candidate BAT sections IV and V) the removals for the compliance monitoring. Table IV.E.1 technology because there are no known pollutants would be 794,448 lbs/yr shows the pollutant removals in pound direct dischargers in the industry so (38,566 pound equivalents) or 649 equivalents and average cost- EPA has based the pass through analysis pounds (32 pound equivalents) per year effectiveness of each regulatory option on a comparison of the candidate per facility. A full description of the under each cutoff considered. EPA is pretreatment technologies to POTW pass through analysis results is shown showing the average cost-effectiveness removals. EPA believes that the in the Technical Development results for the DAF options as well as comparison of well-operated POTWs to Document. the CP options to illustrate that these the candidate pretreatment technologies Results of alternative methods for options removed less pound equivalents instead of BAT is appropriate, since conducting the pass through analysis at greater cost than the comparable CP there are no direct dischargers in the can be found in the record. The results options.

TABLE IV.E.1.ÐPOLLUTANT REMOVALS AND AVERAGE COST-EFFECTIVENESS OF OPTIONS AND CUTOFFS CONSIDERED

Total annual Average C±E Option/Cutoff PE Cost (1981$/lb. eq.) removed ($mil. 1981)

CP

No Cutoff ...... 43,013 121.5 2,824 1MM/255K ...... 42,249 115.7 2,739 3MM/120K ...... 38,566 88.3 2,290 5MM/255K ...... 31,469 52.7 1,674

DAF

No Cutoff ...... 35,345 132.1 3,885 1MM/255K ...... 34,640 126.5 3,652 3MM/120K ...... 31,665 98.4 3,108 5MM/255K ...... 25,844 60.1 2,327

As the table shows, the difference representing a 27 percent drop in ineffective. EPA would expect this to be between the no cutoff scenario and the removals (the results for DAF are the case given the ability of POTWs to most inclusive cutoff (5MM/255K) is similar). EPA considers the options and effectively treat industrial laundry only 11,844 PEs under the CP option, their cutoffs to be generally cost- effluent and the resulting small total

VerDate 18-JUN-99 12:14 Aug 17, 1999 Jkt 183247 PO 00000 Frm 00013 Fmt 4701 Sfmt 4702 E:\FR\FM\A18AU2.001 pfrm07 PsN: 18AUP3 45084 Federal Register / Vol. 64, No. 159 / Wednesday, August 18, 1999 / Proposed Rules number of pound equivalents removed categorical pretreatment standards for economic productivity benefits. by the rule. Thus, while EPA does not this industry would justify their costs. However, because of data limitations base its decision regarding PSES or and the understanding of how society B. Changes Since the Proposal PSNS on cost-effectiveness, this analysis values some of these benefit categories, confirms that EPA’s decision not to In response to numerous comments EPA was not able to analyze all of these issue national categorical pretreatment received pertaining to the benefits categories with the same level of rigor. standards is reasonable. analysis conducted for the Proposed At the highest level of analysis, EPA Rule, for the NODA, EPA revised its was able to quantify the expected effects VIII. Environmental Benefits Analysis analysis in two ways: (1) The aquatic for some benefit categories and attach A. Summary life chronic toxicity value of TPH (1,145 monetary values to them, such as a µg/L), used to develop a recommended nominal value for reduction in cancer Since EPA is not promulgating AWQC for TPH and also used to risk from fish consumption and reduced national categorical standards for the develop a toxic weighting factor for costs of managing and disposing of industrial laundries point source TPH, is based on a weighted average of POTW sewage sludge. For other benefit category, EPA estimates that there will the toxicity of 13 identified constituents categories, EPA was able to quantify be no environmental benefits associated of TPH (as compared to the 56 µg/L expected effects but not able to estimate with this action. If EPA were to based on soluble hydrocarbons used for monetary values for them. These benefit promulgate national standards based the proposal); (2) the POTW removal categories include reduced exceedences upon the economically achievable CP percentage of TPH was increased to of biological inhibition criteria at treatment option presented above, the 74% from 65%; and (3) the POTW POTWs and changes in human health monetized human health benefits would removal percentages of other pollutants and aquatic life risk indicators. Finally, be nominal. Projected cancer cases were updated. non-quantified, non-monetized benefit would be reduced by far less than one The overall impact of the changes categories include enhanced water- cancer case per year. (0.06 cancer cases related to TPH is a decrease in the dependent recreation other than fishing. from a baseline of 0.17 cancer cases.) number of reaches with modeled 2. Reduced Human Health Risk EPA’s use of a hazard ranking score to baseline water quality criterion toxicity evaluate non-cancer effects found no exceedences in the baseline from 78 at EPA projects that the CP and DAF non cancer effects would occur. In terms proposal to 12 at final. The water options would eliminate far less than 1 of other benefits, EPA estimates based quality exceedences predicted for the cancer case per year (0.06 cancer cases on computer modeling, that a rule final action are for five Pollutants Of from a baseline of 0.17 cancer cases). would remove 16 out of 38 exceedences Concern (POCs) (mercury, silver, This translates into $0.15 million to of Ambient Water Quality Criteria tetrachloroethene, chloroform and bis $0.78 million ($1998) in benefits. (AWQC) for the protection of aquatic (2-ethylhexyl) phthalate) rather than for Further, based on risk reference doses in life and/or human health at 12 reaches TPH. These pollutants from industrial conjunction with in-stream pollutant nationwide, and biosolid quality at eight laundries are modeled to be present in concentrations, EPA modeled no non- POTWs would be improved. POTW effluent in concentrations above cancer human health effects. Both of these analyses are based on exposure of This section presents the estimated recommended Water Quality Criteria recreational and subsistence anglers and benefits due to implementation of the (WQC) for either chronic toxicity to their families to fish. With respect to economically achievable CP and DAF aquatic organisms or human health at ambient water quality criteria for human options. For more details, see the Water baseline conditions for three sample health, EPA modeled exceedences for Quality Benefits Analysis (WQBA). EPA reaches that represents 12 reaches three pollutants at 12 reaches estimates the monetized CP benefits, nationwide. nationwide. which consist of reduced cancer cases C. Benefits of Action To estimate the reduced risk of non- and improved biosolid quality to be cancer health effects (e.g., systemic 1. Reduced Pollutant Discharges small, from $0.16 million to $0.79 effects, reproductive toxicity, and million ($1998). These benefits are de EPA considered the benefits that developmental toxicity) from fish and minimis, and therefore, reinforce EPA’s could result from reductions in water consumption for each option, EPA decision made above. Taken in context industrial laundry pollutant discharges used risk reference doses, in across all stream reaches nationwide, to POTWs, including: improved quality conjunction with in-stream pollutant EPA does not believe that the benefits of freshwater, estuarine, and marine concentrations, to calculate a hazard analysis indicates that industrial ecosystems; reduced risks to human score. A value of one or greater for a laundry discharges present a nationwide health through consumption of fish or hazard score indicates the potential for problem. Further, EPA expects that the water taken from affected waterways; non-cancer hazards to occur. The hazard benefits realized from the rule could be reduced cost of disposal or use of score, which EPA calculated by realized under the existing pretreatment municipal sewage sludge that is affected summing over all pollutants, was less program, where EPA will work with any by industrial laundry pollutant than one for baseline conditions as well POTW that is not meeting its water discharges; and reduced occurrence of as for all treatment options. quality-based permit limit to impose biological inhibition of activated sludge At current discharge levels, in-stream controls as necessary to meet that at POTWs. concentrations of bis(2- permit limit. EPA also notes that efforts For the industrial laundry industry, ethylhexyl)phthalate, chloroform, and that would prevent pollution at the EPA evaluated the effects of POTW tetrachloroethene are projected to source, such as the voluntary program wastewater discharges of 72 pollutants exceed human health criteria or the efforts of OSW could achieve on receiving stream water quality at (developed for consumption of water these same benefits. current levels of treatment and at a and organisms) in 12 receiving streams Thus, while EPA does not base its number of proposed PSES limits. EPA nationwide for a total of 21 decision regarding PSES or PSNS on the assessed the benefits from the modeled exceedences. The CP (and DAF) benefits described above, EPA does not pollutant reductions in three broad option(s) would eliminate the believe that the benefits of national classes: human health, ecological, and occurrence of bis(2-ethylhexyl)

VerDate 18-JUN-99 17:44 Aug 17, 1999 Jkt 183247 PO 00000 Frm 00014 Fmt 4701 Sfmt 4702 E:\FR\FM\18AUP3.XXX pfrm03 PsN: 18AUP3 Federal Register / Vol. 64, No. 159 / Wednesday, August 18, 1999 / Proposed Rules 45085 phthalate concentrations in excess of would fail any of the Surface Disposal environmental improvement that could the human health-based AWQC in eight limits. be realized through the industry of the 12 affected streams. EPA estimated that both the CP and voluntary program. Non-water quality DAF options would permit 10 POTWs environmental impacts are impacts 3. Improved Recreational Fishing to meet the Land Application-High (both good and bad) of the technology Opportunities limits and that an estimated 6,100 dry options on the environment that are not Although the rule would eliminate 16 metric tons (DMT) of annual disposal of directly associated with wastewater. out of 38 AWQC exceedences for the sewage sludge would newly qualify for Non-water quality environmental protection of human health and/or beneficial use under the Land impacts include changes in energy aquatic life, the rule would not Application-High limits. EPA estimated consumption, air emissions, and solid eliminate all AWQC at any one reach. the reduced time required for record- waste generation of oil and sludge. Currently EPA has no methodology to keeping for sewage sludge meeting the Based on these analyses, EPA finds that monetize the elimination of these more stringent Land Application-High the non-water quality environmental AWQC unless they are entirely Criteria, and, on this basis, developed a impacts resulting from the regulatory eliminated for a waterbody and thus partial estimate of monetary benefits options are acceptable. EPA was not able to monetize these from reduced metals contamination of benefits. sewage sludge. For all options, the A. Air Pollution regulation is expected to result in Industrial laundry facilities generate 4. Reduced Impacts on POTWs benefits from sewage sludge quality wastewater that contains significant EPA expects that reduced effluent improvements of $0.006 to $0.01 concentrations of organic compounds, discharges from the industrial laundries million ($1998) annually. some of which are on the list of industry would have a minimal impact EPA estimated potential inhibition of Hazardous Air Pollutants (HAPs) in on POTWs. EPA estimates a $0.006 POTW operations by comparing Title 3 of the Clean Air Act million to 0.01 million ($1998) annual predicted POTW influent Amendments (CAAA) of 1990. benefit due to improved biosolids concentrations to available inhibition Atmospheric exposure of the organic- quality. Discussion with POTW levels for 45 pollutants. EPA based the containing wastewater may result in operators support EPA’s position that POTW inhibition and sludge values volatilization of both volatile organic industrial laundry discharges usually upon engineering and health estimates compounds (VOCs) and HAPs from the are not problematic to POTWs. contained in guidance or guidelines wastewater. VOCs and HAPs are emitted from the wastewater beginning at the a. Modeled POTW Impacts published by EPA and other sources. At current discharge levels, EPA estimates point where the wastewater first EPA evaluated whether industrial POTW concentrations of lead exceed contacts ambient air. Thus, VOCs and laundry pollutants may interfere with biological inhibition criteria at two HAPs may be of concern immediately as POTWS by impairing their treatment POTWs. Under both treatment options, the wastewater process is discharged effectiveness or causing them to violate these potential inhibition problems from the process unit. Emissions occur applicable CWA sewage sludge would not be eliminated. Note, from wastewater collection units such requirements for their chosen sludge however, that these are modeled as process drains, manholes, trenches, disposal method. For the POTW impact potential instances of inhibiting, not and sumps, and from wastewater analysis, EPA analyzed two benefit actual documented cases. Whether treatment units such as screens, categories: (1) Reduced costs to public inhibition at either of these facilities equalization basins, DAF and CP units, sewage systems for managing and would actually occur depends on a and any other units where the disposing of the sewage sludge that variety of site specific factors. wastewater is in contact with the air. result from treatment of effluent EPA believes that air emissions from discharges from industrial laundries; b. Discussions with POTW Operators industrial laundry wastewater would and (2) a reduction in risk of biological and Pretreatment Coordinators have been similar before and after inhibition of activated sludge. To better understand the frequency implementation of a rule based on DAF EPA has promulgated regulations and characteristics of problems to or chemical precipitation technologies establishing standards for sewage sludge POTWs resulting from industrial because the wastewater from all when it is applied to the land, disposed laundry discharges, EPA obtained industrial laundries currently has of at dedicated sites (surface disposal), information from discussions with EPA contact with ambient air as it flows to and incinerated (40 CFR Part 503). For regional staff and POTW operators. Of the POTW. At facilities that do not a discussion of these requirements see 37 operators at POTWs that receive currently have treatment on site, the the final WQBA. discharges from industrial laundries, 11 wastewater typically flows from the EPA estimated sewage sludge POTW operators described their washers to an open or partially open concentrations of ten metals for sample facilities as having encountered some catch basin, then to the sewer and on to facilities under baseline discharge difficulty in the past resulting from the POTW, where the wastewater is levels. EPA compared these industrial laundry discharges, while the typically treated in open aerated basins concentrations with the relevant metal remaining 26 reported no problems from or lagoons. Air emissions from the concentration limits for the following industrial laundry discharges. All the wastewater occur as the wastewater sewage sludge management options: POTWs with reported past difficulties flows from the facility to the POTW. At Land Application-High (Concentration have solved their problems by setting a facility with treatment, the wastewater Limits), Land Application-Low (Ceiling local discharge limits. would have more contact with air while Limits), and Surface Disposal. In the still at the facility, as it is treated in cutoff 2 (3 mm/120K) baseline case, EPA IX. Non-Water Quality Environmental open units such as equalization basins estimated that concentrations of one Impacts and DAF or chemical precipitation units pollutant (lead) at 10 POTWs would fail EPA has considered the non-water prior to flowing through the sewer to the the Land Application-High limits while quality environmental impacts POTW. Air emissions from the treated meeting the Land Application-Low associated with the various technology wastewater occur at the treatment units limits. EPA estimated that no POTWs options considered as well as the at the facility, as well as while the

VerDate 18-JUN-99 12:14 Aug 17, 1999 Jkt 183247 PO 00000 Frm 00015 Fmt 4701 Sfmt 4702 E:\FR\FM\A18AU2.001 pfrm07 PsN: 18AUP3 45086 Federal Register / Vol. 64, No. 159 / Wednesday, August 18, 1999 / Proposed Rules wastewater flows to the POTW. Thus, are likely to significantly overstate any Dated: June 30, 1999. EPA expects that the location of a net increase in sludge generation since Carol M. Browner, portion of air emissions from industrial they do not factor in decreases in sludge Administrator. laundry wastewater would shift from generation at POTWs. In general, EPA the POTW collection and treatment would expect these decreases to Appendix A to the Notice—Lists of system to the facility treatment system, partially offset increases at individual Abbreviations, Acronyms, Definitions but EPA believes that the overall pretreatment locations. Therefore, EPA and Other Terms Used in This Notice amount of air emissions from industrial believes the solid waste impacts of all Administrator—The Administrator of the laundries wastewater would not change. of the regulatory options under U.S. Environmental Protection Agency Air emissions resulting from increased consideration would have been Agency—The U.S. Environmental Protection energy use are discussed in the acceptable. Agency Technical Development Document. C. Energy Requirements BAT—Best Available Technology EPA believes that no adverse air Economically Achievable impacts would have been expected to EPA estimates that implementation of BMPs—Best Management Practices—As occur due to a rule based on CP or DAF. a rule would have resulted in a net authorized by sections 304 (e) and 402 of Thus, because EPA would not have increase in energy consumption for the the CWA. Gives the Administrator the expected an overall increase in the authority to publish regulations to industrial laundries industry. The amount of air emissions as a result of an control plant site runoff, spillage or incremental increase is based on implemented rule and based on EPA’s leaks, sludge or waste disposal, and electricity used to operate wastewater determination of the total emissions drainage from raw material storage. treatment equipment at facilities that are from one industrial laundry’s untreated CBI—Confidential Business Information wastewater, EPA finds that the air not currently operating either DAF or C–E—Cost-Effectiveness Analysis emissions impacts of all of the chemical precipitation treatment Cooperative—An enterprise or organization regulatory options under consideration systems. owned by and operated for the benefit of EPA estimates that the incremental those using its services. For purposes of would not have been unacceptable. this rule, a laundry service like facilities increase in electricity use for the B. Solid Waste Generation owned by and/or operated for the benefit industrial laundries industry as a result of those facilities. EPA considered regulatory options of an implemented rule would have CP—Chemical Precipitation. based on DAF and chemical been a maximum of 69.5 million CWA—Clean Water Act. The Federal Water precipitation technologies followed by kilowatt hours per year for CP and 82.8 Pollution Act, 33 U.S.C. 1251 et seq. dewatering of the sludge generated from million kilowatt hours per year for DAF. DAF—Dissolved Air Flotation these technologies. Based on Based on a 1996 survey of industrial Dry Cleaning—The cleaning of fabrics using information collected in the industrial laundries conducted by industry, an organic-based solvent rather than laundries detailed questionnaires and industrial laundries use 31.2 trillion water-based detergent solution. from data submitted in comments, most BTUs per year, or 9.1 billion kilowatt EA—Economic Assessment. industrial laundry sludge from CP or hours per year. EPA estimates that the Effluent—Wastewater discharges. DAF treatment systems is disposed of in incremental energy increase for CP and EPA—The U.S. Environmental Protection nonhazardous landfills. DAF, respectively, would have been Agency. EPA estimates that the incremental 0.76% and 0.91% of electricity E.O.—Executive Order. increase in sludge generation from the currently used by the industrial Facility—A facility is all contiguous property CP technology options (not including laundries industry to operate all owned, operated, leased or under the control of the same person, or corporate savings in the volume of sludge washing, drying, and treatment generated at POTWs that would have or business entity. The contiguous equipment. In addition, Approximately property may be divided by public or resulted from the implementation of the 2,805 billion kilowatt hours of electric technology options) would have been a private right-of-way. power were generated in the U.S. in FTE—Full-time Equivalent. maximum of 173,000 tons per year of 1990. wet sludge, or 60,600 tons per year of HEM—N-Hexane Extractable Material. The incremental increase in energy Indirect Discharger—A facility that dry solids. EPA estimates that the discharges or may discharge pollutants incremental increase in sludge use for the industrial laundries industry for CP and DAF, respectively, would into a publicly owned treatment works. generation from the DAF technology IL—Industrial Laundry. option would have been a maximum of have corresponded to 0.0025% and 0.0030% of the total national energy Industrial laundry facility—any facility that 128,000 tons per year of wet sludge, or launders industrial textile items from off- 70,600 tons per year of dry solids. For use. For these reasons, EPA believes that site as a business activity. Either the more details, see Chapter 10 of the the energy impacts of all of the industrial laundry facility or the off-site Technical Development Document. regulatory options under consideration customer is may own the industrial Approximately 430 million tons (dry would have been acceptable. laundered textile items. This includes basis) of industrial nonhazardous waste textile rental companies that perform X. Related Acts of Congress and laundering operations. was sent to landfills in the U.S. in 1986 Executive Orders (Subtitle D Study Phase I: Report EPA Industrial textile items—items such as, but are not limited to: shop towels, printer No. 530SW86–054). Implementation of EPA’s final action not to establish towels, furniture towels, rags, mops, these technology options would have national categorical pretreatment mats, rugs, tool covers, fender covers, resulted in at most only a 0.014% standards does not constitute a rule dust-control items, gloves, buffing pads, increase in sludge generation for CP and under section 551 of the Administrative absorbents, uniforms, and filters. 0.016% for DAF. Data from the Waste Procedure Act. 5 U.S.C. § 551. Hence, Laundering—washing items with water, Treatment Industry Phase II: Landfills requirements of other regulatory statutes including water washing following dry effluent guidelines project suggest that and Executive Orders that generally cleaning. current landfill capacity can accept this apply to rulemakings (e.g., the increase in solid waste generation. Unfunded Mandate Reform Act) do not Further, the estimates presented here apply to this final action.

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Linens—items such as sheets, pillow cases, Non-water quality environmental impact— PSNS—Pretreatment Standards for New blankets, bath towels and washcloths, An environmental impact of a control or Sources of indirect discharges, under hospital gowns and robes, tablecloths, treatment technology, other than to section 307(b) and (c) of the CWA. napkins, tableskirts, kitchen textile surface waters (including energy RFA—Regulatory Flexibility Act. items, continuous roll towels, laboratory requirements) or an environment SBA—Small Business Administration. coats, family laundry, executive wear, improvement of a decision not to SBREFA—Small Business Regulatory mattress pads, incontinence pads, and regulate. Enforcement Fairness Act. diapers. This list is intended to be an NPDES—The National Pollutant Discharge SGT–HEM—Silica Gel Treated N-Hexane inclusive list. Elimination System authorized under Extractable Material. section 402 of the CWA. NPDES requires LTA—Long Term Average. For purposes of SIC—Standard Industrial Classification. permits for discharge of pollutants from the pretreatment standards, average Small Business—Businesses with annual any point source into waters of the pollutant levels achieved over a period revenues less than $10.5 million. This is of time by a facility , subcategory, or United States. O&G—Oil and Grease the higher of the two Small Business technology option. Administration definition of small NTTAA—National Technology Transfer and OMB—Office of Management and Budget. Off-site—‘‘Off-site’’ means outside the business for SIC codes 7218 and 7213. Advancement Act. TPH—Total Petroleum Hydrocarbons. New Source—‘‘New source’’ is defined in boundaries of a facility. On-site—‘‘On-site’’ means within the TRSA—Textile Rental Services Association section 306 of the CWA and at 40 CFR of America. 122.12 and 122.29(b). boundaries of a facility. OSW—USEPA Office of Solid Waste. TSS—Total suspended solids. NODA—Notice of Data Availability POTW/POTWs—Publicly owned treatment TWF—Toxic weighting factor. Nonconventional pollutants—Pollutants that works, as defined at 40 CFR 403.3(o). UMRA—Unfunded Mandates Reform Act (PL are neither conventional pollutants nor Pretreatment standard—a regulation that 104–4), establishes requirements for priority pollutants listed at 40 CFR part establishes industrial wastewater Federal agencies to assess the effects of 401. effluent quality required for discharge to their regulatory actions on State, local Non-detect value—A concentration-based a POTW. and tribal governments and the private measurement reported below the sample Priority pollutants—The toxic pollutants sector. specific detection limit that can reliably designated by EPA as priority in 40 CFR UTSA—Uniform and Textile Service be measured by the analytical method for part 423, Appendix A. Association. the pollutant. PSES—Pretreatment Standards for Existing Sources on indirect discharges, under [FR Doc. 99–17206 Filed 8–17–99; 8:45 am] section 307(b) of the CWA. BILLING CODE 6560±50±F

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DEPARTMENT OF TRANSPORTATION Comments Invited Any person may obtain a copy of this Interested persons are invited to NPRM by submitting a request to the Federal Aviation Administration participate in the making of the Federal Aviation Administration, Office proposed rule by submitting such of Rulemaking, ARM–1, 800 14 CFR Parts 119, 121, 129, 135, and Independence Avenue SW., 183 written data, views, or arguments as they desire. Comments relating to the Washington, DC 20591, or by calling (202) 267–9680. Communications must [Docket No. FAA±1999±5401; Notice No. 99± environmental, energy, federalism, or 02] economic impact that might result from identify the notice number or docket adopting the proposals in this notice number of this NPRM. RIN 2120±AE42 also are invited. Substantive comments Persons interested in being placed on should be accompanied by cost the mailing list for future NPRMs Aging Airplane Safety estimates. Comments must identify the should request from the above office a regulatory docket or notice number and copy of Advisory Circular No. 11–2A, AGENCY: Federal Aviation be submitted in triplicate to the Rules Notice of Proposed Rulemaking Administration (FAA), DOT. Docket address specified above. Distribution System, which describes ACTION: Proposed rule; reopening of All comments received, as well as a the application procedure. comment period. report summarizing each substantive public contact with FAA personnel on Background SUMMARY: On April 2, 1999, the FAA this rulemaking, will be filed in the published a Notice of Proposed On March 19, 1999, the FAA issued docket. The docket is available for Rulemaking (NPRM) regarding aging NPRM 99–02 (63 FR 16298, April 2, public inspection before and after the 1999). The NPRM proposed to require aircraft safety and invited comments for comment closing date. a 120-day period. The comment period all airplanes operated under part 121 of All comments received on or before Title 14, Code of Federal Regulations closed on August 2, 1999; however, the the closing date will be considered by FAA is reopening the comment period (14 CFR), all U.S.-registered multiengine the Administrator before taking action airplanes operated under 14 CFR part for an additional 60 days in response to on this proposed rulemaking. Late-filed a request from the National Air 129, and all multiengine airplanes used comments will be considered to the in scheduled operations under 14 CFR Transportation Association (NATA). Per extent practicable. The proposals NATA, the reopening of the comment part 135 to undergo records reviews and contained in this NPRM may be inspections by the Administrator after period is needed to allow small changed in light of the comments their 14th year in service to ensure that businesses whose operations are received. the maintenance of all these airplanes’ especially busy during the spring and Commenters wishing the FAA to summer additional time to evaluate the acknowledge receipt of their comments age-sensitive parts and components has extensive proposal. submitted in response to this NPRM been adequate and timely. The comment period closed August 2, 1999. DATES: Comments must be received on must include a pre-addressed, stamped or before October 18, 1999. postcard with those comments on which By letter dated July 26, 1999, the NATA requested that the comment ADDRESSES: Comments on the proposed the following statement is made: rulemaking should be mailed or ‘‘Comments to Docket No. FAA–1999– period be extended by an additional 60 delivered, in triplicate, to: U.S. 5401.’’ The postcard will be date days in order to give the companies of Department of Transportation Dockets, stamped and mailed to the commenter. small businesses whose operations are especially busy during the spring and Docket No. FAA–1999–5401, 400 Availability of NPRMs Seventh St. SW., Room Plaza 401, summer additional time to complete an Using a modem and suitable Washington, DC 20590. Comments also economic analysis, audit the impact of communications software, an electronic may be submitted electronically to the this proposal on scheduled air carriers, copy of this document may be following Internet address: 9–NPRM– evaluate the economic impact of this downloaded from the FAA regulations [email protected]. Comments may be filed proposal on aviation businesses, and to section of the FedWorld electronic and/or examined in Room Plaza 401, develop meaningful comments to this bulletin board service (telephone: (703) between 10:00 a.m. and 5:00 p.m. proposal. 321–3339), or the Federal Register’s weekdays except Federal holidays. The FAA finds that it is in the public electronic bulletin board service FOR FURTHER INFORMATION CONTACT: interest to reopen the comment period (telephone: (202) 512–1661). for sixty (60) days. Frederick Sobeck, Aircraft Maintenance Internet users may reach the FAA’s Division (AFS–300), Flight Standards web page at http://www.faa.gov/avr/ Issued in Washington, DC, on August 12, Service, Federal Aviation arm/nprm/nprm.htm or the Government 1999. Administration, 800 Independence Printing Office’s webpage at http:// L. Nicholas Lacey, Avenue SW., Washington, DC 20591, www.access.gpo.gov/nara for access to Director, Flight Standards Service. telephone (202) 267–7355. recently published rulemaking [FR Doc. 99–21379 Filed 8–17–99; 8:45 am] SUPPLEMENTARY INFORMATION: documents. BILLING CODE 4910±13±M

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DEPARTMENT OF TRANSPORTATION Small Entity Inquiries (regardless of maximum weight), (2) If your organization is a small entity permit an increase in passengers only if Federal Aviation Administration and you have a question, contact your the applicant revises the certification basis and complies with part 27 at this 14 CFR Part 27 local FAA official. If you do not know how to contact your local FAA official, amendment level, and (3) permit an applicant to increase the rotorcraft [Docket No. 29247; Amendment No. 27±37] you may contact Charlene Brown, Program Analyst Staff, Office of maximum weight above 6,000 pounds if the seating capacity remains as RIN 2120±AF33 Rulemaking, ARM–27, Federal Aviation certificated on October 18, 1999. Administration (FAA), 800 The GWWG made the preceding Normal Category Rotorcraft Maximum Independence Avenue, SW, Weight and Passenger Seat Limitation recommendations to the ARAC. The Washington, DC 20591, 888–551–1594. ARAC recommended that the FAA Internet users can find additional AGENCY: Federal Aviation revise the normal category rotorcraft Administration (FAA), DOT. information on SBREFA in the ‘‘Quick airworthiness standards. The JAA will Jump’’ section of the FAA’s web page at ACTION: Final rule. harmonize the Joint Aviation http://www.faa.gov and may send Requirements (JAR) concurrently with SUMMARY: This final rule amends the electronic inquires to the following this final rule. The FAA evaluated the airworthiness standards for normal Internet address: 9–AWA– ARAC recommendations, made its category rotorcraft. This rule increases [email protected]. proposals in NPRM 98–4, and invited the maximum weight limit from 6,000 to Background comments. 7,000 pounds, updates the safety Discussion of Comments standards, and adds a passenger seat This final rule is based on NPRM No. limitation of nine. These changes offset 98–4 published in the Federal Register The FAA considered comments from the increased weight imposed by on June 25, 1998 (63 FR 34610). That all four commenters. Two commenters additional requirements such as recent notice proposed to amend the favored adopting the rule as proposed. requirements to improve occupant airworthiness standards for normal Two other commenters agreed that rule survivability in the event of an accident. category rotorcraft, 14 CFR part 27 (part changes were needed but offered the 27), based on ARAC recommendations. EFFECTIVE DATE: October 18, 1999. following comments: A previous notice in the Federal One commenter asked why part 27 FOR FURTHER INFORMATION CONTACT: Register (60 FR 4221, January 20, 1995) did not allow a weight limit of 12,500 Lance Gant, Rotorcraft Standards Staff, established the ARAC Gross Weight and pounds as does part 23. Allowing a Rotorcraft Directorate, Aircraft Passenger Issues for Rotorcraft Working weight limit of 12,500 pounds is beyond Certification Service, Fort Worth, Texas Group (GWWG). The notice tasked the the scope of the current rulemaking. The 76193–0110, telephone (817) 222–5114, GWWG to determine the appropriate FAA has not ruled out future action to fax 817–222–5959. course of action for increasing the further increase the normal category SUPPLEMENTARY INFORMATION: maximum weight and passenger seat weight limit. However, further increases limitations for normal category Availability of Final Rules in weight limit may necessitate rotorcraft. The GWWG included additional requirements to part 27 to An electronic copy of this document representatives from manufacturers. maintain an acceptable level of safety. may be downloaded using a modem and Aerospace Industries Association of The commenter wanted the rule to suitable communications software from America (AIA), the European require crash resistant fuel cells. The the FAA regulations section of the Association of Aerospace Industries FAA agrees that crash resistant fuel cells Fedworld electronic bulletin board (AECMA), the European Joint Aviation enhance safety and currently requires service (telephone: 703–321–3339), or Authorities (JAA), Transport Canada, crash resistant fuel systems for rotorcraft the Government Printing Office’s (GPO) and the FAA Rotorcraft Directorate. certificated to Amendment 27–30 dated electronic bulletin board service The GWWG submitted October 2, 1994 (59 FR 50386). (telephone: 202–215–1661). recommendations to increase the The commenter stated that the Internet users may reach the FAA’s maximum gross weight limitation to sentence ‘‘This must be shown by test’’ web page at http://www.faa.gov/avr/ 7,000 pounds and to add a passenger proposed in § 27.805(b) was open to arm/nprm/nprm.htm or the GPO’s web seat limitation of nine. The changes interpretation. The FAA disagrees. This page at http://www.access.gpo.gov/nara compensate for the increases in weight language mirrors § 29.805(b) in effect for access to recently published resulting from additional part 27 since February 25, 1968. To date, there rulemaking documents. requirements and operational and has been no confusion as to its Any person may obtain a copy of this design trends. An increase in maximum interpretation. Advisory material final rule by submitting a request to the weight to 7,000 pounds will allow the covering this requirement is readily FAA, Office of Rulemaking, ARM–1, design and production of helicopters to available. The words ‘‘This must be 800 Independence Avenue, SW., carry nine passengers. shown by test’’ mean that emergency Washington, DC 20591, or by calling The GWWG recommended additional evacuations must be physically (202) 267–9680. Communications must requirements to part 27 to support a performed during type certification identify the amendment number or potential increase of passengers if the testing. docket number of this final rule. changes (1) related to safety for The commenter stated, ‘‘The Persons interested in being placed on additional passengers, (2) related to inclusion of as many exit routes as the mailing list for future Notices of safety for increased weight, or (3) possible would be nice, but things such Proposed Rulemaking (NPRMs) and resulted in little or no increase in cost as rotor clearance (in the case of a top Final Rules should request from ARM– of weight. hatch) would need addressing.’’ The 1 a copy of Advisory Circular No. 11– The GWWG made the following the FAA agrees that a thorough evaluation 2A, Notice of Proposed Rulemaking following recommendations regarding of any crew emergency exit Distribution System, which describes previously certificate rotorcraft: (1) configuration is needed. An evaluation the application procedure. Limit certification to seven passengers of the location of the exits in

VerDate 18-JUN-99 12:22 Aug 17, 1999 Jkt 183247 PO 00000 Frm 00002 Fmt 4701 Sfmt 4700 E:\FR\FM\18AUR2.XXX pfrm07 PsN: 18AUR2 Federal Register / Vol. 64, No. 159 / Wednesday, August 18, 1999 / Rules and Regulations 45093 determining compliance with § 27.805, this final rule: (1) generates benefits that Regulatory Flexibility Determination paragraphs (a) and (b), would include justify its costs and is not a ‘‘significant The Regulatory Flexibility Act of 1980 consideration of possible obstructions regulatory action’’ as defined in establishes ‘‘as a principle of regulatory that may render an exit unusable or Executive Order 12866 or as defined in issuance that agencies shall endeavor, hazardous, for example, the proximity DOT’s Regulatory Policies and consistent with the objective of the rule of the main rotor in the case of a top Procedures; (2) does not have a and of applicable statutes, to fit hatch. significant economic impact on a regulatory and informational The commenter further suggested substantial number of small entities; (3) requirements to the scale of the using wording similar to part 23 for has minimal effects on international business, organizations, and pilot compartment emergency exits in trade; and (4) does not contain a governmental jurisdictions subject to § 27.805. The wording proposed by the significant intergovernmental or private regulation.’’ To achieve that principle, FAA in § 27.805, paragraphs (a) and (b) sector mandate. These analyses, the Act requires agencies to solicit and is similar to the wording in § 23.805, available in the docket, are summarized consider flexible regulatory proposals paragraphs (a) and (b). The remainder of as follows. and to explain the rationale for their proposed § 27.805 is the same as part 23 actions. The Act covers a wide range of and only diverges to address differences Cost-Benefit Analysis small entities, including small in aircraft category. Therefore, § 27.805 businesses, not-for-profit organizations, is adopted as proposed. The final rule adds passenger safety Another commenter suggested adding related requirements commensurate and small governmental jurisdictions. the word ‘‘on’’ after ‘‘of this part in with allowing some rotorcraft to Agencies must perform a review to effect’’ in § 27.2(b)(1) and deleting the increase passenger capacity. With one determine whether a proposed or final rule will have a significant economic word ‘‘previously’’ in § 27.2(b)(2)(i). The exception, no part 29 rotorcraft impact on a substantial number of small FAA agrees and has incorporated the currently being manufactured has a entities. If the determination finds that nonsubstantive changes. maximum gross weight of fewer than it will, the agency must prepare a 7,000 pounds. As the cost per pound per Paperwork Reduction Act Regulatory Flexibility Analysis (RFA) as mile decreases as the load approaches a In accordance with the Paperwork described in the Act. rotorcraft’s maximum carrying capacity, The FAA conducted the required Reduction Act of 1995 (44 U.S.C. the absence of part 29 rotorcraft in the 3507(d)), there are no requirements for review of this revised rule and 6,000 pound to 7,000 pound range determined that it does not have a information collection associated with indicates that this gap will be filled this final rule. significant economic impact on a more efficiently by rotorcraft certificated substantial number of small entities. International Compatibility under part 27. This final rule permits The revised rule is expected to produce The FAA has reviewed corresponding part 27 rotorcraft to fill this gap and to annualized incremental cost savings of International Civil Aviation provide cost savings to some $10,000 to $18,000 per applicant. While Organization international standards manufacturers and operators. It also this would be beneficial to a rotorcraft and recommended practices and JAA eliminates an applicant’s need to apply manufacturer, it does not affect either regulations, where they exist, and has for an exemption to the maximum the competitiveness or solvency of any identified no material differences in weight requirement for a future part 27 small business. Accordingly, pursuant these amendments and the foreign type certificate and thereby saves to the Regulatory Flexibility Act, 5 regulations. between $10,000 and $18,000 in U.S.C. 605(b), the FAA certifies that this paperwork costs per eliminated rule will not have a significant Regulatory Evaluation Summary exemption application. In addition, it economic impact on a substantial Changes to Federal regulations must eliminates the FAA’s time and resources number of small entities. undergo several economic analyses. to review and to process the exemption International Trade Impact Assessment First, Executive Order 12866 directs that application. Thus, the FAA concludes each Federal agency shall propose or that this final rule imposes no or Consistent with the Administration’s adopt a regulation only upon a reasoned negligible compliance costs and will belief in the general superiority, determination that the benefits of the generate some cost savings. desirability, and efficacy of free trade, it intended regulation justify its costs. is the policy of the Administrator to Second, the Regulatory Flexibility Act Safety benefits will arise as remove or diminish, to the extent of 1980 requires agencies to analyze the manufacturers develop new, heavier feasible, barriers to international trade, economic impact of regulatory changes part 27 rotorcraft (that will be including both barriers affecting the on small entities. Third, the Office of certificated based on the most recent export of American goods and services Management and Budget directs part 27 standards) to replace some older to foreign countries and those affecting agencies to assess the effects of part 27 certificated models. The the import of foreign goods and services regulatory changes on international increased weight also benefits some part into the United States. trade. And fourth, the Unfunded 27 Emergency Medical Services (EMS) In accordance with that policy, the Mandates Reform Act of 1995 (Pub. L. rotorcraft that now must limit fuel loads FAA is committed to develop as much 104–4) requires agencies to prepare a and/or their effective ranges in order to as possible its aviation standards and written assessment of the costs, benefits, carry all of the necessary medical practices in harmony with its trading and other effects of proposed or final equipment while remaining under the partners. Significant cost savings can rules that include a Federal mandate 6,000-pound maximum weight. Finally, result from this, both to American likely to result in the expenditure by the increased allowable payload weight companies doing business in foreign State, local, or tribal governments, in the may permit the transport of more than markets, and foreign companies doing aggregate, or by the private sector, of one victim, an important consideration business in the United States. $100 million or more annually (adjusted for more rapid transportation when This final rule is harmonized with the for inflation). In conducting these there are multiple victims and only one JAR and will thereby reduce differences analyses, the FAA has determined that available EMS rotorcraft. between U.S., European, and Canadian

VerDate 18-JUN-99 12:22 Aug 17, 1999 Jkt 183247 PO 00000 Frm 00003 Fmt 4701 Sfmt 4700 E:\FR\FM\18AUR2.XXX pfrm07 PsN: 18AUR2 45094 Federal Register / Vol. 64, No. 159 / Wednesday, August 18, 1999 / Rules and Regulations airworthiness standards and will reduce Order 1050.1D, appendix 4, paragraph number certificated on October 18, barriers to trade. 4(j), this rulemaking action qualifies for 1999, or a categorical exclusion. (ii) The applicant shows compliance Federalism Implications with all of the airworthiness Energy Impact The regulations herein would not requirements of this part in effect on have substantial direct effects on the The energy impact of the rulemaking October 18, 1999. States, on the relationship between the action has been assessed in accordance 4. Amend § 27.610 by revising the national government and the States, or with the Energy Policy and section heading and by adding on the distribution of power and Conservation Act (EPCA) and Public paragraph (d) to read as follows: responsibilities among the various Law 94–163, as amended (42 U.S.C. levels of government. Therefore, in 6362). It has been determined that it is § 27.610 Lightning and static electricity accordance with Executive Order 12612, not a major regulatory action under the protection. it is determined that this rule would not provisions of the EPCA. * * * * * have sufficient federalism implications (d) The electrical bonding and to warrant the preparation of the List of Subjects in 14 CFR Part 27 protection against lightning and static Federalism Assessment. Air transportation, Aircraft, Aviation electricity must— (1) Minimize the accumulation of Unfunded Mandates Assessment safety, Rotorcraft, Safety. electrostatic charge; Title II of the Unfunded Mandates The Amendment (2) Minimize the risk of electric shock Reform Act of 1995 (the Act), enacted as In consideration of the foregoing, the to crew, passengers, and service and Pub. L. 104–4 on March 22, 1995, Federal Aviation Administration maintenance personnel using normal requires each Federal agency, to the amends part 27 of Chapter 1, Title 14 of precautions; extent permitted by law, to prepare a the Code of Federal Regulations as (3) Provide an electrical return path, written assessment of the effects by any follows: under both normal and fault conditions, Federal mandate in a proposed or final on rotorcraft having grounded electrical agency rule that may result in the PART 27ÐAIRWORTHINESS systems; and expenditure by State, local, and tribal STANDARDS: NORMAL CATEGORY (4) Reduce to an acceptable level the governments, in the aggregate, or by the ROTORCRAFT effects of lightning and static electricity private sector, of $100 million or more 1. The authority citation for part 27 on the functioning of essential electrical (adjusted annually for inflation) in any continues to read as follows: and electronic equipment. one year. Section 204(a) of the Act, 2 5. Add § 27.805 to read as follows: U.S.C. 1534(a), requires the Federal Authority: 49 U.S.C. 106(g), 40113, 44701– agency to develop an effective process 44702, 44704. § 27.805 Flight crew emergency exits. to permit timely input by elected 2. Revise § 27.1(a) to read as follows: (a) For rotorcraft with passenger officers (or their designees) of State, emergency exits that are not convenient local, and tribal governments on a § 27.1 Applicability. to the flight crew, there must be flight proposed ‘‘significant intergovernmental (a) This part prescribes airworthiness crew emergency exits, on both sides of mandate.’’ A ‘‘significant standards for the issue of type the rotorcraft or as a top hatch in the intergovernmental mandate’’ under the certificates, and changes to those flight crew area. Act is any provision in a Federal agency certificates, for normal category (b) Each flight crew emergency exit regulation that will impose an rotorcraft with maximum weights of must be of sufficient size and must be enforceable duty upon State, local, and 7,000 pounds or less and nine or less located so as to allow rapid evacuation tribal governments, in the aggregate, of passenger seats. of the flight crew. This must be shown $100 million (adjusted annually for * * * * * by test. inflation) in any one year. Section 203 3. Amend § 27.2 by redesignating the (c) Each flight crew emergency exit of the Act, 2 U.S.C. 1533, which introductory text and paragraphs (a), (b), must not be obstructed by water or supplements section 204(a), provides (c), (d) introductory text, (d)(1), and flotation devices after an emergency that before establishing any regulatory (d)(2) as paragraphs (a) introductory landing on water. This must be shown requirements that might significantly or text, (a)(1), (a)(2), (a)(3), (a)(4) by test, demonstration, or analysis. uniquely affect small governments, the introductory text, and (a)(4)(i) and 6. Revise § 27.807 to read as follows: agency shall have developed a plan that, (a)(4)(ii) respectively and adding a new § 27.807 Emergency exits. among other things, provides for notice paragraph (b) to read as follows: to potentially affected small (a) Number and Location. governments, if any, and for a § 27.2 Special retroactive requirements. (1) There must be at least one meaningful and timely opportunity to * * * * * emergency exit on each side of the cabin provide input in the development of (b) For rotorcraft with a certification readily accessible to each passenger. regulatory proposals. basis established prior to October 18, One of these exits must be usable in any The FAA determines that this rule 1999— probable attitude that may result from a will not contain a significant (1) The maximum passenger seat crash; intergovernmental or private sector capacity may be increased to eight or (2) Doors intended for normal use mandate as defined by the Act. nine provided the applicant shows may also serve as emergency exits, compliance with all the airworthiness provided that they meet the Environmental Analysis requirements of this part in effect on requirements of this section; and FAA Order 1050.1D defines actions October 18, 1999. (3) If emergency flotation devices are that may be categorically excluded from (2) The maximum weight may be installed, there must be an emergency preparation of a National Environmental increased to greater than 6,000 pounds exit accessible to each passenger on Policy Act (NEPA) environmental provided— each side of the cabin that is shown by assessment or environmental impact (i) The number of passenger seats is test, demonstration, or analysis to; statement. In accordance with FAA not increased above the maximum (i) Be above the waterline; and

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(ii) Open without interference from removing ‘‘(b)(3)’’ and adding ‘‘(c)(3)’’ in (b) Arranged so that no discharged flotation devices, whether stowed or its place; in redesignated paragraph (d) fluid will cause an additional fire deployed. by removing ‘‘(b)’’ each place it appears hazard. (b) Type and operation. Each and adding ‘‘(c); and by adding a new 11. In § 27.1305, add a new paragraph emergency exit prescribed by paragraph paragraph (a) to read as follows: (v) to read as follows: (a) of this section must— (1) Consist of a movable window or § 27.1027 Transmissions and gearboxes: § 27.1305 Powrplant instruments. panel, or additional external door, General. * * * * * providing an unobstructed opening that (a) The lubrication system for (v) Warning or caution devices to will admit a 19-by 26-inch ellipse; components of the rotor drive system signal to the flight crew when (2) Have simple and obvious methods that require continuous lubrication must ferromagnetic particles are detected by of opening, from the inside and from the be sufficiently independent of the the chip detector required by outside, which do not require lubrication systems of the engine(s) to § 27.1337(e). exceptional effort; ensure lubrication during autorotation. 12. Revise § 27.1337(e) to read as (3) Be arranged and marked so as to * * * * * follows: be readily located and opened even in darkness; and 9. In § 27.1185, a new paragraph (d) § 27.1337 Powerplant instruments. (4) Be reasonably protected from is added to read as follows: * * * * * jamming by fuselage deformation. § 27.1185 Flammable fluids. (e) Rotor drive system transmissions (c) Tests. The proper functioning of and gearboxes utilizing ferromagnetic each emergency exit must be shown by * * * * * materials must be equipped with chip test. (d) Absorbent materials close to detectors designed to indicate the (d) Ditching emergency exits for flammable fluid system components presence of ferromagnetic particles passengers. If certification with ditching that might leak must be covered or resulting from damage or excessive provisions is requested, the markings treated to prevent the absorption of wear. Chip detectors must— required by paragraph (b)(3) of this hazardous quantities of fluids. (1) Be designed to provide a signal to section must be designed to remain 10. Revise § 27.1187 to read as the device required by § 27.1305(v) and visible if the rotorcraft is capsized and follows: be provided with a means to allow the cabin is submerged. crewmembers to check, in flight, the § 27.1187 Ventilation and drainage. function of each detector electrical § 27.853 [Amended] Each compartment containing any circuit and signal. 7. Amend § 27.853 in paragraph (a) by (2) [Reserved] removing the word ‘‘flash’’ and inserting part of the powerplant installation must the word ‘‘flame’’ in its place and by have provision for ventilation and Issued in Washington, DC on August 12, removing and reserving paragraph (b). drainage of flammable fluids. The 1999. 8. Section 27.1027 is amended by drainage means must be— Jane F. Garvey, redesignating paragraphs (a) through (d) (a) Effective under conditions Administrator. as paragraphs (b) through (e); in expected to prevail when drainage is [FR Doc. 99–21378 Filed 8–17–99; 8:45 am] redesignated paragraph (c)(2), by needed, and BILLING CODE 4910±13±M

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DEPARTMENT OF LABOR N.W.,Washington, D.C. 20210. The establishes the criteria that an phone number for the OSHA Docket organization must meet in order to be Occupational Safety and Health Office is (202) 693–2350. You may recognized as an NRTL. Administration transmit your written comments of 10 The NRTL Program requirements are pages or less by facsimile (fax) to the in 29 CFR 1910.7, ‘‘Definition and 29 CFR Part 1910 Docket Office at (202) 693–1648, requirements for a nationally recognized [Docket No. NRTL 95±F±1] provided you send an original and one testing laboratory.’’ To be recognized by (1) copy to the Docket Office thereafter. OSHA, an organization must: (1) Have Nationally Recognized Testing You may also submit comments the appropriate capability to test, Laboratories; Fees; Reduction of electronically using the following web evaluate, and approve products to Public Comment Period on page address: http://www.osha-slc.gov/ assure their safe use in the workplace; Recognition Notices e-comments/e-comments-nrtl.html. If (2) be completely independent of the manufacturers, vendors, and users of the AGENCY: your submission contains attached Occupational Safety and Health products for which OSHA requires Administration (OSHA), Labor. electronic files, the files must be in WordPerfect 5.0, 5.1, 6.0, 6.1, 8.0 or certification; (3) have internal programs ACTION: Notice of proposed rulemaking ASCII. When submitting a comment that ensure proper control of the testing (NPRM). electronically, please include your name and certification process; and (4) SUMMARY: Under the requirements for and address. establish effective reporting and nationally recognized testing Submit, in duplicate, any information complaint handling procedures. OSHA requires NRTL applicants (i.e., laboratories (NRTLs), the Occupational not contained on disk or not provided organizations seeking initial recognition Safety and Health Administration electronically (e.g., studies, articles). as an NRTL) to provide detailed (OSHA) recognizes private sector Written submissions must clearly information about their programs, laboratories to test and certify the safety identify the issues or specific provisions processes and procedures in writing of certain equipment or products that of the proposal which are addressed and when they apply for initial recognition. will be used in the workplace. Such the position taken with respect to each OSHA reviews the written information testing and certification is required by issue or provision. The data, views, and and conducts on-site assessments to various OSHA safety standards. These arguments that you submit will be determine whether the organization laboratories are referred to as Nationally available for public inspection and copying at the above address. All timely meets the requirements. OSHA uses a Recognized Testing Laboratories, or similar process when an NRTL (i.e., an NRTLs. OSHA proposes to establish fees submissions received will be made a part of the record of this proceeding. organization already recognized) applies for specific services the Agency for expansion or renewal of its provides to these NRTLs. Congress has FOR FURTHER INFORMATION CONTACT: Ms. recognition. In addition, the Agency authorized OSHA to charge fees for Bonnie Friedman, Office of Public conducts annual audits to ensure that these services since 1997 in bill Affairs, Occupational Safety and Health the recognized laboratories maintain language in its annual appropriations Administration, U.S. Department of their programs. bills, most recently in Public Law 105– Labor, Room N3647, 200 Constitution The NRTL Program is an effective 277. Avenue, NW, Washington, D.C., 20210, public and private partnership. Rather These services are: Processing Telephone: (202) 693–1999, or Mr. than performing testing and certification applications for the initial recognition of Bernard Pasquet, Office of Technical itself, OSHA relies on private sector an organization as an NRTL, or for Programs and Coordination Activities, organizations to accomplish it. This expansion or renewal of an existing Occupational Safety and Health helps to ensure worker safety, allows NRTL’s recognition, and performing Administration, U.S. Department of existing private sector systems to audits (post-recognition reviews) of Labor, Room N3653, 200 Constitution perform the work, and avoids the need NRTLs to determine whether they Avenue, NW, Washington, D.C., 20210, for the government to maintain continue to meet the requirements for telephone: (202) 693–2110. Our web facilities. recognition. Since the inception of the page includes information about the Currently, there are 16 NRTLs NRTL Program in 1988, OSHA has NRTL Program . (See http://www.osha- operating 40 sites in the U.S., Canada, provided these services at no charge to slc.gov/dts/otpca/nrtl/index.html or see and the Far East. The NRTL Program has the NRTLs. http://www.osha.gov and select grown significantly in the past few In addition, OSHA proposes to amend ‘‘Programs’’) years, both in terms of numbers of provisions of the recognition process to SUPPLEMENTARY INFORMATION: laboratories and sites, as well as the reduce the public comment period on number of test standards included in I. Background the ‘‘preliminary’’ Federal Register their recognition. notices that OSHA must publish Many of OSHA’s safety standards OSHA has devoted significant concerning the recognition of an NRTL require equipment or products that are resources in the last two years to from 60 days to 30 days for initial going to be used in the workplace to be improving the management of the NRTL recognition and to 15 days for tested and certified to help ensure they Program, ensuring its viability, and expansions and renewals. can be used safely. Products or enhancing its credibility with the DATES: Written comments must be equipment that have been tested and public. This has included a process received on or before October 4, 1999. certified must have a certification mark improvement project; audits of all the ADDRESSES: Submit comments on the on them. An employer may rely on the NRTL sites; reduction of the backlog of proposed rule in duplicate or 1 original certification mark, which shows the applications for recognition, expansion, (hardcopy) and 1 disk (51⁄4 or 31⁄2) in equipment or product has been tested and renewals; and development of WP 5.0, 5.1, 6.0, 6.1, 8.0 or ASCII to: and certified in accordance with OSHA application guidelines and information Docket Officer, Docket NRTL–95-F–1, requirements. In order to ensure that the about our procedures to help people U.S. Department of Labor, Occupational testing and certification has been done understand the process of NRTL Safety and Health Administration, appropriately, OSHA has implemented recognition. A web page on the NRTL Room N2625, 200 Constitution Avenue, the NRTL Program. The NRTL Program Program is now available to provide

VerDate 18-JUN-99 12:25 Aug 17, 1999 Jkt 183247 PO 00000 Frm 00002 Fmt 4701 Sfmt 4702 E:\FR\FM\A18AU2.016 pfrm07 PsN: 18AUP5 Federal Register / Vol. 64, No. 159 / Wednesday, August 18, 1999 / Proposed Rules 45099 information about the recognized labs received on the September 1996 draft to the informal comments from NRTLs and the scope of their recognition, as indicated that most of the NRTLs regarding the length of time the Agency well as a description of the NRTL supported the concept of a fee schedule, takes to process applications. We do not Program. (See web page address in although the specific approach they believe this reduction will reduce the above ‘‘Contact’’ information.) We also favored was not necessarily the one opportunity for public input; however, have prepared a new training program included in the notice (see, e.g., Exs. 2– we solicit comments on this issue. for our compliance staff to increase 13, 2–17, 2–21, 2–22, 2–24). OSHA awareness within the Agency of NRTL considered all of the comments it II. Discussion of Proposed Fees requirements. received in developing this proposed A. Statutory Authority The size of the NRTL Program, and rule. We are not going to address the OSHA is basing its proposed fees the amount of work involved in specific comments received at that time structure on the Office of Management maintaining it, have resulted in large in this preamble because the approach and Budget’s (OMB’s) policies for user costs for the Agency, both in terms of in the draft rule that was distributed is fees imposed by Federal Agencies. human resources and in direct costs not the approach that is being proposed These policies are contained in OMB such as travel. For example, OSHA’s in this notice. However, we believe that Circular A–25, ‘‘User Fees,’’ dated 7/8/ goal is to audit every site once a year. those who commented will find that This involves about 40 annual visits, many of their concerns have been 93. Some key portions of Circular A–25 given the current number of sites addressed in this revised approach. are as follows: recognized, not only to locations in the OSHA has reviewed a number of legal —‘‘General Policy: A user charge. * * * will U.S. but also to many foreign locations. precedents concerning the assessment of be assessed against each identifiable Time and travel costs are obviously fees by Federal agencies. Based on this recipient for special benefits derived from much higher for foreign locations. review, the Agency believes that it can Federal activities beyond those received by Because international trade in many of charge fees for services it provides to the general public.’’ —‘‘For example, a special benefit will be the types of products OSHA requires to users of the NRTL recognition process, considered to accrue and a user charge will be tested and certified is increasing i.e., the NRTLs and NRTL applicants, be imposed when a Government service. substantially, the Agency anticipates and does not propose, at this time, to ** * enables the beneficiary to obtain there will be more applications for assess fees to cover all the costs of the more immediate or substantial gains or laboratories or sites in locations outside program. values than those that accrue to the general the U.S. In particular, under the terms In response to the fee issue, OSHA public,’’ * * * or * * * is performed at of a recent Mutual Recognition requested specific authority from the request of or for the convenience of the Agreement (MRA) with the European Congress to collect and retain fees. In its recipient, and is beyond the services Union, a number of European Fiscal Year 1997 appropriations for regularly received by other members of the laboratories are expected to submit OSHA, Congress authorized the same industry or group or by the general Secretary of Labor to collect and retain public.’’ applications for NRTL recognition. —‘‘* * * user charges will be sufficient to The number of people who can be fees for services provided to NRTLs and recover the full cost to the Federal assigned to work in a particular area in to use such fees to administer the NRTL Government. * * *’’ OSHA, as well as the travel money that Program. Congress has renewed this OMB developed Circular A–25 in can be used, is dependent on the overall authorization annually. accordance with Title V of the Independent funding the Agency receives from OSHA decided to implement the Offices Appropriations Act of 1952 (IOAA), Congress in a given year. The potential improvements in the Program described codified at 31 U.S.C. § 9701. The criteria for reduced funding, leaving OSHA with above before undertaking rulemaking to established by the IOAA to guide agency inadequate money to properly establish fees. The process of heads in the establishment of fees were that implement the Program, led to implementing these improvements also the fees be ‘‘fair’’ and be based on: discussions about the possibility of allowed OSHA to better estimate the (A) the costs to the Government; assessing fees. Having a consistent time involved in providing certain (B) the value of the service or thing to the funding process related specifically to services to NRTL applicants or existing recipient; NRTLs, and the travel costs associated (C) public policy or interest served; and the time and travel needed to maintain (D) other relevant facts. the Program would help OSHA ensure with onsite visits. This information that the NRTL Program can continue to helped to refine the approach being 31 U.S.C. § 9701(b) function and can be perceived as a proposed. In addition, the Agency has As discussed below, the U.S. Supreme viable and credible part of OSHA’s examined legal authority issues; the Court has decided in two key cases that overall approach to workplace safety. practices of other Federal agencies that the intent of the IOAA was to require In 1995, OSHA sent a letter to the assess fees; and the fees of other fees to be based on ‘‘value to the existing NRTLs regarding its plan to organizations that recognize or accredit recipient’’ and not upon ‘‘public policy explore the possibility of assessing fees laboratories. Our findings in these areas or interest served [or] other [relevant] (Ex. 1), and received twelve responses. are described below in the description * * * facts.’’ Nine responses were conditionally in of the proposed requirements and the In a rider to OSHA’s Fiscal Year 1999 favor of establishing fees (Exs. 2–2, 2– explanation of the approach. appropriations, Congress specifically 4, 2–5, 2–6, 2–7, 2–8, 2–9, 2–11, 2-12). In addition to addressing the issue of authorized the Secretary of Labor to The favorable responses generally were fees, OSHA proposes to reduce the time collect and retain the fees proposed conditioned on OSHA utilizing the allowed for public comment on Federal under this rule: ‘‘* * * the Secretary of funds generated from the fees for the Register notices required under the Labor is authorized, during the fiscal NRTL Program to improve the services Program. OSHA has considered a year ending September 30, 1999, to provided to the NRTLs. number of ways to improve the collect and retain fees for services At a September 24, 1996, meeting program’s application handling process provided to Nationally Recognized with the NRTLs, OSHA released a draft and believes that a reduction in the Testing Laboratories, and may utilize Federal Register notice for a proposed comment period is an appropriate way such sums, in accordance with the revision of 29 CFR 1910.7 allowing the to help make such improvements. This provisions of 29 U.S.C. 9a, to administer Agency to collect fees. Comments proposed reduction is partly in response national and international laboratory

VerDate 18-JUN-99 12:25 Aug 17, 1999 Jkt 183247 PO 00000 Frm 00003 Fmt 4701 Sfmt 4702 E:\FR\FM\A18AU2.017 pfrm07 PsN: 18AUP5 45100 Federal Register / Vol. 64, No. 159 / Wednesday, August 18, 1999 / Proposed Rules recognition programs that ensure the may be charged for private benefits the basis for the fees in this proposed safety of equipment and products used ‘‘although they may also create rule, the following describes how OSHA by workers in the workplace: * * *’’ incidental public benefits as well.’’ Id. handles applications and continuing P.L. 105–277 (112 STAT. 2681–343). at 1115. In the case of NRTLs, the services under the NRTL Program. Through this rider, OSHA has the services that OSHA provides to NRTLs When an organization submits its necessary authority to retain the fees, and NRTL applicants result primarily in application, the NRTL Program staff which otherwise would be credited to private benefits to these parties, as thoroughly review it for completeness the general fund of the Treasury as described below. In Capital Cities and adequacy. Each organization explained in OMB Circular A–25. Communications, Inc. v. F.C.C., 554 applies for a specific scope of recognition. This scope consists of the B. Legal Basis for Assessing the Fees F.2d 1135 (D.C. Cir. 1976), the court held that a fee for services should bear specific safety test standards, locations To determine a proper basis for a reasonable relationship to the cost to or sites, and programs for which the assessing the fees, OSHA has reviewed the government to provide the service. organization seeks recognition. OSHA a number of legal precedents and Finally, in Miss. Power and Light v. has broadly grouped the activities an analyzed the costs and activities for the U.S. Nuclear Regulatory Comm’n (NRC), NRTL may perform in testing and functions undertaken for the NRTL 601 F.2d. 223 (5th Cir. 1979), the court certifying products into nine categories Program. The legal precedents centered upheld a fee for agency services. The of ‘‘programs and procedures,’’ or just on the application of the IOAA and its NRC calculated its fees based upon the ‘‘programs.’’ (See 60 FR 12980, March 9, interpretation by federal agencies. The costs of providing the services to the 1995) most pertinent precedents are two private parties. OSHA is using a similar When the NRTL Program staff decisions by the U.S. Supreme Court, method to calculate the NRTL determine that the application is and four cases of the U.S. Court of application and administration fees in complete and adequate, the staff Appeals for the D.C. Circuit. this proposed rule. perform an in-depth on-site review of In March 1974, the Supreme Court the applicant’s organization, programs, decided the companion cases of Based in large part on the results of the foregoing six cases and on the and facilities. Based upon the National Cable Television Ass’n. v. information obtained primarily through United States and FCC, 415 U.S. 336 guidelines of OMB Circular A–25, OSHA proposes to charge fees to NRTLs the on-site review, the staff prepare a (1974) and Federal Power Commission report and recommendation. The report v. New England Power Co., 415 U.S. 345 for specific benefits that they receive as a result of the specific services that and the application provide the main (1974). In National Cable, the Court basis for a preliminary finding on the expressed the view that an agency may OSHA provides them for initial or continued recognition. The fees will application. OSHA publishes a notice of charge a ‘‘fee’’ for services based on this finding in the Federal Register to ‘‘value to the recipient.’’ The Court reflect the costs of providing these allow for public comment. Following a essentially ruled out the other bases services, and the costs will be 60-day comment period (which OSHA permitted in the IOAA, which, in the reasonably itemized to the smallest unit is proposing to modify in this notice), court’s opinion, could change an practical. OSHA must publish a final decision and assessed ‘‘fee’’ into the levy of a ‘‘tax.’’ C. Special Benefits and Services response to comments in the Federal In Federal Power Commission, the Court Provided, and Fees Register. Publication makes the held that only specific charges for recognition official for successful specific services to specific individuals OSHA will establish a schedule of applicants and officially denies the or companies may be recouped by the fees based on the ‘‘full cost’’ to OSHA recognition for unsuccessful applicants. fees permitted by the IOAA. of the activities it undertakes for NRTLs. The first of the Court of Appeals ‘‘Full cost’’ is defined in Section 6d of NRTL recognition is valid for five decisions was National Cable Television OMB Circular A–25 1. To help clarify years. During this period, OSHA Ass’n Inc. v. Federal Communications program staff audit the NRTL to assure Commission (FCC), 554 F.2d 1094 1 OMB Circular A–25, Section 6. General policy: that it continues to meet the (1976). The Court of Appeals upheld the A user charge, as described below, will be requirements for recognition. NRTLs assessed * * * may also on occasion request to expand charging (by the FCC, in this case) of a. Special benefits both an application fee and an annual their scope of recognition to include 1. * * * additional test standards, facilities, or fee, provided the agency makes clear 2. Determining the amount of user charges to which activities are covered by each of assess. programs. At the end of its initial these fees to prevent charging twice for (a) Except as provided in Section 6c, user charges recognition period, the NRTL may apply will be sufficient to recover the full cost to the for renewal of its recognition. OSHA the same activity. The court Federal Government (as defined in Section 6d) of acknowledged that fees based on processes requests for expansion and providing the service, resource, or good when the renewal following a process similar to reasonable approximations for costs of Government is acting in its capacity as services rendered would be acceptable. sovereign. * * * The court stated the following: ‘‘It is d. Determining full cost and market price (i) depreciation of structures and equipment, 1.‘‘Full cost’’ includes all direct and indirect costs based on official Internal Revenue Service sufficient for the Commission to identify to any part of the Federal Government of providing depreciation guidelines unless better estimates are the specific items of * * * cost incurred a good, resource, or service. These costs include, available; and in providing each service or benefit but are not limited to, an appropriate share of: (ii) an annual rate of return (equal to the average ** *, and then to divide the cost (a) Direct and indirect personnel costs, including long-term Treasury bond rate) on land, structures, equipment and other capital resources used. among the * * * [recipients] in such a salaries and fringe benefits such as medical insurance and retirement. Retirement costs should (c) The management and supervisory costs. way as to assess each a fee which is include all (funded or unfunded) accrued costs not (d) The costs of enforcement, collection, research, roughly proportional to the ‘‘value’’ covered by employee contributions as specified in establishment of standards, and regulation, which that member has thereby Circular No. A–11. including any required environmental impact received.’’ Id. at 1105–06. (b) Physical overhead, consulting, and other statements. indirect costs including material and supply costs, (e) Full cost shall be determined or estimated In Electronic Industries Ass’n v. utilities, insurance, travel, and rents or imputed from the best available records of the agency, and F.C.C., 554 F.2d 1109 (D.C. Cir. 1976), rents on land, buildings, and equipment. If imputed new cost accounting systems need not be the court indicated that a fee for services rental costs are applied, they should include: established solely for this purpose.

VerDate 18-JUN-99 12:25 Aug 17, 1999 Jkt 183247 PO 00000 Frm 00004 Fmt 4701 Sfmt 4702 E:\FR\FM\A18AU2.018 pfrm07 PsN: 18AUP5 Federal Register / Vol. 64, No. 159 / Wednesday, August 18, 1999 / Proposed Rules 45101 that used for initial applications for which enable the NRTL to maintain the Many other Federal agencies charge recognition. recognition from OSHA. As a result, fees for services they provide to specific Program staff work closely with OSHA proposes to charge two categories recipients. The following is a list of attorneys of the Department of Labor on of fees. some of these agencies, along with a a regular basis for both initial First, the Agency will charge fees to citation to the regulations pertaining to recognition and continuing recognition cover the full costs of application the fees they charge: activities. These attorneys review the processing. These costs consist mainly Federal Register notices. They also of the salary and benefits of office and FEDERAL AGENCIES THAT advise the program staff on issues and field personnel, travel costs, and other CHARGE FEES FOR SERVICES other matters that directly relate to the direct and indirect costs necessary to services covered by the fees. the processing and related support Agency Regulation In addition to application processing activities. The fees will equal the and audits, NRTL Program staff also estimated cost of staff time and the Federal Communications 47 CFR 1.1151. perform a number of activities that are actual cost of travel for these activities. Commission. essential to the normal operation of the These activities mainly include the Federal Maritime Com- 46 CFR 514.21. NRTL Program. These activities include following: performing the office review mission. administration of program, budgetary, of the application, preparing for and Environmental Protection 40 CFR 152.400. and policy matters; assistance in performing the on-site review of the Agency. training OSHA personnel about the organization’s testing and National Voluntary Lab- 15 CFR 285. program; inter-agency and international administrative facilities, resolving oratory Accreditation coordination; response to requests for findings of deficiencies in the Program (NVLAP); US information related to the program; and application, drafting and finalizing the Department of Com- participation in meetings with on-site review report, and preparing and merce. stakeholders and outside interest publishing the Federal Register Mine Safety and Health 30 CFR 5.10. groups. Although necessary to the documents. OSHA will collect part of Administration; Depart- ment of Labor. continued functioning of the program, this category of fees at the time the Bureau of Indian Affairs; 25 CFR 143.4. these activities are incidental to the application is submitted and the Department of the Inte- direct services of application processing remainder following publication of the rior. and the audits of the NRTLs. initial, i.e., preliminary, notice in the Food Safety and Health 9 CFR 218.21 Accordingly, costs for these activities Federal Register. Services; Department of and 391.5. are not covered by this proposed rule. Second, the Agency will charge fees Agriculture. NRTLs accrue ‘‘special benefits’’ from to cover the full costs of performing the Federal Aviation Adminis- 14 CFR 187.1. the services that OSHA renders to them. audits of the NRTL that ensure its tration; Department of These ‘‘special benefits’’ are the product continued compliance with the Transportation. of OSHA’s initial and continuing recognition requirements. These costs evaluation of their qualifications to test consist mainly of the salary and benefits With the exception of the FCC and and certify products used in the of office and field personnel, travel NVLAP, the above agencies also derive workplace, e.g., the acknowledgment of costs, and other costs necessary to the their authority for charging the fees from their capability as an NRTL. The audit and related support activities. The the IOAA. primary special benefits of NRTL fees will equal the estimated cost of staff recognition are the resulting business time and the actual cost of travel for OSHA has also examined the fee opportunities to test and certify those activities. These activities mainly schedules for other organizations that products for manufacturers. A include the following: preparing for and accredit or recognize testing laboratories manufacturer then sells these products performing the office or on-site audit of or certification bodies. Although the to employers, enabling them to comply the NRTL, drafting and finalizing fees proposed in this notice are specific with product approval requirements in necessary reports or documentation, to the costs to OSHA, the practices of OSHA standards. The services rendered resolving findings of deficiencies in the these other organizations may be of by OSHA that confer these ‘‘special NRTL’s operations, and reviewing and interest to rulemaking participants. benefits’’ to NRTLs are: (1) processing of processing audit reports. OSHA will applications for initial recognition as an impose these fees annually or more NRTL and for expansion and renewal of frequently if OSHA determines it must an existing NRTL’s recognition, and (2) perform more than one audit in a given audits (‘‘post recognition reviews’’), year. FEES CHARGED BY VARIOUS ACCREDITATION ORGANIZATIONS

Organization Activity Fee (as of 3/8/99)

Standards Council of CanadaÐ Application fee ...... $15,000. Fees for Certification Organiza- Fees for assessments and audits Per person on a per diem basis + travel expenses. tions. Annual accreditation fee ...... $9,000 + a business volume fee (up to $36,000). ANSI Accreditation for Certification Application fee ...... $2,000. Programs. Accreditation fees ...... $1,200/day per professional staff time + travel expenses. Continuing accreditation ...... $1,200/day for professional staff time related to audits + travel ex- penses; plus, Percent of gross revenues related to the certification program, up to $40,000. National Voluntary Laboratory Ac- Application fee ...... $500. creditation Program (NVLAP). Assessment fee (for accreditation per program/field, $1,600 to $3,000 or variable. and every two years).

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FEES CHARGED BY VARIOUS ACCREDITATION ORGANIZATIONSÐContinued

Organization Activity Fee (as of 3/8/99)

Annual support fee ...... per program/field, $3000 to $3,925 less $2,200 for more than one field. Annual proficiency testing fee ...... per program/field, $0 to $5,405 or variable. American Association for Labora- Application fee ...... $800. tory Accreditation (A2LA). Assessment fee (for accreditation Deposit of $3,000 + $1,500/extra field/lab, actual costs billed at $750/ and every two years). day + travel expenses (fee also paid for surveillance visit in 2nd year). Annual fee ...... $1,100 for first field/lab, less for two or more fields/labs. American Industrial Hygiene Asso- Application fee ...... $250. ciationÐLaboratory Quality As- Site visit fee ...... $675/day or $2,400 outside North America + expenses. surance Programs. Annual fee (also due with applica- $300/program ($150/program with application after June 30) tion). Proficiency analytical testing pro- program/sample specific, also based on # of samples, $86 to $1,800. gram fee.

III. Estimated Program Costs the NRTL approval and review management and secretarial staff. activities. These estimates also include Equipment and other costs are intended Until now, OSHA has not accounted travel and other costs of these activities. to cover items such as computers, separately for the costs of the NRTL The Agency believes these estimates are telephones, building space, utilities, and Program. The personnel and other costs fair and reasonable. supplies, that are necessary or used in associated with performing activities Based on the total estimated costs and performing the services covered by the and functions related to the Program the total estimated FTE, OSHA has proposed fees. Although essential to the involve a number of different offices calculated an estimated equivalent cost services provided, these indirect costs throughout the Department of Labor. In per hour (excluding travel). This are not readily linked to the specific preparing the proposed fee schedule equivalent cost per hour includes both activities involved in application presented in this notice, OSHA has the direct and indirect costs per hour for processing and audits and, as explained evaluated the total resources that it has ‘‘direct staff’’ members, who are the staff later, are therefore allocated to the committed to the NRTL Program overall that perform the application, on-site, activities based on direct staff costs. and has then estimated the costs that are and legal reviews and the other involved solely with the approval and activities involved in application Figure 1 is an itemization of the periodic review functions. It is these processing and audits. Direct costs are estimated costs and the equivalent cost costs alone that OSHA seeks to recover expenses for direct staff members. per hour calculated. OSHA believes that through its proposed fees. Personnel Indirect costs are expenses for support the costs shown fairly reflect the full costs are the wages, salary, and fringe and management staff, equipment, and cost of providing the services to NRTLs, benefit costs of the staff positions other costs that are involved in the but OSHA mainly uses these costs to involved and the number of full time operation of the program. Support and illustrate how the fees will be equivalent (FTE) personnel devoted to management staff consists of program calculated.

FIGURE 1.ÐCURRENT ESTIMATED ANNUAL COSTS OF NRTL PROGRAM

Aver. cost per FTE Cost description Est. FTE (including fringe) Total est. costs

Direct Staff Costs ...... 4.2 $83,860 $352,200 Travel ...... na na 40,000 Indirect Staff & Other Costs ...... na na 76,300*

Total Est. Program Costs ...... 468,500

Avg. direct staff cost/hr ($352,200 ÷ 4.2 FTE (2,080) hours) ...... 40 Equivalent avg. direct staff cost/hr ($428,500 ÷ 4.2 FTE hours) (includes di- rect & indirect costs) ...... 49 * This amount consists of $29,800 of indirect staff costs and $46,500 for equipment and other costs.

The use of an ‘‘equivalent average with Federal accounting standards. To calculating the ratio of indirect costs to direct staff cost per hour’’ measure is a illustrate, assume a direct staff member direct staff costs, again using the costs convenient method of allocating spends 10 hours on an activity; the shown in Figure 1. This ratio would be indirect costs to each of the services for direct staff costs would then be as follows: which OSHA will charge fees. The same calculated as follows: Indirect costs/direct staff costs = result is obtained if direct staff costs are Direct staff costs = 10 hours × $40/ $76,300/$352,200 = 0.217. first calculated and then indirect costs hour = $400. Next, the indirect costs would be are allocated based on the value, i.e., The $40/hour is the direct staff cost/ calculated based on the $400 estimate of dollar amount, of the direct staff costs, hour amount shown in Figure 1. The direct staff costs: which is an approach that is consistent indirect costs would be allocated by first Indirect costs = $400 × 0.217 = $87.

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Finally, the total costs of the activity performed, in part, for the information staff time and travel costs for each of are calculated: collection package for the NRTL these activities. The Agency then Total costs = direct staff costs + Program submitted to OMB in calculated the cost of each major indirect costs = $400 + $87 = $487. September 1997 under the Paperwork activity using the time estimates, the Taking into account the rounding Reduction Act. OSHA calculated time equivalent costs per hour, and the shown in Figure 1, the actual amount estimates for each major service estimate of travel costs. These costs then calculated would be $490. category. These categories are: initial serve as the basis for the fees later After estimating program costs, the applications, expansion and renewal shown in the proposed fee schedule. Agency then estimated the time it applications, and audits. OSHA further Examples of the calculations are shown spends on specific activities or divided each category into the major in Figures 2, 3, and 4. functions. These estimates were activities performed and estimated the

FIGURE 2.ÐESTIMATED COSTS FOR INITIAL APPLICATION

Average Average Major activity hours costs*

Initial Application Review Staff time: (includes review by office and field staff) ...... 80 $3,924 On-Site AssessmentÐfirst day Staff time: (includes 16 hours preparation, 4 hours travel, 8 hours at site) ...... 28 1,373 travel: ...... 670

Total (per site, per assessor) ...... 2,043 On-Site AssessmentÐaddnl. day Staff time ...... 8 392 Travel amount: (to cover per diem) ...... 70

Total (per site, per assessor) ...... 462 Final Report & Federal Register notice Staff time: (includes work performed by field staff and office staff) ...... 160 7,848

FIGURE 3.ÐESTIMATED COSTS FOR EXPANSION OR RENEWAL APPLICATION

Average Average Major Activity Hours Costs*

Initial Application Review (expansion) Staff time: (includes review by office and field staff) ...... 32 $1,570 (Note for renewals: 2 hours, i.e. $98, are allotted for processing the NRTL's request) ...... On-Site AssessmentÐfirst day Staff time: (includes 8 hours preparation, 4 hours travel, 8 hours at site) ...... 20 981 Travel: ...... 670

Total (per site, per assessor) ...... 1,651 On-Site AssessmentÐaddnl. day Staff time ...... 8 392 Travel amount: (to cover per diem) ...... 70

Total (per site, per assessor) ...... 462 Final Report & Federal Register notice Staff time: (includes work performed by field staff and office staff) ...... 88 4,316

FIGURE 4.ÐESTIMATED COSTS FOR ON-SITE AUDIT

Average Average Major Activity Hours Costs*

Pre-site Review Staff time: (field staff only) ...... 8 $392 On-Site AuditÐfirst day Staff time: (includes 4 hours travel) ...... 12 589 Travel: ...... 670

Total (per site, per assessor) ...... 1,259 Final Report & Federal Register notice Staff time: (includes work performed by field staff and office staff) ...... 16 785 Total costs ...... **2,436

* Average costs for staff time equal average hours × equivalent average direct staff cost/hr ($49) ** Based on a one day audit. The costs for any additional days are the same as the per-day costs for an assessment.

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In deriving the fee amounts shown in and are described in more detail later in (per site) and office audit (per site); and the fee schedule, OSHA has generally this notice. miscellaneous. The fee for each task or rounded the costs shown in Figures 2, NRTL applicants would pay fees function—which equals the estimated 3, and 4, up or down, to the nearest $50 related only to initial application cost of the work involved—would equal or $100 amount. processing. NRTLs would pay fees for the average estimated staff time to OSHA believes that its proposed fee applications for expansions and renewal perform the work multiplied by an schedule, shown in Table A, accurately of recognition and for audits of the sites equivalent staff cost per hour, plus an reflects costs to the Agency for the staff they use for their NRTL operations. estimate of average travel costs for on- time and travel involved in performing Typically, OSHA audits only the sites it site assessment or audit activities. and administering the application has recognized for an NRTL and Figure 1 describes how the equivalent processing and auditing activities. The contemplates assessing fees mainly for staff cost per hour is derived. amounts shown in the proposed on-site audits of these sites. However, OSHA would include as direct and schedule reflect the Agency’s current the Agency allows NRTLs that have indirect costs the estimated expenses reasonable estimation of the costs appropriate controls to use non- described in Section III above. involved for the services rendered. As recognized sites, such as testing sites of previously mentioned, OSHA is not other laboratories or even C. Annual Review of Fee Schedule and attempting to recover the entire costs of manufacturers, to conduct testing or Issuance the NRTL Program through the other activities necessary in certifying OSHA proposes that the third part of proposed fees but only the costs of products. OSHA may need, for good paragraph (f) would read as follows: providing these services. OSHA will cause, to audit such sites to determine (3) OSHA will review costs and estimates publish the fee schedule in the Federal whether the NRTL or the site properly annually and will propose a revised fee Register with the final rule. controls the NRTL-related activities. For schedule, if warranted. In its review, OSHA IV. Proposed New Paragraph example, OSHA may need to audit a will apply the formula established in manufacturer to determine how well it paragraph (f)(2) of this section to the current OSHA proposes a new paragraph ‘‘(f) controls the NRTL’s certification mark estimated costs for the NRTL Program. If a Fees’’ under 29 CFR 1910.7 to provide or maintains production or quality change is warranted, OSHA will follow the for the assessment and payment of fees controls. NRTLs would pay for these schedule in paragraph (f)(4) of this section. for certain services rendered to NRTLs OSHA will issue all fee schedules in the ‘‘special’’ audits and would be billed Federal Register. Once issued, a fee schedule and NRTL applicants. This new accordingly. paragraph consists of five parts, which remains in effect until it is superseded. Any B. Fee Calculation member of the public may request a change provide the general framework that to the fees included in the current fee OSHA will use to calculate, charge, and OSHA proposes that the second part schedule. Such a request must include collect the fees. OSHA will provide the of paragraph (f) would read as follows: appropriate documentation in support of the specific details for calculating, charging, (2) The fee schedule established by OSHA suggested change. and collecting the fees through reflects the estimated cost of performing the The first proposed fee schedule is set appropriate OSHA Program Directives, tasks and functions for each activity. OSHA forth in Table A. Once issued, the fee consistent with the framework laid out calculates the fees based on the average time schedule would remain in effect until it in this notice. required to perform the work necessary; the is superseded by another schedule. staff costs per hour (which include wages, A. Obligation to Pay and Fee fringe benefits, and expenses other than OSHA would annually review the costs Assessment travel for personnel that perform or and estimates of the program to OSHA proposes that the first part of administer the activities covered by the fees); determine whether any changes to the paragraph (f) would read as follows: and an estimate of the average costs for travel fees are warranted. In addition, OSHA when on-site reviews are involved. The would consider requests for changes to (1) Each applicant for NRTL recognition formula for the fee calculation is as follows: the fee schedule that it receives from the and each existing NRTL must pay fees for Activity Fee = Average Hours to Complete public. In performing any review, OSHA services provided by OSHA. OSHA will × the Activity Staff Costs per Hour + Travel will apply the formula established in assess fees for the following activities: Costs. (i) Processing of applications for initial this regulation to the current estimated recognition, expansion of recognition, or Each activity represents tasks and costs for the program to determine renewal of recognition, including on-site functions that OSHA performs to whether any changes to the fee schedule reviews; review and evaluation of the accomplish a particular phase of the are warranted. If change is warranted, applications; and preparation of reports, service the Agency provides to the OSHA would publish a notice to evaluations and Federal Register notices; and recipients (i.e., NRTLs or NRTL provide the NRTLs and other members (ii) Audits of sites. applicants). OSHA would compute the of the public an opportunity to The Agency proposes that applicants fees on the basis of the average time comment on such changes. The Agency seeking OSHA recognition (i.e., NRTL spent on each task or function. This will would follow the implementation applicants) and organizations that simplify the accounting for the NRTL schedule shown in paragraph (f)(4) of OSHA has recognized as NRTLs must and for OSHA. this proposed rule. OSHA would issue pay fees required for the specific The tasks and functions for which the initial and all subsequent fee services that OSHA provides to them. OSHA currently plans to charge a fee schedules in the Federal Register. In As previously described, the services for are: initial, expansion, and renewal addition, OSHA would provide more which the Agency would charge fees applications; on-site assessment (per specific details regarding are: (1) processing of applications for person, per site—first day) and on-site implementation of the fees proposed in initial recognition, expansion of assessment (per person, per site—each this rule through appropriate program recognition, or renewal of recognition, additional day); review and evaluation directives. and (2) audits, i.e, post-recognition on- (per standard)—initial and expansion D. Fee Implementation site or office reviews. The activities applications; final report/Federal involved in providing these services Register notice—initial and expansion OSHA proposes that the fourth part of have already been described in general, or renewal applications; on-site audit paragraph (f) would read as follows:

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(4) OSHA will implement fee government fiscal year (GFY), assessment that it must perform in assessment, collection, and payment as September 30, to obtain the estimates connection with an application. follows: and costs for its annual review of the fee E. Details for Payment schedule. Therefore, approximately on Approximate Action required November 1 of each year, when OSHA proposes that the fifth and last dates warranted, OSHA would publish a part of paragraph (f) would read as follows: Application Fees proposed new Fee Schedule, including a report on the estimated costs that are (5) OSHA will provide the details Time of appli- Applicant must pay the appli- the basis of the fees. The period for regarding how to pay the fees through cation. cable fees shown in the comments would be no less than 15 appropriate OSHA Program Directives. Fee Schedule when sub- calendar days. Approximately 30 days For application processing, OSHA mitting the application; thereafter, OSHA would officially issue OSHA will not begin proc- anticipates that it will bill the NRTL the Fee Schedule in the Federal applicant or NRTL for balance of fees essing until fees are re- Register. ceived. due, including actual travel expenses, at Publication of Applicant must pay remain- In January of each year, OSHA would the time the preliminary notice is preliminary der of fees; OSHA cancels bill each NRTL for the appropriate audit published; the Agency will also refund notice. application if fees are not fee shown in the Fee Schedule in effect any balances due at that time. Also, for paid when due.s0 at the time the bill is mailed. OSHA expansions and renewals, applicants anticipates that most of the bills would would not pay the assessment fee at Audit Fees be for on-site audits. The Agency would time of application, but OSHA would include the appropriate supplemental November 1 ... OSHA will publish proposed bill an applicant for these fees if it new Fee Schedule in the amounts for travel outside the 48 determines an assessment is necessary. Federal Register, if contiguous states, if applicable. The In such cases, OSHA will not begin the OSHA determines NRTL would be automatically assessed assessment until fees are received. For changes in the schedule the late fee, shown in the Fee Schedule, audits, additional days of audit time are warranted. if OSHA does not fully receive the will be billed after an audit. Also, any November 16 Comments due on the pro- amount billed within 30 days. Fifteen difference between actual travel posed new Fee Schedule. days thereafter, OSHA would also issue December 15 OSHA will publish the final expenses and the travel amounts in the a letter notifying the NRTL of the failure fee schedule will be billed or refunded Fee Schedule in the Fed- to pay the fees for the audit and eral Register. to the NRTL. For applications and January 1 ...... OSHA will bill each existing requesting immediate payment, audits, any fees that are not paid when NRTL for the audit fees including a late fee. If the NRTL fails to due would result in cancellation of shown in the Fee Sched- fully pay those fees within 15 days of application or revocation of recognition, ule, including estimated the issuance of the letter, OSHA would as appropriate. OSHA also anticipates travel costs. publish a notice in the Federal Register that all fees must be paid in U.S. dollars February 1 ..... NRTLs must pay audit fees; announcing its intent to revoke the by certified check or money order OSHA will assess late fee NRTL’s recognition. OSHA would then if audit fees are not paid. drawn on a U.S.-based institution or proceed with permanent revocation of organization. The fee schedule would February 15 ... OSHA will send a letter to the NRTL’s recognition. In revoking the NRTL requesting im- include appropriate details about fee mediate payment of the recognition due to non-payment of fees, payments. audit fees and late fee. OSHA would follow the procedures Additionally, the Agency plans to March 1 ...... OSHA will publish a notice in described in this paragraph and not implement the fees 30 calendar days the Federal Register to those under II.E of Appendix A to 29 after the effective date of this rule. Any revoke recognition for CFR 1910.7. application received by OSHA on or NRTLs that have not paid OSHA would bill the NRTL separately after that date will be subject to the fees. audit fees for the year. for additional audits of a site or for any Also, any pending application (i.e., an ‘‘special’’ audits. OSHA would bill the application that OSHA has not yet We discuss application fees under NRTL for these fees prior to the completed processing) on this effective paragraph E below and under Fee commencement of such an audit and date will be subject to the fees for the Schedule and Description of Fees, would follow the same collection activities that OSHA has not yet Section V of this notice. OSHA would process here as described above for a commenced. OSHA would bill assess an applicant the fees in effect on regular audit. OSHA would refund the applicants, accordingly. the submission date of the application. audit fee for any audit, whether or not Regarding the remainder of the annual, that it does not perform. OSHA V. Fee Schedule and Description of Fees schedule, OSHA needs approximately would follow similar collection OSHA proposes the following fee 30 days after the close of the procedures for any additional or special schedule:

TABLE A.ÐFEE SCHEDULE; NATIONALLY RECOGNIZED TESTING LABORATORY PROGRAM (NRTLP) Fee Schedule (Effective lll*)

Type of Service Fee Category (per application unless noted otherwise) Fee Amount

Application Processing ...... Initial Application Fee 1 ...... 3,900 Expansion Application Fee 2 ...... 1,550 Renewal Application Fee 2 ...... 100 Assessment FeeÐInitial Application (per person, per siteÐfirst 2,050 day) 3, 4, 8.

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TABLE A.ÐFEE SCHEDULE; NATIONALLY RECOGNIZED TESTING LABORATORY PROGRAM (NRTLP)ÐContinued Fee Schedule (Effective lll*)

Type of Service Fee Category (per application unless noted otherwise) Fee Amount

Assessment FeeÐExpansion or Renewal Application (per per- 1,650 son, per siteÐfirst day) 3, 4, 8. Assessment Fee (per person, per siteÐeach addnl. day) 3, 4, 8 ... 450 Review & Evaluation Fee (per standard) 5 (for initial or expan- 50 sion applications). Final Report/Register Notice FeeÐInitial Application 5 ...... 7,850 Final Report/Register Notice FeeÐExpansion or Renewal Ap- 4,300 plication 5. Audits ...... On-site Audit Fee (per person, per siteÐone day) 6, 8 (each ad- 2,450 ditional day is billed at $450 per day). Office Audit Fee 6 ...... 400 Miscellaneous ...... Staff Costs Fee (per day) 7 ...... 400 Late Payment Fee ...... 50 Notes: 1 Only NRTL applicants must pay the Initial Application Fee. These fees must be included with the application. 2 An NRTL must pay the Expansion Application Fee for each request to expand its recognition. An NRTL must pay the Renewal Application Fee for its initial renewal request or for any notification to certify its continuing compliance. These fees must be included with the application. 3 An NRTL applicant must pay the first day and the additional day Assessment Fees. These fees must be included with the application. For ex- pansion and renewal applications, OSHA will bill the NRTL for the appropriate Assessment Fees if an assessment is necessary. The NRTL must pay the fee before OSHA commences any assessment activities. 4 The appropriate supplemental fee must be included for sites located outside the 48 contiguous U.S. states (see Supplemental Travel Costs table). OSHA will assess actual travel costs and actual number of assessment days in the bill mentioned in note 5. See note 8 for possible re- fund of Assessment Fees. 5 OSHA will bill NRTL applicants and NRTLs for the Review and Evaluation and the appropriate Final Report/Register Notice Fees at the time it publishes the preliminary FEDERAL REGISTER notice. OSHA will cancel applications if payment is not received when due. 6 OSHA will bill the NRTL annually for the audit fee (on-site or office, as deemed necessary) and will include the appropriate supplemental fee for sites located outside the 48 contiguous U.S. states (see Supplemental Travel Costs table). OSHA will revoke the NRTL's recognition for fail- ure to pay an audit fee. OSHA will assess actual travel costs after any on-site audit. 7 Current estimated equivalent staff costs per hour = $49. 8 Refund of Fees: Except for the Assessment and On-site Audit Fees, OSHA will not refund any fees after it receives payment. Assessment and On-site Audit Fees will be refunded as follows: Refund = 100% of Assessment Fee paid, for withdrawn applications, if preparation for on-site not started, or OSHA does not perform assess- ment. Refund = 100% of Assessment Fee paid less Staff Costs Fee, for withdrawn applications if only preparation for on-site started. Refund = 0% of Assessment Fee paid, if travel for on-site visit commences Refund = 100% of On-site Audit Fee paid, if OSHA does not perform audit (even if preparation for on-site started). Refund = 0% of On-site Audit Fee paid, if travel for on-site visit commences. * Applicants must pay the application fees in effect on the date it submits the application. NRTLs must pay the audit fee in effect on the date OSHA sends the bill for the audit. [Note: for the initial fee schedule, any pending application (i.e., an application that OSHA has not yet com- pleted processing) on this effective date will be subject to the fees for the activities that OSHA has not yet commenced.]

The fee schedule shows the current OSHA proposes that an organization $400 in the fee schedule). The Agency activities for which OSHA plans to applying for either an initial NRTL would not refund the assessment fee if charge fees. However, the Agency may recognition or a renewal must include the on-site visit had commenced. Also, find, after it has gained experience the application fee and on-site review OSHA would bill the organization for charging the fees or based upon (‘‘assessment’’) fee with the application. the balance of the fees at the time of suggestions it receives, that it may be Applications received solely for an publication of the initial Federal better to further break down or even expansion of NRTL recognition would Register notice. combine some fee categories. OSHA include only the application fee. OSHA The following is a description of the would give the public an opportunity to would bill the NRTL for the assessment tasks and functions currently covered by comment on any such changes. fee if it must perform an on-site review each type of fee category, e.g., However, these changes would merely for the expansion request. The Agency application fees, and the basis used to reapportion costs or further detail the would not perform the review until it charge each fee. fees; they would not apply to different receives the assessment fee. This would Application Fees: This fee would services than those described in this ensure that OSHA’s costs will be reflect the technical work performed by proposed rule. In evaluating any reimbursed, regardless of how the office and field staff in reviewing changes to a fee schedule, OSHA would application process turns out. If an application documents to determine also consider the following in applicant withdraws its application whether an applicant submitted determining the fees it needs to charge prior to commencement of on-site complete and adequate information. The for its services: (1) actual expenditures assessment activities, the Agency would application review does not include a (direct and indirect) of the most recently refund any on-site assessment fee it has review of the test standards requested, completed government fiscal year for collected. However, if OSHA has which is reflected in the review and rendering the services for which fees commenced preparation for the on-site evaluation fee. Application fees would visits, it would refund only a portion of will be charged, and (2) estimated costs be based on average costs per type of the assessment fee. The amount application. OSHA plans to use average (direct and indirect) of the upcoming refunded would equal the assessment costs since the amount of time spent on government fiscal year for rendering the fee collected less the daily assessor rate the application review does not vary services for which fees will be charged. (currently, 8 hours × $49/hr, rounded to greatly by type of application. This is

VerDate 18-JUN-99 12:25 Aug 17, 1999 Jkt 183247 PO 00000 Frm 00010 Fmt 4701 Sfmt 4702 E:\FR\FM\A18AU2.026 pfrm07 PsN: 18AUP5 Federal Register / Vol. 64, No. 159 / Wednesday, August 18, 1999 / Proposed Rules 45107 based on the premise that the number estimated average review time per new test standards include new or and type of documents submitted will standard is one hour. additional tests to meet new or revised generally be the same for a given type Final Report/Register Notice Fees: national or international safety criteria of application. Experience has shown Each of these fees would be charged per or requirements, and supersede those that most applicants follow the application. The fee would reflect the for which OSHA has already recognized application guide that OSHA provides staff time to prepare the report of the on- the NRTL. As a result, the NRTL must to them. site review (i.e., assessment) of an often apply to OSHA to ‘‘expand’’ its Assessment Fees: This fee would be applicant’s or an NRTL’s facility. The recognition as an NRTL to enable it to different for initial and for expansion or fee also reflects the time spent making use those new test standards. While the renewal applications. It is based on the the final evaluation of an application, NRTL may ‘‘expand’’ its recognition number of days for staff preparatory and preparing the required Federal Register primarily to attain or maintain an on-site work and related travel. Three notices, and responding to comments economic benefit, timely recognition of types of fees are shown, and each one received due to the preliminary finding those new test standards for the NRTL would be charged per site and per notice. These fees are based on average could also affect safety in the person. The two fees for the first day costs per type of application, since the workplace. The shorter periods would reflect time for office preparation, time type and content of documents prepared speed up approval of those expansions. at the applicant’s facility, and an are generally the same for each type of Also in support of the shorter periods, amount to cover travel in the 48 applicant. Federal Register notices are currently contiguous states. A supplemental travel Audit (Post-Recognition Review) Fees: accessible to the public through the amount (to be included with the fee These fees would reflect the time for Office of the Federal Register web site schedule) would be assessed for travel office preparation, time at the facility on the day they are published. Given the outside this area. These travel amounts and travel, and time to prepare the audit rapid telecommunication (e.g., Internet, are only estimates for purposes of report of the on-site audit. A separate electronic mail, fax) capabilities that submitting the initial fees. The fee is shown for an office audit now exist throughout the world, applicant or NRTL would be billed conducted in lieu of an actual visit. comments or requests for an extension actual expenses, based on government Each fee is per site and does not of the comment period can be filed in per diem and travel fares. Any generally vary for the same reasons much less time than 60 days. Therefore, difference between actual travel described for the assessment fee and OSHA proposes to amend the expenses and the travel amounts in the because the audit is generally limited to provisions in Appendix A to provide a fee schedule will be reflected in the one day. As previously described, the 30-day comment period for applications final bill or refund sent to the applicant audit fee would include amounts for for initial recognitions as an NRTL. This period is consistent with that provided or NRTL. travel, and, similar to assessments, OSHA will bill the NRTL for actual for the Agency’s rulemaking notices. Similar to the application fee, the travel expenses. OSHA also proposes to amend office preparation time generally Miscellaneous Fees: The sample fee Appendix A to provide a 15-day involves the same types of activities. schedule only shows the average cost comment period for requests by an Actual time at the facility may vary, but for one full day of staff time. OSHA NRTL for expansion or renewal of its the staff devote at least a full day for would use this fee primarily in cases of recognition. The shorter period reflects traveling and for performing the on-site refunding the assessment fee. OSHA the nature and scope of the Agency’s work. The fee for the additional day will also charge a fee for late payment evaluation of these requests and the reflects time spent at the facility and an of the annual audit fee. anticipated issues that such requests amount for one day’s room and board. The amount for the late fee is based will present to anyone who believes that Review and Evaluation Fee: This fee on 1 hour of staff time. the NRTL’s request affects them. OSHA would be charged per test standard does not view either of the shorter VI. Reduction of Public Comment (which is part of an applicant’s periods as a way to limit comments, proposed scope of recognition). The fee Period since reviewers of the notice can always reflects the fact that staff time spent in OSHA proposes to amend provisions request an extension of the comment the office review of an application in Appendix A to 29 CFR 1910.7 to period if they need more time for varies mainly in accordance with the reduce the 60-day comment period presenting any comments. OSHA will number of test standards requested by currently required for the ‘‘preliminary’’ include a statement regarding such the applicant. The fee would be based Federal Register notices. ‘‘Preliminary’’ extensions in the preliminary notices. on the estimated time necessary to refers to the first of the two notices that review each standard to determine OSHA must publish to initially VII. Preliminary Economic Analysis whether it is ‘‘appropriate,’’ as defined recognize an organization as an NRTL, Executive Order 12866 and the in 29 CFR 1910.7, and whether it covers or to expand or renew an NRTL’s Regulatory Flexibility Act require equipment for which OSHA mandates recognition. The notice is termed Federal agencies to analyze the cost, and certification by an NRTL. The fee also preliminary since it announces OSHA’s other consequences and impacts, of covers time to determine the current ‘‘preliminary finding’’ on an initial, proposed and final rules. Consistent designation and status (i.e., active or expansion, or renewal application. In with these requirements, OSHA has withdrawn) of a test standard by recent years, OSHA has received few or prepared this preliminary economic reviewing current directories of the no comments on the preliminary analysis to accompany a proposal by applicable test standard organization. notices. The few comments received, OSHA that would allow the Department Furthermore, it includes time spent even when substantive, could have been of Labor to charge and retain fees for discussing the results of the application prepared and submitted in much less services provided to Nationally review with the applicant. The actual than 60 days. Recognized Testing Laboratories time spent will vary depending on Regarding expansions, NRTLs must (NRTLs). The analysis includes a whether an applicant requests test routinely adopt new test standards for description of the industry, an standards that have previously been the products that are within their testing estimation of the costs of compliance, approved for other NRTLs. The current and certification capability. Many of the and an evaluation of the economic and

VerDate 18-JUN-99 12:25 Aug 17, 1999 Jkt 183247 PO 00000 Frm 00011 Fmt 4701 Sfmt 4702 E:\FR\FM\A18AU2.027 pfrm07 PsN: 18AUP5 45108 Federal Register / Vol. 64, No. 159 / Wednesday, August 18, 1999 / Proposed Rules other impacts of the proposed rule on • Flame Arresters, Check Valves, Hoses contain requirements concerning the firms in this sector. The analysis also (Transfer Stations), Portable Tanks, and design specifications of the equipment, examines the costs and impacts of the Safety Cans—Flammable Combustible the specific physical tests to be proposal on affected small entities, as Liquids) performed, the criteria for passing these • Pumps and Self-Closing Faucets (for defined by the Small Business Dispensing Class I Liquids) tests, etc. The development of a product Administration. • Flexible Connectors (Piping, Valves, test standard for a particular type of product is a deliberate, lengthy, and Affected Industry Fittings) • Service Station Dispensing Units expensive process that involves a team The standards adopted and mandated (Automotive, Marine) of engineers and scientists. In addition, in OSHA regulations stipulate that • Mechanical or Gravity Ventilation Systems test standard development is a dynamic certain equipment and materials used in (Automotive Service Station Dispensing process in which test standards are Area) the workplace meet minimum criteria • constantly revised. For example, UL for performance or safety. In 29 CFR Automotive Service Station Latch—Open Devices for Dispensing Units generally reviews each of its test Parts 1910 (governing hazards in general • New Commercial and Industrial LPG standards at least once every 3 years. industry) and 1926 (governing hazards Consuming Appliances Further, at any point in time, between in the construction industry), there are • Flexible Connectors (Piping, Valves, 10 and 20 percent of the UL test more than 160 paragraphs that require Fittings)—LPG standards have been changed during the certain equipment to be either safety • Powered Industrial Truck LPG Conversion preceding 6 months. In light of this tested, listed, or approved in order for Equipment • effort and expense, very few that equipment to be used in the LPG Storage and Handling Systems (DOT organizations develop their own workplace. Table 1 provides a listing of Containers, Cylinders) • Automatic Shut-off Devices (Portable LPG product test standards. the types of equipment that require Heaters Including Salamanders) Independent testing labs are entities testing, listing or approval by NRTLs. • LPG container assemblies (non-DOT) for that are separate from any manufacturer, The requirements to test, list or approve interchangeable installation above or under trade association, or equipment vendor. equipment are necessary to ensure that ground. They typically test a variety of products • employees use appropriate safe Fixed electrostatic apparatus and devices or substances within one or more equipment 2. Although it is ultimately (coating operations). general testing disciplines (e.g., • Electrostatic hand spray apparatus and the employer’s responsibility to provide electrical, thermal, mechanical) for safe equipment, few, if any, have the devices. • Electrostatic fluidized beds and associated many clients, such as manufacturers, technical capabilities to test items such equipment. trade associations, physicians, and state as electrical conductors and equipment, • Each appurtenance (e.g., pumps, agencies. Most of the smaller labs the fire resistance properties of compressors, safety relief devices, liquid- specialize in testing specific types of materials, the lifting capacity of scaffold level gauging devices, valves and pressure products within one or two general hoists, etc., for safety. gauges) in storage and handling of testing disciplines. Even the larger Table 1. Categories of Equipment/Materials anhydrous ammonia. testing labs tend to specialize within • Gasoline, LPG, diesel, or electrically Required by Various Provisions in OSHA’s one or two general testing disciplines Standards to Be Certified by an NRTL. powered industrial trucks used in hazardous atmospheres. and do not test every type of product Electrical Conductors or Equipment • within a general testing discipline. • Automatic Sprinkler Systems Acetylene apparatus (torches, regulators or • Fixed Extinguishing Systems (Dry pressure-reducing valves, generators According to the 1992 Census, there [stationary and portable], manifolds). are approximately 4,704 independent chemical, water spray, foam or gaseous • agents) Acetylene generator compressors or booster testing labs in the United States, of • Fixed Extinguishing Systems Components systems. which 4,540 are profit making and 164 • Acetylene piping protective devices. and Agents • Manifolds (fuel gas or oxygen)—separately are not-for-profit (see Table 2). Of the • Portable Fire Extinguishers for each component part or as assembled 4,704 testing labs, 1,776 perform • Automatic Fire Detection Devices and units. chemical or biological testing 3 and Equipment • Scaffolding and power or manually about 2,928 concentrate on product • Employee Alarm Systems operated units of single-point adjustable • Self-Closing Fire Doors testing [1]. The second category of suspension scaffolds. • Fire (B) Doors testing labs performs such types of tests • Hoisting machine and supports (Stone • Windows (Frames) as electrical resistance or capacity, fire setters’ adjustable multiple-point • Heat Actuated (Closing) Devices (Dip resistance of materials, materials suspension scaffold). Tanks) • Hoisting machines (Two-point suspension; strength, acoustic and vibration testing, • Exit Components etc. Some of these testing labs will be • Masons’ adjustable multiple-point Spray Booth Overspray Filters suspension scaffold). affected by the proposed rule. Total Source: U.S. Department of Labor, OSHA, combined receipts for taxable and non- 2 A substantial amount of equipment tested is Office of Regulatory Analysis, 1997. taxable establishments were $5.13 used in situations other than those in which OSHA billion in 1992. Not-for-profit has sole interest. As one example, electrical A product testing lab tests equipment establishments represent 3.4 percent of conductors and equipment installed in buildings in accordance with test criteria, such as the total number of testing must conform with the state and local building those standards established by code, the National Electrical Code, and any establishments and 7.2 percent of total Underwriters Laboratories (UL), Factory requirements established by the property insurer. In revenues. addition, manufacturers have products examined by Mutual Research Corporation (FMRC), testing laboratories in order to meet the demands the American National Standards of their product liability insurers as well as to 3 Biological and chemical testing labs perform improve the product. Thus, OSHA is not the only Institute (ANSI), or the American such tests as chemical composition of substances, organization concerned about the safety of many of Society for Testing and Materials blood tests, etc., and would not be affected by the these products. (ASTM). These standards typically proposed rule.

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TABLE 2.ÐCHARACTERISTICS OF TESTING LABORATORIES

Number of Number of Number of Total re- Percent re- establish- ceipts ($ ceipts b from firms ments employees million) testing

Taxable Establishments ...... 3,513 4,540 70,462 $4,764 94.47 Non-Taxable Establishments ...... a 135 164 6,256 371 90.13 Source: US Department of Commerce. 1992 Census of Service Industries. SC92±S±1. February 1995. (a) Calculated based on the ratio of non-taxable firms to establishments in SIC 873. (b) Other sources of receipts for taxable and non-taxable labs include physical or biological research and development, engineering consulting and design, and contributions (tax-exempt labs only).

By 1992, the testing industry significant degree, entered the American costs presented and assumptions used increased by 40 percent, from a total of product safety testing market. CSA in this Preliminary Economic Analysis. 3,458 testing labs in 1987; there are certification is accepted by some state Testing laboratories participating in several reasons for this growth. First, as and local building code authorities. the OSHA program will be subject to technology grows more complex, fewer costs for two types of services: (1) personnel within the equipment TABLE 3.ÐNATIONALLY RECOGNIZED application processing for the initial manufacturing organization have the TESTING LABORATORIES (NRTLS) recognition of an organization, and for technical expertise to certify the quality expansion and renewal of an existing NRTL’s recognition; and (2) audits of the finished product, i.e., fewer Testing laboratory Number of people in a given organization have the sites (post-recognition reviews), which ability to perform the overall product enable the NRTL to maintain its certification function. Product testing 1. American Gas Association recognition from OSHA. The fees for Laboratories (AGA) ...... 2 laboratories can help to provide this 2. Applied Research Labora- these services are based on the actual quality assurance function. Second, the tories (ARL) ...... 1 cost of the service rendered and will increase in product liability suits has 3. Canadian Standards thus vary by circumstances. Table A, encouraged manufacturers to take Assocaition (CSA) ...... 6 previously shown in Part III of this additional steps to verify the safety 4. Communication Certification notice, shows the elements of the fee characteristics of their products. Third, Laboratory (CCL) ...... 1 structure and a sample fee schedule. more information is now being sought 5. Detroit Testing Laboratory The activities covered by each category on product toxicity [2]. (DTL) ...... 1 of fees are explained in detail in that The testing industry employs 76,718 6. Electro-Test, Inc. (ETI) ...... 2 part. 7. Entela, Inc. (ENT) ...... 2 OSHA relied on a review of the NRTL workers. Small establishments with one 8. Factory Mutual Research to nine employees represent 3,002 Corporation (FM) ...... 2 application information from 1988 to establishments (64 percent of all 9. Intertek Testing Services 1996 to develop estimates on the annual establishments), but collectively employ NA, Inc. (ITS) ...... 8 number of new applicants, and only 11,095 employees (14 percent of all 10. MET Laboratories (MET) .... 1 expansion and renewal requests. On employees). 11. National Technical Systems 1 average, OSHA receives about 3 initial The proposed rule contains 12. NSF International ...... 1 applications for NRTLs and 3 requirements for the payment of fees for 13. SGS U.S. Testing Co., Inc. applications for renewal, and 7 services provided by OSHA to the (SGS) ...... 2 applications for expansions on an 14. Southwest Research Insti- NRTLs. The two distinct groups of tute (SwRI) ...... 1 annual basis. testing labs that will be affected by the 15. TUV Rheinland of North OSHA expects to receive several proposed rule are: (1) testing labs that America, Inc. (TUV) ...... 1 NRTL application requests from foreign- will seek acceptance by OSHA as 16. Underwriters Laboratories based testing laboratories as a result of ‘‘nationally recognized testing labs’’ for (UL) ...... 7 a Mutual Recognition Agreement (MRA) particular types of equipment testing, 17. Wyle Laboratories, Inc. between the United States and the listing, and approval required under (WL) ...... 1 European Union (EU). Through the Part 1910.7, and (2) existing NRTLs TOTAL ...... 40 MRA, foreign labs located in the EU that wishing to retain their eligibility for Source: US Department of Labor, OSHA, apply for and are recognized as NRTLs testing and certification of workplace Office of Regulatory Analysis, 1998. can perform the same activities as US equipment and/or to expand their NRTL based NRTLs. The fees proposed by Costs program. Testing labs that do not seek OSHA will ensure that US taxpayers are OSHA acceptance will not be affected This section presents preliminary not subsidizing foreign businesses. At by the proposed rule and will, therefore, estimates of the costs that will be this time, there is insufficient incur no costs of compliance. incurred by firms to come into information to quantify the number of In 1998, there were 17 testing compliance with the proposed rule for foreign labs that may apply for NRTL laboratories that had NRTL status and NRTL fees. These costs do not represent status and their future costs of that operated 40 testing facilities (sites). new costs to the economy; instead, they compliance for these labs. Table 3 lists the laboratories and the represent a new method of paying for OSHA estimates that labs will require number of sites for these labs. Both the costs of the NRTL certification approximately 0.5 hours of an domestic and foreign testing laboratories program. Today, these costs are paid by accountant’s time to estimate OSHA- may be affected by this proposal. The taxpayers as part of OSHA’s budget. related activities and to process Canadian Standards Association (CSA) This proposal would transfer the payment. Employee wages are based on is a product testing lab that is Canadian- payment of these costs to the NRTLs the Bureau of Labor Statistics estimate owned and operated and is the only themselves and NRTL applicants. OSHA of total employee compensation for the foreign testing lab that has, to any welcomes comments on the preliminary professional specialty of $30.17 per

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TABLE 4.ÐSUMMARY OF TOTAL ESTIMATED FEE COLLECTION BY CATEGORY

Average cost per ap- Est No. per Estimated Category plication or year fee collec- audit tion

Initial Recognition Applications ...... $20,423 3 $61,269 Expansion of Recognition Applications ...... 7,820 7 54,739 Renewal of Recognition Applications ...... 8,641 3 25,924 Annual Site Visits (Audits) ...... 2,436 40 97,432

Total ...... 239,364 Source: Office of Technical Programs and Coordination Activities, 1999.

Economic Impacts feasibility for the affected industry, i.e., OSHA compared the baseline would adversely alter the competitive financial data with total annual OSHA assessed the potential structure of the industry, OSHA compliance costs by computing economic impacts of the costs of developed quantitative estimates of the compliance costs as a percentage of compliance with the proposed standard economic impact of the proposed rule revenues. Table 5 shows compliance for NRTL fees and has preliminarily on establishments in the affected determined that the standard is costs as a percentage of sales and pre- industry, and thus on the 17 firms tax profits. This table is titled a economically feasible for firms in this already recognized as NRTLs. In this industry. The proposal would have the screening analysis because it simply analysis, compliance costs are compared measures costs as a percentage of pre- advantage of encouraging economic with industry revenues and profits. tax profits and sales and does not efficiency by pricing the service of the Estimates of compliance costs are NRTL program rather than providing the compared with estimates of annual predict impacts on these sales and pre- service for free. As mentioned above, revenues based on data from the U.S. tax profits. The screening analysis is the cost of the NRTL program is Department of Commerce, Bureau of the used to determine whether the currently borne by taxpayers through Census, ‘‘Table 3: United States—The compliance costs potentially associated OSHA’s budget. This proposal would Number and Percent of Firms, with the proposed NRTL fee could lead transfer the payment of some of these Establishments, Employment, Annual to significant impacts on the affected costs to firms receiving the service from Payroll, and Estimated Receipts by firms. The actual impact of the proposal OSHA. Industry and Employment Size for on the profits and sales of firms will To determine whether the proposed 1993,’’ while estimates of pre-tax profits depend on the price elasticity of rule’s projected costs of compliance for most industries are based on data demand for the services provided by the would raise issues of economic from Robert Morris Associates [3]. affected firms.

TABLE 5.ÐSCREENING ANALYSIS TO IDENTIFY POSSIBLE ECONOMIC IMPACTS OF THE PROPOSED NRTL FE

Annualized costs of com- Annual costs Revenues Pre-tax profits pliance as a percent of 1 of compliance ($1000) ($1000) Pre-Tax Sales Profit

Testing Laboratories (SIC 8734) ...... $239,825 $5,547,796 $316,224 0.004 0.08 Sources: US Department of Labor, OSHA, Office of Regulatory Analysis, 1998; Office of Technical Programs and Coordination Activities, 1999. US Small Business Administration, Office of Advocacy. Table 3: US Establishments, Employment, and Payroll by Industry and Firm Size, 1993. 1 Revenues do not include foreign laboratories sales.

Price elasticity refers to the profit. When demand is inelastic, firms either in demand or in profits. Such a relationship between the price charged can absorb all the costs of compliance situation would be most likely when for a product and demand for that simply by raising the prices they charge there are few, if any, substitutes for the product; that is, the more elastic the for the service; under this scenario, service offered by the affected relationship, the less able a firm is to profits are untouched. Where demand is establishments and where such services pass the costs of compliance through to inelastic, the impact of compliance costs account only for a small portion of the its customers in the form of a price that amount to 1 percent of revenues income of its consumers. When demand increase and the more it will have to would be a 1 percent increase in the is elastic, firms cannot absorb all of the absorb the costs of compliance from its price of the product, with no decline costs simply by passing the cost

VerDate 18-JUN-99 18:05 Aug 17, 1999 Jkt 183247 PO 00000 Frm 00014 Fmt 4701 Sfmt 4702 E:\FR\FM\18AUP5.XXX pfrm03 PsN: 18AUP5 Federal Register / Vol. 64, No. 159 / Wednesday, August 18, 1999 / Proposed Rules 45111 increase through in the form of a price production line, etc. In addition to the purpose of this regulatory flexibility increase; instead, they must absorb time component, the market for testing analysis. some of the increase from their profits. services is highly competitive and the The number of establishments In this case, no increase in price is price inelastic because, in general, the operated by small firms and the number possible, and before-tax profits would price for testing services is a very small of affected workers employed in small be reduced by an amount equal to the component of the overall costs of the firms are based on Bureau of the Census costs of compliance. Under this product. OSHA estimated in its Final data.4 The Bureau of the Census data scenario, if the costs of compliance are Regulatory Impact Analysis of the Final classify firms according to the number a large percentage of the establishment’s Rule for 29 CFR Part 1910, Safety of workers employed by the enterprise. profits, some establishments might be Testing of Certification of Certain The following employment size forced to close. This scenario is highly Workplace Equipment and Materials classifications were used: 1–4, 5–9, 10– unlikely to occur, however, because it and Programs, that the actual testing, 19, 20–99, 100–499, 500+. For each firm can only arise when there are other listing and approval expenditures for size classification, data were provided services that are, in the eyes of tested equipment would be between on the total number of firms, consumers, perfect substitutes for the 0.23 percent and 0.50 percent of the establishments, employees and services the affected establishments value of these products [2]. Thus, on estimated annual receipts. provide. A common intermediate case average, product testing fees are a minor Based on the SBA size category and would be a price elasticity of one. In component of the cost of manufacturing the Census data, OSHA has determined this situation, if the costs of compliance equipment and will continue to remain that most of the testing labs with NRTL amount to 1 percent of revenues, then so even after the proposed fees have status are of substantial size in terms of production would decline by 1 percent been implemented. OSHA seeks more both gross revenues and number of and prices would rise by 1 percent. In information on the impacts of the employees. The average revenue of this case, establishments remain in proposed rule on manufacturers. OSHA these firms, based on the employment business and maintain the same profit also seeks information on the impact of size categories provided by the Census as before but would produce 1 percent the proposed fee schedule on foreign data, is estimated to range from $6.9 less product or service. Consumers testing laboratories. million to $18.9 million per firm. would effectively absorb the costs The purpose of this analysis is to Potential Economic Impacts of the through a combination of increased assess the impacts on business Proposed Standard on Small Entities prices and reduced consumption; this, organizations consisting of one or more as the court described in ADA v. This section measures the potential domestic establishments under common Secretary of Labor, is the more typical economic impacts of the proposed ownership or control, without regard to case. standard on small entities in the the number of states in which a business As shown in Table 5, the impacts affected testing laboratory industry to organization may be operating potentially imposed by the proposed determine whether the proposed establishments. However, the data rule are not sizeable on the industry. On standard has a significant impact on a provided by the Census do not include average, annualized compliance costs substantial number of small firms, as the number of enterprises, but rather the would amount to only 0.004 percent of required by the Regulatory Flexibility number of firms, which, by the Census’ estimated industry revenues and 0.08 Act (as amended in 1996). For the definition, is essentially the number of percent of estimated profits. Even if no purposes of this analysis, OSHA defines states in which an enterprise operates price increase were possible, a 0.08 small entities using the Small Business establishments in a specific industry. percent decline in profits would not Administration’s (SBA) Table of Size Thus, to the extent that enterprises threaten the viability of the industry. Standards. The SBA size standards for operate establishments in the same These impacts are overestimated since for-profit firms identify firms with less industry in multiple states, estimates of the revenues do not include foreign than $5 million in revenues as small in the number of entities may be organization revenues. Thus, the the testing laboratory service sector. overestimated. proposed rule is preliminarily The Regulatory Flexibility Act To estimate the number of small determined to be economically feasible addresses impacts on ‘‘small entities, average revenues per firm were for affected laboratories. businesses,’’ and ‘‘small not-for-profit calculated in each enterprise size As previously noted, OSHA has organizations,’’ both of which are category using Census data, and size received a comment from a referred to in this analysis as ‘‘small categories where average revenues per ‘‘stakeholder’’ that stated the proposed entities.’’ What constitutes a small firm were less than the standards set by fees would have a significant impact on entity is defined by the SBA in terms of SBA (i.e., less than $5 million for all the manufacturers who are customers of the number of employees or annual other firms), firms in those size NRTL services [Ex. 2–19]. However, receipts (unless otherwise stated) categories were assumed to be small they did not present any information or constituting the largest size that a for- entities. Table 6 shows the estimated evidence of such impacts. Testing fees profit enterprise (together with its number of small entities in the industry. are minor costs compared with the affiliates) may be and still remain Only 9 small businesses and 1 not-for- product’s development and eligible as a small business for various manufacturing costs. The price of SBA and other Federal Government 4 The Bureau of the Census defines a ‘‘firm’’ as testing entails not only the charges for programs. A ‘‘small organization’’ is a ‘‘a business organization consisting of one or more the direct testing service, but also the defined as any ‘‘not-for-profit enterprise domestic establishments in the same state and length of time taken by the testing which is independently owned and industry that were specified under common ownership or control,’’ and an ‘‘enterprise’’ as ‘‘a process. In other words, the time spent operated and is not dominant in its business organization consisting of one or more by the manufacturer waiting for the field.’’ Since this definition would domestic establishments that were specified under product to be tested is time during include all of the not-for-profit entities, common ownership or control.’’ In other words, if, which the product is not being sold and no separate analysis of small for example, an enterprise with 100 employees operates nursing homes in four states, the Bureau the manufacturer is not receiving the organizations is necessary. OSHA seeks of Census would count this as four firms in the income necessary to offset the expenses comment on the appropriate definition nursing home industry in the 100 to 499 of designing the product, establishing a of a small not-for-profit entity for the employment size classification.

VerDate 18-JUN-99 12:25 Aug 17, 1999 Jkt 183247 PO 00000 Frm 00015 Fmt 4701 Sfmt 4702 E:\FR\FM\A18AU2.032 pfrm07 PsN: 18AUP5 45112 Federal Register / Vol. 64, No. 159 / Wednesday, August 18, 1999 / Proposed Rules profit entity are currently NRTLs and compliance costs and economic impacts NRTLs, compliance costs represent 0.10 thus certain to be affected. However, the relative to revenues and pre-tax profit percent of revenues. Impacts of these proposed rule could potentially affect for affected small entities. For testing magnitudes do not exceed the any of the 3,170 small independent laboratories seeking NRTL status for the thresholds OSHA has established for testing laboratories if such entities wish first time, the annual compliance cost significant impacts. to become NRTLs. About 87 percent of amounts to only 0.22 percent of Thus, because this proposal will not all independent testing laboratories are revenues and 3.90 percent of profits for have a significant impact on small estimated to be operated by small small entities. The analysis also shows entities. that for-profit testing labs with current entities (as defined by the SBA), OSHA Table 6 presents the results of the NRTL status have compliance costs that certifies that this proposal will not have regulatory flexibility screening analysis. are 0.25 percent of revenues and 4.36 a significant impact on a substantial It shows the estimated annual percent of profits. For not-for-profit number of small entities. TABLE 6.ÐSCREENING ANALYSIS TO IDENTIFY POSSIBLE ECONOMIC IMPACTS OF THE PROPOSED NRTL FEES RULE ON SMALL ENTITIES

Annualized costs of compliance as a per- Annualized Average Pre-tax cent of Definition of small Employ- Number of cost per revenues profits per entity ment size small firms firm per small small firm Pre-tax firm Sales profit (percent) (percent)

Testing Laboratories (SIC <$5 milion ...... <100 NA $5,359 $2,413,243 $137,555 0.22 3.90 8734). Testing Laboratories with NRTL Status For-Profit Firms ...... <$5 million ...... <100 9 6,000 2,413,243 137,555 0.25 4.36 Not-For-Profit Firms ...... Not-for-Profit ...... 500+ 1 18,180 18,913,183 ...... 0.10 ...... Source: US Department of labaor, OSHA, Office of Regulatory Analysis, 1998; Office of Technical Programs and Coordination Activities, 1999. US Small Business Administration, Office of advocacy. Table 3: US Establishments, Employment, and Payroll by Industry and Firm Size, 1993. Note: As defined by the Small Business Administration's Table of Size Standards.

References C. Paperwork Reduction Act of 1995 Nevada, New Mexico, New York (for 1. US Department of Commerce, Bureau of state and local government employees OSHA does not plan to develop or only), North Carolina, Oregon, Puerto the Census. 1992 Census of Service implement a form for NRTLs and NRTL Industries: Industry Series: SC92–S–1,–4,–5. Rico, South Carolina, Tennessee, Utah, applicants to use to pay the fees but will Vermont, Virginia, Virgin Islands, Washington, D.C., February 1995. provide instructions on how to calculate 2. US Department of Labor, OSHA. Final Washington, and Wyoming. Regulatory Impact Analysis of the Final Rule the fees, as previously stated. The 29 CFR PART 1910 for Safety Testing of Agency does not believe a form is IX. Public Participation Certification of Certain Workplace needed since the fee calculations are Comments Equipment and Materials and Programs. relatively simple. In addition, OSHA March 1988 has no reporting requirements related to OSHA invites interested persons to 3. Robert Morris Associates. Annual the fees. As a result, there are no submit written data, views, and Statement Studies. September 1995. additional burden hours associated with arguments with respect to this proposal. VIII. Other Regulatory Matters the fees. OSHA must receive your comments, D. Unfunded Mandates whether mailed or e-mailed, by October A. Environmental Impact Assessment 4, 1999. Submit your comments in In accordance with the requirements For the purposes of the Unfunded duplicate or 1 original (hardcopy) and 1 of the National Environmental Policy Mandates Reform Act of 1995, as well disk (51⁄4 or 31⁄2) in WP 5.0, 5.1, 6.0, 6.1, Act (NEPA) (42 U.S.C. 4321 et seq.), as Executive Orders 12875 and 13084, 8.0 or ASCII to the: Docket Officer, Council on Environmental Quality this rule does not include any Federal Docket NRTL–95–F–1, U.S. Department NEPA regulations (40 CFR Part 1500), mandate that may result in increased of Labor, Occupational Safety and and the Department of Labor’s NEPA expenditures by State, local, and tribal Health Administration, Room N2625, regulations (29 CFR Part 11), the governments, or increased expenditures 200 Constitution Avenue, Assistant Secretary has determined that by the private sector of more than $100 N.W.,Washington, D.C. 20210. The this proposed rule will not have a million in any year. phone number for the OSHA Docket Office is (202) 693–2350. You may significant impact on the external E. State Plan States environment. transmit your written comments of 10 The 25 States and territories with pages or less by facsimile (fax) to the B. Federalism their own OSHA approved occupational Docket Office at (202) 693–1648, This proposed rule has been reviewed safety and health plans are not affected provided you send an original and one in accordance with Executive by this proposed rule. These 25 states (1) copy to the Docket Office thereafter. Order12612, regarding Federalism. This and territories are: Alaska, Arizona, You may also submit comments proposed rule would only set fees for California, Connecticut (for state and electronically using the following web services provided by the Federal local government employees only), page address: http://www.osha-slc.gov/ Government to private entities and has Hawaii, Indiana, Iowa, Kentucky, e-comments/e-comments-nrtl.html. If no impact on Federalism. Maryland, Michigan, Minnesota, your submission contains attached

VerDate 18-JUN-99 12:25 Aug 17, 1999 Jkt 183247 PO 00000 Frm 00016 Fmt 4701 Sfmt 4702 E:\FR\FM\A18AU2.033 pfrm07 PsN: 18AUP5 Federal Register / Vol. 64, No. 159 / Wednesday, August 18, 1999 / Proposed Rules 45113 electronic files, the files must be in 25059), 9–83 (48 FR 35736), 1–90 (55 FR Approximate WordPerfect 5.0, 5.1, 6.0, 6.1, 8.0 or 9033), or 6–96 (62 FR 111), as applicable. dates Action required ASCII. When submitting a comment electronically, please include your name Sections 1910.7 and 1910.8 also I. Application Fees: and address. issued under 29 CFR part 1911. Section Time of appli- Applicant must pay the appli- Submit, in duplicate, any information 1910.7(f) also issued under 31 U.S.C. 9701. cation. cable fees shown in the not contained on disk or not provided Fee Schedule when sub- electronically (e.g., studies, articles). 2. Add new paragraph (f) to § 1910.7 mitting the application; Written submissions must clearly to read as follows: OSHA will not begin proc- identify the issues or specific provisions essing until fees are re- of the proposal which are addressed and § 1910.7 Definition and requirements for a ceived. the position taken with respect to each nationally recognized testing laboratory. Publication of Applicant must pay remain- issue or provision. The data, views, and * * * * * preliminary der of fees; OSHA cancels notice. application if fees are not arguments that you submit will be (f) Fees. (1) Each applicant for NRTL paid when due. available for public inspection and recognition and each existing NRTL II. Audit Fees: copying at the above address. All timely must pay fees for services provided by submissions received will be made a OSHA. OSHA will assess fees for the November 1 ... OSHA will publish proposed part of the record of this proceeding. following activities: new Fee Schedule in the The preliminary economic analysis and FEDERAL REGISTER, if the exhibits cited in this document will (i) Processing of applications for OSHA determines be available for public inspection and initial recognition, expansion of changes in the schedule are warranted. copying at the above address. OSHA recognition, or renewal of recognition, including on-site reviews; review and November 16 Comments due on the pro- invites comments concerning the posed new Fee Schedule preliminary conclusions reached in the evaluation of the applications; and December 15 OSHA will publish the final economic analysis included in this preparation of reports, evaluations and Fee Schedule in the FED- notice. Federal Register notices; and ERAL REGISTER. (ii) Audits of sites. January 1 ...... OSHA will bill each existing X. Authority NRTL for the audit fees This document was prepared under (2) The fee schedule established by shown in the Fee Sched- the direction of Charles N. Jeffress, OSHA reflects the estimated cost of ule, including estimated Assistant Secretary of Labor for performing the tasks and functions for travel costs. February 1 ..... NRTLs must pay audit fees; Occupational Safety and Health, U.S. each activity. OSHA calculates the fees based on the average time required to OSHA will assess late fee Department of Labor, 200 Constitution if audit fees are not paid. Avenue, NW, Washington, DC 20210. perform the work necessary; the staff February 15 ... OSHA will send a letter to The proposed sections are issued under costs per hour (which include wages, the NRTL requesting im- the authority of section 8 of the fringe benefits, and expenses other than mediate payment of the Occupational Safety and Health Act of travel for personnel that perform or audit fees and late fee. 1970 (29 U.S.C. 657); and Secretary of administer the activities covered by the March 1 ...... OSHA will publish a notice in Labor’s Order No 6–96 (62 FR 111). The fees); and an estimate of the average the FEDERAL REGISTER to proposed sections are also issued under costs for travel when on-site reviews are revoke recognition for NRTLs that have not paid authority of OMB Circular A–25 (dated involved. The formula for the fee audit fees for the year. 7/8/93); Public Law 105–277; 29 U.S.C. calculation is as follows: 9a; the Administrative Procedure Act (5 Activity Fee = Average Hours to (5) OSHA will provide the details U.S.C. 553); and the Independent Complete the Activity × Staff Costs per Offices Appropriations Act (31 U.S.C. regarding how to pay the fees through Hour + Travel Costs 9701) appropriate OSHA Program Directives. (3) OSHA will review costs and 3. Revise paragraphs I.B.5.a, II.B.2.a, List of Subjects in 29 CFR Part 1910 estimates annually and will propose a and II.C.2.a of Appendix A to § 1910.7, Fees, Laboratories, Occupational revised fee schedule, if warranted. In its to read as follows: safety and health. review, OSHA will apply the formula established in paragraph (f)(2) of this Appendix A to § 1910.7—OSHA Signed at Washington, D.C. this 6 day of Recognition Process for Nationally section to the current estimated costs for August, 1999. Recognized Testing Laboratories Charles N. Jeffress, the NRTL Program. If a change is * * * * * Assistant Secretary. warranted, OSHA will follow the schedule in paragraph (f)(4) of this For the reasons discussed in the I. Procedures for Initial OSHA Recognition preamble, OSHA proposes to amend 29 section. OSHA will issue all fee * * * * * CFR Part 1910 as follows: schedules in the Federal Register. Once issued, a fee schedule remains in effect B. Review and Decision Process; Issuance or Renewal PART 1910ÐOCCUPATIONAL SAFETY until it is superseded. Any member of * * * * * AND HEALTH STANDARDS the public may request a change to the 5. Public review and comment period.—a. fees included in the current fee 1. The authority citation for subpart A The Federal Register notice of preliminary schedule. Such a request must include finding will provide a period of not less than of 29 CFR part 1910 is revised to read appropriate documentation in support 30 calendar days for written comments on as follows: of the suggested change. the applicant’s fulfillment of the Authority: Secs. 4, 6, 8, Occupational (4) OSHA will implement fee requirements for recognition. The Safety and Health Act of 1970 (29 U.S.C. 653, application, supporting documents, staff 655, 657); Secretary of Labor’s Order assessment, collection, and payment as recommendation, statement of applicant’s Numbers 12–71 (36 FR 8754), 8–76 (41 FR follows: reasons, and any comments received, will be

VerDate 18-JUN-99 18:05 Aug 17, 1999 Jkt 183247 PO 00000 Frm 00017 Fmt 4701 Sfmt 4702 E:\FR\FM\18AUP5.XXX pfrm03 PsN: 18AUP5 45114 Federal Register / Vol. 64, No. 159 / Wednesday, August 18, 1999 / Proposed Rules available for public inspection in the OSHA accordance with subsection I.B. of this subsection I.B. of this appendix, except that Docket Office. appendix, except that the period for written the period for written comments, specified in * * * * * comments, specified in paragraph 5.a of paragraph 5.a of subsection I.B. of this subsection I.B. of this appendix, will be not appendix, will be not less than 15 calendar II. Supplementary Procedures less than 15 calendar days. days. * * * * * * * * * * * * * * * B. Expansion of Current Recognition C. Renewal of OSHA Recognition [FR Doc. 99–21216 Filed 8–17–99; 8:45 am] * * * * * * * * * * BILLING CODE 4510±26±P 2. Procedure.—a. OSHA will act upon and 2. Procedure.—a. OSHA will process the process the application for expansion in renewal request in accordance with

VerDate 18-JUN-99 12:25 Aug 17, 1999 Jkt 183247 PO 00000 Frm 00018 Fmt 4701 Sfmt 4702 E:\FR\FM\A18AU2.037 pfrm07 PsN: 18AUP5 eDt 8JN9 75 u 7 99Jt134 O000Fm001Ft41 ft41 :F\M1AP.X fm3PsN:18AUP6 pfrm03 E:\FR\FM\18AUP6.XXX Sfmt4717 Fmt4717 Frm00001 PO00000 Jkt183247 17:56Aug17, 1999 VerDate 18-JUN-99 federal register August 18,1999 Wednesday Tanks, Etc.;ProposedRule Electroplating andChromiumAnodizing Hard andDecorativeChromium (NESHAP) forChromiumEmissionsFrom Standards forHazardousAirPollutants Area Sources:NationalEmission Title VOperatingPermitDeferralsfor 40 CFRPart63 Protection Agency Environmental Part VIII 45115 45116 Federal Register / Vol. 64, No. 159 / Wednesday, August 18, 1999 / Proposed Rules

ENVIRONMENTAL PROTECTION for 30 days after the hearing for anyone Division (MD–13), U.S. Environmental AGENCY to submit rebuttal or supplementary Protection Agency, Research Triangle information as provided by section Park, NC, 27711, telephone number 40 CFR Part 63 307(d)(5) of the Clean Air Act (Act). (919) 541–5262, fax number (919) 541– Request To Speak at a Hearing: 0942, or e-mail: [email protected]. [AD±FRL±6419±4] Anyone requesting to speak at a public SUPPLEMENTARY INFORMATION: Title V Operating Permit Deferrals for hearing must contact EPA by September Area Sources: National Emission 8, 1999. Submitting Electronic Comments Standards for Hazardous Air Pollutants ADDRESSES: Comments: Send comments You may also comment on the (NESHAP) for Chromium Emissions (in duplicate, if possible) to: Air and From Hard and Decorative Chromium Radiation Docket and Information proposal by electronic mail (e-mail) to: Electroplating and Chromium Center (MC–6102), Attention Docket No. [email protected]. Send Anodizing Tanks; Ethylene Oxide A–88–11 (subpart M), or Attention electronic comments as an ASCII file to Commercial Sterilization and Docket No. A–88–02 (subpart N), or avoid using special characters and any Fumigation Operations; Attention Docket No. A–88–03 (subpart form of encryption. We will also accept Perchloroethylene Dry Cleaning O), or Attention Docket No. A–92–39 comments and data disks in Facilities; Halogenated Solvent (subpart T), or Attention Docket No. A– WordPerfect 5.1 or 6.1 file format. Cleaning Machines; and Secondary 92–43 (subpart X), U.S. Environmental Identify all comments and data in Lead Smelting Protection Agency, 401 M Street, SW, electronic form by the docket number. Washington, DC 20460. Please send a Don’t send confidential business AGENCY: Environmental Protection separate copy to the contact person information (CBI) through electronic Agency (EPA). listed below in the FOR FURTHER mail. You may file electronic comments ACTION: Proposed amendments. INFORMATION CONTACT section. For on these proposed amendments online at many Federal Depository Libraries. SUMMARY: This action proposes to information on submitting comments continue to allow permitting authorities eletronically see the SUPPLEMENTARY Technology Transfer Network the discretion to defer title V operating INFORMATION section. permitting requirements until December Docket: The following dockets, The Technology Transfer Network 9, 2004 for area sources of air pollution containing supporting information for (TTN) is a network of our electronic that are subject to five NESHAP for the original rulemakings, are available bulletin boards. The TTN provides source categories. These amendments for public inspection between 8:00 a.m. information and technology exchange in would continue to relieve industrial and 5:30 p.m., Monday through Friday various areas of air pollution control. sources, State and local agencies, and except for Federal holidays: Docket No. You can access the TTN through the the EPA Regional Offices of an undue A–88–11, subpart M NESHAP; Docket Internet at ‘‘http://www.epa.gov/ttn/.’’ If regulatory burden during a time when No. A–88–02, subpart N NESHAP; you need more information on the TTN, available resources are needed to Docket No. A–88–03, subpart O call the HELP line at (919) 541–5384. implement the title V permit program NESHAP; Docket No. A–92–39, subpart The preamble outline follows. for major sources. Under the proposed T NESHAP; Docket No. A–92–43, I. What types of facilities are potentially amendments, sources must continue to subpart X NESHAP. These dockets are affected by these amendments? meet all applicable requirements, available for public inspection at the II. What is the purpose of these amendments? including all applicable emission U.S. Environmental Protection Agency, III. Why are we proposing to extend the control, monitoring, recordkeeping, and Air and Radiation Docket and deferral from permitting for area sources? reporting requirements established by Information Center (MC–6102), 401 M IV. What are the administrative requirements the respective NESHAP. Street SW, Washington, DC 20460, for these proposed amendments? telephone (202) 260–7548, Room M– A. Docket DATES: Comments: We must receive B. Executive Order 12866 comments on or before September 17, 1500, Waterside Mall (ground floor). We may charge a reasonable fee for copying. C. Executive Order 12875 1999, unless anyone requests a public D. Executive Order 13084 hearing by September 8, 1999. If anyone Public Hearing: Anyone interested in E. Unfunded Mandates Reform Act requests a hearing, we must receive attending the hearing should contact F. Regulatory Flexibility Act written comments by October 18, 1999. Dorothy Apple, (919) 541–4487, to G. Paperwork Reduction Act Public Hearing: We will hold a public verify that a hearing will occur. H. Executive Order 13045 hearing, if requested, to provide anyone Request To Speak at a Hearing: I. National Technology Transfer and an opportunity to present data, views, or Anyone requesting to speak at a public Advancement Act hearing must contact Dorothy Apple, arguments concerning the proposed I. What Types of Facilities Are Emission Standards Division (MD–13), amendments. If anyone contacts us Potentially Affected by These U.S. Environmental Protection Agency, requesting to speak at a public hearing Amendments? by September 8, 1999, we will hold a Research Triangle Park, NC 27711, public hearing on September 17, 1999, telephone number (919) 541–4487. The regulated categories and entities beginning at 9:30 a.m. If we hold a FOR FURTHER INFORMATION CONTACT: Mr. potentially affected by this action hearing, we will keep the dockets open Rick Colyer, Emission Standards include:

North American Industry Classification Category System Codes Examples of potentially regulated entities

Industry ...... 331492 ...... Secondary lead smelters. 332, 333, 334, 335, 336, 447 ...... Halogenated solvent cleaning machines at fabricated metal product manufac- turing facilities, machinery manufacturing facilities, computer and electronic product manufacturing facilities, electrical equipment, appliance, and compo- nent manufacturing facilities, transportation equipment manufacturing facili- ties, and gasoline stations.

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North American Industry Classification Category System Codes Examples of potentially regulated entities

332, 333, 334, 335, 336 ...... Chromium electroplating machines at fabricated metal product manufacturing facilities, machinery manufacturing facilities, computer and electronic product manufacturing facilities, electrical equipment, appliance, and component manufacturing facilities, and transportation equipment manufacturing facili- ties. 8123 ...... Dry cleaning and laundry facilities. 3391 ...... Ethylene oxide sterilizers at medical equipment and supplies manufacturing fa- cilities.

This table is not intended to be When we issue standards or other improves the understandability of the exhaustive, but rather provides a guide requirements under section 112 of the current language, the intent and for readers of the entities likely to be Act, we determine whether to exempt meaning of the text is unchanged. regulated by this action. This table lists any or all area sources from the III. Why Are We Proposing To Extend the types of entities that we are now requirement to obtain a title V permit at the Deferral From Permitting for Area aware could be regulated by this action. the time that the new standard is Sources? Other types of entities not listed in this promulgated for a particular source table could also be affected. To category. See 40 CFR 70.3(b)(2), 40 CFR On December 13, 1995 (60 FR 64002), determine whether your facility, 71.3(b)(2), and 63.1(c)(2). Our general we proposed to allow title V permitting company, business organization, etc., is provisions implementing section 112 authorities to defer the requirement for regulated by this action, you should provide that unless we explicitly obtaining title V operating permits for carefully examine the applicability exempt or defer area sources subject to area sources in several source categories criteria in the following sections of title a MACT standard from the permitting for which standards were promulgated 40 of the Code of Federal Regulations: requirement, they must obtain operating under 40 CFR part 63. We finalized that • § 63.320, perchloroethylene dry permits. See 40 CFR 63.1(c)(2)(iii). proposal on June 3, 1996 (61 FR 27785). cleaning. Since the Act allows an exemption A deferral from the requirement to • § 63.340, chromium electroplating. from the permitting requirements, we obtain a part 70 operating permit for • § 63.360, ethylene oxide sterilizers. • interpret it to allow a temporary halogenated solvent cleaners at area § 63.460, halogenated solvent exemption (i.e., a deferral) of those sources was promulgated on December cleaners. requirements. We previously allowed 2, 1994 (59 FR 61805), and amended • § 63.541, secondary lead smelters. permitting authorities to defer June 5, 1995 (60 FR 29484). If you have questions regarding the permitting for area sources subject to At the time we established the June 3, applicability of this action to a five NESHAP (59 FR 61801, December 1996, deferral option, we stated we particular entity, consult the person 2, 1994; 60 FR 29484, June 5, 1995; 61 would decide whether to adopt listed in the ‘‘For Further Information’’ FR 27785, June 3, 1996, and 64 FR 4570, permanent exemptions by the time the section. January 29, 1999).2 Those provisions allowed deferrals expired. We also II. What Is the Purpose of These will expire December 9, 1999. The stated that during the deferral period we Amendments? source categories for which we deferred would continue to evaluate the The purpose of these amendments is title V operating permit requirements for permitting authorities’ implementation to extend the deadline for certain area area sources were: hard and decorative and enforcement of the standards for sources to submit applications for title chromium electroplating and chromium area sources not covered by title V V operating permits. The Act requires anodizing tanks, ethylene oxide permits, the likely benefit of permitting sources subject to standards or commercial sterilization and fumigation such sources, and the costs and other regulations under section 112 to obtain operations, perchloroethylene dry burdens on such sources associated title V operating permits, but allows us cleaning facilities, secondary lead with obtaining a title V permit. to exempt nonmajor sources from the smelting facilities, and halogenated However, we do not yet have sufficient requirement to obtain operating permits solvent cleaning machines. As we information to determine whether if we determine through rulemaking that approach this December 9, 1999 permit exemptions are warranted for compliance with such requirements is expiration date, the conditions most area sources and are continuing to impracticable, infeasible, or prompting the allowance for previous evaluate the above-noted unnecessarily burdensome on such deferrals have not changed. We are, considerations. Thus, we are not yet categories. See section 502(a) of the Act. therefore, proposing to extend the prepared to make decisions that either Under section 112 of the Act, such deferral provisions for the NESHAP for permanently relieve these area sources nonmajor sources are termed ‘‘area an additional 5 years. from title V, or that allow them to sources.’’ See CAA section 112(a)(2).1 The proposed amendments have been become immediately subject to the written in ‘‘plain language,’’ as directed permitting requirement. In light of this, 1 Generally, an area source under section 112 is in President Clinton’s June 1, 1998, we believe the most reasonable a source whose potential to emit air pollutants is Executive Memorandum on Plain approach is to extend the status quo below the levels that define a major source. A Language in Government Writing. While (i.e., defer the title V permitting ‘‘major source’’ under section 112 is any source that emits or has the potential to emit at least 10 tons we believe the proposed language requirements), rather than to ‘‘decide’’ per year of an individual hazardous air pollutant by default through letting the current (HAP) or at least 25 tons per year of a combination 2 In this rulemaking, we continue to rely upon the deferral expire this December. of HAP (or such lesser quantity, or different criteria rationale provided in the prior rulemakings, in Many permitting authorities are in the case of radionuclides, as established by the addition to the rationale discussed in today’s Administrator). You should consult section action, and in the action extending the deferral for having difficulty issuing permits even to 112(a)(1) and (2) of the Act, and 40 CFR 63.2 to halogenated solvent cleaning machines to part 71 major sources, and some agencies have determine if you have a area source. (64 FR 37683; July 13, 1999). initially underestimated the resources

VerDate 18-JUN-99 12:28 Aug 17, 1999 Jkt 183247 PO 00000 Frm 00003 Fmt 4701 Sfmt 4702 E:\FR\FM\A18AU2.043 pfrm07 PsN: 18AUP6 45118 Federal Register / Vol. 64, No. 159 / Wednesday, August 18, 1999 / Proposed Rules necessary to prepare large and complex critical and immediate task of issuing as one that is likely to result in a rule permits for many major sources. If we permits to major sources, the most that may: discontinue the title V permit deferral feasible remedy is to allow permitting (1) Have an annual effect on the for the tens of thousands of area sources authorities to defer permitting of these economy of $100 million or more or subject to the five NESHAP that are the area sources for an additional five-year adversely affect in a material way the subject of these proposed amendments, permit cycle. economy, a sector of the economy, owners and operators of such area In sum, and as described in prior productivity, competition, jobs, the sources would require assistance from rulemakings granting the deferral environment, public health or safety, or the permitting staff at permitting option, requiring area sources subject to State, local, or Tribal governments or agencies due to their relative lack of the NESHAP that are the subject of this communities; technical and legal expertise, resources, rulemaking to obtain title V permits at (2) create a serious inconsistency or and experience in dealing with this time would constitute an otherwise interfere with an action taken environmental regulation. Since many impracticable, infeasible and or planned by another agency; (3) materially alter the budgetary of these owners or operators have little unnecessary burden on these area impact of entitlements, grants, user fees, or no permitting expertise, a substantial sources and would be an additional or loan programs, or the rights and amount of permitting authority staff burden on the permitting agencies. time would be needed to provide the obligations of recipients thereof; or We note that this deferral is an option administrative and technical support to (4) raise novel legal or policy issues at the permitting authority’s discretion owners and operators of area sources to arising out of legal mandates, the under part 70 permit programs and not prepare and submit permit applications. President’s priorities, or the principles an automatic deferral that the source As noted above, this staff time would set forth in the Executive Order. can invoke. Some permitting authorities scarcely be available, which in turn It has been determined that these may decide that area sources in one or would cause many area sources to be proposed amendments do not qualify as more of the above-mentioned source unable to obtain technical and a ‘‘significant regulatory action’’ under categories warrant permitting, or they procedural assistance to help them file the terms of Executive Order 12866 and, have in place a streamlined permitting timely and complete applications, therefore, are not subject to review by mechanism for area sources that unless they have paid consultants to OMB. minimizes the burden both on the prepare applications for them. This authority and the source, e.g., a general C. Executive Order 12875 scenario would constitute an permit (see §§ 70.6(d) and 71.6(d)). In Under Executive Order 12875, the impracticable, infeasible and areas where no part 70 program has EPA may not issue a regulation that is unnecessary burden on these area been approved, and part 71 permitting not required by statute and that creates sources, most of which are small is administered by EPA, we propose a mandate upon a State, local, or tribal businesses, especially considering that deferral for these area sources until government, unless the Federal by definition they emit less than majors. December 9, 2004. government provides the funds This would also compound the necessary to pay the direct compliance IV. What Are the Administrative difficulties permitting authorities are costs incurred by those governments, or Requirements for These Proposed currently having in processing and EPA consults with those governments. If Amendments? timely issuing initial title V permits to EPA complies by consulting, Executive major sources under their developing A. Docket Order 12875 requires EPA to provide to title V programs. Similarly, EPA regions OMB a description of the extent of are just beginning to permit major The docket is an organized and EPA’s prior consultation with sources in Indian country and would complete file of all the information representatives of affected State, local, find it administratively very difficult to considered by the EPA in the and tribal governments, the nature of focus on area sources at the same time. development of these proposed their concerns, copies of any written The net result is a basic impracticability amendments. The docket is a dynamic communications from the governments, for these area sources and permitting file, because material is added and a statement supporting the need to authorities to develop and process title throughout the rulemaking issue the regulation. In addition, V operating permits in the near future. development. The docketing system is Executive Order 12875 requires EPA to We believe that it is reasonable and intended to allow members of the public develop an effective process permitting fair to allow permitting authorities to and industries involved to readily elected officials and other defer title V permitting for area sources identify and locate documents so that representatives of State, local, and tribal for an additional five years, since this they can effectively participate in the governments ‘‘to provide meaningful would allow deferral for one more cycle rulemaking process. Along with the and timely input in the development of of permitting. Title V permits have not proposed and promulgated standards regulatory proposals containing been issued for many major sources, and and their preambles, the contents of the significant unfunded mandates.’’ permitting resources are currently docket will serve as the record in the Today’s proposed amendments do not directed to completing those. We case of judicial review. (See section create a mandate on State, local, or anticipate another 5-year term of permit 307(d)(7)(A) of the Act.) tribal governments. These proposed issuance should fully complete the B. Executive Order 12866 amendments do not impose any outstanding initial permitting of major enforceable duties on these entities. sources and other subject sources such Under Executive Order 12866 (58 FR Accordingly, the requirements of as solid waste incineration units. By 51735; October 4, 1993), the Agency section 1(a) of Executive Order 12875 do that time, we anticipate that permitting must determine whether the regulatory not apply to these proposed authorities’ resources may be more action is ‘‘significant’’ and therefore amendments. available to aid area sources in subject to Office of Management (OMB) developing permit applications. But in review and the requirements of the D. Executive Order 13084 order to allow permitting authorities to Executive Order. The Executive Order Under Executive Order 13084, the continue to be able to focus on the defines ‘‘significant regulatory action’’ EPA may not issue a regulation that is

VerDate 18-JUN-99 12:28 Aug 17, 1999 Jkt 183247 PO 00000 Frm 00004 Fmt 4701 Sfmt 4702 E:\FR\FM\A18AU2.044 pfrm07 PsN: 18AUP6 Federal Register / Vol. 64, No. 159 / Wednesday, August 18, 1999 / Proposed Rules 45119 not required by statute, that number of regulatory alternatives and economic impact on a substantial significantly or uniquely affects the adopt the least costly, most cost- number of small entities. communities of Indian tribal effective or least burdensome alternative G. Paperwork Reduction Act governments, and that imposes that achieves the objectives of the rule. substantial direct compliance costs on The provisions of section 205 do not These proposed amendments do not those communities, unless the Federal apply when they are inconsistent with require the collection of any government provides the funds applicable law. Moreover, section 205 information. Therefore, the necessary to pay the direct compliance allows the EPA to adopt an alternative requirements of the Paperwork costs incurred by the tribal other than the least costly, most cost- Reduction Act do not apply. governments, or EPA consults with effective, or least burdensome H. Executive Order 13045 those governments. If EPA complies by alternative if the Administrator Executive Order 13045: ‘‘Protection of consulting, Executive Order 13084 publishes with the final rule an Children from Environmental Health requires EPA to provide to OMB, in a explanation why that alternative was Risks and Safety Risks’’ (62 FR 19885, separately identified section of the not adopted. Before the EPA establishes April 23, 1997) applies to any rule that preamble to the rule, a description of any regulatory requirements that may (1) is determined to be ‘‘economically the extent of EPA’s prior consultation significantly or uniquely affect small significant’’ as defined under Executive with representatives of affected tribal governments, including tribal Order 12866, and (2) concerns an governments, a summary of the nature governments, it must have developed environmental health or safety risk that of their concerns, and a statement under section 203 of the UMRA a small the EPA has reason to believe may have supporting the need to issue the government agency plan. The plan must a disproportionate effect on children. If regulation. In addition, Executive Order provide for notifying potentially the regulatory action meets both criteria, 13084 requires the EPA to develop an affected small governments, enabling the Agency must evaluate the effective process permitting elected officials of affected small governments environmental health or safety effects of officials and other representatives of to have meaningful and timely input in the planned rule on children, and Indian tribal governments ‘‘to provide the development of EPA regulatory explain why the planned regulation is meaningful and timely input in the proposals with significant Federal preferable to other potentially effective development of regulatory policies on intergovernmental mandates, and and reasonably feasible alternatives matters that significantly or uniquely informing, educating, and advising affect their communities.’’ considered by the Agency. small governments on compliance with The EPA interprets Executive Order These proposed amendments do not the regulatory requirements. alter the control standards imposed by 13045 as applying only to those The EPA has determined that these part 63, subparts M, N, O, T, and X, for regulatory actions that are based on proposed amendments do not contain a any source, including any that may health or safety risks, such that the Federal mandate that may result in affect communities of the Indian tribal analysis required under section 5–501 of governments. Under the proposed expenditures of $100 million or more the Executive Order has the potential to amendments, sources must continue to for State, local, and tribal governments, influence the regulation. These meet all applicable requirements, in aggregate, or the private sector in any proposed amendments are not subject to including all applicable emission 1 year, nor do they significantly or Executive Order 13045 because they do control, monitoring, recordkeeping, and uniquely impact small governments, not establish an environmental standard reporting requirements established by because they contain no requirements intended to mitigate health or safety the respective NESHAP. Hence, today’s that apply to such governments or risks. proposed amendments do not impose obligations upon them. Thus, today’s proposed amendments are not I. National Technology Transfer and significantly or uniquely affect the Advancement Act communities of Indian tribal subject to the requirements of section governments. Accordingly, the 202 and 205 of the UMRA. Section 12(d) of the National Technology Transfer and Advancement requirements of section 3(b) of F. Regulatory Flexibility Act Executive Order 13084 do not apply to Act of 1995 (NTTAA) directs all Federal these proposed amendments. The Regulatory Flexibility Act (RFA) agencies to use voluntary consensus generally requires an agency to conduct standards instead of government-unique E. Unfunded Mandates Reform Act a regulatory flexibility analysis of any standards in their regulatory activities Title II of the Unfunded Mandates rule subject to notice and comment unless to do so would be inconsistent Reform Act of 1995 (UMRA), Public rulemaking requirements unless the with applicable law or otherwise Law 104–4, establishes requirements for agency certifies that the rule will not impractical. Voluntary consensus Federal agencies to assess the effects of have a significant economic impact on standards are technical standards (e.g., their regulatory actions on State, local, a substantial number of small entities. material specifications, test methods, and tribal governments and the private Small entities include small business, sampling and analytical procedures, sector. Under section 202 of the UMRA, small not-for-profit enterprises, and business practices, etc.) that are the EPA generally must prepare a small governmental jurisdictions. These developed or adopted by one or more written statement, including a cost- proposed amendments would not have voluntary consensus standards bodies. benefit analysis, for proposed and final a significant impact on a substantial Examples of organizations generally rules with ‘‘Federal mandates’’ that may number of small entities, because they regarded as voluntary consensus result in expenditures to State, local, impose no additional regulatory standards bodies include the American and tribal governments, in the aggregate, requirements on owners or operators of Society for Testing and Materials or to the private sector, of $100 million affected sources and would relieve (ASTM), the National Fire Protection or more in any 1 year. Before owners or operators of such sources of Association (NFPA), and the Society of promulgating an EPA rule for which a regulatory requirements that may Automotive Engineers (SAE). The written statement is needed, section 205 otherwise apply if this action is not NTTAA requires Federal agencies like of the UMRA generally requires the EPA taken. Therefore, I certify that this EPA to provide Congress, through OMB, to identify and consider a reasonable action will not have a significant with explanations when an agency

VerDate 18-JUN-99 12:28 Aug 17, 1999 Jkt 183247 PO 00000 Frm 00005 Fmt 4701 Sfmt 4702 E:\FR\FM\A18AU2.045 pfrm07 PsN: 18AUP6 45120 Federal Register / Vol. 64, No. 159 / Wednesday, August 18, 1999 / Proposed Rules decides not to use available and § 63.340 Applicability and designation of that if you are an owner or operator of applicable voluntary consensus sources. any batch cold solvent cleaning standards. * * * * * machine that is not a major source and These proposed amendments do not (e) * * * is not located at a major source, as involve technical standards. Therefore, (2) If you are the owner or operator of defined under 40 CFR 63.2, 70.2, or EPA is not considering the use of any a source subject to the provisions of this 71.2, you are exempt from title V voluntary consensus standards. subpart, you are also subject to title V permitting requirements under 40 CFR permitting requirements under 40 CFR part 70 or part 71, as applicable, for that List of Subjects in 40 CFR Part 63 part 70 or part 71, as applicable. Your source, provided you are not otherwise Environmental protection, title V permitting authority may defer required to obtain a title V permit. If you Administrative practice and procedure, your source from these permitting own or operate any other solvent Air pollution control, Hazardous requirements until December 9, 2004, if cleaning machine subject to the substances, Intergovernmental relations, your source is not a major source and provisions of this subpart, you are also Reporting and recordkeeping is not located at a major source as subject to title V permitting requirements. defined under 40 CFR 63.2, 70.2, or requirements. Your title V permitting Dated: August 6, 1999. 71.2, and is not otherwise required to authority may defer your source from obtain a title V permit. If you receive a Carol M. Browner, these permitting requirements until deferral under this section, you must December 9, 2004, if your source is not Administrator. submit a title V permit application by a major source and is not located at a For the reasons cited in the preamble, December 9, 2005. You must continue to major source as defined under 40 CFR the Environmental Protection Agency comply with the provisions of this 63.2, 70.2, or 71.2, and is not otherwise proposes to amend 40 CFR part 63 as subpart applicable to area sources, even required to obtain a title V permit. If you follows: if you receive a deferral from title V receive a deferral under this section, permitting requirements. you must submit a title V permit PART 63Ð[AMENDED] application by December 9, 2005. You Subpart OÐ[Amended] 1. The authority citation for part 63 must continue to comply with the continues to read as follows: 4. Section 63.360 is amended by provisions of this subpart applicable to revising paragraph (f) to read as follows: area sources, even if you receive a Authority: 42 U.S.C. 7401 et seq. deferral from title V permitting § 63.360 Applicability. requirements. Subpart MÐ[Amended] * * * * * * * * * * 2. Section 63.320 is amended by (f) If you are the owner or operator of revising paragraph (k) to read as follows: a source subject to the provisions of this Subpart XÐ[Amended] subpart, you are also subject to title V § 63.320 Applicability. permitting requirements under 40 CFR 6. Section 63.541 is amended by * * * * * part 70 or part 71, as applicable. Your revising paragraph (c) to read as follows: (k) If you are the owner or operator of title V permitting authority may defer § 63.541 Applicability. a source subject to the provisions of this your source from these permitting subpart, you are also subject to title V requirements until December 9, 2004, if * * * * * permitting requirements under 40 CFR your source is not a major source and (c) If you are the owner or operator of part 70 or part 71, as applicable. Your is not located at a major source as a source subject to the provisions of this title V permitting authority may defer defined under 40 CFR 63.2, 70.2, or subpart, you are also subject to title V your source from these permitting 71.2, and is not otherwise required to permitting requirements under 40 CFR requirements until December 9, 2004, if obtain a title V permit. If you receive a part 70 or part 71, as applicable. Your your source is not a major source and deferral under this section, you must title V permitting authority may defer is not located at a major source as submit a title V permit application by your source from these permitting defined under 40 CFR 63.2, 70.2, or December 9, 2005. You must continue to requirements until December 9, 2004, if 71.2, and is not otherwise required to comply with the provisions of this your source is not a major source and obtain a title V permit. If you receive a subpart applicable to area sources, even is not located at a major source as deferral under this section, you must if you receive a deferral from title V defined under 40 CFR 63.2, 70.2, or submit a title V permit application by permitting requirements. 71.2, and is not otherwise required to December 9, 2005. You must continue to * * * * * obtain a title V permit. If you receive a comply with the provisions of this deferral under this section, you must subpart applicable to area sources, even Subpart TÐ[Amended] submit a title V permit application by if you receive a deferral from title V December 9, 2005. You must continue to permitting requirements. 5. Section 63.468 is amended by comply with the provisions of this revising paragraph (j) to read as follows: subpart applicable to area sources, even Subpart NÐ[Amended] § 63.468 Reporting requirements. if you receive a deferral from title V permitting requirements. 3. Section 63.340 is amended by * * * * * revising paragraph (e)(2) to read as (j) The Administrator has determined, [FR Doc. 99–20862 Filed 8–17–99; 8:45 am] follows: pursuant to section 502(a) of the Act, BILLING CODE 6560±50±P

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DEPARTMENT OF EDUCATION minimum award amount for any single application requirements that apply to budget period of 12 months. The this competition are set out in sections [CFDA No.: 84.323A] Secretary sets the amount of each grant 651–655 of the IDEA. after considering: Special Education: State Program Findings and Purposes Improvement Grants Program Notice (1) The amount of funds available for inviting applications for new awards making the grants; (a) States are responding with some for fiscal year (FY) 2000 (2) The relative population of the success to multiple pressures to State or outlying area; and (3) The types improve educational and transitional Note to applicants: This notice is a of activities proposed by the State or services and results for children with complete application package. Together with outlying area. disabilities in response to growing the statute authorizing the program and the Estimated Average Size of Awards: demands imposed by ever-changing applicable regulations governing this $1,000,000. factors, such as demographics, social program, including the Education Estimated Number of Awards: 7. policies, and labor and economic Department General Administrative Regulations (EDGAR), this notice contains all Note: The Department of Education is not markets. of the information, application forms, and bound by the estimated size and number of (b) In order for States to address those instructions needed to apply for a grant awards in this notice. demands and to facilitate lasting under this program. Project Period: Not less than one year systemic change that is of benefit to all and not more than five years. Purpose of Program: The purpose of students, including children with Page Limits: The application narrative disabilities, States must involve local this program, authorized under the is where an applicant addresses the Individuals with Disabilities Education educational agencies, parents, selection criteria that are used by individuals with disabilities and their Act (IDEA) Amendments of 1997, is to reviewers in evaluating the application. assist State educational agencies to families, teachers and other service An applicant must limit the narrative to providers, and other interested establish a partnership with local the equivalent of no more than 100 educational agencies and other State individuals and organizations in double-spaced pages, using the carrying out comprehensive strategies to agencies involved in, or concerned with, following standards: (1) A ‘‘page’’ is reforming and improving their systems improve educational results for children 81⁄2′′ × 11′′ (one side only) with one-inch with disabilities. for providing educational, early margins (top, bottom, and sides). (2) All intervention, and transitional services, (c) Targeted Federal financial text in the application narrative, resources are needed to assist States, including their systems for professional including titles, headings, footnotes, development, technical assistance, and working in partnership with others, to quotations, references, and captions, as identify and make needed changes to dissemination of knowledge about best well as all text in charts, tables, figures, practices, to improve results for address the needs of children with and graphs, must be double-spaced (no disabilities into the next century. children with disabilities. more than three lines per vertical inch). Eligible Applicants: A State (d) State educational agencies, in If using a proportional computer font, partnership with local educational educational agency of one of the 50 use no smaller than a 12-point font, and States, the District of Columbia, or the agencies and other individuals and an average character density no greater organizations, are in the best position to Commonwealth of Puerto Rico or an than 18 characters per inch. If using a outlying area (United States Virgin identify and design ways to meet nonproportional font or a typewriter, do emerging and expanding demands to Islands, Guam, American Samoa, and not use more than 12 characters to the the Commonwealth of the Northern improve education for children with inch. disabilities and to address their special Mariana Islands). The page limit does not apply to the General requirements: (a) Projects needs. cover sheet; the budget section (e) Research, demonstration, and funded under this notice must make (including the narrative budget positive efforts to employ and advance practice over the past 20 years in special justification); the assurances and education and related disciplines have in employment qualified individuals certifications; or the one-page abstract, with disabilities in project activities (see built a foundation of knowledge on appendices, resumes, bibliography, and which State and local systemic-change Section 606 of IDEA); and letters of support. However, all of the (b) Projects funded under these activities can now be based. application narrative must be included priorities must budget for a two-day (f) That research, demonstration, and in the narrative section. If an Project Directors’ meeting in practice in special education and related application narrative uses a smaller Washington, D.C. during each year of disciplines have demonstrated that an print size, spacing, or margin that would the project. effective educational system now and in make the narrative exceed the Deadline for Transmittal of the future must— equivalent of the page limit, the Applications: December 15, 1999. (1) Maintain high academic standards application will not be considered for Deadline for Intergovernmental and clear performance goals for children funding. Review: February 13, 2000. with disabilities, consistent with the Applicable Regulations: (a) The Available Funds: $7 million. standards and expectations for all Education Department General Estimated range of awards: Awards students in the educational system, and Administrative Regulations (EDGAR) in will be not less than $500,000, nor more provide for appropriate and effective 34 CFR parts 75, 77, 79, 80, 81, 82, 85, than $2,000,000, in the case of the 50 strategies and methods to ensure that and 86; and (b) The selection criteria for States, the District of Columbia, and the students who are children with this program are drawn from EDGAR in Commonwealth of Puerto Rico; and not disabilities have maximum 34 CFR 75.210. less than $80,000, in the case of an opportunities to achieve those standards outlying area. This means that the Note: The regulations in 34 CFR part 86 and goals; Department will reject and will not apply to institutions of higher education (2) Create a system that fully consider any application that proposes only. addresses the needs of all students, a budget that exceeds the maximum Description of Program: The statutory including children with disabilities, by award amount or is less than the authorization for this program and the addressing the needs of children with

VerDate 18-JUN-99 14:12 Aug 17, 1999 Jkt 183247 PO 00000 Frm 00002 Fmt 4701 Sfmt 4703 E:\FR\FM\18AUN3.XXX pfrm07 PsN: 18AUN3 Federal Register / Vol. 64, No. 159 / Wednesday, August 18, 1999 / Notices 45123 disabilities in carrying out educational technical assistance, and dissemination (1) Specifies— reform activities; of knowledge about best practices, to (i) The nature and extent of the (3) Clearly define, in measurable improve results for children with partnership among the State educational terms, the school and post-school disabilities. agency, local educational agencies, and results that children with disabilities are State Improvement Plan. Applicants other State agencies involved in, or expected to achieve; must submit a State improvement plan concerned with, the education of (4) Promote service integration, and that— children with disabilities, and the the coordination of State and local (a) Is integrated, to the maximum respective roles of each member of the education, social, health, mental health, extent possible, with State plans under partnership; and and other services, in addressing the full the Elementary and Secondary (ii) How those agencies will work in range of student needs, particularly the Education Act of 1965 and the partnership with other persons and needs of children with disabilities who Rehabilitation Act of 1973, if organizations involved in, and require significant levels of support to appropriate; concerned with, the education of maximize their participation and (b) Identifies those critical aspects of children with disabilities, including the learning in school and the community; early intervention, general education, respective roles of each of these persons (5) Ensure that children with and special education programs and organizations; and disabilities are provided assistance and (including professional development, (2) Is in effect for the period of the support in making transitions as based on an assessment of State and grant; described in section 674(b)(3)(C) of the local needs) that must be improved to (d) Describes how grant funds will be Act; enable children with disabilities to meet used in undertaking the systemic- (6) Promote comprehensive programs the goals established by the State under change activities, and the amount and of professional development to ensure section 612(a)(16) of the Act. nature of funds from any other sources, that the persons responsible for the Specifically, applicants must include: including funds under part B of the Act education or a transition of children (1) An analysis of all information, retained for use at the State level under with disabilities possess the skills and reasonably available to the State sections 611(f) and 619(d) of the Act, knowledge necessary to address the educational agency, on the performance that will be committed to the systemic- educational and related needs of those of children with disabilities in the State, change activities; children; including— Describes the strategies the State will (7) Disseminate to teachers and other (i) Their performance on State use to address the needs identified personnel serving children with assessments and other performance under paragraph (b), including how it disabilities research-based knowledge indicators established for all children, will— about successful teaching practices and including drop-out rates and graduation (1) Change State policies and models and provide technical assistance rates; procedures to address systemic barriers to local educational agencies and (ii) Their participation in to improving results for children with schools on how to improve results for postsecondary education and disabilities; children with disabilities; employment; and (2) Hold local educational agencies (8) Create school-based disciplinary (iii) How their performance on the and schools accountable for educational strategies that will be used to reduce or assessments and indicators compares to progress of children with disabilities; eliminate the need to use suspension that of non-disabled children; (3) Provide technical assistance to and expulsion as disciplinary options (2) An analysis of State and local local educational agencies and schools for children with disabilities; needs for professional development for to improve results for children with (9) Establish placement-neutral personnel to serve children with disabilities; funding formulas and cost-effective disabilities that includes, at a minimum: (4) Address the identified needs for strategies for meeting the needs of (i) The number of personnel providing in-service and pre-service preparation to children with disabilities; and (10) special education and related services; ensure that all personnel who work with Involve individuals with disabilities and children with disabilities (including and parents of children with disabilities (ii) Relevant information on current both professional and paraprofessional in planning, implementing, and and anticipated personnel vacancies personnel who provide special evaluating systemic-change activities and shortages (including the number of education, general education, related and educational reforms. individuals described in paragraph services, or early intervention services) (10) Involve individuals with (b)(2)(i) with temporary certification), have the skills and knowledge necessary disabilities and parents of children with and on the extent of certification or to meet the needs of children with disabilities in planning, implementing, retraining necessary to eliminate those disabilities, including a description of and evaluating systemic-change shortages, that is based, to the maximum how it will— activities and educational reforms. extent possible, on existing assessments (i) Prepare general and special Absolute Priority: Under section 653 of personnel needs; education personnel with the content and 34 CFR 75.105(c)(3), the Secretary (3) An analysis of the major findings knowledge and collaborative skills gives an absolute preference to of the Secretary’s most recent reviews of needed to meet the needs of children applications that meet the following State compliance, as they relate to with disabilities, including how the priority. The Secretary funds under this improving results for children with State will work with other States on competition only those applications that disabilities; and common certification criteria; meet this absolute priority. (4) An analysis of other information, (ii) Prepare professionals and This priority supports projects that reasonably available to the State, on the paraprofessionals in the area of early assist State educational agencies and effectiveness of the State’s systems of intervention with the content their partners in reforming and early intervention, special education, knowledge and collaborative skills improving their systems for providing and general education in meeting the needed to meet the needs of infants and educational, early intervention, and needs of children with disabilities; toddlers with disabilities; transitional services, including their (c) Describes a partnership agreement (iii) Work with institutions of higher systems for professional development, that— education and other entities that (on

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Applicants must: any activities that are described in the the capacity to support quality (a) Establish a partnership with local State’s application and that are professional development programs that educational agencies and other State consistent with the purpose of this meet State and local needs; agencies involved in, or concerned with, program; (iv) Work to develop collaborative the education of children with (b) Must, consistent with its agreements with other States for the disabilities; and partnership agreement established joint support and development of (b) Work in partnership with other under the grant, award contracts or programs to prepare personnel for persons and organizations involved in, subgrants to local educational agencies, which there is not sufficient demand and concerned with, the education of institutions of higher education, and within a single State to justify support children with disabilities, including— parent training and information centers, or development of such a program of (1) The Governor; as appropriate, to carry out its State preparation; (2) Parents of children with improvement plan; (c) May award contracts and subgrants (v) Work in collaboration with other disabilities; (3) Parents of nondisabled children; to other public and private entities, States, particularly neighboring States, (4) Individuals with disabilities; including the lead agency under part C to address the lack of uniformity and (5) Organizations representing of the Act, to carry out that plan; reciprocity in the credentialing of individuals with disabilities and their (d)(1) Must use not less than 75 teachers and other personnel; parents, such as parent training and percent of the funds it receives under (vi) Enhance the ability of teachers information centers; the grant for any fiscal year— and others to use strategies, such as (6) Community-based and other (i) To ensure that there are sufficient behavioral interventions, to address the nonprofit organizations involved in the regular education, special education, conduct of children with disabilities education and employment of and related services personnel who have that impedes the learning of children individuals with disabilities; the skills and knowledge necessary to with disabilities and others; (7) The lead State agency for part C of meet the needs of children with (vii) Acquire and disseminate, to the Act; disabilities and developmental goals of teachers, administrators, school board (8) General and special education young children; or members, and related services teachers, and early intervention (ii) To work with other States on personnel, significant knowledge personnel; common certification criteria; or derived from educational research and (9) The State advisory panel (2) Must use not less than 50 percent other sources, and how the State, if established under part B of the Act; of those funds for these purposes, if the appropriate, will adopt promising (10) The State interagency State demonstrates to the Secretary’s practices, materials, and technology; coordinating council established under satisfaction that it has the personnel (viii) Recruit, prepare, and retain part C of the Act; and described in paragraph (d)(1). Selection Criteria: (1) The Secretary qualified personnel, including (11) Institutions of higher education uses the following selection criteria in personnel with disabilities and within the State. 34 CFR 75.210 to evaluate applications personnel from groups that are Optional partners. A partnership established by applicants may include for new grants under this competition. underrepresented in the fields of regular (2) The maximum score for all of education, special education, and agencies such as— (a) Individuals knowledgeable about these criteria is 100 points. related services; (3) The maximum score for each (ix) Integrate its plan, to the maximum vocational education; (b) The State agency for higher criterion is indicated in parentheses. extent possible, with other professional (a) Need for project. (19 points). development plans and activities, education; The Secretary considers the need for (c) The State vocational rehabilitation including plans and activities the proposed project. developed and carried out under other agency; In determining the need for the Federal and State laws that address (d) Public agencies with jurisdiction project the Secretary considers the personnel recruitment and training; and in the areas of health, mental health, extent to which specific gaps or social services, and juvenile justice; and (x) Provide for the joint training of weaknesses in services, infrastructure, (e) Other individuals. parents and special education, related or opportunities have been identified Reporting procedures. Each State services, and general education and will be addressed by the proposed educational agency that receives a grant personnel; project, including the nature and shall submit performance reports to the magnitude of those gaps or weaknesses. (5) Address systemic problems Secretary pursuant to a schedule to be identified in Federal compliance (b) Significance. (19 points). determined by the Secretary, but not The Secretary considers the reviews, including shortages of qualified more frequently than annually. The personnel; significance of the proposed project. reports must describe the progress of the In determining the significance of the (6) Disseminate results of the local State in meeting the performance goals proposed project, the Secretary capacity-building and improvement established under Section 612(a)(16) of considers the likelihood that the projects funded under section 611(f)(4) the Act, analyze the effectiveness of the proposed project will result in system of the Act; State’s strategies in meeting those goals, change or improvement. (7) Address improving results for and identify any changes in the (c) Quality of the project design. (19 children with disabilities in the strategies needed to improve its points). geographic areas of greatest need; and performance. Grantees must also (1) The Secretary considers the (8) Assess, on a regular basis, the provide information required under quality of the design of the proposed extent to which the strategies EDGAR at 34 CFR 80.40. project. implemented under this subpart have Use of funds. Each State educational (2) In determining the quality of the been effective; and agency that receives a State design of the proposed project, the

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Secretary considers the following (iii) The extent to which the budget is One of the objectives of the Executive factors: adequate to support the proposed Order is to foster an intergovernmental (i) The extent to which the goals, project. partnership and a strengthened objectives, and outcomes to be achieved (iv) The extent to which the costs are federalism. The Executive Order relies by the proposed project are clearly reasonable in relation to the objectives, on processes developed by State and specified and measurable. design, and potential significance of the local governments for coordination and (ii) The extent to which the design of proposed project. review of proposed Federal financial the proposed project is appropriate to, (v) The potential for continued assistance. and will successfully address, the needs support of the project after Federal This document provides early of the target population or other funding ends, including, as appropriate, notification of our specific plans and identified needs. the demonstrated commitment of actions for this program. (iii) The extent to which the proposed appropriate entities to such support. Applicants must contact the activities constitute a coherent, (f) Quality of the management plan. (8 appropriate State Single Point of sustained program of training in the points). Contact to find out about, and to comply field. (1) The Secretary considers the with, the State’s process under (iv) The extent to which the design of quality of the management plan for the Executive order 12372. Applicants the proposed project reflects up-to-date proposed project. proposing to perform activities in more knowledge from research and effective (2) In determining the quality of the than one State should immediately practice. management plan for the proposed contact the Single Point of Contact for (v) The extent to which the proposed project, the Secretary considers the each of those States and follow the project will establish linkages with following factors: procedure established in each State other appropriate agencies and (i) The adequacy of the management under the Executive Order. The organizations providing services to the plan to achieve the objectives of the addresses of individual State Single target population. proposed project on time and within Point of Contact are in the Appendix to (vi) The extent to which the proposed budget, including clearly defined this notice. project is part of a comprehensive effort responsibilities, timelines, and In States that have not established a to improve teaching and learning and milestones for accomplishing project process or chosen a program for review, support rigorous academic standards for tasks. State, areawide, regional, and local students. (ii) How the applicant will ensure that entities may submit comments directly a diversity of perspectives are brought to (d) Quality of project personnel. (8 to the Department. bear in the operation of the proposed points). Any State Process Recommendation project, including those of parents, (1) The Secretary considers the and other comments submitted by a teachers, the business community, a quality of the personnel who will carry State Single Point of Contact and any variety of disciplinary and professional out the proposed project. comments from State, areawide, fields, recipients or beneficiaries of (2) In determining the quality of regional, and local entities must be services, or others, as appropriate. project personnel, the Secretary mailed or hand-delivered by the date (g) Quality of the project evaluation. considers the extent to which the indicated in this notice to the following (19 points). address: The Secretary, E.O. 12372— applicant encourages applications for (1) The Secretary considers the employment from persons who are CFDA# 84.323A, U.S. Department of quality of the evaluation to be Education, 400 Maryland Avenue, SW., members of groups that have conducted of the proposed project. traditionally been underrepresented Washington, D.C. 20202–0124. (2) In determining the quality of the Proof of mailing will be determined based on race, color, national origin, evaluation, the Secretary considers the gender, age, or disability. on the same basis as applications (see 34 following factors: CFR 75.102). Recommendations or (3) In addition, the Secretary (i) The extent to which the methods considers the following factors: comments may be hand-delivered until of evaluation are thorough, feasible, and 4:30 p.m. (Washington, D.C. time) on (i) The qualifications, including appropriate to the goals, objectives, and relevant training and experience, of key the date indicated in this notice. outcomes of the proposed project. PLEASE NOTE THAT THE ABOVE project personnel. (ii) The extent to which the methods ADDRESS IS NOT THE SAME ADDRESS (ii) The qualifications, including of evaluation provide for examining the AS THE ONE TO WHICH THE relevant training and experience, of effectiveness of project implementation APPLICANT SUBMITS ITS project consultants or subcontractors. strategies. COMPLETED APPLICATION. DO NOT (e) Adequacy of resources. (8 points). (iii) The extent to which the methods SEND APPLICATIONS TO THE ABOVE (1) The Secretary considers the of evaluation include the use of ADDRESS. adequacy of resources for the proposed objective performance measures that are Instructions for Transmittal of project. clearly related to the intended outcomes Applications: If an applicant wants to (2) In determining the adequacy of of the project and will produce apply for a grant, the applicant must: resources for the proposed project, the quantitative and qualitative data to the (1) Mail the original and six copies of Secretary considers the following extent possible. the application on or before the factors: (iv) The extent to which the methods deadline date to: U.S. Department of (i) The adequacy of support, including of evaluation will provide performance Education, Application Control Center, facilities, equipment, supplies, and feedback and permit periodic Attention: (CFDA# 84.323A), other resources, from the applicant assessment of progress toward achieving Washington, DC 20202–4725. organization or the lead applicant intended outcomes. organization. or (ii) The relevance and demonstrated Intergovernmental Review (2) Hand-deliver the original and six commitment of each partner in the This program is subject to Executive copies of the application by 4:30 p.m. proposed project to the implementation Order 12372 and the regulations in 34 (Washington, D.C. time) on or before the and success of the project. CFR Part 79. deadline date to: U.S. Department of

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Education, Application Control Center, period, the need for a formal Individuals who use a Attention: (CFDA# 84.323A), Room noncompeting continuation application telecommunications device for the deaf #3633, Regional Office Building #3, 7th in the remaining years has been (TDD) may call the TDD number: (202) and D Streets, SW., Washington, DC. eliminated. A performance report will 205–8953. (b) An applicant must show one of the be required annually to determine Individuals with disabilities may following as proof of mailing: substantial progress, rather than a non- obtain a copy of this notice or the (1) A legibly dated U.S. Postal Service competing continuation application. application packages referred to in this postmark. Part III: Application Narrative. notice in an alternate format (e.g. (2) A legible mail receipt with the Braille, large print, audiotape, or date of mailing stamped by the U.S. Additional Materials computer diskette) by contacting the Postal Service. The following forms and other items Department as listed above. However, (3) A dated shipping label, invoice, or must be included in the application: a. the Department is not able to reproduce receipt from a commercial carrier. Estimated Public Reporting Burden. in an alternate format the standard (4) Any other proof of mailing b. Assurances—Non-Construction forms included in the application acceptable to the Secretary. Programs (Standard Form 424B) and package. (c) If an application is mailed through instructions. Electronic Access to This Document the U.S. Postal Service, the Secretary c. Certifications Regarding Lobbying; does not accept either of the following Debarment, Suspension, and Other You may view this document, as well as proof of mailing: Responsibility Matters; and Drug-Free as all other Department of Education documents published in the Federal (1) A private metered postmark. Workplace Requirements (ED 80–0013). (2) A mail receipt that is not dated by Register, in text or Adobe Portable d. Certification Regarding Debarment, the U.S. Postal Service. Document Format (PDF) on the Internet Suspension, Ineligibility and Voluntary at either of the following sites: Notes: (1) The U.S. Postal Service does not Exclusion—Lower Tier Covered uniformly provide a dated postmark. Before Transactions (ED 80–0014) and http://ocfo.ed.gov/fedreg.htm http://www.ed.gov/news.html relying on this method, an applicant should instructions. (NOTE: ED Form GCS– check with its local post office. 0014 is intended for the use of grantees To use the PDF you must have the (2) The Application Control Center will Adobe Acrobat Reader Program with mail a Grant Application Receipt and should not be transmitted to the Department.) Search, which is available free at either Acknowledgment to each applicant. If an of the previous sites. If you have applicant fails to receive the notification of e. Certification of Eligibility for application receipt within 15 days from the Federal Assistance in Certain Programs questions about using the PDF, call the date of mailing the application, the applicant (ED 80–0016) U.S. Government Printing Office (GPO), should call the U.S. Department of Education f. Disclosure of Lobbying Activities toll free, at 1–888–293–6498; or in the Application Control Center at (202) 708– (Standard Form LLL) (if applicable) and Washington, DC, area at (202) 512–1530. 9495. instructions. The document has been Note: The official version of a document is The applicant must indicate on the the document published in the Federal envelope and’if not provided by the marked to reflect statutory changes. See the notice published by the Office of Register. Free Internet access to the official Department—in Item 10 of the Application edition of the Federal Register and the Code for Federal Assistance (Standard Form 424) Management and Budget in the Federal of Federal Regulations is available on GPO the CFDA number and suffix letter, if any, of Register (61 FR 1413) on (January 19, Access at: http://www.access.gpo.gov/nara/ the competition under which the application 1996). intex.html is being submitted. g. Addresses of the individual State Dated: August 11, 1999. Application Instructions and Forms: Single Point of Contact. Judith E. Heumann, The appendix to this notice is divided h. Table of Contents. Assistant Secretary for Special Education and into three parts, plus a statement An applicant may submit information Rehabilitative Services. regarding estimated public reporting on a photostatic copy of the application burden, additional non-regulatory and budget forms, the assurances, and Estimated Public Reporting Burden guidance, and various assurances, the certifications. However, the According to the Paperwork certifications, and required application form, the assurances, and Reduction Act of 1995, no persons are documentation. These parts and the certifications must each have an required to respond to a collection of additional materials are organized in the original signature. All applicants must information unless it displays a valid same manner that the submitted submit ONE original signed application, OMB control number. The valid OMB application should be organized. The including ink signatures on all forms control number for this information parts and additional materials are as and assurances, and THREE copies of collection is OMB No. 1820–0620. The follows: the application. Please mark each time required to complete this Part I: Application for Federal application as ‘‘original’’ or ‘‘copy’’. No information collection is estimated to Assistance (Standard Form 424 (Rev. 4– grant may be awarded unless a average between 50–130 hours per 88)) and instructions. completed application has been response, including the time to review Part II: Budget Information—Non- received. instructions, search existing data Construction Programs (ED Form No. For Applications and General resources, gather the data needed, and 524) and instructions. The budget Information Contact: Requests for complete and review the information section of the application form requires applications and general information collection. If you have any comments all applicants for multi-year projects to should be addressed to the Grants and concerning the accuracy of the time provide detailed budget information for Contracts Services Team, 400 Maryland estimate or suggestions for improving the total grant period requested. The Avenue, S.W., room 3317, Switzer this form, please write to: U.S. Department will establish, at the time of Building, Washington, D.C. 20202–2641. Department of Education, Washington, initial award, the funding levels for each The preferred method for requesting D.C. 20202–4651. If you have any year of the grant award. By requesting information is to FAX your request to: comments or concerns regarding the detailed budget information in the (202) 205–8717. Telephone: (202) 260– status of your individual submission of initial application for the total grant 9182. this form, write directly to: Office of

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Special Education Programs, U.S. 2. Can two or more SEAs apply jointly education and employment of Department of Education, 400 for a SIG? individuals with disabilities; the lead Independence Avenue, SW., No. A State applying for a State State agency for Part C; general and Washington, D.C. 20202–2641. Improvement Grant shall submit an special education teachers, and early individual application. However, intervention personnel; the State Application Narrative included in the application will be a advisory panel established under Part B; The narrative should address fully all description of how: (1) the State will the State interagency coordinating aspects of the selection criteria in the work to develop collaborative council established under Part C; and order listed and should give detailed agreements with other States for the institutions of higher education (IHEs) information regarding each criterion. Do joint support and development of within the State. The State is not simply paraphrase the criteria. programs to prepare personnel for encouraged to only partner with those Provide position descriptions, not which there is not sufficient demand IHEs that are currently implementing or, resumes. within a single State to justify support based on the partnership Agreement, will develop and implement, training Budget or development of such a program of preparation; and (2) the State will work programs that are consistent with the Budget line items must support the in collaboration with other States, principles of IDEA 97 (e.g., training that goals and objectives of the proposed particularly neighboring States, to facilitates access to the general project and be directly applicable to the address the lack of uniformity and education curriculum; training that program design and all other project reciprocity in the credentialing of facilitates inclusionary practices; joint components. teachers and other personnel (Section training of general educators, special Final Application Preparation 653(c)(3)(D)(iv) and (v)). educators and parents, where appropriate; training that targets Use the above checklist to verify that Partners pedagogical practices that focus on all items are addressed. Prepare one 3. With whom is the State supposed accommodating and modifying original with an original signature, and to form partnerships and how are such instruction to meet State standards). include three additional copies. Do not partnerships structured? Based on the needs assessment, the use elaborate bindings or covers. The Part D Subpart 1—State Program State must focus at least 75% of the application must be mailed to the Improvement Grants for Children with funds received under the State Application Control Center (ACC) and Disabilities, Section 652 (b) describes Improvement Grant on the professional postmarked by the deadline date of three types of State partners. In order to development and training of regular December 15, 1999. be considered for a State Improvement education, special education, or related Questions and Answers Grant, a State educational agency must services personnel (only 50% of the establish a partnership with individuals funds must be used on professional Following is a series of questions and and organizations considered ‘‘Required development if the State can answers that will serve as guidance for Partners.’’ Required partners are made demonstrate to the Secretary that it has State Educational Agency in completing up of two subsets of partners—those sufficient personnel; see question 13 for the grant application for a State called ‘‘Contractual partners’’ and those additional clarification). In order to Improvement Grant (SIG) as authorized called ‘‘Other partners.’’ The SEA’s ensure that the perspectives of school by the Individuals with Disabilities contractual partners are local based staff are represented in the grant Education Act (IDEA). The questions educational agencies and other State activities, the State is encouraged to were chosen to provide additional agencies involved in, or concerned with, incorporate into its partnership insight into the statutory requirements the education of children with agreement and partnership activities, contained in the grant application. The disabilities. These partners are called professional organizations that negotiate questions were generated from a number contractual because they must be parties for and may represent school-based of sources including parents of students to a formal ‘‘partnership agreement’’ staff. In addition to required partners, with disabilities, Regional Resource that is explained further below in the SEA, at its option, may include as Centers, the Federal Resource Center, question four. partners individuals and organizations State Directors of Special Education, The ‘‘other partners’’ are individuals called Optional Partners. The SEA may State Educational Agency staff and staff and organizations involved in, and include ‘‘optional partners’’ as parties to from the Office of Special Education concerned with, the education of the formal partnership agreement or Programs. children with disabilities, with whom work in partnership with them, without Eligible Applicants the SEA must work in partnership to them being parties to the partnership implement the State improvement grant. agreement. Those optional partners may 1. Who may apply for a State Other partners may be, but the SEA is include individuals knowledgeable Improvement Grant? not required to make them, parties to about vocational education, the State A State Educational Agency of one of the formal partnership agreement. Those agency for higher education, the State the 50 States, the District of Columbia, ‘‘other partners’’ must include the vocational rehabilitation agency, public or the Commonwealth of Puerto Rico or Governor; parents of children with agencies with jurisdiction in the areas of an outlying area (United States Virgin disabilities; parents of nondisabled health, mental health, social services, Islands, Guam, American Samoa, and children; individuals with disabilities; and juvenile justice and other the Commonwealth of the Northern individuals. 1 organizations representing individuals Mariana Islands). (Sections 602(18), with disabilities and their parents, such 4. What is the partnership agreement 602(27), 652(a), and 655(a)(1)(2)). as parent training and information and what must it include? centers; 2 community-based and other Each State Improvement Plan 1 Unless otherwise noted, the term ‘‘State’’ refers nonprofit organizations involved in the submitted with the State’s application to the 50 States, the District of Columbia, the shall include a description of the Commonwealth of Puerto Rico and the outlying areas (United States Virgin Islands, Guam, 2 States in which Community Parent Resource partnership agreement entered into by American Samoa and the Commonwealth of the Centers are located are encouraged to include these the SEA with its contractual partners Northern Mariana Islands). organizations as ‘‘other partners.’’ and with any ‘‘other’’ and ‘‘optional’’

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This means that early intervention, special education, State agencies involved in, or concerned the Department will reject and will not and general education in meeting the with, the education of children with consider any application that proposes needs of children with disabilities. disabilities. It must specify the a budget that exceeds the maximum 9. What will the Secretary consider in respective roles of each member of the award amount or is less than the making an award on a competitive partnership in the implementation of minimum award amount for any single basis? the State improvement plan. The budget period of 12 months. Using the selection criteria identified partnership agreement must also specify 7. How will decisions be made elsewhere in this application package, how the SEA, LEAs, and other State regarding the amount of funds that the Secretary expects to select for agencies identified above, will work in states will receive if approved for a State funding applications from States that partnership with other persons and Improvement Grant? demonstrate a need for improvement organizations involved in, and The Secretary will set the amount of and effective strategies to meet those concerned with, the education of each grant, within the limits outlined in State needs. The application should children with disabilities (these would the response to question 6, after show how the State plans to fulfill the be the ‘‘other partners’’ and any considering: (1) the relative population purpose of the State Improvement ‘‘optional partners’’), and must specify of the State; (2) the types of activities Grant, which is to assist State the respective roles of each of these proposed by the State; and (3) the educational agencies and their partners persons and organizations (Section amount of funds available for making in reforming and improving their 53(c)(1)(B)). The partnership agreement the grants (Section 655(c)). Using the systems for providing educational, early must indicate that it is in effect for the same considerations, the Secretary intervention, and transitional services, period of the grant. The terms of the funded successful applications for fiscal including their systems for professional partnership agreement will determine year 1998 at the following levels: development, technical assistance, and whether the SEA will award subgrants Vermont ...... $500,000 dissemination of knowledge about best or contracts to any of the partners listed Utah ...... $578,551 practices, to improve results for in Section 654(a)(2)(A). New Hampshire ...... $600,000 children with disabilities. The Secretary 5. What is the connection between the Hawaii ...... $600,000 may give priority to applications on the partnership agreement and the SEA’s Idaho ...... $625,000 basis of need, as indicated by such use of funds? Iowa ...... $875,526 The SEA shall, as appropriate, award Kansas ...... $900,000 information as the findings of Federal contracts or subgrants to LEAs, IHEs, Kentucky ...... $1,000,000 compliance reviews (Section 653(d)). Massachusetts ...... $1,009,000 and parent training and information Alabama ...... $1,025,000 Improvement Strategies and Use of centers identified in the partnership Georgia ...... $1,060,000 Funds agreement to carry out the State Maryland ...... $1,095,000 10. Can funds from the State improvement plan. To carry out the Missouri ...... $1,145,000 State improvement plan, the SEA may Virginia ...... $1,240,000 Improvement Grants be distributed to also award contracts and subgrants to Ohio ...... $1,320,000 LEAs on a competitive basis? other public and private entities, Pennsylvania ...... $1,320,000 Yes. The statute does not provide a including the lead agency under Part C Michigan ...... $1,320,000 particular method for States to use when California ...... $1,840,000 and other agencies that are partners, as distributing State Improvement Grant well as public and private entities that 8. How will the connection between funds to LEAs or other entities. When are not partners. It is anticipated that an grant amounts and ‘‘need’’ be awarding and administering subgrants, SEA will need and desire the resources determined? under 34 CFR § 80.37(a), the State must of other individuals and organizations As previously stated in the response follow state law and procedures. As to develop and implement all of the to question 7, the Secretary shall set the long as the SEA’s plan to contract or systemic change, technical assistance, amount of each grant after considering: subgrant SIG funds is consistent with in-service and pre-service training, (1) the relative population of the State; the partnership agreement and the funds dissemination and assessment activities (2) the types of activities proposed by are used to support the activities designated in the State improvement the State or outlying area; and (3) the specified in the approved grant plan. There is, however, no required amount of funds available for making application, there is no statutory amount of funds that must be used for the grants. ‘‘Need’’ will be determined prohibition against the funds being contracts or subgrants (Section through the quality of the needs distributed to LEAs on a competitive 654(a)(2)). assessment performed under Section basis. 653(b) including: (i) an analysis of all 11. Can charter schools be involved as Funding Availability and Levels information, reasonably available to the partners in the State Improvement 6. What are the grant amounts to State educational agency, on the Grant? States? performance of children with Yes. Charter schools are schools The Secretary shall make a grant to disabilities in the State; (ii) an analysis under contract—or charter—between a each State educational agency whose of State and local needs for professional public agency and groups of parents, application the Secretary has selected development for personnel to serve teachers, community leaders or others for funding under this subpart in an children with disabilities; (iii) an who want to create alternatives and amount for each fiscal year that is: (1) analysis of the major findings of the choice within the public school system. not less than $500,000, nor more than Secretary’s most recent reviews of State Charter schools can be involved as $2,000,000, in the case of the 50 States, compliance, as they relate to improving partners in the State Improvement the District of Columbia, and the results for children with disabilities; Grant, either as an LEA or as part of an

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What is the relationship of the SIG how it will work to develop No. The ‘‘service obligation’’ to the State set aside under Part B? contained under the Personnel In order to carry out the activities collaborative agreements with other Preparation discretionary grant program proposed in the State’s SIG application, States for the joint support and provides that a recipient of a a State may choose to supplement the development of programs to prepare scholarship funded by the Personnel State Improvement Grant award with personnel for which there is not Preparation program under Section funds from the IDEA Part B State set sufficient demand within the State to 673(b), (c), (e), and to the extent aside (i.e., the portion of the IDEA, Part justify support or development of such appropriate (d), shall subsequently B grant awards retained for use by the a program of preparation (Section perform work in the field in which they SEA under Sections 611(f) and 619(d) of 653(c)(3)(D)(iv)). If the State were trained or repay the cost of the the Act for discretionary purposes). demonstrates, through its needs financial assistance. The service 16. Can funds from sources other than assessment, that there is sufficient obligation only applies to scholarships the SIG be used to support the required demand within the State to support its awarded under the Personnel activities for awards under this own personnel preparation programs, Preparation program. program? then interstate collaborative agreements 13. Can funds be used to prepare early Yes. In addition to the SIG award, are not required. intervention personnel? funds from other sources (e.g., other 19. Is training of general education Yes, but only in limited IDEA discretionary grants, Part B State personnel required? circumstances. Under Section 654(b)(1) set aside funds, preschool grants) may Yes. In its application, the State is a State educational agency that receives be used, so long as those activities are required to include a description of how a grant shall use not less than 75 percent permissible under the funding statute the State will prepare general as well as of the funds it receives under the grant and regulations to carry out any special education personnel with the for any fiscal year to work with other activities described in the State’s SIG content knowledge and collaborative States on common certification criteria application. States may also use funds skills needed to meet the needs of or to ensure that there are sufficient from private sources (e.g., foundations) children with disabilities (Section regular education, special education, to carry out activities described in the 653(c)(3)(D)(i)). and related services personnel who have State’s application. In its State 20. Is training of parents required? the skills and knowledge necessary to Improvement Plan, the State must Yes. In its application, the State is meet the needs of children with describe the amount and nature of funds required to include a description of how disabilities and developmental goals of from any other sources, including the the State will provide for the joint young children. This section ensures Part B funds retained for use under training of parents and special that based on the needs assessment, the Sections 611(f) and 619(d) of the Act education, related services, and general State focuses at least 75% of the funds and Part D discretionary funds that will education personnel (Section received under the State Improvement be committed to the SIG program. 653(c)(3)(D)(x)). Grant on the professional development 17. Can SIG funds be used for direct Role of Regional Resource Center/ and training of regular education, services to children with disabilities? Technical Assistance and special education, or related services Yes. The statute does not forbid the Dissemination Projects personnel. Only 50% of the funds must use of SIG funds for direct services to be used on professional development if children with disabilities; however, 21. What role can the Regional the State can demonstrate to the funding for these services must come Resource Center (RRC) play in the Secretary that it has sufficient from the 25% or 50% of the grant development of the State Improvement personnel. Training that prepares award, as the case may be, not obligated Plan and grant application? personnel to deliver early intervention by statute to fund professional The RRC is encouraged to provide services that could not also be development activities or to work with general technical assistance to States in considered regular education, special other States on common certification the development of their State education, or related services would not criteria. In addition, the need for direct Improvement Plans. An RRC is funded be a permissible use of the 75%, or 50% services must be one of the critical to provide technical assistance and as the case may be, of the funds. aspects of early intervention, general resources to all states within its region However, it would be permissible for education and special education and must do so on an equitable basis early intervention personnel to identified in the State’s needs across those States. Helping States participate in training in those areas of assessment. The direct services improve their special education special education and related services improvement strategy must be described programs is the central mission of the that would be useful to them, even if the in the State’s application and be RRCs and many State activities related training is funded using the 75% of the consistent with the purpose of the grant, to the State Improvement Grant program funds. There is no limitation on the use which is to assist State educational will be crucial in these improvement of the remaining 25% of the funds agencies and their partners in reforming efforts. It would be inappropriate, received under the SIG; it can be used and improving their systems for however, for an RRC to help a State in to train personnel to provide early providing educational, early drafting its grant application or even to intervention services or for any other intervention, and transitional services, provide technical assistance on activity in an approved SIG. including their systems for professional strategies to improve the 14. How does a State demonstrate that development, technical assistance, and competitiveness of a State’s application it meets the requirement to use at least dissemination of knowledge about best because it could be viewed as providing 75% (or 50% if applicable) of the grant practices, to improve results for a competitive advantage to one potential funds for professional development? children with disabilities. applicant over another. On the other

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RRCs can also assist States in assessment and improvement strategies. their implementation of a State It is intended that the CSPD meet the 27. How is the State Improvement Improvement Grant once those grants SIG personnel development Grant aligned with Federal compliance are awarded. requirements so that it may serve as the reviews? 22. Can the State use SIG funds to framework for the State’s personnel There are three areas in which the subcontract or contract with the development part of a SIG grant State Improvement Grant aligns with University or entity in which the RRC application. Federal compliance reviews. First, the is located to carry out SIG activities? 25. To what extent does this plan State improvement plan must include Yes. The State can use SIG funds to have to be linked to the Elementary and an analysis of the major findings of the subgrant or contract with the University Secondary Education Act of 1965 Secretary’s most recent reviews of State or entity in which the RRC is located to (ESEA) and the Rehabilitation Act of compliance, as they relate to improving carry out SIG activities. However, the 1973? results for children with disabilities University or other entity would need to To the ‘‘maximum extent possible’’ (Section 653(b)(2)(C)). The second is ensure that personnel time and other State Improvement Plans must be linked that the State improvement plan must resources covered by the RRC’s to State plans under ESEA and the include a description of strategies that cooperative agreement with the Rehabilitation Act of 1973. The IDEA will address systemic problems Department are not used to work on SIG Amendments of 1997 emphasize that identified in Federal compliance activities performed under such a children with disabilities have access to reviews, including shortages of qualified subgrant or contract and that work done the general curriculum and general personnel (Section 653(c)(3)(E). The under such other subcontract or contract educational reforms. Although the third area of alignment with monitoring is not represented as being performed as legislation does not mention integration is that in determining competitive part of the cooperative agreement with with any other state plans under any awards the Secretary may give priority the Department of Education. other Federal statute, because the State to applications on the basis of need, as 23. Can Technical Assistance and Improvement Plan is focused on indicated by such information as the Dissemination (TA&D) projects funded systems change for students with findings of Federal compliance reviews by OSEP play a role in SIG activities? disabilities, integration with relevant (Section 653(d)(2)). Similarly to RRCs, TA&D projects state plans or projects would be 28. Can the State Improvement Grant funded by OSEP must ensure that the beneficial (Section 653(a)(2)(A)). funds be used to address deficiencies services they provide are fairly and 26. What is the relationship between identified in Federal compliance evenhandedly available to their the performance goals and indicators a reviews? respective audience (under the terms of State must have to be eligible for Part B Yes, if the activities to address the their OSEP funding agreement/grant/ and the State Improvement Plan? deficiencies are consistent with the contract) in all States, that the proposed Under Part B (612(a)(16)), in order to purposes of the grant and described in SIG activity is permissible under the be eligible to receive financial assistance the State’s application. If, for example, terms of the particular Project’s funding under Part B, the State must have in a Federal compliance review identified agreement/ grant/contract/ with OSEP place by July 1, 1998 performance goals that a personnel shortage impacted on and that Projects do not accept SIG for children with disabilities that must the provision of a free appropriate funds under contract or grant with an promote the purposes of the IDEA and public education to students with SEA for activities they are currently be consistent, to the maximum extent disabilities, then it would be consistent receiving Federal funds to provide. In appropriate, with other goals and with the purposes of the grant to use addition, TA&D projects, like the RRCs, standards developed for children grant funds to address the personnel should not engage in activities that established by the State and shortage. could be seen as providing a performance indicators to assess Applications, Length of Awards, and competitive advantage to any one State progress toward achieving those goals. Reapplication over others in the SIG competition. A State must have developed those performance goals and indicators in 29. Can the first grant be written as a Relationship between State order to apply for a State Improvement planning grant? Improvement Plan and other Federal Grant because in conducting the needs No. The purpose of the SIG program Statutes and Requirements assessment required as part of its is to assist State educational agencies, 24. What is the link between the application, the State shall identify and their partners referred to in Section Comprehensive System of Personnel those critical aspects of early 652(b), in reforming and improving their Development (CSPD) and the SIG? What intervention, general education, and systems for providing educational, early are the similarities and differences? special education programs that must be intervention, and transitional services, The requirements for a CSPD as improved to enable children with including their systems for professional amended by IDEA 97 must be disabilities to meet the performance development, technical assistance, and implemented by July 1, 1998 regardless goals and indicators established by the dissemination of knowledge about best of whether or not a State receives a SIG. State for the performance of children practices, to improve results for Under Section 612(a)(14) of IDEA, in with disabilities under Section children with disabilities. In order to be order to be eligible for funding under 612(a)(16). In submitting the required funded a State must include in its Part B, a State must have in effect a SIG performance reports to the Secretary application improvement strategies that comprehensive system of personnel under Section 653(f), the State shall were developed to address State and development that is designed to ensure describe the progress of the State in local needs identified in the State needs

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[FR Doc. 99–21301 Filed 8–17–99; 8:45 am] BILLING CODE 4000±01±C

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Reader Aids Federal Register Vol. 64, No. 159 Wednesday, August 18, 1999

CUSTOMER SERVICE AND INFORMATION CFR PARTS AFFECTED DURING AUGUST

Federal Register/Code of Federal Regulations At the end of each month, the Office of the Federal Register General Information, indexes and other finding 202±523±5227 publishes separately a List of CFR Sections Affected (LSA), which aids lists parts and sections affected by documents published since the revision date of each title. Laws 523±5227 3 CFR 390...... 43902 Proposed Rules: Presidential Documents Proclamations: 145...... 43301 Executive orders and proclamations 523±5227 7103 (See Proc. 147...... 43301 The United States Government Manual 523±5227 7214) ...... 42265 7202 (See Proc. 10 CFR 7214) ...... 42265 31...... 42269 Other Services 7208 (See Proc. 50...... 42823 Electronic and on-line services (voice) 523±4534 7214) ...... 42265 76...... 44645 Privacy Act Compilation 523±3187 7214...... 42265 Proposed Rules: Public Laws Update Service (numbers, dates, etc.) 523±6641 Executive Orders: 50...... 44137, 44860 TTY for the deaf-and-hard-of-hearing 523±5229 12372 (Supplemented 709...... 45062 by EO 13132)...... 43255 710...... 44433, 45062 12612 (Revoked by 711...... 45062 ELECTRONIC RESEARCH EO 13132)...... 43255 World Wide Web 12866 (Supplemented 11 CFR by EO 13132)...... 43255 Full text of the daily Federal Register, CFR and other 12875 (Revoked by 110...... 42579 publications: EO 13132)...... 43255 9004...... 42579 http://www.access.gpo.gov/nara 12924 (See Notice of 9034...... 42579 9036...... 42584 Federal Register information and research tools, including Public Aug. 10, 1999) ...... 44101 Inspection List, indexes, and links to GPO Access: 12988 (Supplemented 12 CFR by EO 13132)...... 43255 http://www.nara.gov/fedreg 13083 (Revoked by 201...... 41765 602...... 41770 E-mail EO 13132)...... 43255 13095 (Revoked by 612...... 43046 PENS (Public Law Electronic Notification Service) is an E-mail EO 13132)...... 43255 614...... 43046, 43049 service for notification of recently enacted Public Laws. To 13132...... 43255 616...... 43049 subscribe, send E-mail to 13133...... 43895 618...... 43046, 43049 [email protected] 13134...... 44639 621...... 43049 905...... 44103 with the text message: Administrative Orders: Notice of Aug. 10, Proposed Rules: subscribe PUBLAWS-L your name 1999 ...... 44101 202...... 44582 Use [email protected] only to subscribe or unsubscribe to 361...... 42861, 42862 PENS. We cannot respond to specific inquiries. 7 CFR 702...... 44663 11...... 43043 747...... 44663 Reference questions. Send questions and comments about the 935...... 44444 Federal Register system to: 610...... 41999 989...... 43897 13 CFR [email protected] 1230...... 44643 The Federal Register staff cannot interpret specific documents or 1728...... 42005 120...... 44109 regulations. Proposed Rules: Proposed Rules: 6...... 42288 120...... 43636 FEDERAL REGISTER PAGES AND DATES, AUGUST 354...... 43103 505...... 44634 14 CFR 41765±41998...... 2 931...... 42858 4...... 43599 41999±42264...... 3 932...... 42619 25...... 44817 42265±42578...... 4 981...... 43298 27...... 43016, 45092 29...... 43016 42579±42822...... 5 1106...... 42860 3419...... 42576 39 ...... 41775, 41776, 41778, 42823±43042...... 6 42007, 42275, 42824, 43050, 43043±43254...... 9 8 CFR 43051, 43053, 43056, 43058, 43255±43598...... 10 217...... 42006 43060, 43061, 43905, 44110, 43599±43896...... 11 44112, 44650 43897±44100...... 12 9 CFR 71 ...... 41780, 42276, 42432, 44101±44396...... 13 101...... 43043 42585, 42591, 42592, 43063, 44397±44642...... 16 102...... 43043 43065, 43066, 43068, 43069, 44643±44816...... 17 105...... 43043 43261, 43599, 43907, 44114, 44817±45148...... 18 112...... 43043 44116, 44117, 44268, 44397, 113...... 43043 44398, 44399, 44400, 44578, 116...... 43043 44819, 44821, 44823 124...... 43043 71...... 44825 318...... 44644 91...... 44814 319...... 44644 97...... 44117, 44119

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254...... 41781 118...... 43262 2575...... 42246 21...... 44660 382...... 41781 122...... 43262 4044...... 44128 39 CFR Proposed Rules: 133...... 43262 Proposed Rules: 25 ...... 43570, 43943, 43946 141...... 43262 1910...... 45098 20...... 43292 39 ...... 41841, 41842, 42289, 143...... 43262 2520...... 42792, 42797 Proposed Rules: 42291, 42293, 42295, 42296, 144...... 43262 2560...... 42792, 42797 111...... 44681 42297, 42619, 42622, 42866, 148...... 43262 2570...... 42797 40 CFR 42868, 42870O, 43314, 151...... 43608 30 CFR 43316, 43318, 43638, 43948, 162...... 43262 9 ...... 42432, 43426, 43936 43950, 43953, 43955, 43957, 173...... 43262 26...... 43280 52 ...... 42600, 43083, 44131, 43959, 43961, 43963, 43966, 174...... 43262, 43608 29...... 43280 44134, 44408, 44411, 44415, 44137, 44446, 44663, 44666, 178...... 43608 57...... 43280 44417 44667 181...... 43262 70...... 43283 58...... 42530 65...... 42810 Proposed Rules: 71...... 43283 62...... 43091, 44420 66...... 42810 12...... 41851 75...... 43280, 43286 63...... 42764 71 ...... 42300, 42301, 44139, 113...... 41851, 42872 90...... 43283 86...... 43936 44140, 44141, 44142, 44144, 141...... 41851 202...... 43506 122...... 42432, 43426 123...... 42432, 43426 44865 20 CFR 206...... 43288, 43506 93...... 44145 250...... 42597 124...... 42432, 43426 107...... 43321 Proposed Rules: 914...... 43911 180 ...... 41804, 41810, 41812, 375...... 44670 108...... 43322 943...... 43913 41815, 41818, 42280, 42839, 404...... 42310 119...... 45090 Proposed Rules: 42846, 44826, 44829 416...... 42310 121...... 45090 913...... 44674 186...... 41818 129...... 45090 21 CFR 914...... 44448 261...... 42033 935...... 42887 271 ...... 41823, 42602, 44836 135...... 45090 101...... 42277 936...... 43327 300...... 44135 147...... 42810 172 ...... 43072, 43908, 44121 183...... 45090 403...... 42552 173...... 44122 31 CFR 501...... 42432, 43426 178...... 44406, 44407 15 CFR 538...... 41784 503...... 42552 310...... 44653 745...... 42849 734...... 42009 510...... 42596 550...... 41784 Proposed Rules: 738...... 42009 520...... 42596 560...... 41784 52 ...... 42629, 42888, 42891, 740...... 42009 522...... 42596, 42830 590...... 43924 42892, 44152, 44450, 44451, 742...... 42009 524...... 42831 Proposed Rules 44452 902...... 42826 558...... 42596, 43909 375...... 42626 62...... 43123 1308...... 42432 32 CFR 63...... 45116 16 CFR 1312...... 42432 97...... 43124, 44452 2...... 43599 Proposed Rules: Proposed Rules: 147...... 43329 5...... 42594 230...... 43856 101...... 42315 261...... 42317, 44866 207...... 43114 231...... 43858 Proposed Rules: 271 ...... 42630, 43331, 44876 310...... 44671 231a...... 43856 1212...... 42302 281...... 43336 314...... 42625, 42873 33 CFR 300 ...... 41875, 42328, 42630, 17 CFR 344...... 44671 43129, 43641, 43970, 44452, 607...... 43114 100 ...... 42278, 42598, 43289 9...... 43254 110...... 42279 44454, 44456, 44458 10...... 43071 807...... 43114 870...... 43114 117 ...... 42033, 42599, 44129, 372...... 42222 12...... 43071 44131, 44826 441...... 45072 200...... 42594 888...... 43114 890...... 43114 160...... 41794 41 CFR 240...... 42031, 42594 165 ...... 43290, 43291, 44658 249...... 42594 22 CFR Proposed Rules: 301...... 43254 Proposed Rules: 41...... 42032 100...... 41853 Proposed Rules: 4...... 41843 514...... 44123 117 ...... 44145, 44147, 44148, 51-2...... 41882 275...... 43556 44149, 44151 51-5...... 41882 24 CFR 18 CFR 42 CFR 108...... 44094 34 CFR 3...... 44400 982...... 43613 611...... 42837 413...... 42610, 44841 341...... 44400 Proposed Rules: Proposed Rules: 498...... 43295 342...... 44400 990...... 43641 668 ...... 42206, 43024, 43582 1001...... 42174 346...... 44400 673...... 42206 Proposed Rules: 357...... 44400 26 CFR 674...... 42206 Ch. IV...... 43338 362...... 44400 1 ...... 41783, 43072, 43267, 675...... 42206 44 CFR 381...... 44652 43613, 43910 676...... 42206 385...... 44400 31...... 42831 682 ...... 42176, 43024, 43428 61...... 41825 Proposed Rules: 301...... 41783 685...... 43428 64...... 42852, 44421 101...... 42304 602 ...... 41783, 43072, 43613 690...... 42206 206...... 41827 343...... 43600 801...... 42834 Proposed Rules: 357...... 42623 Proposed Rules: 36 CFR 61...... 42632 385...... 42307, 43600 1 ...... 43117, 43323, 43462, Proposed Rules: 62...... 42633 43969 13...... 41854 19 CFR 45 CFR 301...... 43324 1191...... 42056 4...... 43262 602...... 43462 801...... 42039 10...... 43262 37 CFR 46 CFR 12...... 43262 28 CFR Proposed Rules: 24...... 42031, 43262 505...... 43880 201...... 42316 10...... 42812, 44786 102...... 43262 12...... 42812, 44786 112...... 43262 29 CFR 38 CFR Proposed Rules: 113...... 43262 2570...... 42246 17...... 44659 298...... 44152

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535...... 42057 204...... 43098 639...... 43618 173...... 44426 212...... 43098 641...... 43618 Proposed Rules: 47 CFR 213...... 43098 642...... 43618 190...... 43972 0...... 43618 217...... 43096 643...... 43618 385...... 44460 1...... 42854 252...... 43098 644...... 43618 390...... 44460 5...... 43094 253...... 43098 645...... 43618 571...... 42330 43...... 43618 601...... 43618 646...... 43618 575...... 44164 62...... 43937 602...... 43618 647...... 43618 63...... 43095, 43618 603...... 43618 649...... 43618 64...... 43618, 44423 604...... 43618 652...... 43618 50 CFR 73 ...... 41827, 41828, 41829, 605...... 43618 653...... 43618 17...... 41835 41830, 41831, 41832, 41833, 606...... 43618 701...... 42040 300...... 44428 41834, 42614, 42615, 42616, 608...... 43618 702...... 42040 600...... 42286 43095, 44856 609...... 43618 703...... 42040 622...... 43941 76...... 42617, 42855 610...... 43618 705...... 42040 635...... 42855, 43101 90...... 43094 611...... 43618 706...... 42040 648 ...... 42042, 42045, 44661 613...... 43618 709...... 42040 660...... 42286, 42856 Proposed Rules: 614...... 43618 714...... 42040 679 ...... 41839, 42826, 43295, Ch. 1...... 41883, 42635 615...... 43618 716...... 42040 43296, 43297, 43634, 43941, 20...... 44682 616...... 43618 1...... 41884, 41887 719...... 42040 43942, 44431, 44432, 44858, 617...... 43618 726...... 42040 2...... 41891, 43643 619...... 43618 44859 732...... 42040 15...... 41897 622...... 43618 Proposed Rules: 733...... 42040 32...... 44877 623...... 43618 17 ...... 41903, 42058, 42250, 734...... 42040 43...... 44877 625...... 43618 43132, 44171, 44470, 44883 749...... 42040 51...... 41897 626...... 43618 20...... 44384 64...... 44877 628...... 43618 750...... 42040 32...... 43834 68...... 41897 629...... 43618 752...... 42040 36...... 43834 73...... 41899, 43132 630...... 43618 5416...... 41834 226...... 44683 76...... 41887 631...... 43618 Proposed Rules: 600...... 42335, 43137 78...... 41899 632...... 43618 17...... 44100 622 ...... 41905, 42068, 44884 95...... 41891 633...... 43618 536...... 44683 635...... 44885 634...... 43618 648 ...... 42071, 43137, 43138 48 CFR 636...... 43618 49 CFR 660...... 44475 202...... 43096 637...... 43618 172...... 44426, 44578 679...... 42080

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REMINDERS Washington; comments due ENERGY DEPARTMENT Radio services, special: The items in this list were by 8-23-99; published 6- Federal Energy Regulatory Maritime servicesÐ editorially compiled as an aid 24-99 Commission Privately owned to Federal Register users. Potatoes (Irish) grown inÐ Outer Continental Shelf Lands accounting authorities; Inclusion or exclusion from California and Oregon; Act; implementation: accounts settlement; this list has no legal comments due by 8-24- Natural gas transportation streamlining; biennial significance. 99; published 6-25-99 through pipeline facilities regulatory review; AGRICULTURE on Outer Continental comments due by 8-23- RULES GOING INTO DEPARTMENT Shelf; comments due by 99; published 7-28-99 EFFECT AUGUST 18, Animal and Plant Health 8-27-99; published 7-13- Radio stations; table of 99 1999 Inspection Service assignments: Exportation and importation of ENVIRONMENTAL Arizona; comments due by AGRICULTURE animals and animal PROTECTION AGENCY 8-23-99; published 7-14- DEPARTMENT products: Air quality implementation 99 Federal Crop Insurance Recognition of animal plans; approval and Arkansas; comments due by Corporation disease status of regions promulgation; various 8-23-99; published 7-14- Administrative regulations: in European Union; States: 99 Policies, policy provisions, comments due by 8-24- California; comments due by Kentucky and Virginia; and premium rates; 99; published 6-25-99 8-23-99; published 7-23- comments due by 8-23- published 7-19-99 Foreign quarantine notices: 99 99; published 7-14-99 ENVIRONMENTAL Mexican Haas avocados; Indian; comments due by 8- New York; comments due PROTECTION AGENCY comments due by 8-24- 25-99; published 7-26-99 by 8-23-99; published 7- Pesticides; tolerances in food, 99; published 6-25-99 Indiana; comments due by 14-99 animal feeds, and raw COMMERCE DEPARTMENT 8-25-99; published 7-26- North Carolina; comments agricultural commodities: 99 National Oceanic and due by 8-23-99; published Glufosinate ammonium; Atmospheric Administration Montana; comments due by 7-14-99 published 8-18-99 8-27-99; published 7-28- Fishery conservation and Texas; comments due by 8- Pyriproxyfen; published 8- 99 management: 23-99; published 7-14-99 18-99 Clean Air Act: Television stations; table of FEDERAL Caribbean, Gulf, and South Atlantic fisheriesÐ Interstate ozone transport assignments: COMMUNICATIONS reductionÐ New York; comments due COMMISSION Essential fish habitats; Nitrogen oxides trading by 8-23-99; published 7- Radio and television comments due by 8-23- 99; published 7-9-99 program; Section 126 14-99 broadcasting: petitions; findings of West Coast States and FEDERAL MARITIME Competitive bidding significant contribution Western Pacific COMMISSION proceduresÐ and rulemaking; fisheriesÐ Shipping Act of 1984; Commercial broadcast comments due by 8-25- implementation: and instructional Pacific Coast groundfish; 99; published 8-16-99 television fixed service comments due by 8-25- Ocean common carriers; Hazardous waste: licenses; published 8- 99; published 7-26-99 definition clarification; Project XL program; site- 18-99 Western Pacific Coral comments due by 8-24- specific projectsÐ HOUSING AND URBAN Reef Ecosystem and 99; published 6-25-99 University of DEVELOPMENT bottomfish and HOUSING AND URBAN Massachusetts et al.; DEPARTMENT seamount groundfish; DEVELOPMENT university laboratories; Community development block comments due by 8-26- DEPARTMENT grants: 99; published 8-16-99 comments due by 8-26- 99; published 7-27-99 Public and Indian housing: Expenditure documentation; COMMODITY FUTURES Admission and occupancyÐ clarification; published 7- TRADING COMMISSION Superfund program: 19-99 National oil and hazardous Pet ownership in public Contract markets: housing; comments due TRANSPORTATION substances contingency Contract market designation planÐ by 8-23-99; published DEPARTMENT applicationsÐ National priorities list 6-23-99 Federal Aviation Commission review and Administration update; comments due Public housing agency approval; procedures; organization; required Class E airspace; published 8- by 8-25-99; published comments due by 8-26- resident membership on 18-99 7-26-99 99; published 7-27-99 board of directors or VETERANS AFFAIRS Water programs: DEFENSE DEPARTMENT similar governing body; DEPARTMENT Clean Water ActÐ Acquisition regulations: comments due by 8-23- Acquisition regulations: State and Tribal water 99; published 6-23-99 Cargo preference- quality standards; Tax-free tobacco products Public Housing Assessment subcontracts for review and approval; for gratuitous distribution System; comments due commercial items; comments due by 8-23- to present and former by 8-23-99; published 6- members of U.S. Armed comments due by 8-23- 99; published 7-9-99 99; published 6-22-99 22-99 Forces; published 7-19-99 FEDERAL INTERIOR DEPARTMENT Overseas use of purchase COMMUNICATIONS COMMENTS DUE NEXT card; comments due by 8- COMMISSION Fish and Wildlife Service 25-99; published 7-29-99 WEEK Common carrier service: Endangered and threatened EDUCATION DEPARTMENT Incumbent local exchange species: AGRICULTURE Postsecondary education: carriers; accounting and Tidewater goby; northern DEPARTMENT Secretary's recognition of reporting requirements; populations; comments Agricultural Marketing accrediting agencies; comprehensive review; due by 8-23-99; published Service comments due by 8-24- comments due by 8-23- 6-24-99 Cherries (sweet) grown inÐ 99; published 6-25-99 99; published 8-18-99 Migratory bird hunting:

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Federal Indian reservations, Loan loss reserve fund; Rolls-Royce plc; comments Register but may be ordered off-reservation trust lands comments due by 8-25- due by 8-23-99; published in ``slip law'' (individual and ceded lands; 99; published 7-26-99 6-23-99 pamphlet) form from the comments due by 8-23- TRANSPORTATION Saab; comments due by 8- Superintendent of Documents, 99; published 8-13-99 DEPARTMENT 23-99; published 7-22-99 U.S. Government Printing INTERIOR DEPARTMENT Coast Guard Sikorsky; comments due by Office, Washington, DC 20402 Surface Mining Reclamation Drawbridge operations: 8-23-99; published 6-24- (phone, 202±512±1808). The and Enforcement Office Iowa and Illinois; comments 99 text will also be made Permanent program and due by 8-23-99; published Class D airspace; comments available on the Internet from abandoned mine land 7-22-99 due by 8-23-99; published GPO Access at http:// www.access.gpo.gov/nara/ reclamation plan Ports and waterways safety: 7-7-99 submissions: Class E airspace; comments index.html. Some laws may Lower New York Bay and not yet be available. Kansas; comments due by Raritan Bay, NY; safety due by 8-24-99; published 8-25-99; published 7-26- zone; comments due by 7-19-99 99 8-23-99; published 7-7-99 TRANSPORTATION S. 1543/P.L. 106±47 Mississippi; comments due Vessels and marine DEPARTMENT by 8-25-99; published 7- facilities; Year 2000 (Y2K) Research and Special To amend the Agricultural 26-99 reporting requirements; Programs Administration Adjustment Act of 1938 to Ohio; comments due by 8- comments due by 8-23- Hazardous materials: release and protect the 23-99; published 8-6-99 99; published 6-23-99 Hazardous materials release of tobacco production Oklahoma; comments due TRANSPORTATION transportationÐ and marketing information. by 8-25-99; published 8- DEPARTMENT Loading, unloading, and (Aug. 13, 1999; 113 Stat. 228) 10-99 Economic regulations: storage; regulatory Last List August 13, 1999 NATIONAL CREDIT UNION Domestic baggage liability; applicability; comments ADMINISTRATION comments due by 8-27- due by 8-25-99; Credit unions: 99; published 6-28-99 published 7-28-99 Credit union service TRANSPORTATION TREASURY DEPARTMENT organizationsÐ DEPARTMENT Internal Revenue Service Public Laws Electronic Real estate brokerage Federal Aviation Income taxes: Notification Service services; grandfather Administration Simplified production, and (PENS) exemption; comments Airworthiness directives: resale methods with historic absorption ratio due by 8-23-99; Airbus; comments due by 8- election; special rules; published 6-22-99 23-99; published 7-23-99 comments due by 8-23- PERSONNEL MANAGEMENT PENS is a free electronic mail Avions Mundry et Cie; 99; published 5-24-99 OFFICE comments due by 8-27- notification service of newly Retirement: 99; published 7-19-99 enacted public laws. To Civil Service Retirement Bell; comments due by 8- LIST OF PUBLIC LAWS subscribe, send E-mail to System (CSRS) and 23-99; published 6-24-99 [email protected] with Federal Employees Boeing; comments due by This is a continuing list of the text message: Retirement System 8-23-99; published 6-23- public bills from the current (FERS)Ð 99 session of Congress which SUBSCRIBE PUBLAWS-L State income tax Dassault; comments due by have become Federal laws. It Your Name. withholding and 8-23-99; published 7-22- may be used in conjunction with ``P L U S'' (Public Laws voluntary allotment 99 Note: This service is strictly Update Service) on 202±523± program; expansion; McDonnell Douglas; for E-mail notification of new 6641. This list is also comments due by 8-23- comments due by 8-23- public laws. The text of laws available online at http:// 99; published 6-23-99 99; published 7-23-99 is not available through this www.nara.gov/fedreg. SMALL BUSINESS MD Helicopters Inc.; service. PENS cannot respond ADMINISTRATION comments due by 8-23- The text of laws is not to specific inquiries sent to Business loans: 99; published 6-23-99 published in the Federal this address.

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