10–5–04 Tuesday Vol. 69 No. 192 Oct. 5, 2004
Pages 59541–59758
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i II Federal Register / Vol. 69, No. 192 / Tuesday, October 5, 2004
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Contents Federal Register Vol. 69, No. 192
Tuesday, October 5, 2004
Agricultural Marketing Service Comptroller of the Currency RULES NOTICES Fish and shellfish; country of origin labeling, 59707–59750 Agency information collection activities; proposals, PROPOSED RULES submissions, and approvals; comment request, 59643– Cherries (sweet) grown in— 59644 Washington, 59551–59557 Copyright Office, Library of Congress RULES Agriculture Department Copyright office and procedures: See Agricultural Marketing Service Sound recordings use under statutory licenses; notice and See Food Safety and Inspection Service recordkeeping requirements See Forest Service Correction, 59648 See Natural Resources Conservation Service See Rural Business-Cooperative Service Customs and Border Protection Bureau PROPOSED RULES Air Force Department Enforcement procedures to prevent the importation of NOTICES piratical articles; copyrights recordation, 59562–59569 Meetings: NOTICES Scientific Advisory Board, 59582 Agency information collection activities; proposals, submissions, and approvals, 59605–59606
Antitrust Division Defense Department NOTICES See Air Force Department National cooperative research notifications: RULES Accreditation Association for Ambulatory Health Care, Acquisition regulations: Inc., 59615–59616 Partnership Agreement 8(a) Program; extension Accredited Standards Committee X9, Inc., 59616 Correction, 59648 American Optometric Association Commission on Federal Acquisition Regulation (FAR): Ophthalmic Standards, 59616 Introduction; technical amendments, 59697–59698 Waste Equipment Technology Association, 59616–59617 Section 508 micropurchase exemption, 59701–59703 Small Entity Compliance Guide, 59703–59705 Standard Form 1417; elimination, 59698–59700 Antitrust Modernization Commission Technical amendments, 59702–59704 NOTICES Telecommuting for Federal contractors, 59700–59702 Meetings, 59579–59580 U.S.-Chile and U.S.-Singapore Free Trade Agreements; thresholds, 59699–59701 Centers for Disease Control and Prevention NOTICES Education Department Agency information collection activities; proposals, NOTICES submissions, and approvals, 59599–59600 Agency information collection activities; proposals, Committees; establishment, renewal, termination, etc.: submissions, and approvals, 59582–59584 Disease, Disability, and Injury Prevention and Control Election Assistance Commission Special Emphasis Panels, 59600 NOTICES Immunization Practices Advisory Committee, 59600 Agency information collection activities; proposals, Meetings: submissions, and approvals, 59584 National Institute for Occupational Safety and Health— Safety and Occupational Health Study Section, 59600– Employment Standards Administration 59601 NOTICES Agency information collection activities; proposals, Commerce Department submissions, and approvals; comment request, 59619 See National Oceanic and Atmospheric Administration See Patent and Trademark Office Energy Department See Federal Energy Regulatory Commission NOTICES Commodity Futures Trading Commission Inventions, Government-owned; availability for licensing, RULES 59584–59585 Commodity Exchange Act: Commodity interest transactions; intermediaries; Environmental Protection Agency amendments, correction, 59544–59545 RULES NOTICES Air quality implementation plans; approval and Agency information collection activities; proposals, promulgation; various States: submissions, and approvals, 59581–59582 Wisconsin, 59546–59549
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PROPOSED RULES Federal Housing Finance Board Air quality implementation plans; approval and NOTICES promulgation; various States: Agency information collection activities; proposals, Wisconsin, 59572–59573 submissions, and approvals, 59597 NOTICES Agency information collection activities; proposals, Federal Reserve System submissions, and approvals, 59589–59591 NOTICES Superfund; response and remedial actions, proposed Banks and bank holding companies: settlements, etc.: Formations, acquisitions, and mergers, 59597–59598 Beede Waste Oil Site, NH, 59591–59593 Meetings: Consumer Advisory Council, 59598 Federal Aviation Administration Meetings; Sunshine Act, 59598 RULES Air traffic operating and flight rules, etc.: Food and Drug Administration Flight limitation in the proximity of space flight PROPOSED RULES operations, 59751–59753 Human drugs: Airworthiness directives: Radioactive drugs for research uses; meeting, 59569– Bell Helicopter Textron Canada, 59541–59544 59572 PROPOSED RULES Airspace designations; incorporation by reference, 59755– Food Safety and Inspection Service 59758 NOTICES Airworthiness directives: Meetings: Airbus, 59557–59559 Food Safety Institute of the Americas; establishment, Boeing, 59559–59562 59574–59575 Samonella enteritidis in shell eggs and samonella spp. in liquid egg products; risk assessments, 59575–59576 Federal Communications Commission NOTICES Forest Service Agency information collection activities; proposals, NOTICES submissions, and approvals, 59593–59594 Meetings: Meetings: Oregon Coast Provincial Advisory Committee, 59576 Educational power of broadband; exploration symposium, Resource Advisory Committee— 59595 Tehama County, 59576–59577 Reports and guidance documents; availability, etc.: National Forest System lands: Advanced telecommunications capability in the United Timber sales contracts, 59577–59578 States, 59595–59596 General Services Administration Federal Deposit Insurance Corporation RULES NOTICES Federal Acquisition Regulation (FAR): Agency information collection activities; proposals, Introduction; technical amendments, 59697–59698 submissions, and approvals; comment request, 59596 Section 508 micropurchase exemption, 59701–59703 Small Entity Compliance Guide, 59703–59705 Federal Emergency Management Agency Standard Form 1417; elimination, 59698–59700 NOTICES Technical amendments, 59702–59704 Disaster and emergency areas: Telecommuting for Federal contractors, 59700–59702 Florida, 59606–59607 U.S.-Chile and U.S.-Singapore Free Trade Agreements; Georgia, 59607–59608 thresholds, 59699–59701 Mississippi, 59608 Health and Human Services Department North Carolina, 59608–59609 West Virginia, 59609 See Centers for Disease Control and Prevention Privacy Act: See Food and Drug Administration Systems of records, 59609–59611 See Indian Health Service Senior Executive Service: See National Institutes of Health Performance Review Board; membership, 59611–59612 See Substance Abuse and Mental Health Services Administration NOTICES Federal Energy Regulatory Commission Meetings: NOTICES Medicare Trustee Reports Technical Advisory Panel, Complaints filed: 59599 Cabazon Wind Partners, LLC, et al., 59587 Electric rate and corporate regulation filings, 59587–59588 Homeland Security Department Hydroelectric applications, 59588–59589 See Customs and Border Protection Bureau Meetings: See Federal Emergency Management Agency Southern Star Central Gas Pipeline, Inc.; settlement conference, 59589 Housing and Urban Development Department Applications, hearings, determinations, etc.: NOTICES Entrega Gas Pipeline, Inc., 59585–59586 Agency information collection activities; proposals, Trunkline Gas Co., LLC, 59586–59587 submissions, and approvals, 59612
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Indian Health Service National Oceanic and Atmospheric Administration NOTICES RULES Grants and cooperative agreements; availability, etc.: Fishery conservation and management: National Indian Health Board, 59601–59602 Northeastern United States fisheries— Surfclam and ocean quahog, 59550 Interior Department NOTICES See Land Management Bureau Environmental statements; availability, etc.: NOTICES Western Pacific pelagic fisheries; public hearing, 59580 Central Utah Project, Utah; contract for prepayment of costs, 59612–59613 Natural Resources Conservation Service Environmental statements; availability, etc.: NOTICES Utah Lake Drainage Basin Water Delivery System, 59613– Environmental statements; availability, etc.: 59614 East Fork of the Grand River Watershed Plan, IA and MO, 59578–59579
Internal Revenue Service Nuclear Regulatory Commission PROPOSED RULES NOTICES Excise taxes: Meetings: Taxable fuel entry; cross-reference; hearing, 59572 Reactor Safeguards Advisory Committee, 59620–59621 NOTICES Meetings; Sunshine Act, 59621–59622 Agency information collection activities; proposals, Applications, hearings, determinations, etc.: submissions, and approvals; comment request, 59644– General Electric Co., 59619–59620 59645 Privacy Act: Patent and Trademark Office Systems of records, 59645–59647 NOTICES Agency information collection activities; proposals, Justice Department submissions, and approvals, 59580–59581 See Antitrust Division Postal Service Labor Department RULES International Mail Manual: See Employment Standards Administration NOTICES Issue 30; issuance, 59545–59546 NOTICES Agency information collection activities; proposals, Domestic rates, fees, and mail classifications; changes, submissions, and approvals; comment request, 59617– 59622–59627 59618 Railroad Retirement Board Land Management Bureau NOTICES NOTICES Agency information collection activities; proposals, Meetings: submissions, and approvals, 59628 Resource Advisory Committees— John Day/Snake, 59614 Rural Business-Cooperative Service Resource Advisory Councils— PROPOSED RULES Eastern Washington, 59614 Special programs: Wild Horse and Burro Advisory Board, 59614–59615 Farm Security and Rural Investment Act of 2002; implementation— Library of Congress Renewable Energy Systems and Energy Efficiency See Copyright Office, Library of Congress Improvements, Grant, Guaranteed Loan, and Direct Loan Program, 59649–59695
National Aeronautics and Space Administration Securities and Exchange Commission RULES NOTICES Federal Acquisition Regulation (FAR): Self-regulatory organizations; proposed rule changes: Introduction; technical amendments, 59697–59698 Chicago Board Options Exchange, Inc., 59628–59630 Section 508 micropurchase exemption, 59701–59703 National Association of Securities Dealers, Inc., 59630– Small Entity Compliance Guide, 59703–59705 59634 Standard Form 1417; elimination, 59698–59700 Options Clearing Corp., 59634–59635 Technical amendments, 59702–59704 Pacific Exchange, Inc., 59635–59636 Telecommuting for Federal contractors, 59700–59702 Philadelphia Stock Exchange, Inc., 59636–59640 U.S.-Chile and U.S.-Singapore Free Trade Agreements; thresholds, 59699–59701 Small Business Administration NOTICES National Institutes of Health Disaster loan areas: NOTICES Alabama, 59640 Meetings: Florida, 59640–59641 Center for Scientific Review, 59602–59603 Pennsylvania, 59641 National Heart, Lung, and Blood Institute, 59603 Puerto Rico, 59641 National Institute on Drug Abuse, 59603–59604 West Virginia, 59641
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Substance Abuse and Mental Health Services Separate Parts In This Issue Administration NOTICES Part II Federal agency urine drug testing; certified laboratories Agriculture Department, Rural Business-Cooperative meeting minimum standards, list, 59604–59605 Service, 59649–59695
Part III Transportation Department Defense Department; General Services Administration; See Federal Aviation Administration National Aeronautics and Space Administration, 59697–59705 Treasury Department See Comptroller of the Currency Part IV See Internal Revenue Service Agriculture Department, Agricultural Marketing Service, NOTICES 59707–59750 Agency information collection activities; proposals, submissions, and approvals, 59641–59643 Part V Boycotts, international: Transportation Department, Federal Aviation Countries requiring cooperation; list, 59643 Administration, 59751–59753
Part VI U.S.-China Economic and Security Review Commission Transportation Department, Federal Aviation NOTICES Administration, 59755–59758 Meetings: Trade and investment impact on Pacific Northwest industries; public hearing, 59647 Reader Aids Consult the Reader Aids section at the end of this issue for Utah Reclamation Mitigation and Conservation phone numbers, online resources, finding aids, reminders, Commission and notice of recently enacted public laws. NOTICES To subscribe to the Federal Register Table of Contents Environmental statements; availability, etc.: LISTSERV electronic mailing list, go to http:// Utah Lake Drainage Basin Water Delivery System, 59613– listserv.access.gpo.gov and select Online mailing list 59614 archives, FEDREGTOC-L, Join or leave the list (or change settings); then follow the instructions.
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CFR PARTS AFFECTED IN THIS ISSUE
A cumulative list of the parts affected this month can be found in the Reader Aids section at the end of this issue.
7 CFR 60...... 59708 Proposed Rules: 923...... 59551 4280...... 59650 14 CFR 39...... 59541 91...... 59752 Proposed Rules: 39 (2 documents) ...... 59557, 59559 71...... 59756 97...... 59756 17 CFR 1...... 59544 19 CFR Proposed Rules: 133...... 59562 21 CFR Proposed Rules: 361...... 59569 26 CFR Proposed Rules: 48...... 59572 37 CFR 270...... 59648 39 CFR 20...... 59545 211...... 59545 40 CFR 52...... 59546 Proposed Rules: 52...... 59572 48 CFR Ch. 1 (2 documents) ...... 59698, 59704 1...... 59699 5...... 59700 7...... 59701 11...... 59701 12...... 59700 13 (3 documents) ...... 59699, 59700, 59701 14 (2 documents) ...... 59700, 59703 15...... 59701 17...... 59700 19 (2 documents) ...... 59699, 59700 22...... 59700 25...... 59700 33...... 59700 36...... 59699 39...... 59702 52 (2 documents) ...... 59700, 59703 53...... 59699 219...... 59648 50 CFR 648...... 59550
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Rules and Regulations Federal Register Vol. 69, No. 192
Tuesday, October 5, 2004
This section of the FEDERAL REGISTER Federal Register on June 24, 2004 (69 determined that air safety and the contains regulatory documents having general FR 35273). That action proposed to public interest require the adoption of applicability and legal effect, most of which require certain inspections of the yoke the rule as proposed. are keyed to and codified in the Code of for a crack, fretting, or buffer The FAA estimates that this AD will Federal Regulations, which is published under deterioration and, if a crack is found, 50 titles pursuant to 44 U.S.C. 1510. affect 105 helicopters of U.S. registry. replacing the yoke with an airworthy The FAA also estimates that this AD The Code of Federal Regulations is sold by yoke before further flight. If fretting or will: the Superintendent of Documents. Prices of buffer deterioration are found, that • Take 1⁄2 work hour to inspect the new books are listed in the first FEDERAL action proposed further inspecting the yoke every 25 hours time-in-service REGISTER issue of each week. hub assembly and repairing or replacing (TIS), assuming 8 inspections a year that any unairworthy parts. Also, the AD would equal 4 work hours per year; proposed a torque inspection of the • 1 DEPARTMENT OF TRANSPORTATION Take ⁄2 work hour to inspect the flapping bearing retaining nuts at flapping bearing retaining bolts torque specified intervals. Federal Aviation Administration every 50 hours TIS, assuming 4 Transport Canada, the airworthiness inspections a year that would equal 2 authority for Canada, notified the FAA 14 CFR Part 39 work hours per year; that an unsafe condition may exist on • Take 4 work hours to remove, [Docket No. 2004–SW–04–AD; Amendment BHTC Model 222, 222B, 222U, and 230 inspect, and replace the yoke if 39–13812; AD 2004–20–07] helicopters. Transport Canada advises of required. RIN 2120–AA64 a fatigue crack being found in a yoke in • the area of the flapping bearing The average labor rate is $65 per work hour. Airworthiness Directives; Bell bushings. • Required parts will cost about Helicopter Textron Canada Model 222, BHTC has issued Alert Service $32,675. 222B, 222U, and 230 Helicopters Bulletin (ASB) Nos. 222–03–97 for the Model 222 and 222B helicopters, 222U– Based on these figures, we estimate the AGENCY: Federal Aviation 03–68 for the Model 222U helicopters, total cost impact of the AD on U.S. Administration, DOT. and 230–03–28 for the Model 230 operators to be $3,499,125, assuming all ACTION: Final rule. helicopters, all dated September 23, yokes are replaced near the end of the 2003. The ASB’s specify a recurring first year. SUMMARY: This amendment adopts a visual inspection of the yoke for a crack, The regulations adopted herein will new airworthiness directive (AD) for the fretting, or buffer deterioration in the not have a substantial direct effect on specified Bell Helicopter Textron four (4) areas around the flapping the States, on the relationship between Canada (BHTC) model helicopters that bearing attachment bushings. The ASB’s the national Government and the States, requires certain inspections of the main also specify verifying the torque of the or on the distribution of power and rotor yoke (yoke) for a crack, fretting, or main rotor flapping bearing retaining responsibilities among the various buffer deterioration. If a crack is found, bolts/nuts. Transport Canada classified levels of government. Therefore, it is the AD requires replacing the yoke with these service bulletins as mandatory and determined that this final rule does not an airworthy yoke before further flight. issued AD No. CF–2003–27, dated have federalism implications under If fretting or buffer deterioration are November 17, 2003, to ensure the Executive Order 13132. found, the AD requires further continued airworthiness of these For the reasons discussed above, I inspecting the main rotor hub assembly helicopters in Canada. certify that this action (1) is not a (hub assembly) and repairing or These helicopter models are type ‘‘significant regulatory action’’ under replacing any unairworthy parts. Also, certificated in Canada for operation in Executive Order 12866; (2) is not a the AD requires a torque inspection of the United States under the provisions ‘‘significant rule’’ under DOT the flapping bearing retaining nuts at of 14 CFR 21.29 and the applicable Regulatory Policies and Procedures (44 specified intervals. This amendment is bilateral agreement. Pursuant to the FR 11034, February 26, 1979); and (3) prompted by the discovery of a crack in applicable bilateral agreement, will not have a significant economic a yoke. The actions specified by this AD Transport Canada has kept the FAA impact, positive or negative, on a are intended to prevent failure of the informed of the situation described substantial number of small entities yoke and subsequent loss of control of above. The FAA has examined the under the criteria of the Regulatory the helicopter. findings of Transport Canada, reviewed Flexibility Act. A final evaluation has DATES: Effective November 9, 2004. all available information, and been prepared for this action and it is FOR FURTHER INFORMATION CONTACT: determined that AD action is necessary contained in the Rules Docket. A copy Charles Harrison, Aviation Safety for products of these type designs that of it may be obtained from the Rules Engineer, FAA, Rotorcraft Directorate, are certificated for operation in the Docket at the FAA, Office of the Safety Management Group, Fort Worth, United States. Regional Counsel, Southwest Region, Texas 76193–0110, telephone (817) Interested persons have been afforded 2601 Meacham Blvd., Room 663, Fort 222–5128, fax (817) 222–5961. an opportunity to participate in the Worth, Texas. SUPPLEMENTARY INFORMATION: A making of this amendment. No List of Subjects in 14 CFR Part 39 proposal to amend 14 CFR part 39 to comments were received on the include an AD for the specified model proposal or the FAA’s determination of Air transportation, Aircraft, Aviation helicopters was published in the the cost to the public. The FAA has safety, Safety.
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Adoption of the Amendment PART 39—AIRWORTHINESS § 39.13 [Amended] DIRECTIVES I 2. Section 39.13 is amended by adding I Accordingly, pursuant to the authority a new airworthiness directive to read as delegated to me by the Administrator, I 1. The authority citation for part 39 follows: the Federal Aviation Administration continues to read as follows: amends part 39 of the Federal Aviation 2004–20–07 Bell Helicopter Textron Authority: 49 U.S.C. 106(g), 40113, 44701. Canada: Amendment 39–13812. Docket Regulations (14 CFR part 39) as follows: No. 2004–SW–04–AD. Applicability: The following helicopter models, certificated in any category:
With main rotor hub (hub) assembly Model Serial number (S/N) part number installed
(1) 222 ...... 47006–47089 222–011–101–ALL or 222–012–101–ALL. (2) 222B ...... 47131–47156 222–011–101–ALL or 222–012–101–ALL. (3) 222U ...... 47501–47574 222–011–101–ALL or 222–012–101–ALL. (4) 230 ...... 23001–23038 222–012–101–ALL.
Compliance: Required as indicated, unless (a) Within 50 hours time-in-service (TIS) or for a crack, fretting or buffer deterioration in accomplished previously. by the next scheduled inspection for the hub the four areas around the flapping bearing To prevent failure of the yoke and assembly, whichever occurs first, and attachment bushings as shown in the subsequent loss of control of the helicopter, thereafter at intervals not to exceed 25 hours following Figure 1 of this AD: accomplish the following: TIS, using a 10X or higher magnifying glass, visually inspect the main rotor yoke (yoke) BILLING CODE 4910–13–P
Note 1: Bell Helicopter Textron Alert 230, all dated September 23, 2003, pertain to (2) If fretting or buffer deterioration is Service Bulletin (ASB) Nos. 222–03–97 for the subject of this AD. found on the yoke in the areas shown in the Model 222 and 222B, 222U–03–68 for the (1) If a crack is found, before further flight, Figure 1 of this AD, before further flight, Model 222U, and 230–03–28 for the Model replace the yoke with an airworthy yoke. disassemble the hub assembly and further
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inspect the yoke with a 10X or higher (i) If a crack is found on any part, before (ii) If fretting or buffer deterioration is magnifying glass in the four areas shown in further flight, replace the part with an found on any part, before further flight, Figures 2 and 3 of this AD. airworthy part. repair any unairworthy part or replace the part with an airworthy part.
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BILLING CODE 4910–13–C Note 2: The subject of this AD is addressed positions. The correcting amendment (b) Within 50 hours TIS or by the next in Transport Canada (Canada) AD CF–2003– makes clear that an account controller, scheduled inspection for each hub assembly, 27, dated November 17, 2003. in addition to the customer, may whichever occurs first, and thereafter at Issued in Fort Worth, Texas, on September instruct a futures commission merchant intervals not to exceed 50 hours TIS, 24, 2004. (FCM) to hold open offsetting long and determine the torque of the four main rotor short commodity interest positions. flapping bearing retaining bolts or nuts. Scott A. Horn, While holding the bolt head, apply 100 foot- Acting Manager, Rotorcraft Directorate, EFFECTIVE DATE: October 5, 2004. Aircraft Certification Service. pounds (135Nm) of torque to the nut in the FOR FURTHER INFORMATION CONTACT: tightening direction. [FR Doc. 04–22265 Filed 10–4–04; 8:45 am] Lawrence B. Patent, Deputy Director, (1) If 100 foot-pounds (135Nm) of torque is BILLING CODE 4910–13–P Compliance and Registration Section, reached without movement of the nut, before Division of Clearing and Intermediary further flight, torque the nut to 125 foot- Oversight, Commodity Futures Trading pounds. COMMODITY FUTURES TRADING Commission, 1155 21st Street NW., (2) If any nut moves before reaching 100 COMMISSION Washington, DC 20581. Telephone (202) foot-pounds (135Nm) of torque, before 418–5439. further flight, remove both flapping bearings 17 CFR Part 1 from the hub assembly. Inspect the yoke, the SUPPLEMENTARY INFORMATION: On bolt and nut, and the trunnion supports with RIN 3038–AB56 October 23, 2001, the Commodity a 10X or higher magnifying glass, for a crack, Futures Trading Commission fretting, or buffer deterioration. Close Out of Offsetting Positions; (Commission) published final (i) If a crack is found on any part, before Correction amendments to Commission Rule 1.46, further flight, replace the part with an AGENCY: Commodity Futures Trading among others. The Commission airworthy part. Commission. amended Rule 1.46 to permit customers (ii) If fretting or buffer deterioration is ACTION: Correcting amendment. or account controllers to instruct FCMs found on any part, before further flight, (in writing or orally) if they wish to repair any unairworthy part or replace the SUMMARY: This document contains a deviate from the default rule that part with an airworthy part. (c) To request a different method of correcting amendment to the final rule requires FCMs to close out offsetting compliance or a different compliance time amendments that were published on long and short commodity interest for this AD, follow the procedures in 14 CFR October 23, 2001 (66 FR 53510). Those positions on a first-in, first-out basis, 39.19. Contact the Safety Management Group, rule amendments related to various looking across all accounts carried for FAA, for information about previously aspects of the operations of the same customer. 66 FR 53510, 53514, approved alternative methods of compliance. intermediaries of commodity interest 53517–18. The Commission stated that, (d) This amendment becomes effective on transactions. The particular rule in issue ‘‘[i]n order to implement this revision of November 9, 2004. concerns the close out of offsetting Rule 1.46, the Commission is amending
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the rule by inserting, after the words Need for Correction FOR FURTHER INFORMATION CONTACT: ‘omnibus accounts’ in paragraph (a), the As published, the final rules contain Obataiye B. Akinwole, (202) 268–7262. phrase ‘or where the customer or regulatory text that may prove to be SUPPLEMENTARY INFORMATION: Issue 30 of account controller has instructed misleading and is in need of the International Mail Manual was otherwise.’’’ Id. at 53514 (emphasis clarification. issued on August 1, 2004. It replaced added). the previous issue of the IMM, and List of Subjects in 17 CFR Part 1 Despite this clear statement of the contained all IMM revisions from June Commission’s intent in the preamble of Commodity futures; Reporting and 13, 2003, through July 22, 2004. the adopting Federal Register release, recordkeeping requirements. This new Issue of the IMM continues the regulatory text neglected to include to serve the objectives of the Postal the words ‘‘or account controller,’’ so PART 1—GENERAL REGULATIONS Service’s Transformation Plan of April that it appears that only the customer UNDER THE COMMODITY EXCHANGE 2000, to enable the Postal Service to ACT may direct an FCM to deviate from the fulfill its long-standing mission of providing affordable, universal mail default rule requiring closing out of I Accordingly, 17 CFR Part 1 is corrected offsetting long and short commodity service. The Plan’s key strategies by making the following technical include improving operational interest positions. Id. at 53517. The amendments: efficiency, supporting growth through same discrepancy between the I 1. The authority citation for Part 1 added value to customers, and Commission’s clear intention as continues to read as follows: enhancing the Postal Service’s expressed in the preamble and the performance-based culture. regulatory text appears in the proposing Authority: 7 U.S.C. 1a, 2, 2a, 4, 4a, 6, 6a, 1 6b, 6c, 6d, 6e, 6f, 6g, 6h, 6i, 6j, 6k, 6l, 6m, In addition, Issue 30 sets forth release, as well as in earlier releases 6n, 6o, 6p, 7, 7a, 7b, 8, 9, 12, 12a, 12c, 13a, specific changes affecting international proposing and adopting the same rule 13a–l, 16, 16a, 19, 21, 23 and 24. postal services, such as the adoption of amendment. 2 The Commission’s clear I new customs forms for international intention to permit account controllers 2. In § 1.46, paragraph (a) introductory text is revised to read as follows: mail and military mail, and the network as well as customers to instruct an FCM change that removed Washington Dulles to hold open an offsetting position is (a) Application of purchases and sales. Except with respect to purchases or sales International Airport as a U.S. bolstered by the fact that, prior to the which are for omnibus accounts, or International Exchange Office. The new rule amendments, the rule contained where the customer or account controller Issue also corrects various printing and exceptions that permitted account has instructed otherwise, any futures format errors and omissions in the controllers to make such an instruction, commission merchant who, on or subject previous Issue. albeit subject to certain conditions. to the rules of a designated contract The International Mail Manual is Amendments intended to broaden, market or registered derivatives available to the public on a subscription simplify and streamline the rule would transaction execution facility: basis only from: New Orders, not further restrict those persons able to Superintendent of Documents, P.O. Box * * * * * take advantage of the ability to deviate 371954, Pittsburgh, PA 15250–7954. from the normal procedure. § 1.46 Application and closing out of off The subscription price for one issue is The Commission, to eliminate the setting long and short positions. currently $36 to addresses in the United inadvertent confusion that it may have States, and $50.40 to all foreign Issued in Washington, DC on September addresses. The IMM is also published created in this area, has determined to 28, 2004 by the Commission. and available to all users on the Internet make a technical amendment to the Jean A. Webb, introductory text of Rule 1.46(a) so that at http://pe.usps.gov. Secretary of the Commission. it is clear that an account controller, as List of Subjects well as the customer, may instruct an [FR Doc. 04–22298 Filed 10–4–04; 8:45 am] FCM to hold open offsetting commodity BILLING CODE 6351–01–M 39 CFR Part 20 interest positions. Of course, an FCM Foreign relations, Incorporation by retains the discretion to refuse to honor reference. any such instruction from a customer or POSTAL SERVICE account controller and to apply the 39 CFR Part 211 general rule of closing out offsetting 39 CFR Parts 20 and 211 Administrative practice and long and short commodity interest procedure. positions on a first-in, first-out basis. International Mail Manual; I In view of the considerations Incorporation by Reference discussed above, the Postal Service 1 66 FR 45221, 45227, 45230 (August 28, 2001). AGENCY: Postal Service. hereby amends 39 CFR chapter I as 2 66 FR 39008, 39017, 39022 (June 22, 2000) follows: (proposed rules); 66 FR 77993, 78007, 78013 ACTION: Final rule. (December 13, 2000) (final rules). Due to the PART 211—APPLICATION OF intervening enactment of revisions to the SUMMARY: The Postal Service announces Commodity Exchange Act by the Commodity REGULATIONS Futures Modernization Act of 2000 (CFMA), the the issuance of Issue 30 of the Commission withdrew almost all of the final rules International Mail Manual (IMM), and I 1. The authority citation for part 211 relating to intermediaries adopted in November its incorporation by reference in the continues to read as follows: 2000, including the amendments to Rule 1.46. Upon Code of Federal Regulations. further review of the amendments to Rule 1.46 in Authority: 39 U.S.C. 201, 202, 401(2), 402, light of the enactment of the CFMA, the EFFECTIVE DATE: This final rule is 403, 404, 410, 1001, 1005, 1209; Pub. L. 91– Commission re-proposed and re-adopted the effective on October 5, 2004. The 375, Secs. 3–5, 84 Stat. 773–75. amendments to Rule 1.46 in 2001 without incorporation by reference of Issue 30 of substantive change. Although comments were § 211.2 [Amended] received on both proposals to amend Rule 1.46, no the IMM is approved by the Director of I one pointed out the discrepancy between the the Federal Register as of October 5, 2. In § 211.2(a)(2), remove the words preamble and the regulatory text cited above. 2004. ‘‘Publication 42 (International Mail)’’
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and add ‘‘International Mail Manual’’ in ENVIRONMENTAL PROTECTION International Mail Date of issuance their place. Manual AGENCY I 3. Part 20 is revised to read as follows: Issue 23 ...... July 1, 2000. 40 CFR Part 52 PART 20—INTERNATIONAL POSTAL Issue 24 ...... January 1, 2001. SERVICE Issue 25 ...... July 1, 2001. [WI117–01–7347a, FRL–7637–2] Issue 26 ...... January 1, 2002. Sec. Issue 27 ...... June 30, 2002. Approval and Promulgation of Air 20.1 International Mail Manual; Issue 28 ...... January 1, 2003. Quality Implementation Plans; incorporation by reference. Issue 29 ...... July 1, 2003. Wisconsin; Northern Engraving 20.2 Effective date of the International Mail Environmental Cooperative Agreement Manual. Issue 30 ...... August 1, 2004. 20.3 Availability of the International Mail AGENCY: Environmental Protection Manual. § 20.2 Effective date of the International Agency. 20.4 Amendments to the International Mail Mail Manual. Manual. ACTION: Direct final rule. 20.5 [Reserved] The provisions of the International SUMMARY: The Environmental Protection Mail Manual Issue 30, effective August Authority: 5 U.S.C. 552(a); 39 U.S.C. 401, Agency (EPA) is approving a June 27, 404, 407, 408. 1, 2004, are applicable with respect to 2003, request from Wisconsin to revise the international mail services of the its State Implementation Plan (SIP) for § 20.1 International Mail Manual; Postal Service. incorporation by reference. a source specific revision for Northern (a) Section 552(a) of Title 5, U.S.C., § 20.3 Availability of the International Mail Engraving Corporation (NEC). The Clean relating to the public information Manual. Air Act (Act), provides the authority for requirements of the Administrative a state to provide a plan for the Copies of the International Mail Procedure Act, provides in pertinent implementation, maintenance, and Manual may be purchased from the part that ‘‘* * * matter reasonably enforcement of the national ambient air available to the class of persons affected Superintendent of Documents, U.S. quality standards in each air quality thereby is deemed published in the Government Printing Office, control region. The Wisconsin Federal Register when incorporated by Washington, DC 20402–9371. The IMM Department of Natural Resources reference therein with the approval of is available for examination on the (WDNR) and EPA entered into a the Director of the Federal Register.’’ In Internet at http://pe.usps.gov. Copies are memorandum of agreement concerning conformity with that provision, with 39 available for public inspection during implementation of a joint cooperative U.S.C. 410(b)(1), and as provided in this regular business hours at area and pilot program and agreed to pursue part, the U.S. Postal Service hereby district offices of the Postal Service and regulatory innovation at two NEC incorporates by reference its at all post offices, classified stations, facilities in Holmen, Wisconsin and International Mail Manual (IMM), Issue and classified branches. You may also Sparta, Wisconsin. Since then, the 30, dated August, 2004. The Director of inspect a copy at the U.S. Postal Service WDNR has amended the agreement to the Federal Register approves this Library, 475 L’Enfant Plaza West SW., include two additional NEC facilities in incorporation by reference in Washington, DC 20260–1641, or at the Galesville, Wisconsin and West Salem, accordance with 5 U.S.C. 552(a) and 1 National Archives and Records Wisconsin. Because portions of the CFR part 51. Administration (NARA). For Environmental Cooperative Agreement with NEC supercede portions of rules in (b) The current Issue of the IMM is information on the availability of this the Wisconsin SIP, a source-specific SIP incorporated by reference in paragraph material at NARA, call 202–741–6030, revision is required. (a) of this section. Successive Issues of or go to: http://www.archives.gov/ the IMM are listed in the following federal_register/ DATES: This rule is effective on table: code_of_federal_regulations/ December 6, 2004, unless EPA receives adverse written comments by November ibr_locations.html. International Mail 4, 2004. If EPA receives adverse Manual Date of issuance § 20.4 Amendments to the International comments, EPA will publish a timely Issue 1 ...... November 13, 1981. Mail Manual. withdrawal of the rule in the Federal Register and inform the public that the Issue 2 ...... March 1, 1983. New issues of the International Mail Issue 3 ...... July 4, 1985. rule will not take effect. Manual will be incorporated by Issue 4 ...... September 18, 1986. ADDRESSES: You may inspect copies of reference into this part and will be Issue 5 ...... April 21, 1988. the documents relevant to this action available at http://pe.usps.gov. The text Issue 6 ...... October 5, 1988. during normal business hours at the Issue 7 ...... July 20, 1989. of amendments to the International Mail Issue 8 ...... June 28, 1990. following location: United States Manual will be published in the Federal Environmental Protection Agency Issue 9 ...... February 3, 1991. Register and will be available in the Issue 10 ...... June 25, 1992. Region 5, 77 West Jackson Boulevard, Issue 11 ...... December 24, 1992. Postal Bulletin, copies of which may be Chicago, Illinois, 60604. Issue 12 ...... July 8, 1993. accessed at http://www.usps.com/cpim/ Send written comments to: Pamela Issue 13 ...... February 3, 1994. ftp/bulletin/pb.htm. Blakely, Chief, Permits and Grants Issue 14 ...... August 4, 1994. § 20.5 [Reserved] Section, United States Environmental Issue 15 ...... July 9, 1995. Protection Agency (AR–18J), 77 West Issue 16 ...... January 4, 1996. Issue 17 ...... September 12, 1996. Stanley F. Mires, Jackson Boulevard, Chicago, Illinois Issue 18 ...... June 9, 1997. Chief Counsel, Legislative. 60604. Issue 19 ...... October 9, 1997. [FR Doc. 04–22233 Filed 10–4–04; 8:45 am] Comments may also be submitted Issue 20 ...... July 2, 1998. electronically or through hand delivery/ BILLING CODE 7710–12–P Issue 21 ...... May 3, 1999. courier, please follow the detailed Issue 22 ...... January 1, 2000. instructions described in part (I)(B)(1)(i)
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through (iii) of the SUPPLEMENTARY copyrighted material, EPA will provide of submitting electronic comments to INFORMATION section. a reference to that material in the EPA. Go directly to Regulations.gov at FOR FURTHER INFORMATION CONTACT: version of the comment that is placed in http://www.regulations.gov, then click Constantine Blathras at (312) 886–0671. the official public rulemaking file. The on the button ‘‘TO SEARCH FOR [email protected]. entire printed comment, including the REGULATIONS CLICK HERE’’, and SUPPLEMENTARY INFORMATION: This copyrighted material, will be available select Environmental Protection Agency SUPPLEMENTARY INFORMATION section is at the Regional Office for public as the Agency name to search on. The organized as follows: inspection. list of current EPA actions available for comment will be listed. Please follow B. How and To Whom Do I Submit I. General Information the online instructions for submitting II. Background Comments? III. EPA Rulemaking Action comments. The system is an IV. Statutory and Executive Order Reviews You may submit comments ‘‘anonymous access’’ system, which electronically, by mail, or through hand means EPA will not know your identity, I. General Information delivery/courier. To ensure proper e-mail address, or other contact A. How Can I Get Copies Of This receipt by EPA, identify the appropriate information unless you provide it in the Document and Other Related rulemaking identification number by body of your comment. Information? including the text ‘‘Public comment on iii. Disk or CD ROM. You may submit proposed rulemaking Region 5 Air comments on a disk or CD ROM that 1. The Regional Office has established Docket WI117’’ in the subject line on the you mail to the mailing address an official public rulemaking file first page of your comment. Please identified in section 2, directly below. available for inspection at the Regional ensure that your comments are These electronic submissions will be Office. EPA has established an official submitted within the specified comment accepted in WordPerfect, Word or ASCII public rulemaking file for this action period. Comments received after the file format. Avoid the use of special under ‘‘Region 5 Air Docket WI117.’’ close of the comment period will be characters and any form of encryption. The official public file consists of the marked ‘‘late.’’ EPA is not required to 2. By Mail. Send your comments to: documents specifically referenced in consider these late comments. Pamela Blakely, Chief, Permits and this action, any public comments 1. Electronically. If you submit an Grants Section, Air Programs Branch, received, and other information related electronic comment as prescribed (AR–18J), U.S. Environmental to this action. Although a part of the below, EPA recommends that you Protection Agency, Region 5, 77 West official docket, the public rulemaking include your name, mailing address, Jackson Boulevard, Chicago, Illinois file does not include Confidential and an e-mail address or other contact 60604. Please include the text ‘‘Public Business Information (CBI) or other information in the body of your comment on proposed rulemaking information whose disclosure is comment. Also include this contact Regional Air Docket WI117’’ in the restricted by statute. The official public information on the outside of any disk subject line on the first page of your rulemaking file is the collection of or CD ROM you submit, and in any comment. materials that is available for public cover letter accompanying the disk or 3. By Hand Delivery or Courier. viewing at the Air Programs Branch, Air CD ROM. This ensures that you can be Deliver your comments to: Pamela and Radiation Division, EPA Region 5, identified as the submitter of the Blakely, Chief, Permits and Grants 77 West Jackson Boulevard, Chicago, comment and allows EPA to contact you Section, Air Programs Branch, (AR–18J), Illinois 60604. EPA requests that if at all in case EPA cannot read your comment U.S. Environmental Protection Agency, possible, you contact the contact listed due to technical difficulties or needs Region 5, 77 West Jackson Boulevard, in the FOR FURTHER INFORMATION further information on the substance of 18th floor, Chicago, Illinois 60604. Such CONTACT section to schedule your your comment. EPA’s policy is that EPA deliveries are only accepted during the inspection. The Regional Office’s will not edit your comment, and any Regional Office’s normal hours of official hours of business are Monday identifying or contact information operation. The Regional Office’s official through Friday, 8:30 to 4:30 excluding provided in the body of a comment will hours of business are Monday through Federal holidays. be included as part of the comment that Friday, 8:30 to 4:30 excluding Federal 2. Electronic Access. You may access is placed in the official public docket. holidays. this Federal Register document If EPA cannot read your comment due electronically through the to technical difficulties and cannot C. How Should I Submit CBI to the Regulations.gov Web site located at contact you for clarification, EPA may Agency? http://www.regulations.gov where you not be able to consider your comment. Do not submit information that you can find, review, and submit comments i. E-mail. Comments may be sent by consider to be CBI electronically to EPA. on Federal rules that have been electronic mail (e-mail) to You may claim information that you published in the Federal Register, the [email protected]. Please include submit to EPA as CBI by marking any Government’s legal newspaper, and are the text ‘‘Public comment on proposed part or all of that information as CBI (if open for comment. rulemaking Region 5 Air Docket WI117’’ you submit CBI on disk or CD ROM, For public commenters, it is in the subject line. EPA’s e-mail system mark the outside of the disk or CD ROM important to note that EPA’s policy is is not an ‘‘anonymous access’’ system. If as CBI and then identify electronically that public comments, whether you send an e-mail comment directly within the disk or CD ROM the specific submitted electronically or in paper, without going through Regulations.gov, information that is CBI). Information so will be made available for public EPA’s e-mail system automatically marked will not be disclosed except in viewing at the EPA Regional Office, as captures your e-mail address. E-mail accordance with procedures set forth in EPA receives them and without change, addresses that are automatically 40 CFR part 2. unless the comment contains captured by EPA’s e-mail system are In addition to one complete version of copyrighted material, CBI, or other included as part of the comment that is the comment that includes any information whose disclosure is placed in the official public docket. information claimed as CBI, a copy of restricted by statute. When EPA ii. Regulations.gov. Your use of the comment that does not contain the identifies a comment containing Regulations.gov is an alternative method information claimed as CBI must be
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submitted for inclusion in the official spray coating, lithographic printing and plan for the implementation, public regional rulemaking file. If you pad printing processes. maintenance, and enforcement of the submit the copy that does not contain The innovative components of the national ambient air quality standards CBI on disk or CD ROM, mark the proposal for the NEC Galesville and in each air quality control region. The outside of the disk or CD ROM clearly West Salem facilities include: (1) Wisconsin Department of Natural that it does not contain CBI. Information Waiver from the requirements that Resources (WDNR) and EPA entered not marked as CBI will be included in facilities obtain a new permit prior to into a memorandum of agreement the public file and available for public construction; (2) waiver from the concerning implementation of a joint inspection without prior notice. If you requirement that facilities receive an cooperative pilot program and agreed to have any questions about CBI or the appropriate permit prior to operating pursue regulatory innovation at two procedures for claiming CBI, please new process equipment; (3) waiver in NEC facilities in Holmen, Wisconsin consult the person identified in the FOR the facilities’ minor source permits of and Sparta, Wisconsin. Since then, the FURTHER INFORMATION CONTACT section. individual process line latest available WDNR has amended the agreement to control technology requirements for include two additional NEC facilities in II. Background controlling volatile organic compound Galesville, Wisconsin and West Salem, On March 25, 1999, the WDNR and emissions; and (4) recordkeeping and Wisconsin. Because portions of the the EPA entered into a memorandum of reporting flexibility. Environmental Cooperative Agreement agreement concerning implementation The Environmental Cooperative with NEC supercede portions of rules in of the joint state/EPA agreement to Agreement, specifically section XII the Wisconsin SIP, a source-specific SIP pursue regulatory innovation and the (Operational Flexibility and Variances), revision is required. Wisconsin Environmental Cooperation proposes to establish new requirements The EPA is publishing this SIP Pilot Program. On June 7, 2002, Thomas for the two NEC facilities. The proposed revision approval without prior V. Skinner, Regional Administrator, new requirements would replace or proposal, because EPA views this as a EPA Region 5, sent a letter to Darrell revise certain requirements that might noncontroversial revision and Bazzell, Secretary, WDNR, containing otherwise apply to those sources. Some anticipates no adverse comments. EPA’s final response to the WDNR’s of the requirements to be replaced or However, in a separate document in this revised are currently embodied in innovation proposal for alternative Federal Register publication, EPA is Wisconsin’s SIP for meeting air quality permit conditions at the NEC facilities. proposing to approve the SIP revision objectives. In such cases, the proposed The NEC facilities affected by that should adverse written comments be flexibility in the Environmental agreement were the Holmen and Sparta filed. The approval of this SIP revision Cooperative Agreement cannot be facility. On January 24, 2003, EPA will be effective without further notice granted by WDNR unless the new published a direct final rule in the unless EPA receives relevant adverse requirements are first approved by EPA Federal Register (68 FR 3404) approving written comments by November 4, 2004. as a source-specific revision to the SIP. the request from Wisconsin to revise its Should EPA receive such comments, we The innovative components of the SIP for a source specific revision for will publish a final rule informing the agreement listed above provide the public that this action will not take NEC’s Sparta and Holmen facilities. No additional NEC facilities the flexibility effect. Any parties interested in comments were received during the to commence construction or operating commenting on this action should do so comment period for those facilities. of the process equipment prior to at this time. If we do not receive The purpose of this action is to obtaining a construction. The facility comments, this action will be effective include two additional facilities into the would continue to comply with the on December 6, 2004. source specific SIP revision under the facility wide emission limitations in the agreement between WDNR and NEC. permit. Additionally, certain processes V. Statutory and Executive Order The Galesville facility is located at 1200 at the West Salem facility would not Reviews W. Gale Avenue, Trempeauleau County, have to comply with the reasonable Executive Order 12866: Regulatory Galesville, Wisconsin, and the West available control technology Planning and Review Salem facility is located at 600 Brickl requirements for controlling volatile Road, La Crosse County, West Salem, organic compounds. The individual Under Executive Order 12866 (58 FR Wisconsin. Both Trempealeau and La process lines at both NEC facilities 51735, October 4, 1993), this action is Crosse counties have been classified as would not have to apply the latest not a ‘‘significant regulatory action’’ and unclassifiable/attainment for ozone, available control technique for therefore is not subject to review by the since November 15, 1990. Volatile controlling volatile organic compound Office of Management and Budget. organic compounds are a precursor to emissions. The NEC facilities are now Executive Order 13211: Actions ozone. Each facility’s permit includes required to keep monthly records of facility-wide emission rates for volatile Concerning Regulations That emissions for each facility. Significantly Affect Energy Supply, organic compounds and hazardous air The WDNR submitted portions of Distribution, or Use pollutants. The Northern Engraving section XII of the Environmental Galesville facility manufactures Cooperative Agreement (Operational For this reason, this action is also not decorative plastic automotive trim and Flexibility and Variances) as a source- subject to Executive Order 13211, nameplates for the automotive and specific SIP revision. ‘‘Actions Concerning Regulations That appliance industries. Operations Significantly Affect Energy Supply, include screening of plastic sheets, III. EPA Rulemaking Action Distribution, or Use’’ (66 FR 28355, May punch pressing, laser cutting and The EPA is approving a June 27, 2003, 22, 2001). etching, inspection, spray touch-up, request from Wisconsin to revise its shipping and receiving. The Northern State Implementation Plan (SIP) for a Regulatory Flexibility Act Engraving West Salem facility source specific revision for Northern This action merely approves state law manufactures plastic and metal Engraving Corporation (NEC). Section as meeting Federal requirements and decorative automotive trim. Operations 110 of the Act, 42 U.S.C. 7410, provides imposes no additional requirements include screen printing, roll coating, the authority for a state to provide a beyond those imposed by state law.
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Accordingly, the Administrator certifies failure to use VCS. It would thus be PART 52—[AMENDED] that this rule will not have a significant inconsistent with applicable law for economic impact on a substantial EPA, when it reviews a SIP submission, I 1. The authority citation for part 52 number of small entities under the to use VCS in place of a SIP submission continues to read as follows: Regulatory Flexibility Act (5 U.S.C. 601 that otherwise satisfies the provisions of Authority: 42 U.S.C. 7401 et seq. et seq.). the Clean Air Act. Thus, the requirements of section 12(d) of the Subpart YY—Wisconsin Unfunded Mandates Reform Act National Technology Transfer and Because this rule approves pre- Advancement Act of 1995 (15 U.S.C. I 2. Section 52.2570 is amended by existing requirements under state law 272 note) do not apply. and does not impose any additional adding paragraph (c)(110) to read as Paperwork Reduction Act enforceable duty beyond that required follows: This rule does not impose an by state law, it does not contain any § 52.2570 Identification of plan. unfunded mandate or significantly or information collection burden under the uniquely affect small governments, as provisions of the Paperwork Reduction * * * * * described in the Unfunded Mandates Act of 1995 (44 U.S.C. 3501 et seq.). (c) * * * Reform Act of 1995 (Public Law 104–4). Congressional Review Act (110) On June 27, 2003, the Wisconsin Executive Order 13175: Consultation The Congressional Review Act, 5 Department of Natural Resources and Coordination With Indian Tribal U.S.C. 801 et seq., as added by the Small (WDNR) submitted a site specific Governments Business Regulatory Enforcement revision to its state implementation plan This rule also does not have tribal Fairness Act of 1996, generally provides for emissions from Northern Engraving implications because it will not have a that before a rule may take effect, the Corporation’s (Northern Engraving) substantial direct effect on one or more agency promulgating the rule must Galesville and West Salem facilities in Indian tribes, on the relationship submit a rule report, which includes a the form of operating permit conditions, between the Federal Government and copy of the rule, to each House of the based upon an Environmental Indian tribes, or on the distribution of Congress and to the Comptroller General Cooperative Agreement reached power and responsibilities between the of the United States. EPA will submit a between WDNR and Northern Engraving Federal Government and Indian tribes, report containing this rule and other for incorporation into the federally as specified by Executive Order 13175 required information to the U.S. Senate, enforceable State Implementation Plan (65 FR 67249, November 9, 2000). the U.S. House of Representatives, and (SIP). An exemption for pre- the Comptroller General of the United construction permitting activities for Executive Order 13132: Federalism States prior to publication of the rule in certain physical changes or changes in This action also does not have the Federal Register. A major rule the method of operation at the Northern cannot take effect until 60 days after it federalism implications because it does Engraving Corporation’s Galesville and is published in the Federal Register. not have substantial direct effects on the West Salem facilities is established. This action is not a ‘‘major rule’’ as States, on the relationship between the Specific permit conditions for these two national government and the States, or defined by 5 U.S.C. 804(2). Under section 307(b)(1) of the Act, facilities are incorporated by reference on the distribution of power and in the SIP. responsibilities among the various petitions for judicial review of this levels of government, as specified in action must be filed in the United States (i) Incorporation by reference. Executive Order 13132 (64 FR 43255, Court of Appeals for the appropriate (A) Specific Permit Conditions under August 10, 1999). This action merely circuit by December 6, 2004. Filing a the Environmental Cooperative petition for reconsideration by the approves a state rule implementing a Agreement for Northern Engraving Administrator of this final rule does not Federal standard, and does not alter the Corporation’s (NEC) Galesville facility relationship or the distribution of power affect the finality of this rule for the purposes of judicial review nor does it contained in Part I.A. of Wisconsin Air and responsibilities established in the Pollution Control Operation Permit NO. Clean Air Act. extend the time within which a petition for judicial review may be filed, and 662008930–F02 issued April 26, 2002 to Executive Order 13045: Protection of shall not postpone the effectiveness of NEC, 1200 West Gale Avenue, Children From Environmental Health such rule or action. This action may not Galesville, Trempeauleau County, and Safety Risks be challenged late in proceedings to Wisconsin. This permit expires April This rule also is not subject to enforce its requirements. 26, 2007. Executive Order 13045 ‘‘Protection of List of Subjects in 40 CFR Part 52 (B) Specific Permit Conditions under Children from Environmental Health the Environmental Cooperative Risks and Safety Risks’’ (62 FR 19885, Environmental protection, Air Agreement for Northern Engraving April 23, 1997), because it is not pollution control, Incorporation by Corporation’s (NEC) West Salem facility reference, Intergovernmental relations, economically significant. contained in Part I.A. of Wisconsin Air Volatile organic compounds. Pollution Control Operation Permit NO. National Technology Transfer Dated: March 1, 2004. Advancement Act 632024800–F01 issued June 23, 2003 to Jo Lynn Traub, NEC, 600 Brickl Road, West Salem, La In reviewing SIP submissions, EPA’s Acting Regional Administrator, Region 5. Cross County, Wisconsin. This permit role is to approve state choices, expires June 23, 2008. provided that they meet the criteria of Editorial Note: This document was the Clean Air Act. In this context, in the received at the Office of the Federal Register [FR Doc. 04–22250 Filed 10–4–04; 8:45 am] on September 29, 2004. absence of a prior existing requirement BILLING CODE 6560–50–P for the State to use voluntary consensus I Part 52, Chapter I, Title 40 of the Code standards (VCS), EPA has no authority of Federal Regulations is amended as to disapprove a SIP submission for follows:
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DEPARTMENT OF COMMERCE DATES: Effective January 1, 2005, size annually for fishing years 2005– through December 31, 2005. 2007 if the proportion of undersized National Oceanic and Atmospheric FOR FURTHER INFORMATION CONTACT: surfclams is under 30 percent of the Administration Brian R. Hooker, Policy Analyst, 978– total surfclam landings for each fishing 281–9220. year. The Council will also continue to 50 CFR Part 648 review these specifications annually SUPPLEMENTARY INFORMATION: Section and may modify these specifications, if [Docket No. 031015257–3308–02 ; I.D. 648.72(c) of the regulations necessary. Commercial surfclam shell 092804B] implementing the Fishery Management length data for 2004 were analyzed to Plan (FMP) for the Atlantic Surfclam determine the percentage of surfclams Fisheries of the Northeastern United and Ocean Quahog Fisheries allows the States; Atlantic Surfclam and Ocean landed that were smaller than the Administrator, Northeast Region, NMFS minimum size requirement. The Quahog Fishery; Suspension of (Regional Administrator) to suspend Minimum Surfclam Size for 2005 analysis indicated that 0.7 percent of the annually, by publication of a samples taken overall were composed of AGENCY: National Marine Fisheries notification in the Federal Register, the surfclams that were less than 4.75 Service (NMFS), National Oceanic and minimum size limit for Atlantic inches (12.07 cm). Based on these data, Atmospheric Administration, surfclams. This action may be taken the Regional Administrator adopts the Commerce. unless discard, catch, and survey data Council’s recommendation and indicate that 30 percent of the Atlantic ACTION: Notice of suspension of suspends the minimum size limit for surfclam minimum size limit. surfclam resource is smaller than 4.75 Atlantic surfclams from January 1, 2005, inches (12.07 cm) and the overall through December 31, 2005. SUMMARY: NMFS suspends the reduced size is not attributable to minimum size limit of 4.75 inches harvest from beds where growth of the Classification (12.07 cm) for Atlantic surfclams for the individual clams has been reduced This action is authorized by 50 CFR 2005 fishing year. This action is taken because of density-dependent factors. part 648 and is exempt from review under the authority of the implementing At its June 2004, meeting, the Mid- under Executive Order 12866. regulations for this fishery, which allow Atlantic Fishery Management Council Authority: 16 U.S.C. 1801 et seq. for the annual suspension of the (Council) voted to recommend that the minimum size limit based upon set Regional Administrator suspend the Dated: September 28, 2004. criteria. The intended effect is to relieve minimum size limit for the 2005, 2006, Alan D. Risenhoover, the industry from a regulatory burden and 2007 fishing years. In accordance Acting Director, Office of Sustainable that is not necessary, as the majority of with the provisions of the FMP the Fisheries, National Marine Fisheries Service. surfclams harvested are larger than the Regional Administrator will publish the [FR Doc. 04–22342 Filed 10–4–04; 8:45 am] minimum size limit. suspension of the surfclam minimum BILLING CODE 3510–22–S
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Proposed Rules Federal Register Vol. 69, No. 192
Tuesday, October 5, 2004
This section of the FEDERAL REGISTER of this issue of the Federal Register. contained proposals submitted by the contains notices to the public of the proposed Comments will be made available for Committee and by AMS. issuance of rules and regulations. The public inspection in the Office of the The Committee’s proposed purpose of these notices is to give interested Hearing Clerk during regular business amendments include: (1) Adding the persons an opportunity to participate in the hours, or can be viewed at: http:// authority for promotion, including paid rule making prior to the adoption of the final rules. www.ams.usda.gov/fv/moab.html. advertising, and production research FOR FURTHER INFORMATION CONTACT: projects; (2) adding the authority for Melissa Schmaedick, Marketing Order supplemental rates of assessment for DEPARTMENT OF AGRICULTURE Administration Branch, Fruit and individual varieties of cherries; (3) Vegetable Programs, Agricultural adding the authority for the Committee Agricultural Marketing Service Marketing Service, USDA, Post Office to accept voluntary contributions for Box 1035, Moab, UT 84532, telephone: marketing research and promotion, 7 CFR Part 923 (435) 259–7988, fax: (435) 259–4945. including paid advertising, and [Docket Nos. AO–F&V–923–3; FV03–923–01] Small businesses may request production research projects; and (4) information on this proceeding by adding a public member and alternate Sweet Cherries Grown in Designated contacting Jay Guerber, Marketing Order public member to the Committee. Counties in Washington; Administration Branch, Fruit and The Fruit and Vegetable Programs of Recommended Decision and Vegetable Programs, AMS, USDA, 1400 AMS proposed two additional Opportunity To File Written Exceptions Independence Avenue SW., Stop 0237, amendments: to establish tenure to Proposed Amendments to Marketing Washington, DC 20250–0237; telephone: limitations for Committee members and Agreement and Order No. 923 (202) 720–2491, fax: (202) 720–8938. require that continuance referenda be conducted on a periodic basis to AGENCY: Agricultural Marketing Service, SUPPLEMENTARY INFORMATION: Prior ascertain grower support for the order. USDA. documents in this proceeding include a In addition, AMS proposed to allow ACTION: Proposed rule and opportunity Notice of Hearing issued on October 6, such changes as may be necessary to the to file exceptions. 2003, and published in the October 10, order, if any of the proposed changes are 2003, issue of the Federal Register (68 adopted, so that all of the order’s SUMMARY: This recommended decision FR 58636). provisions conform to the effectuated invites written exceptions on proposed This action is governed by the amendments. amendments to the marketing agreement provisions of sections 556 and 557 of Six industry witnesses testified at the and order (order) for sweet cherries title 5 of the United States Code and is hearing. These witnesses represented grown in Washington. Four therefore excluded from the sweet cherry growers and handlers in amendments were proposed by the requirements of Executive Order 12866. the production area, and they all Washington Cherry Marketing Preliminary Statement supported the Committee’s Committee (Committee), which is recommended changes. responsible for local administration of Notice is hereby given of the filing Witnesses addressed the need for the order: adding authority for with the Hearing Clerk of this adding the authority for promotion, promotion, including paid advertising, recommended decision with respect to including paid advertising, and and production research projects; the proposed amendment of Marketing production research projects. This adding authority for supplemental rates Agreement and Order No. 923 regulating authority would enable the Committee of assessment for individual varieties of the handling of sweet cherries grown in to develop more efficient growing, cherries; adding authority for the designated counties in Washington, and harvesting, marketing and distribution Committee to accept voluntary the opportunity to file written techniques for sweet cherries produced contributions for research and exceptions thereto. Copies of this in the production area. Promotional promotion; and, adding a public decision can be obtained from Melissa activities, including paid advertising, member to the Committee. Two Schmaedick, whose address is listed could lead to greater market exposure additional amendments are proposed by above. and consumer demand for sweet the Agricultural Marketing Service: This recommended decision is issued cherries, thereby supporting increased establishing tenure limitations for pursuant to the provisions of the grower returns. Committee members; and, requiring that Agricultural Marketing Agreement Act Witnesses stated their approval of the continuance referenda be conducted of 1937, as amended (7 U.S.C. 601 et Committee’s recommendation to add the every 6 years. seq.), hereinafter referred to as the authority for supplemental rates of DATES: Written exceptions must be filed ‘‘Act,’’ and the applicable rules of assessment for individual varieties of by November 4, 2004. practice and procedure governing the cherries. Funds generated from ADDRESSES: Written exceptions should formulation of marketing agreements supplemental rates of assessment would be filed with the Hearing Clerk, U.S. and orders (7 CFR part 900). be used for research or promotion Department of Agriculture, room 1081– The proposed amendments are based projects specific to an individual variety S, Washington, DC 20250–9200, on the record of a public hearing held of sweet cherry. Facsimile number (202) 720–9776 or November 18, 2003, in Yakima, Witnesses also supported the proposal http://www.regulations.gov. All Washington. Notice of this hearing was to add authority for the Committee to comments should reference the docket published in the Federal Register on accept voluntary contributions for number and the date and page number October 10, 2003. The notice of hearing marketing research and promotion,
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including paid advertising, and marketing research and development able to effectively anticipate the timing production research projects. Witnesses activities. and record-breaking volume of the 2003 stated that the industry would benefit This authority would enable the sweet cherry crop. In 2003, 8.5 million from this authority as contributions Committee to develop more efficient boxes were harvested, marketed and could provide the industry with growing, harvesting, marketing and sold over a four week period (June 15 additional research and marketing distribution techniques for sweet to July 15). Before that year, the opportunities. cherries produced in the production industry’s record volume for those four Lastly, the Committee recommended area. Promotional activities, including weeks was 5.5 million boxes. adding a public member and alternate paid advertising, could lead to greater Another example of research public member to the Committee. market exposure and consumer demand conducted by the industry involves taste Witnesses stated that a public member for Washington sweet cherries, thereby testing of newly developed sweet cherry would benefit Committee deliberations supporting increased returns for varieties. According to the record, new by bringing a non-industry, consumer growers. varieties developed in Prosser, perspective to the table. This authority would enable the Washington, were taken to the United An AMS witness testified in support Committee to fund production research Kingdom for consumer taste tests in of tenure limitations as a way to and promotion efforts. Such activities 2000. This project was a cooperative broaden industry participation in the could be conducted by the Committee effort by the Commission, Washington program. That witness also supported itself or be contracted out to other State University and the Washington continuance referenda as a means of parties. The industry believes that it is State Research Commission. This determining grower sentiment on the important to include promotion and project helped the industry determine order’s operations. production research under the Federal consumer receptivity of new varieties At the conclusion of the hearing, the marketing order as these activities are introduced into the market. Administrative Law Judge stated that vital to the long-term health of the A representative of the Commission the final date for interested persons to industry. testifying at the hearing stated that, file proposed findings and conclusions The record evidence shows that sweet since 1997, both volume and prices of or written arguments and briefs based cherry acreage in Washington has Washington sweet cherries have shown on the evidence received at the hearing increased from 21,000 acres in 1997 to annual increases. Increased market would be 30 days after USDA’s receipt an estimated 30,000 acres in 2004. In demand can be tied to the Commission’s of the hearing record transcript. No that same time period, overall tonnage success in working with the retail briefs were filed. of Washington sweet cherries increased sector. From 1997 to 2003, the number from 62,000 tons to 120,000 tons. of retailers running 4-week promotion Material Issues Witnesses testified that acreage and ads increased from 30 to 79. At the same The material issues presented on the production will continue to increase, time, the number of retail chains record of hearing are as follows: making promotion and research all that decreased from 250 to 160. The witness (1) Whether to add authority for more important. As production stated that these numbers indicate that promotion, including paid advertising, increases, there is an increasing need to the relative proportion of retail exposure and production research projects; identify means of increasing quality and for sweet cherries since 1997 has (2) Whether to add authority for more accurately determining the volume increased considerably. supplemental rates of assessment for of cherries that will be available to Consumers have responded to individual varieties of cherries; consumers in a given year. marketing efforts by doubling their (3) Whether to add authority for the For many years, production research purchase volume during targeted retail Committee to accept voluntary and promotion has been carried out by promotion periods. According to the contributions for marketing research the Washington State Fruit Commission witness, since 1997, sweet cherries have and promotion, including paid (Commission) and other entities within become a focus item for retail, as they advertising, and production research the industry. Demonstrated success of have grown to make up at least 3.5 projects; these research and promotion programs percent of the total produce category (4) Whether to add a public member has led to industry support for adding sales. Sweet cherry sales also continue and alternate public member seat to the this authority to the order. to drive just over 10 percent sales lifts Committee; Testimony indicated that current in the U.S. domestic retail market in the (5) Whether to impose term industry production research and months of June and July. limitations on Committee members; and promotion activities range from the The witness estimates that the dollar (6) Whether to add a requirement that development of more accurate weather impact on the local economy, or the continuance referenda be held every 6 detection systems and timely residual benefit of the Commission’s years. distribution strategies, to in-store marketing efforts and increased sweet promotion activities and paid cherry demand within the State of Findings and Conclusions advertising. Washington, has increased 29.74 The following findings and According to the record, production percent over the past 5 years. With conclusions on the material issues are research in forecasting crop yield and nearly 70 percent of total sweet cherry based on evidence presented at the harvest timing through Global production sold domestically, the hearing and the record thereof. Positioning Systems (GPS), satellite industry’s marketing efforts have imagery, and real-time reporting enabled the Washington sweet cherry Material Issue Number 1—Authority technology has been particularly industry to remain profitable in light of for Production Research and successful. Sweet cherries are a highly increasing production, rather than fall Promotion, Including Paid Advertising perishable crop. Accurate prediction of into a non-sustaining oversupply Section 923.45 of the order should be crop size and harvest timing is vital to situation with low producer returns. amended to add authority for the effective marketing and distribution One witness who produces other production research and promotion, of high quality cherries to the retail crops in addition to sweet cherries including paid advertising. That order sectors. Because of the new advances in indicated that the recent loss of the provision currently authorizes only production technology, the industry was Washington State Apple Commission
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has had a negative impact on his returns Material Issue Number 2— benefits derived from that assessment for apples. More specifically, the Supplemental Rates of Assessment would outweigh its cost. Adding this witness indicated that the lack of Section 923.41, Assessments, of the authority in conjunction with the promotional activities for Washington order should be amended to allow proposal to add authority to conduct apples resulted in that industry’s additional rates of assessment for production research and promotion inability to respond effectively to last individual varieties of cherries. activities, including paid advertising, year’s increased production. With Currently, the order provides for a would allow the Committee to increased volume in the market and few single rate of assessment for all cherries, streamline and more specifically focus tools to assist in marketing and regardless of variety, to be established. its research and promotion activities to distributing that product, grower returns The base assessment rate is the needs of the industry. Record evidence supports amending fell below subsistence levels. The recommended by the Committee for the marketing order to authorize witness stated that the Washington approval by the Department. If authority sweet cherry industry’s ability to supplemental rates of assessment for to establish supplemental rates of specific varieties of sweet cherries. This continue to meet the industry’s assessment by variety was added to the challenges of increasing production proposal would allow the Committee to order, those rates would also be collect assessment funds to be used for through research and promotion has recommended by the Committee for resulted in that industry’s continued research and promotion activities that approval by USDA. Assessments are are specific to a single variety of sweet success. While to date that work has used to fund the administrative been done under the auspices of the cherry in addition to projects that are functions of the Committee, as well as beneficial to the Washington sweet Commission, the industry wants to any research and promotion activities. cherry industry as a whole. There was further its ability to conduct these According to the record, supplemental no opposition expressed with respect to activities by adding research and rates of assessment would be used for this proposal. promotion authority to the order. expenses specific to an individual When asked whether a voluntary variety of sweet cherry. Material Issue Number 3—Voluntary promotion program would work for the Witnesses stated that there are a Contributions Washington sweet cherry industry, number of reasons for which specific A new § 923.43, Contributions, should witnesses responded that the authority varieties may warrant supplemental be added to the order to allow the to conduct research and promotion assessment rates, including differences Washington Cherry Marketing activities under the order would ensure in production and marketing needs. Committee to accept voluntary that those activities continue in a Supplemental assessments could be contributions for the purpose of funding consistent manner, and that they would used to fund research that is particular marketing research and promotion not be subject to economic cycles within to the needs of a specific variety, or (including paid advertising), and the industry. One witness explained could be used to fund promotional production research projects. Such that a cooperative approach to funding projects to market lesser known or off- contributions should be free from any these activities would operate as an season varieties. Supplemental rates encumbrances by the donor so that the ‘‘umbrella’’ mechanism for the entire could also be applied when a particular Committee would retain complete industry by providing research and variety of cherries produces a larger control of their use. promotion solutions to all industry than anticipated crop in a given year. In Currently, the marketing order participants. Witnesses also indicated those cases, extra funds generated program does not contain authority for that this authority would be equally through a supplemental rate could be the Committee to accept contributions. beneficial to small and large grower and used to support additional marketing All marketing order activities are handler entities. Grower input into the efforts needed to stimulate demand and funded through handler assessments. development of any research or move that crop within the market. Witnesses stated that the industry promotion programs would also ensure Witnesses stated that any would benefit from this authority as that these activities, and the use of supplemental assessments collected by contributions from groups and assessment funds to support them, variety of cherry should only be used to businesses could provide the industry would remain responsive to industry fund projects associated with that with additional research and marketing needs. variety. While all growers within the opportunities. production area benefit from general The record shows that contributions Adding this authority to the order sweet cherry production research and could come from equipment and would provide the Committee with the marketing efforts, growers of specific machinery dealers, fertilizer, chemical flexibility to use research and varieties should fund any projects or seed dealers, container manufacturers promotional activities, including paid aimed at benefiting that particular and dealers, and companies that advertising, to assist and improve variety. For example, if a new variety of currently have their own marketing production techniques, and promote the sweet cherry is developed, special activities. One witness stated that this marketing, distribution and marketing may be needed to introduce authority would have healthy, long- consumption of Washington sweet that variety to consumers in the market. range effects on the industry. cherries. The use of assessments and While there is a risk associated with the Ultimately, this would benefit all available funding sources for research production of that new variety, both the growers, handlers and consumers of and promotion, including paid costs and the benefits of producing a Washington sweet cherries. advertising, would be an important unique and potentially higher price Witnesses testified that voluntary component to increasing demand and product should be attributed to the contributions should only be accepted consumption of Washington sweet growers of that product. with the understanding that the cherries. It is not anticipated that this authority Committee would retain full discretion The record supports adding authority would unduly burden small growers or over how those funds would be used. for production research and promotion handlers. While a supplemental Witnesses stated that project selection to § 923.45 of the order. There was no assessment would represent an and spending decisions would rest with opposition testimony on this issue. additional cost, witnesses stated that the the Committee. While a donor could
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indicate a specific project that he or she product, nor should they be an officer, membership, provide the Committee supports, the Committee would decide director, member, or employee of any with new perspectives and ideas, and how those funds should be spent. firm engaged in the production or increase the number of individuals in Record evidence supports revising the processing of any agricultural product. the industry with Committee marketing order to incorporate the Should the public member or alternate experience. authority to accept voluntary public member become involved in Experience with other marketing contributions. There was no opposition such activities at any time during their order programs suggests that a period of given to this proposal. term of office, they would become six years would be appropriate. Since the current term of office for Material Issue Number 4—Public ineligible to continue to serve and a Washington Cherry Marketing Member replacement would be nominated for the Department’s appointment. Committee members and alternates is The marketing order should be Testimony indicates that the initial two years, the Department is proposing revised to add a public member and public member and alternate public that no member serve more than three alternate public member to the member should be nominated at the first consecutive two-year terms or a total of Washington Cherry Marketing Committee meeting following the six years. This proposal for a limitation Committee. This amendment would selection of industry members for a new on tenure would not apply to alternates. necessitate revising language in term of office, which starts on April 1. Once a member has served on the § 923.20, Establishment and Normally, the Committee holds its Committee for three consecutive terms, membership, and 923.22, Nomination. marketing policy and organization or six years, the member would sit out If this change were implemented, meeting during May of each year, so for one year before being eligible to Committee membership would increase such meeting could be used to nominate serve as a member again. The member from 16 to 17 members. The public the public member and the alternate. could serve as an alternate during that member could not have any financial Witnesses recognized that some delay time. interest in the Washington sweet cherry would occur in the nomination and One witness testified in opposition to industry. The public member would seating of the initial public member and tenure limitations. He indicated that have the same rights and alternate public member, as finding growers and handlers willing to responsibilities as other Committee recommendation of those candidates serve on the Committee could become members, including reimbursement for would occur after the grower and more difficult, and the knowledge of expenses as approved by the Committee. handler members the Committee were experienced Committee members would Witnesses stated that the addition of appointed. Witnesses stated that it be difficult to replace. a public member to the Committee would be better to have the public The Department believes that any would be beneficial in that it would member positions vacant for a short additional efforts necessary to find bring a non-industry perspective to period of time until the new Committee eligible growers and handlers who are Committee deliberations and decision- members are seated by the Department, willing to serve on the Committee offset making. The public member and rather than create a second later term of by the benefits derived by broader alternate should be persons who can office just applicable to the public industry participation in order present constructive criticism when member and alternate member. This operations. needed, and who can work together situation would only occur once since Therefore, it is recommended that the with other Committee members to build all subsequent public members and order be amended to establish tenure a bridge for better understanding their alternates would serve until their requirements for Committee members. between consumers and agriculture. respective successors are appointed, as The evidence of record is that a non- Material Issue Number 6—Continuance is currently practiced for all Committee Referenda industry perspective could be especially grower and handler members. useful in deliberations over production Record evidence supports the Section 923.64, Termination, should research and promotion activities. addition of a public member and be amended to require that continuance Research and promotion activities are alternate public member to the referenda be conducted every six years aimed not only at improving production Washington Cherry Marketing to ascertain industry support for the and harvest techniques, but also product Committee. No opposition to this order. quality. High quality is important to the proposal was presented at the hearing. Currently, there is no provision in the industry’s ability to boost consumer marketing order that requires periodic demand and maintain adequate grower Material Issue Number 5—Tenure continuance referenda. The record returns. Moreover, promotion activities Limitations evidence is that growers should have an are intended to attract or increase Section 923.21, Term of office, should opportunity to periodically vote on consumer interest in the product. Often be revised to establish a limit on the whether the marketing order should promotion activities include an number of consecutive terms a person continue. Continuance referenda educational element about the benefits may serve on the Committee. Currently, provide an industry with a means to of the product, or ideas for using the the term of office of each member and measure grower support for the product in cooking or food presentation. alternate member of the Committee is marketing order program. Experience A public member could help the three years. There are no provisions has shown that programs need Committee to decide which types of related to tenure in the marketing order. significant industry support to operate production research or promotion Members and alternates may serve on effectively. Under this proposal, the activities would be most beneficial in the Committee until their respective Department would consider termination the eyes of the consumer. successors are selected and have of the marketing order if continuance is Persons serving as public qualified. not favored by at least two-thirds of representatives should not be, at the The record shows that USDA those voting, or at least two-thirds of the time of selection, nomination or during proposed tenure requirements for volume represented in the referendum. the term of office, engaged in the Committee members as a means to This is the same as that for issuance of commercial production, buying, increase industry participation on the an order. Experience in recent years grading, processing of any agricultural Committee, provide for more diverse indicates that six years is an appropriate
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period to allow growers an opportunity Using Committee data regarding each such activities conducted under the to vote for continuance of the program. individual handler’s total shipments order. Therefore, the proposal sets forth that a during the 2002 marketing year, and an The proposal to add authority for the referendum would be conducted six estimated average FOB price of $24 per Committee to accept voluntary years after the effective date of this 20-pound container, 79 percent of the contributions would not result in any amendment and every sixth year Washington sweet cherry handlers increased costs or burdens to the thereafter. shipped under $5 million worth of industry. In fact, witnesses stated that One industry witness testified in sweet cherries, and 21 percent shipped this authority would benefit the opposition to this proposal. He over $5 million worth of sweet cherries. industry greatly as it could provide for indicated that the industry currently has Therefore, the majority of Washington additional funding sources of research the ability to request a continuance sweet cherry handlers may be classified and promotional activities. Safeguards referendum at any time, and requiring as small entities. against donor control over the use of unnecessary referenda would be costly The Committee is currently voluntary contributions would ensure and of little value to the industry or the comprised of 10 growers and 6 handlers. that these funds would be used in the Department. The program has worked Both small and large growers and best interest of the industry. The successfully since its inception, and handlers are members and member Committee would decide how to use growers have been supportive of the alternates on the Committee. Committee those funds, and the decision-making order since that time. meetings are widely publicized in process would be open to industry input The Department believes that growers advance of the meetings and are held in and feedback. should have an opportunity to a location central to the production area. The proposal to add a public member periodically vote on whether the The meetings are open to all industry and alternate public member to the Committee is not expected to result in marketing order should continue. members and all other interested any substantial cost increases. While the Accordingly, it is recommended that the persons, who are encouraged to new members would be entitled to order be amended to require a participate in the deliberations and reimbursement for their expenses, the continuance referendum every six years. voice their opinions on topics under discussion. additional cost would be minimal. The Agricultural Marketing Service Additionally, the benefit of adding a At a May 22, 2003, full Committee also proposed to make such changes as non-industry, consumer perspective to meeting, all industry representatives may be necessary to the order to Committee deliberations and decision- present could present their views conform to any amendment that may making could prove very beneficial. concerning the recommended result from the hearing. The Department Witnesses stated that this additional amendments. Both large and small has identified no necessary conforming perspective would improve the businesses were represented. The changes. Committee’s understanding of the Committee believes that small and large Small Business Consideration consumer in the marketplace and could entities would benefit equally from the enhance Committee activities aimed at Pursuant to the requirements set forth proposed amendments. increasing consumer demand for in the Regulatory Flexibility Act (RFA), Testimony indicates that the proposal Washington sweet cherries. the Agricultural Marketing Service to include paid advertising and The proposed amendment to add (AMS) has considered the economic production research under the order tenure requirements for Committee impact of this action on small entities. would assist both small and large members would allow more persons the Accordingly, the AMS has prepared this growers and handlers in marketing opportunity to serve as members of the initial regulatory flexibility analysis. Washington sweet cherry crops. While Committee. It would provide for more The purpose of the RFA is to fit addition of this authority could result in diverse membership, provide the regulatory actions to the scale of increased assessments under the order, Committee with new perspectives and business subject to such actions so that witnesses stated that the benefits arising ideas, and increase the number of small businesses will not be unduly or from these activities, as evidenced by individuals in the industry with disproportionately burdened. Small similar activities under the Commission, Committee experience. agricultural growers have been defined would outweigh the costs. The proposal to require continuance by the Small Business Administration Similarly, the proposal to add referenda on a periodic basis to (SBA) (13 CFR 121.201) as those having authority for supplemental varietal ascertain grower support for the order annual receipts of less than $750,000. assessments could require additional would allow growers to vote on whether Small agricultural service firms are payments per individual variety of to continue the operation of the defined as those with annual receipts of sweet cherry. However, witnesses stated program. The referenda would be less than $5,000,000. that they believed the benefits of those conducted by USDA. The record shows that there are research and promotion activities would Interested persons were invited to approximately 1,500 growers of sweet outweigh the costs. present evidence at the hearing on the cherries in the production area and Witnesses used the example of recent probable regulatory and informational approximately 62 handlers subject to Commission activities as evidence that impacts of the proposed amendments to regulation under the order. The average research and promotion activities would the order on small entities. The record production of sweet cherries in lead to increased grower returns and evidence is that while some minimal Washington State for the last three years market stability by providing tools to costs may occur, those costs would be is 64,676 tons with an average grower the industry to address expanding outweighed by the benefits expected to price of $1,943 per ton. Using this production and evolving consumer accrue to the sweet cherry industry in number, the average annual grower trends in the industry. Witnesses were designated counties of Washington. revenue is calculated to be unanimous in their belief that the The Department has not identified approximately $83,777, thus indicating benefits of the Commission’s activities any relevant Federal rules that that the average Washington sweet more than outweigh the costs of these duplicate, overlap or conflict with this cherry grower would qualify as a small programs. They stated that the same proposed rule. All of the amendments entity according to the SBA definition. results would be expected from any are designed to enhance the
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administration and functioning of the provided an action is filed not later than PART 923—SWEET CHERRIES program to the benefit of Washington 20 days after the date of the entry of the GROWN IN DESIGNATED COUNTIES cherry growers and handlers. ruling. IN WASHINGTON A 30-day comment period is provided to allow interested persons to respond General Findings 1. The authority citation for 7 CFR to this proposal. Thirty days is deemed The findings hereinafter set forth are part 923 continues to read as follows: appropriate so that this rulemaking may supplementary to the findings and Authority: 7 U.S.C. 601–674. be completed prior to the 2005–2006 determinations which were previously season. All written exceptions timely made in connection with the issuance of 2. Section 923.20 is revised to read as received will be considered and a the marketing agreement and order; and follows: grower referendum will be conducted all said previous findings and § 923.20 Establishment and membership. before these proposals are implemented. determinations are hereby ratified and There is hereby established a Paperwork Reduction Act affirmed, except insofar as such findings and determinations may be in conflict Washington Cherry Marketing In accordance with the Paperwork with the findings and determinations set Committee consisting of seventeen Reduction Act of 1995 (44 U.S.C. forth herein. members, each of whom shall have an Chapter 35), AMS announces its (1) The marketing agreement and alternate who shall have the same intention to request OMB approval of order, as amended, and as hereby qualifications as the member for whom any increase in information collection proposed to be further amended, and all he or she is an alternate. Ten members burden for the Washington Cherry of the terms and conditions thereof, and their respective alternates shall be marketing order. would tend to effectuate the declared growers or officers or employees of The Washington Cherry Marketing policy of the Act; corporate growers. Six of the members Committee (Committee) recommended (2) The marketing agreement and and their respective alternates shall be adding a public member and alternate order, as amended, and as hereby handlers, or officers or employees of public member to the Committee. In proposed to be further amended, handlers. One member and his or her conformance with the recommendation, regulate the handling of sweet cherries respective alternate shall be a public a confidential qualification and grown in the production area in the member who is neither a grower nor a acceptance statement would be used to same manner as, and are applicable only handler. The ten members of the nominate and appoint the public and to, persons in the respective classes of committee who are growers or alternate public committee members. commercial and industrial activity employees or officers of corporate This form is based on the currently specified in the marketing agreement growers are referred to in this part as approved Confidential Background and order upon which a hearing has ‘‘grower members’’ of the committee; Statement for the Washington Cherry been held; and six members of the committee who Marketing Committee. If this proposal is (3) The marketing agreement and shall be handlers, or officers or implemented the form would only be order, as amended, and as hereby employees of handlers are referred to in used after approval by OMB. proposed to be further amended, are this part as ‘‘handler members’’ of the Civil Justice Reform limited in their application to the committee. Five of the grower members and their respective alternates shall be The amendments to Marketing Order smallest regional production area which growers of cherries in District 1, and 923 proposed herein have been is practicable, consistent with carrying five of the grower members and their reviewed under Executive Order 12988, out the declared policy of the Act, and respective alternates shall be growers of Civil Justice Reform. They are not the issuance of several orders applicable cherries in District 2. Three of the intended to have retroactive effect. If to subdivisions of the production area handler members and their respective adopted, the proposed amendments would not effectively carry out the alternates shall be handlers of cherries would not preempt any State or local declared policy of the Act; in District 1, and three of the handler laws, regulations, or policies, unless (4) The marketing agreement and members and their representative they present an irreconcilable conflict order, as amended, and as hereby alternates shall be handlers of cherries with this proposal. proposed to be further amended, The Act provides that administrative prescribe, insofar as practicable, such in District 2. proceedings must be exhausted before different terms applicable to different 3. Revise § 923.21 to read as follows: parts of the production area as are parties may file suit in court. Under § 923.21 Term of office. section 608c(15)(A) of the Act, any necessary to give due recognition to the handler subject to an order may file differences in the production and The term of office of each member with the Department a petition stating marketing of sweet cherries grown in and alternate member of the committee that the order, any provision of the the production area; and shall be for two years beginning April 1 order, or any obligation imposed in (5) All handling of sweet cherries and ending March 31. Members and connection with the order is not in grown in the production area as defined alternate members shall serve in such accordance with law and request a in the marketing agreement and order, is capacities for the portion of the term of modification of the order or to be in the current of interstate or foreign office for which they are selected and exempted therefrom. A handler is commerce or directly burdens, have qualified and until their respective afforded the opportunity for a hearing obstructs, or affects such commerce. successors are selected and have qualified. Committee members shall not on the petition. After the hearing, the List of Subjects in 7 CFR Part 923 USDA would rule on the petition. The serve more than three consecutive Act provides that the district court of Cherries, Marketing agreements, terms. Members who have served for the United States in any district in Reporting and recordkeeping three consecutive terms must leave the which the handler is an inhabitant, or requirements. committee for at least one year before has his or her principal place of For the reasons set forth in the becoming eligible to serve again. business, has jurisdiction to review the preamble, 7 CFR part 923, is proposed 4. Amend § 923.22 by adding a new Department’s ruling on the petition, to be amended as follows: paragraph (b)(4) to read as follows:
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§ 923.22 Nomination. A. Revising paragraph (c). control system to verify that the parts * * * * * B. Redesignating paragraph (d) as were installed using the correct (b) * * * paragraph (e). standard, and corrective actions if (4) The grower and handler members C. Adding a new paragraph (d). necessary. For certain VLAs, the of the committee shall nominate the The revisions read as follows: proposed AD would also have required public member and alternate public § 923.64 Termination. repetitive inspections for damage, and member at the first meeting following replacement with a new VLA if the selection of members for a new term * * * * * necessary. This new action revises the (c) The Secretary shall terminate the of office. proposed AD by mandating a 5. In § 923.41, paragraph (c) is provisions of this part whenever it is terminating modification of the VLA, redesignated as paragraph (d) and a new found that such termination is favored which would end the repetitive paragraph (c) is added to read as by a majority of growers who, during a inspections. This new action also follows: representative period, have been changes the applicability in the engaged in the production of cherries: proposed AD. The actions specified by § 923.41 Assessments. Provided, that such majority has, during this new proposed AD are intended to * * * * * such representative period, produced prevent failure of both spring boxes of (c) Based upon a recommendation of for market more than 50 percent of the certain VLAs due to corrosion damage, the committee or other available volume of such cherries produced for which could result in loss of rudder information, the Secretary shall fix the market. control and consequent reduced rate of assessment that handlers shall (d) The Secretary shall conduct a controllability of the airplane. This pay on all cherries handled during each referendum six years after the effective action is intended to address the fiscal period, and may also fix date of this section and every sixth year identified unsafe condition. thereafter, to ascertain whether supplemental rates of assessment on DATES: Comments must be received by individual varieties or subvarieties to continuance of this subpart is favored October 26, 2004. by growers. The Secretary may secure sufficient funds to provide for ADDRESSES: terminate the provisions of this subpart Submit comments in projects authorized under § 923.45. At triplicate to the Federal Aviation any time during the fiscal period when at the end of any fiscal period in which the Secretary has found that Administration (FAA), Transport it is determined on the basis of a Airplane Directorate, ANM–114, committee recommendation or other continuance of this subpart is not favored by growers who, during a Attention: Rules Docket No. 2003–NM– information that a different rate is 16–AD, 1601 Lind Avenue, SW., necessary for all cherries or for any representative period determined by the Secretary, have been engaged in the Renton, Washington 98055–4056. varieties or subvarieties, the Secretary Comments may be inspected at this may modify a rate of assessment and production of cherries in the production area. location between 9 a.m. and 3 p.m., such new rate shall apply to any or all Monday through Friday, except Federal varieties or subvarieties that are shipped * * * * * holidays. Comments may be submitted during the fiscal period. Dated: September 29, 2004. via fax to (425) 227–1232. Comments * * * * * A.J. Yates, may also be sent via the Internet using 6. A new § 923.43 is added to read as Administrator, Agricultural Marketing the following address: 9-anm- follows: Service. [email protected]. Comments sent via fax or the Internet must contain § 923.43 Contributions. [FR Doc. 04–22303 Filed 10–4–04; 8:45 am] BILLING CODE 3410–02–P ‘‘Docket No. 2003–NM–16–AD’’ in the The committee may accept voluntary subject line and need not be submitted contributions but these shall only be in triplicate. Comments sent via the used to pay expenses incurred pursuant DEPARTMENT OF TRANSPORTATION Internet as attached electronic files must to § 923.45. Furthermore, such be formatted in Microsoft Word 97 or contributions shall be free from any Federal Aviation Administration 2000 or ASCII text. encumbrances by the donor and the The service information referenced in committee shall retain complete control 14 CFR Part 39 the proposed rule may be obtained from of their use. Airbus, 1 Rond Point Maurice Bellonte, 7. Section § 923.45 is revised to read [Docket No. 2003–NM–16–AD] 31707 Blagnac Cedex, France. This as follows: RIN 2120–AA64 information may be examined at the § 923.45 Production and marketing FAA, Transport Airplane Directorate, research, promotion and market Airworthiness Directives; Airbus Model 1601 Lind Avenue, SW., Renton, development. A300 B2 and B4 Series Airplanes Washington. The committee, with the approval of AGENCY: Federal Aviation FOR FURTHER INFORMATION CONTACT: Dan the Secretary, may establish or provide Administration, DOT. Rodina, Aerospace Engineer, for the establishment of projects ACTION: Supplemental notice of International Branch, ANM–116, FAA, involving production research, proposed rulemaking; reopening of Transport Airplane Directorate, 1601 marketing research and development, comment period. Lind Avenue, SW., Renton, Washington and marketing promotion, including 98055–4056; telephone (425) 227–2125; paid advertising, designed to assist, SUMMARY: This document revises an fax (425) 227–1149. improve, or promote the marketing, earlier proposed airworthiness directive SUPPLEMENTARY INFORMATION: distribution, consumption or efficient (AD), applicable to all Airbus Model production of cherries. The expense of A300 B2 and B4 series airplanes, that Comments Invited such projects shall be paid from funds would have superseded an existing AD Interested persons are invited to collected pursuant to §§ 923.41 and that currently requires determining the participate in the making of the 923.43. part and amendment numbers of the proposed rule by submitting such 8. Section 923.64 is amended by: variable lever arm (VLA) of the rudder written data, views, or arguments as
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they may desire. Communications shall the part and amendment number of the information for accomplishment of the identify the Rules Docket number and variable lever arm (VLA) of the rudder inspections and corrective actions). The be submitted in triplicate to the address control system to verify the parts were service bulletin also describes specified above. All communications installed using the correct standard, and procedures for a functional test of the received on or before the closing date corrective actions if necessary. For VLA unit. The service bulletin for comments, specified above, will be certain VLAs, the original NPRM would references Goodrich Actuation Systems considered before taking action on the have added repetitive inspections for Service Bulletin 27–21–1H, dated proposed rule. The proposals contained damage, and replacement with a new December 8, 2003, as an additional in this action may be changed in light VLA if necessary. The original NPRM source of service information for of the comments received. would also have provided an optional accomplishing the modification. Submit comments using the following action to replace the VLA with a new format: VLA, which would constitute Conclusion • Organize comments issue-by-issue. terminating action for the repetitive Since these changes expand the scope For example, discuss a request to inspections. The original NPRM was of the originally proposed rule, we have change the compliance time and a prompted by a new inspection program determined that it is necessary to reopen request to change the service bulletin developed by the manufacturer that the comment period to provide reference as two separate issues. introduces a repetitive inspection of additional opportunity for public • For each issue, state what specific VLAs that are equipped with spring comment. change to the proposed AD is being boxes having certain part numbers. Cost Impact requested. Failure of both spring boxes of certain • Include justification (e.g., reasons or VLAs due to corrosion damage could About 33 airplanes of U.S. registry data) for each request. result in loss of rudder control and would be affected by this proposed AD. Comments are specifically invited on consequent reduced controllability of The actions that are currently the overall regulatory, economic, the airplane. required by AD 2001–22–02, and environmental, and energy aspects of In the preamble to the original NPRM, retained in this proposed AD, take about the proposed rule. All comments the FAA indicated that the actions 1 work hour per airplane to accomplish, submitted will be available, both before required by that NPRM were considered at an average labor rate of $65 per work and after the closing date for comments, ‘‘interim action’’ and that further hour. Based on these figures, the cost in the Rules Docket for examination by rulemaking action was being impact of the currently required actions interested persons. A report considered. We have now determined on U.S. operators is estimated to be $65 summarizing each FAA-public contact that further rulemaking is indeed per airplane. concerned with the substance of this necessary, and this supplemental NPRM The new inspection that would be proposal will be filed in the Rules follows from that determination. required by the proposed AD would Docket. take about 1 work hour per airplane to Actions Since Issuance of Original Commenters wishing the FAA to accomplish, at an average labor rate of NPRM acknowledge receipt of their comments $65 per work hour. Based on these submitted in response to this action Since the issuance of the original figures, the cost impact of the new must submit a self-addressed, stamped NPRM, the Direction Ge´ne´rale de inspections on U.S. operators is postcard on which the following l’Aviation Civile (DGAC), which is the estimated to be $2,145, or $65 per statement is made: ‘‘Comments to airworthiness authority for France, airplane, per inspection cycle. Docket Number 2003–NM–16–AD.’’ The issued French airworthiness directive The new modification that would be postcard will be date stamped and 2004–091(B), dated June 23, 2004. The required by the proposed AD would returned to the commenter. French airworthiness directive take about 4 hours per airplane to mandates modification of the VLA, accomplish, at an average labor rate of Availability of NPRMs which ends the repetitive inspections $65 per work hour. Required parts cost Any person may obtain a copy of this required by French airworthiness would be minimal. Based on these NPRM by submitting a request to the directive 2003–006(B), dated January 8, figures, the cost impact of the new FAA, Transport Airplane Directorate, 2003 (referenced in the original NPRM). modification on U.S. operators is ANM–114, Attention: Rules Docket No. The revised French airworthiness $8,580, or $260 per airplane. 2003–NM–16–AD, 1601 Lind Avenue, directive supersedes French The cost impact figures discussed SW., Renton, Washington 98055–4056. airworthiness directive F–2003–006(B). above are based on assumptions that no operator has yet accomplished any of Discussion Explanation of Relevant Service the proposed requirements of this AD Information A proposal to amend part 39 of the action, and that no operator would Federal Aviation Regulations (14 CFR Airbus has issued Service Bulletin accomplish those actions in the future if part 39) to add an airworthiness A300–27–0198, dated December 1, this AD were not adopted. The cost directive (AD), applicable to all Airbus 2003, which describes procedures for impact figures discussed in AD Model A300 B2 and B4 series airplanes, modification of the VLA of the rudder rulemaking actions represent only the was published as a notice of proposed control system. The modification time necessary to perform the specific rulemaking (NPRM) (hereafter referred includes installation of new, improved actions actually required by the AD. to as the ‘‘original NPRM’’) in the spring boxes, and re-identification of These figures typically do not include Federal Register on May 3, 2004 (69 FR certain placards. The service bulletin incidental costs, such as the time 24097). The original NPRM proposed to specifies that accomplishing the required to gain access and close up, supersede AD 2001–22–02, amendment modification eliminates the need for the planning time, or time necessitated by 39–12481 (66 FR 54416, October 29, repetitive inspections specified in other administrative actions. 2001), which is applicable to certain Airbus Service Bulletin A300–27–0196, Airbus Model A300 B2 and B4 series Revision 01, dated November 13, 2002 Regulatory Impact airplanes. That original NPRM would (which was referenced in the NPRM as The regulations proposed herein have continued to require determining the appropriate source of service would not have a substantial direct
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effect on the States, on the relationship Restatement of the Requirements of AD corresponding actions specified in between the national Government and 2001–22–02 paragraphs (a), (b), and (c) of this AD. the States, or on the distribution of (a) Within 10 days after November 13, 2001 No Reporting/Parts Return Requirements (the effective date of AD 2001–22–02, power and responsibilities among the (e) Although Airbus Service Bulletin amendment 39–12481): Determine the part various levels of government. Therefore, A300–27–0196, Revision 01, dated November and amendment numbers of the VLA of the it is determined that this proposal 13, 2002, describes procedures for submitting rudder control system to verify the parts were would not have federalism implications certain information to the manufacturer, and installed using the correct standard, in under Executive Order 13132. for returning certain parts to the accordance with Airbus All Operators Telex manufacturer, this AD does not require those For the reasons discussed above, I (AOT) A300–27A0196, dated September 20, actions. certify that this proposed regulation (1) 2001; or in accordance with the is not a ‘‘significant regulatory action’’ Accomplishment Instructions of Airbus Terminating Modification under Executive Order 12866; (2) is not Service Bulletin A300–27–0196, Revision 01, (f) Within 24 months after the effective a ‘‘significant rule’’ under the DOT dated November 13, 2002. date of this AD: Modify the applicable VLA, Regulatory Policies and Procedures (44 (1) If the part and amendment numbers as required by either paragraph (f)(1) or (f)(2) shown are not correct, as specified in the FR 11034, February 26, 1979); and (3) if of this AD, by doing all the applicable actions AOT or the service bulletin, before further in accordance with the Accomplishment promulgated, will not have a significant flight, do a detailed inspection of the VLA tie economic impact, positive or negative, Instructions of Airbus Service Bulletin A300– rod for damage (bent or ruptured rod) in 27–0198, dated December 1, 2003. on a substantial number of small entities accordance with the AOT or the service Accomplishing this modification ends the under the criteria of the Regulatory bulletin. repetitive inspections required by paragraph Flexibility Act. A copy of the draft (i) If the tie rod is damaged, replace the (b) of this AD. regulatory evaluation prepared for this VLA with a new VLA in accordance with the (1) For any VLA having a spring box with action is contained in the Rules Docket. AOT or the service bulletin. Such P/N 418473–20 or 418473–200: Install a new A copy of it may be obtained by replacement ends the requirements of this identification plate and re-identify the VLA. contacting the Rules Docket at the paragraph. (2) For any VLA having a spring box with location provided under the caption (ii) If the tie rod is not damaged, no further P/N 418473 or 418473–100: Modify the action is required by this paragraph. spring box and re-identify the VLA. ADDRESSES. (2) If the part and amendment numbers Note 2: Airbus Service Bulletin A300–27– List of Subjects in 14 CFR Part 39 shown are correct, no further action is 0198, dated December 1, 2003, references required by this paragraph. Goodrich Actuation Systems Service Bulletin Air transportation, Aircraft, Aviation Note 1: For the purposes of this AD, a 27–21–1H, Revision 3, dated December 8, safety, Safety. detailed inspection is: ‘‘An intensive 2003, as an additional source of service examination of a specific item, installation, information for accomplishing the The Proposed Amendment or assembly to detect damage, failure, or modification. irregularity. Available lighting is normally Accordingly, pursuant to the supplemented with a direct source of good Alternative Methods of Compliance authority delegated to me by the lighting at an intensity deemed appropriate. (g) In accordance with 14 CFR 39.19, the Administrator, the Federal Aviation Inspection aids such as mirror, magnifying Manager, International Branch, FAA, ANM– Administration proposes to amend part lenses, etc., may be necessary. Surface 116, Transport Airplane Directorate, is 39 of the Federal Aviation Regulations cleaning and elaborate procedures may be authorized to approve alternative methods of (14 CFR part 39) as follows: required.’’ compliance for this AD. New Requirements of This AD Note 3: The subject of this AD is addressed PART 39—AIRWORTHINESS in French airworthiness directive F–2004– DIRECTIVES (b) For airplanes having a VLA with any 091(B), dated June 23, 2004. part number (P/N) other than 418473–20 or 1. The authority citation for part 39 418473–200: Within 500 flight hours after the Issued in Renton, Washington, on effective date of this AD, do a detailed September 29, 2004. continues to read as follows: inspection of the tie rod for damage (bent or Kalene C. Yanamura, Authority: 49 U.S.C. 106(g), 40113, 44701. ruptured rod), in accordance with the Acting Manager, , Transport Airplane Accomplishment Instructions of Airbus Directorate, Aircraft Certification Service. § 39.13 [Amended] Service Bulletin A300–27–0196, Revision 01, dated November 13, 2002. Repeat the [FR Doc. 04–22356 Filed 10–4–04; 8:45 am] 2. Section 39.13 is amended by inspection thereafter at intervals not to BILLING CODE 4910–13–P removing amendment 39–12481 (66 FR exceed 1,000 flight hours, until paragraph (f) 54416, October 29, 2001), and by adding of this AD has been accomplished. a new airworthiness directive (AD), to DEPARTMENT OF TRANSPORTATION Replacement or Repair read as follows: (DOT) (c) If any damage is found to the VLA or Airbus: Docket 2003–NM–16–AD. the rudder control system during any Federal Aviation Administration Supersedes AD 2002–08–13, inspection required by paragraph (a)(1) or (b) Amendment 39–12481. of this AD, before further flight, replace the 14 CFR Part 39 Applicability: Model A300 B2 and B4 VLA with a new VLA (including a follow-up series airplanes, certificated in any category; test) in accordance with the Accomplishment Instructions of Airbus Service Bulletin A300– [Docket No. FAA–2004–19245; Directorate except those airplanes modified by Airbus Identifier 2004–NM–108–AD] Modification 12656. 27–0196, Revision 01, dated November 13, 2002. Compliance: Required as indicated, unless RIN 2120–AA64 accomplished previously. Actions Accomplished in Accordance With To prevent failure of both spring boxes of Previous Issue of the Service Bulletin Airworthiness Directives; Boeing the variable lever arm (VLA) due to corrosion (d) Actions accomplished before the Model 737–300, –400, –500, –600, –700, damage, which could result in loss of rudder effective date of this AD in accordance with –700C, –800 and –900 Series Airplanes control and consequent reduced Airbus Service Bulletin A300–27–0196, controllability of the airplane, accomplish dated September 20, 2002, are considered AGENCY: Federal Aviation the following: acceptable for compliance with the Administration (FAA), DOT.
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ACTION: Notice of proposed rulemaking Washington 98055–4056; telephone Examining the Docket (NPRM). (425) 917–6485; fax (425) 917–6590. You can examine the AD docket on Plain language information: Marcia the Internet at http://dms.dot.gov, or in SUMMARY: The FAA proposes to adopt a Walters, [email protected]. new airworthiness directive (AD) for person at the Docket Management SUPPLEMENTARY INFORMATION: certain Boeing Model 737–300, –400, Facility office between 9 a.m. and 5 –500, –600, –700, –700C, –800 and –900 Docket Management System (DMS) p.m., Monday through Friday, except series airplanes. This proposed AD Federal holidays. The Docket The FAA has implemented new would require modifying the wiring for Management Facility office (telephone procedures for maintaining AD dockets the master dim and test system. For (800) 647–5227) is located on the plaza electronically. As of May 17, 2004, new certain airplanes, this proposed AD level of the Nassif Building at the DOT AD actions are posted on DMS and would also require related concurrent street address stated in the ADDRESSES assigned a docket number. We track actions as necessary. This proposed AD section. Comments will be available in each action and assign a corresponding is prompted by a report that the master the AD docket shortly after the DMS directorate identifier. The DMS AD dim and test system circuit does not receives them. docket number is in the form ‘‘Docket have wiring separation of the test No. FAA–2004–99999.’’ The Transport Discussion ground signal for redundant equipment Airplane Directorate identifier is in the in the flight compartment. We are We have received a report indicating form ‘‘Directorate Identifier 2004–NM– proposing this AD to prevent a single that the master dim and test system 999–AD.’’ Each DMS AD docket also fault failure inflight from simulating a circuit does not have wiring separation lists the directorate identifier (‘‘Old test condition and showing test patterns of the test ground signal for redundant Docket Number’’) as a cross-reference instead of the selected radio frequencies equipment in the flight compartment on for searching purposes. on the communications panels, which certain Boeing Model 737–300, –400, could inhibit communication between Comments Invited –500, –600, –700, –700C, –800 and –900 the flightcrew and the control tower, series airplanes. This condition could We invite you to submit any relevant allow a single fault to simulate a test affecting the continued safe flight of the written data, views, or arguments airplane. condition in the annunciators, switches, regarding this proposed AD. Send your and displays in the flight compartment. DATES: We must receive comments on comments to an address listed under A single fault failure could also simulate this proposed AD by November 19, ADDRESSES. Include ‘‘Docket No. FAA– a test condition on the communications 2004. 2004–19245; Directorate Identifier panels and show test patterns instead of ADDRESSES: Use one of the following 2004–NM–108–AD’’ in the subject line the selected radio frequencies. The addresses to submit comments on this of your comments. We specifically flightcrew needs to know the selected proposed AD. invite comments on the overall radio frequencies so they can • DOT Docket Web site: Go to http:/ regulatory, economic, environmental, communicate with the control tower. In /dms.dot.gov and follow the instructions and energy aspects of the proposed AD. flight, if test patterns appear instead of for sending your comments We will consider all comments the selected radio frequencies on the electronically. submitted by the closing date and may communications panels, • Government-wide rulemaking Web amend the proposed AD in light of those communication between the flightcrew site: Go to http://www.regulations.gov comments. and the control tower could be and follow the instructions for sending We will post all comments we inhibited, and the continued safe flight your comments electronically. receive, without change, to http:// of the airplane could be affected. • Mail: Docket Management Facility, dms.dot.gov, including any personal U.S. Department of Transportation, 400 information you provide. We will also Relevant Service Information Seventh Street SW., Nassif Building, post a report summarizing each We have reviewed Boeing Special room PL–401, Washington, DC 20590. substantive verbal contact with FAA Attention Service Bulletin 737–33– sbull By fax: (202) 493–2251. personnel concerning this proposed AD. 1132, Revision 1, dated March 4, 2004 • Hand Delivery: Room PL–401 on Using the search function of that (for Model 737–300, –400, and–500 the plaza level of the Nassif Building, website, anyone can find and read the series airplanes). We have also reviewed 400 Seventh Street SW., Washington, comments in any of our dockets, Boeing Service Bulletin 737–33–1133, DC, between 9 a.m. and 5 p.m., Monday including the name of the individual Revision 2, dated December 4, 2003 (for through Friday, except Federal holidays. who sent the comment (or signed the Model 737–600, –700, –700C, –800, and For service information identified in comment on behalf of an association, –900 series airplanes). These service this proposed AD, contact Boeing business, labor union, etc.). You can bulletins describe procedures for Commercial Airplanes, P.O. Box 3707, review DOT’s complete Privacy Act modifying the wiring for the master dim Seattle, Washington 98124–2207. Statement in the Federal Register and test system. The modification You can examine the contents of this published on April 11, 2000 (65 FR includes re-routing existing wiring, AD docket on the Internet at http:// 19477–78), or you can visit http:// creating splices, and performing dms.dot.gov, or in person at the Docket dms.dot.gov. operational testing. Management Facility, U.S. Department We are reviewing the writing style we For certain airplanes, Service Bulletin of Transportation, 400 Seventh Street currently use in regulatory documents. 737–33–1132 specifies prior or SW., room PL–401, on the plaza level of We are interested in your comments on concurrent accomplishment of Boeing the Nassif Building, Washington, DC. whether the style of this document is Service Bulletin 737–77–1022, currently FOR FURTHER INFORMATION CONTACT: clear, and your suggestions to improve at Revision 1, dated October 26, 1989. Technical information: Binh Tran, the clarity of our communications that Service Bulletin 737–77–1022 describes Aerospace Engineer, Systems and affect you. You can get more procedures for installing an engine Equipment Branch, ANM–130S, FAA, information about plain language at instrument system (EIS), and specifies Seattle Aircraft Certification Office, http://www.faa.gov/language and http:// prior or concurrent accomplishment of 1601 Lind Avenue, SW., Renton, www.plainlanguage.gov. Boeing Service Bulletin 737–77–1023,
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currently at Revision1, dated November 737–26A1083 describes procedures for develop on other airplanes of this same 9, 1989. Service Bulletin 737–77–1023 installing a smoke detection and fire type design. Therefore, we are describes procedures for modifying the extinguishing system in the cargo proposing this AD, which would require advisory system for the EIS. Boeing compartment. Service Bulletin 737–33– modifying the wiring for the master dim Service Bulletin 737–77–1023 1121 describes procedures for installing and test system. The proposed AD references Smiths Industries Service wiring for the test system for the audio would require you to use the service Bulletin 311EDP–77–348 as an control panel lamp. information described previously to additional source of service information Accomplishing the actions specified perform these actions. for modifying the existing EIS unit. in the service information is intended to For certain other airplanes, Service adequately address the unsafe Costs of Compliance Bulletin 737–33–1133 specifies prior or condition. concurrent accomplishment of Boeing This proposed AD would affect about Service Bulletin 737–26A1083, FAA’s Determination and Requirements 2,868 airplanes worldwide, and 1,181 currently at Revision 1, dated November of the Proposed AD airplanes of U.S. registry. The following 15, 2001; and Boeing Service Bulletin We have evaluated all pertinent table provides the estimated costs for 737–33–1121, currently at Revision 1, information and identified an unsafe U.S. operators to comply with this December 19, 2002. Service Bulletin condition that is likely to exist or proposed AD.
ESTIMATED COSTS
Work Average Cost per Boeing service bulletin hours labor rate Parts airplane per hour
737–33–1132, Revision 1 ...... 14 $65 Nominal ...... $910 737–33–1133, Revision 2 ...... 3 65 Nominal ...... 195
ESTIMATED CONCURRENT SERVICE BULLETIN COSTS
Average Boeing service bulletin Work labor rate Parts Cost per hours per hour airplane
737–26A1083, Revision 1 (Only one air- 185 ...... $65 Between $30,000 and $36,400 ..... Between $42,025 and plane affected). $48,425. 737–33–1121, Revision 1 ...... Between 5 and 6 65 Between $200 and $340 ...... Between $525 and $730. 737–77–1022, Revision 1 (Only four air- 72 ...... 65 No charge...... $4,680. planes affected). 737–77–1023, Revision 1 ...... Between 1 and 3 65 Nominal ...... Between $65 and $195.
Regulatory Findings List of Subjects in 14 CFR Part 39 Affected ADs (b) None. We have determined that this Air transportation, Aircraft, Aviation proposed AD would not have federalism safety, Safety. Applicability implications under Executive Order (c) This AD applies to Boeing Model 737– 13132. This proposed AD would not The Proposed Amendment 300, –400, and –500 series airplanes listed in have a substantial direct effect on the Accordingly, under the authority Boeing Special Attention Service Bulletin States, on the relationship between the 737–33–1132, Revision 1, dated March 4, delegated to me by the Administrator, national Government and the States, or 2004; and Model 737–600, –700, –700C, the FAA proposes to amend 14 CFR part on the distribution of power and –800, and –900 series airplanes listed in 39 as follows: responsibilities among the various Boeing Service Bulletin 737–33–1133, levels of government. Revision 2, dated December 4, 2003; PART 39—AIRWORTHINESS certificated in any category. For the reasons discussed above, I DIRECTIVES certify that the proposed regulation: Unsafe Condition 1. Is not a ‘‘significant regulatory 1. The authority citation for part 39 (d) This AD was prompted by a report that action’’ under Executive Order 12866; continues to read as follows: the master dim and test system circuit does 2. Is not a ‘‘significant rule’’ under the not have wiring separation of the test ground Authority: 49 U.S.C. 106(g), 40113, 44701. signal for redundant equipment in the flight DOT Regulatory Policies and Procedures compartment. We are issuing this AD to § 39.13 [Amended] (44 FR 11034, February 26, 1979); and prevent a single fault failure inflight from 3. Will not have a significant 2. The FAA amends § 39.13 by adding simulating a test condition and showing test economic impact, positive or negative, the following new airworthiness patterns instead of the selected radio on a substantial number of small entities directive (AD): frequencies on the communications panels, under the criteria of the Regulatory which could inhibit communication between Flexibility Act. Boeing: Docket No. FAA–2004–19245; the flightcrew and the control tower, We prepared a regulatory evaluation Directorate Identifier 2004–NM–108–AD. affecting the continued safe flight of the airplane. of the estimated costs to comply with Comments Due Date this proposed AD. See the ADDRESSES (a) The Federal Aviation Administration Compliance section for a location to examine the (FAA) must receive comments on this AD (e) You are responsible for having the regulatory evaluation. action by November 19, 2004. actions required by this AD performed within
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the compliance times specified, unless the Special Attention Service Bulletin 737–33– Actions Required To Be Accomplished Prior actions have already been done. 1132, Revision 1, dated March 4, 2004 (for to or Concurrently With Paragraph (f) of Modification Model 737–300, –400, –500 series airplanes); This AD and Boeing Service Bulletin 737–33–1133, (f) Within 30 months after the effective (g) Prior to or concurrently with date of this AD: Modify the wiring for the Revision 2, dated December 4, 2003 (for accomplishment of paragraph (f) of this AD, master dim test system in accordance with Model 737–600, –700, –700C, –800, and –900 do the actions specified in Table 1 of this AD, the Accomplishment Instructions of Boeing series airplanes); as applicable. as applicable.
TABLE 1—PRIOR/CONCURRENT ACTIONS
According to the Accomplishment Instructions For— Accomplish all actions associated with— of—
Group 57 airplanes identified in Boeing Service Installing an engine instrument system (EIS) Boeing Service Bulletin 737–77–1022, Revi- Bulletin 737–33–1132, Revision 1, dated and. sion 1, dated October 26, 1989. March 4, 2004. Modifying the advisory system for the EIS ...... Boeing Service Bulletin 737–77–1023, Revi- sion 1, dated November 9, 1989. Group 4, 5, 7, 15, 16, 20, 24, 25, 29, 30, 33, Installing wiring for the test system for the Boeing Service Bulletin 737–33–1121, Revi- 37, 39, 40, 41, and 46 airplanes identified in audio control panel lamp. sion 1, dated December 19, 2002. Boeing Service Bulletin 737–33–1133, Revi- sion 2, dated December 4, 2003. Group 2 airplanes identified in Boeing Service Installing splice SP896 ...... Boeing Service Bulletin 737–26A1083, Revi- Bulletin 737–33–1121, Revision 1, dated De- sion 1, dated November 15, 2001. cember 19, 2002. Group 39 airplanes identified in Boeing Service Installing a smoke detection and fire extin- Boeing Service Bulletin 737–26A1083, Revi- Bulletin 737–33–1133, Revision 2, dated De- guishing system in the cargo compartment. sion 1, dated November 15, 2001. cember 4, 2003.
Actions Accomplished per Previous Issue of DEPARTMENT OF HOMELAND Office. This document also proposes to Service Bulletins SECURITY amend the CBP Regulations to enhance (h) Actions accomplished before the the protection of all non-U.S. works by effective date of this AD in accordance with Bureau of Customs and Border allowing recordation without requiring Boeing Special Attention Service Bulletin Protection registration with the U.S. Copyright 737–33–1132, dated March 20, 2003; Boeing Office. Lastly, the proposed regulations Service Bulletin 737–33–1133, dated 19 CFR 133 set forth changes to CBP’s enforcement December 19, 2002; or Boeing Service RIN 1505–AB51 procedures, including, among other Bulletin 737–33–1133, Revision 1, dated things, enhanced disclosure provisions, April 17, 2003, as applicable, are considered Recordation of Copyrights and protection for live musical performances acceptable for compliance with the Enforcement Procedures To Prevent and provisions to enforce the Digital corresponding actions specified in this AD. the Importation of Piratical Articles Millennium Copyright Act. Alternative Methods of Compliance AGENCY: Bureau of Customs and Border DATES: Written comments must be (AMOCs) Protection, Department of Homeland submitted on or before November 4, (i) The Manager, Seattle Aircraft Security. 2005. Certification Office, FAA, has the authority to ACTION: Proposed rule. ADDRESSES: You may submit comments, approve AMOCs for this AD, if requested in SUMMARY: As a result of technological identified by RIN 1505–AB51, by either accordance with the procedures found in 14 of the following methods: CFR 39.19. advances available to those pirating copyrighted works, there has been a • Federal eRulemaking Portal: http:// Issued in Renton, Washington, on global increase in the importation of www.regulations.gov. Follow the September 27, 2004. piratical works. Because of this instructions for submitting comments. Ali Bahrami, increased risk to owners of protected • Mail: Regulations Branch, Office of Manager, Transport Airplane Directorate, copyrighted works and because most Regulations and Rulings, Bureau of Aircraft Certification Service. owners of copyrights in non-U.S. works Customs and Border Protection, 1300 [FR Doc. 04–22355 Filed 10–4–04; 8:45 am] do not register their copyrights as a Pennsylvania Avenue, NW. (Mint BILLING CODE 4910–13–P matter of course, the Bureau of Customs Annex), Washington, DC 20229. and Border Protection (CBP) is Comments submitted may be proposing regulations that allow CBP to inspected at the Regulations Branch, be more responsive to claims of piracy. Office of Regulations and Rulings, The CBP Regulations currently Bureau of Customs and Border require that in order to be eligible for Protection, 799 9th Street, NW., 5th border protection all claims to Floor, Washington, DC. copyright, foreign and domestic, be registered with the U.S. Copyright FOR FURTHER INFORMATION CONTACT: Paul Office. This document proposes to allow Pizzeck, Esq. or George F. McCray, Esq., sound recordings and motion pictures Intellectual Property Rights Branch, or similar audio-visual works to be Office of Regulations and Rulings, (202) recorded with CBP while pending 572–8710. registration with the U.S. Copyright SUPPLEMENTARY INFORMATION:
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Background or similar audio-visual works should particularly interested in any comments Due to a global increase in piracy and help to prevent the importation into the on the fairness, equity, and potential an increased risk to owners of protected U.S. of piratical goods. As a result, CBP administrative efficiency of such copyrighted works as a result of is proposing to revise subparts D and E arrangements under 31 U.S.C. 9701. of part 133, CBP Regulations, in order to technological advances available to Non-U.S. Works Entitled to Border provide for border enforcement of U.S. those pirating such works, the Bureau of Enforcement Protection copyrights for sound recordings and Customs and Border Protection (CBP) is motion pictures or similar audio-visual Under the current regulations, in proposing regulations that allow CBP to works in which copyrightability is order to seek protection from the be more responsive to claims of piracy. rarely a substantive issue, that are importation of piratical copies, non-U.S. In this document, CBP is proposing pending registration with the U.S. claimants holding a copyright entitled changes designed to better facilitate the Copyright Office. to enforcement are required to provide recordation process with CBP for certain Concerning sound recordings and CBP with a valid certificate of works and to strengthen the motion pictures or similar audio-visual registration issued by the U.S. Copyright enforcement procedures to protect those works, CBP intends to accept a copy of Office and to record such registration rights. a valid application for registration that with CBP. However, because most Recordation of Protected Copyrighted has been filed with the U.S. Copyright countries do not have registration Works Office as evidence of a copyrightable systems and most non-U.S. copyright interest entitled to protection by CBP. claimants do not register their works in CBP is proposing several changes to The proposed regulations require that the U.S. as a matter of course, and at the subpart D of part 133 of the CBP an applicant provide to CBP proof of same time, due to technological Regulations regarding the recordation registration with the U.S. Copyright advances available for pirating such process, as set forth below. Office no later than six months after the works, there is an overall global increase Protection of Sound Recordings and date of the application for recordation. in piracy and increased risk to owners Motion Pictures or Similar Audio-Visual If the applicant fails to provide proof of of protected copyrighted works Works Pending Registration With the registration in a timely manner, CBP originating from throughout the world. U.S. Copyright Office would cancel the related recordation. In Accordingly, CBP believes that it would addition, CBP proposes to reserve the be appropriate for non-U.S. claimants Presently, the CBP Regulations right to cancel any recordation which it holding copyrights in such works to be provide that only those claims to determines to have been obtained in any entitled to record their claims with CBP copyright, foreign and domestic, which manner contrary to law. Permitting regardless of whether they have have been registered with the U.S. copyright owners of those certain registered their copyrights with the U.S. Copyright Office may be recorded with categories of works for which Copyright Office at the time of CBP. Subparts D and E of part 133, CBP copyrightability is rarely a substantive recordation. Regulations (19 CFR part 133, subparts issue to make an initial recordation with Accordingly, in § 133.31(a) covering D and E) prohibit the importation of CBP based on a filed, pending protected copyrighted works eligible for piratical works that have been properly application for copyright registration recordation, new regulatory text is registered and recorded. However, rather than a perfected certificate of proposed to include, among other piratical copies of sound recordings and registration, will allow CBP to prevent things, certain claims to copyright in motion pictures or similar audio-visual the importation of piratical goods prior non-U.S. works that have not been works are often found in the market to the completion of the registration registered with the U.S. Copyright before the owner of a copyright in those process. Office, but which are recognized under works can effect registration of the Accordingly, in § 133.32 which covers the Berne Convention for the Protection copyright with the U.S. Copyright the recordation procedure for protected of Literary and Artistic Works (Berne Office. Although the copyrightability of copyrighted works, a new paragraph Convention). these types of works is rarely a (b)(4) is proposed to include claims to substantive issue, because of the time copyright in sound recordings and Recordation Application Process lapse between the application for motion pictures or similar audio-visual Based on the above described registration and the granting of works which are not yet registered with changes, CBP is also proposing to registration with the U.S. Copyright the U.S. Copyright Office. amend § 133.32 of the CBP Regulations Office, significant imports of piratical CBP notes that the above proposed (19 CFR 133.32) which outlines the articles can often occur before the change may result in an increased procedure for recordation and the copyright owner is able to secure number of applications for recordation information required in all applications registration with the U.S. Copyright and, as each application is required to to record a copyright with CBP. To carry Office. be accompanied by a $190 fee, an out CBP protection of claims to For these types of works, it is during increased administrative burden in the copyright in certain U.S. works pending the periods of time prior to and processing of an increased number of registration with the U.S. Copyright immediately following the release of the individual payments. In order to Office and claims to copyright in non- work in which piracy is most likely to mitigate processing costs for business U.S. works which are entitled to occur. As a result, pre-release copyright and government, we are considering protection under 17 U.S.C. 104, new registration applications are generally allowing alternative fee arrangements. paragraphs (b)(3) and (4) are proposed to avoided due to concerns about leaks For example, one annual payment may be added to expand § 133.32 to provide arising from the sample copies be made in lieu of individual for such claims. submitted with the application which application fees. The difference between New paragraph (b)(3) would permit are made available to the public. the amount paid per recordation under owners of claims to copyrights in non- Securing border protection the alternative arrangement and the U.S. works to apply for recordation with simultaneously with (or in some cases standard single recordation fee CBP for the enforcement of such claims, prior to) the commercial release of (currently, $190) would not exceed the even if not registered with the U.S. sound recordings and motion pictures difference in processing costs. We are Copyright Office. This new paragraph
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sets forth that non-U.S. works will be image, or photograph of the protected copyright violations in order to expand entitled to border enforcement work be submitted with the application the information provided to copyright protection when sufficient evidence of to record the copyright. CBP is further owners, or, in the case of articles seized ownership of copyright in those works proposing to require samples of sound pursuant to 19 CFR 133.42(c)(3) is provided to CBP through recordation recordings. information provided to duly authorized with CBP. Sufficient evidence of Enforcing the Prohibition on the agents of producers of copyright ownership consists of a written affidavit Importation of Piratical Articles protection systems (technical measures), (in English), appropriately sworn to by when merchandise violating their rights a duly authorized party, validating the CBP is proposing several changes to is seized at the border including existence, ownership, and nature of the subpart E of part 133 of the CBP information regarding articles seized for rights claimed. Regulations to achieve consistency with violation of the DMCA. New paragraph (b)(4) would allow the above proposed changes concerning Currently § 133.42(d) provides that, owners of claims to copyrights in U.S. subpart D of part 133. The proposed when CBP seizes goods under that sound recordings and motion pictures changes, as set forth below, also serve to section, CBP will disclose to the owner or similar audio-visual works for which strengthen CBP’s ability to enforce the of the copyright: copyrightability is rarely a substantive prohibition against the importation of (1) The date of importation; issue and for which securing border piratical articles. (2) The port of entry; protection on an immediate basis is Definition of ‘‘Protected Copyrighted (3) A description of the merchandise; essential for purposes of preventing the Works’’ (4) The quantity involved; importation of piratical articles, to (5) The name and address of the record these works with CBP when Section 133.42(a) currently provides manufacturer; registration is pending with the U.S. that ‘‘Infringing copies or phonorecords (6) The country of origin of the Copyright Office. The filing of such a are ‘piratical’ articles.’’ In order to more merchandise; claim will require the submission to accurately and completely define (7) The name and address of the CBP of a copy of a valid registration ‘‘piratical articles,’’ CBP is proposing to exporter; and application officially filed with the U.S. revise paragraph (a) of § 133.42 to define (8) The name and address of the Copyright Office for the specific work. ‘‘piratical articles’’ as those which importer. Claims for protection made pursuant to constitute unlawful copies (made CBP is proposing to amend either provision ((b)(3) or (4)) will be without the authorization of the § 133.42(d) to provide that, in addition subject to independent verification by copyright owner) or phonorecords of to the information above, when CBP CBP, which will maintain sole ‘‘protected copyrighted works.’’ The seizes goods under that section, CBP discretion as to whether to accept such proposed amended language defines will also disclose to the copyright owner claims for enforcement. ‘‘protected copyrighted works’’ to or, for merchandise seized pursuant to In addition, to further clarify and encompass works registered with the § 133.42(c)(3), to the producer of the simplify the recordation process and U.S. Copyright Office and recorded with copyright protection system: reduce the burden on those applying for CBP, non-U.S. works which are entitled (9) Information from available recordation of claims to copyright, CBP to protection under 17 U.S.C. 104 shipping documents (such as manifests, is proposing other changes to §§ 133.32 (including sound recordings and motion air waybills, and bills of lading), and 133.33 which would: (1) Allow a pictures or similar audio-visual works) including mode or method of shipping ‘‘duly appointed representative’’ to for which relevant ownership (such as airline carrier and flight record a claim to copyright for the information is recorded with CBP, and number) and the intended final copyright owner thereby eliminating the certain U.S. works pending registration destination of the merchandise. need for the copyright owner to with the U.S. Copyright Office that are Procedures on the Suspicion of Piratical personally file the application; (2) duly recorded with CBP. Copies eliminate the requirement that an Disclosure to Copyright Owners Upon applicant supply four additional Section 133.43 contains the current Infringement photocopies (or likenesses) of the procedures to be employed when CBP protected copyrighted work with the CBP has determined that, in order to suspects that certain articles may be application; (3) update the address to pursue all avenues of relief from piratical articles. The current § 133.43 which completed applications are copyright infringement, including provides for: (1) Notice of detention of submitted; and (4) update the name of seeking criminal prosecution of suspected articles to an importer and to the agency to which fees are submitted violators and pursuing private civil a copyright owner, including the for recordation of copyright to reflect remedies for copyright infringement, an disclosure of certain information; (2) the the new name of the former U.S. affected copyright owner must have disclosure of samples of suspected Customs Service. access to certain information regarding articles to the copyright owner; (3) the CBP is also proposing to require parties attempting to import infringing release of the goods in the case of information regarding the citizenship of piratical articles. In cases involving inaction by the copyright owner and in a copyright owner. Moreover, the seizures of articles that circumvent cases where the copyright owner makes current regulation requires that copyright protection systems a written demand for the exclusion of photographic or other likenesses be (technological measures) under the the suspected articles, a bonding provided with an application for Digital Millennium Copyright Act (Pub. requirement and exchange of briefs recordation in order to ensure that CBP L. 105–304, 112 Stat. 2860, DMCA) (see process; and (4) alternative procedures has adequate information regarding a Other Proposed Changes to the to the administrative process (court claim to copyright to enforce such Regulations below), such information action). In general, the current rights. Works such as books, magazines, would be provided to the producers, or regulations provide that upon periodicals and sound recordings are their duly authorized agents, of such notification by a port director that CBP excepted from this requirement. CBP is copyright protection systems. has reason to believe that an imported proposing to require that, as Accordingly, CBP is proposing to amend article may be a piratical copy or appropriate, either a sample, a digital its disclosure provisions regarding phonorecord of a copyrighted work, the
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copyright owner may file a written substandard packaging, irregular not to violate 17 U.S.C. 1201(b)(1), will demand for exclusion of the suspected invoicing, methods of shipment, or be released. infringing copies. Additional evidence, other indicia of piracy. CBP is also proposing to add legal briefs, and other pertinent material paragraph (c)(3) to § 133.42 to provide Waiver of Bond Requirement for to substantiate a claim or denial of for the seizure of articles that the IPR Samples Less Than $50.00 piracy are then exchanged between the Branch determines to violate 17 U.S.C. parties and eventually submitted to CBP Section 133.42(e) of the CBP 1201(b)(1). Importers may petition for for administrative review. Regulations (19 CFR 133.42(e)) allows relief from the seizure and forfeiture CBP believes that the existing CBP to provide a sample of suspect under the provisions of part 171 of procedures contained in § 133.43 are an merchandise to the owner of the chapter I. Articles that have been seized outdated and inefficient mechanism to copyright. The copyright owner seeking and forfeited to the U.S. Government address the situation where CBP has a to obtain a sample is required to furnish under part 133 will be disposed of in suspicion that certain goods may be a bond to CBP. CBP is proposing to accordance with § 133.52(b). piratical. These provisions are rarely allow port directors, at their discretion, Adding Recordings of Live Musical used and unduly burdensome on CBP to waive the bond requirement where and all other parties involved. Performances in Violation of 18 U.S.C. the value of the sample is less than 2319A to Enforcement Provisions of Essentially, these procedures interfere $50.00. with CBP’s ability to conduct the Subpart E required investigation in a timely and Other Proposed Changes to the Section 2319A of title 18 (18 U.S.C. efficient manner. Moreover, the process Regulations 2319A) states that copies of live musical inhibits CBP from applying its expertise Adding DMCA Violations to performance that are ‘‘fixed’’ outside of in an expedient manner to determine Enforcement Provisions of Subpart E the U.S. without the consent of the whether or not merchandise is piratical. performer or performers involved are Most importantly, these procedures are In 1998, Congress enacted the DMCA. subject to seizure and forfeiture in the ineffective in aiding CBP in resolving Among other things, the DMCA same manner as property imported in the issue of whether certain prohibits the circumvention of violation of the customs laws. Although merchandise is indeed piratical. technological measures used by CBP has had enforcement guidelines in Likewise, § 133.44 outlines the copyright owners to protect their works. place for several years, CBP has not actions to be taken when a claim of A technological measure ’’effectively promulgated regulations implementing piracy under § 133.43 is sustained or controls access to a work’’ if the section 2319A. denied. measure, in the ordinary course of its Accordingly, CBP is proposing to add, Accordingly, CBP is proposing to operation, requires the application of at § 133.52(c)(2)(iii), recordings of live remove § 133.43 and § 133.44 in their information, or a process or a treatment, musical performances determined by entirety. Instead, CBP is proposing with the authority of the copyright CBP to be in violation of 18 U.S.C. regulations allowing CBP to detain owner, to gain access to the work. 2319A to the types of sound recordings merchandise when CBP has reasonable Although the current CBP Regulations subject to seizure. suspicion to believe that the merchandise is piratical and to seize do not specifically provide for detention Comments and seizure of articles that constitute merchandise that it determines to be Before adopting this proposed violations of the DMCA, CBP has piratical. In addition, the proposed regulation as a final rule, consideration implemented the DMCA by providing regulations would facilitate the will be given to any written comments CBP personnel with internal exchange of information between the timely submitted to CBP, including enforcement guidelines and advice on copyright owners and CBP in order to comments on the clarity of this how to enforce DMCA violations. Where assist CBP in making this determination. proposed rule and how it may be made CBP finds that certain devices violate easier to understand. Comments Detention of Sound Recordings and the DMCA, the goods are subject to submitted will be available for public Motion Pictures or Similar Audio Visual seizure and forfeiture under 19 U.S.C. inspection in accordance with the Works 1595a(c)(2)(C) for a violation of the Freedom of Information Act (5 U.S.C. DMCA (17 U.S.C. 1201(b)(1)). CBP is proposing to add regulatory 552) and § 103.11(b), CBP Regulations text in a newly created paragraph (b)(2) Accordingly, CBP is proposing to (19 CFR 103.11(b)), on normal business to § 133.42 that specifies CBP’s power to include provisions for the detention and days between the hours of 9 a.m. and detain articles that appear to be piratical seizure of articles that constitute 4:30 p.m. at the Regulations Branch, copies of sound recordings, motion violations under the DMCA to the Office of Regulations and Rulings, pictures, or similar audio-visual works enforcement provisions of subpart E. Bureau of Customs and Border to conduct further investigation. Specifically, CBP is proposing to add Protection, 799 9th Street, NW., 5th Accordingly, paragraph (b)(2) in paragraph (b)(3) to § 133.42 to provide Floor, Washington, DC. Arrangements to § 133.42 proposes to allow CBP to for the detention of articles that CBP inspect submitted comments should be detain, for up to 30 days, sound reasonably believes constitute violations made in advance by calling Mr. Joseph recordings and motion pictures or of 17 U.S.C. 1201(b)(1). Such detentions Clark at (202) 572–8768. similar audio-visual works prior to will be limited to 30 days in duration. registration with the U.S. Copyright In the event that the Intellectual Executive Order 12866 Office when CBP has reasonable Property Rights (IPR) Branch within This document does not meet the suspicion to believe that they constitute CBP’s Office of Regulations & Rulings criteria for a ‘‘significant regulatory piratical copies even though there is no determines that such detained articles action’’ as specified in E.O. 12866. underlying copyright registration or violate 17 U.S.C. 1201(b)(1), CBP will recordation on file with CBP. then seize them and institute forfeiture Regulatory Flexibility Act Reasonable suspicion that certain proceedings in accordance with part 162 Pursuant to the provisions of the articles are piratical may be based upon of chapter I of the CBP Regulations. Regulatory Flexibility Act (5 U.S.C. 601 factors such as poor product quality, Articles determined by the IPR Branch et seq.), it is certified that these
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proposed amendments will not have a Comments should be submitted within Subpart D—Recordation of Protected significant economic impact on a the time frame that comments are due Copyrighted Works substantial number of small entities. regarding the substance of the proposal. The regulatory amendments reflect, 3. Section 133.31 is revised to read as Comments are invited on: (a) Whether follows: implement, or clarify existing statutory the collection is necessary for the proper and regulatory requirements created to performance of the functions of the § 133.31 Recordation of protected protect the rights of legitimate copyright agency, including whether the copyrighted works. owners. Accordingly, the amendments information will have practical utility; (a) Eligible works. The following are not subject to the regulatory analysis (b) the accuracy of the agency’s estimate works, collectively referred to in this or other requirements of 5 U.S.C. 603 part as ‘‘protected copyrighted works’’, and 604. of the burden of the collection of the information; (c) ways to enhance the when properly recorded with the Bureau of Customs and Border Signing Authority quality, utility, and clarity of the Protection (CBP) in accordance with the information to be collected; (d) ways to The authority to approve regulations provisions of § 133.32, are eligible for minimize the burden of the collection of concerning copyright enforcement, was border enforcement by CBP in retained by the Secretary of the information on respondents, including accordance with the provisions of Treasury. The signing authority for through the use of automated collection § 133.42: these amendments, therefore, falls techniques or other forms of information (1) Non-expired claims to copyright in under § 0.1(a)(1), CBP Regulations (19 technology; and (e) estimates of capital U.S. works which are registered with CFR 0.1(a)(1)). Accordingly, this or startup costs and costs of operations, the U.S. Copyright Office and recorded document is signed by the Secretary of maintenance, and purchases of services with CBP; Homeland Security (or his or her to provide information. (2) Claims to copyright in non-U.S. delegate) and the Secretary of the Part 178, CBP Regulations (19 CFR works entitled to protection under 17 Treasury (or his or her delegate). part 178), containing the list of U.S.C. 104 which are recorded with Paperwork Reduction Act approved information collections, CBP; and would be revised to add an appropriate (3) Claims to copyright in sound The collection of information in this recordings and motion pictures or document is contained in § 133.32(b) of reference to 133.32(b), upon adoption of the proposal as a final rule. similar audio-visual works eligible for title 19 (19 CFR 133.32(b)). Under recordation under the provisions of § 133.32(b), the information would be List of Subjects in 19 CFR Part 133 § 133.32. required and used to record copyrights (b) Persons eligible to record. The with CBP for border enforcement Copying or simulating trademarks, owner of a copyright registered with the protection of copyrights. The collection Copyrights, Counterfeit trademarks, U.S. Copyright Office, including any of this information would ensure that Customs duties and inspection, person who has acquired copyright CBP has adequate information regarding Detentions, Fees assessment, Imports, ownership through an exclusive license, a claim to copyright in order to protect Labeling, Penalties, Piratical articles, assignment, or otherwise, who has the copyright owner’s rights. Prohibited merchandise, Reporting and registered that ownership interest with The collection of information recordkeeping requirements, Restricted the U.S. Copyright Office, or their duly encompassed within this proposed rule merchandise, Seizures and forfeitures, appointed representative may file an has been submitted to the Office of Trademarks. application to record that registered Management and Budget (OMB) for copyright. In addition, claimants to Proposed Amendments to the review in accordance with the copyright in non-US works protected Regulations Paperwork Reduction Act of 1995 (44 under 17 U.S.C. 104 and claimants to U.S.C. 3507). An agency may not It is proposed to amend part 133 of copyright in sound recordings and conduct, and a person is not required to the Customs and Border Protection motion pictures or similar audio-visual respond to, a collection of information Regulations (19 CFR part 133), as works may also file an alternative unless the collection of information discussed above and set forth below. For application to record such claims in displays a valid control number the reasons stated in the preamble, part accordance with the provisions of assigned by OMB. 133 of the CBP Regulations (19 CFR part § 133.32 of this subpart. The term Estimated annual reporting and/or ‘‘copyright owner,’’ with respect to any recordkeeping burden: 4,000 hours. 133) is proposed to be amended to read as follows: of the exclusive rights comprised in a Estimated average annual burden per copyright (see 17 U.S.C. 106), refers to respondent/recordkeeper: 2 hours. the owner of a particular right protected Estimated number of respondents PART 133—TRADEMARKS, TRADE NAMES, AND COPYRIGHTS under title 17. and/or recordkeepers: 2,000. (c) Notice of recordation and other Estimated annual frequency of 1. The general authority citation for action. Applicants will be notified of responses: 1. the approval or denial of an application Comments on the collection of part 133 and the specific citation for filed in accordance with § 133.32 upon information should be sent to the Office § 133.42 is revised to read as follows: completion of review. of Management and Budget, Attention: Authority: 15 U.S.C. 1124, 1125; 17 U.S.C. 4. Section 133.32 is revised to read as Desk Officer of the Department of the 101, 106, 501, 601, 602, 603; 19 U.S.C. 66, follows: Treasury, Office of Information and 1499, 1595a, 1526, 1624; 31 U.S.C. 9701. Regulatory Affairs, Washington, DC § 133.32 Procedure for recording * * * * * protected copyrighted works. 20503. A copy should also be sent to the Section 133.42 also issued under 17 U.S.C. Regulations Branch, Office of 1201(b), 18 U.S.C. 2319A. (a) Address. Applications to record Regulations and Rulings, Bureau of protected copyrighted works under this Customs and Border Protection, 1300 * * * * * section must be submitted in writing, Pennsylvania Avenue, NW. (Mint 2. The heading to subpart D is revised addressed to the Intellectual Property Annex), Washington, DC 20229. to read as follows: Rights Branch, Office of Regulations and
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Rulings, Bureau of Customs and Border protection made under this provision structures will be subject to review on Protection, 1300 Pennsylvania Avenue, are subject to independent verification a periodic basis to ensure fairness, NW., Washington, DC 20229. by CBP, which maintains sole discretion equity, and administrative efficiency. (b) Contents; format. (1) All as to whether to accept such claims for Fees in any such alternative structure recordation applications must include enforcement. CBP may require will reflect costs for services provided the following information (an electronic additional information where the in processing the applications for copyright recordation template can be written affidavit fails to provide recordation, including data input, found at the CBP Web site (http:// sufficient clarity as to the nature or tracking of amounts paid, review for www.cbp.gov)): ownership of the work for which sufficiency, interface with field officers (i) The name, complete business enforcement is being sought. (principally, maintenance of intranet address, and citizenship of the (4) For claims to copyright in U.S. and internet databases for field and copyright owner (or owners) or sound recordings and motion pictures trade use), record maintenance, and any claimants to copyright for protected or similar audio-visual works pending correspondence and associated works (if a partnership, the citizenship registration with the U.S. Copyright administrative costs regarding filing, of each partner; if an association or Office, recordation applications must issue resolution, and recordation. Any corporation, the state, country, or other also contain a copy of a valid recordation under such an alternative political jurisdiction within which it registration application with respect to arrangement will remain in effect for was organized, incorporated, or the work and acceptable proof that such twenty years or until the copyright created); has been officially filed with the U.S. ownership expires. Any lump sum fee (ii) A complete description of the Copyright Office. Claims for protection arrangement will be valid only for rights asserted which adequately made under this section are subject to renewable annual periods. No such identifies the work including, as independent verification by CBP, which alternative arrangement will become appropriate, either: a sample of the maintains sole discretion as to whether effective until published in the Federal article(s) containing the claimed to accept such claims for enforcement. Register by DHS/CBP, with Treasury protected work; a digital image of same; CBP may require additional information concurrence. The difference in the per or a photograph of same reproduced on where the copy of the registration recordation rate under the alternative 1 ″ ″ paper no larger than 8 ⁄2 x 11 in size application provided fails to provide arrangement and the standard single (an application will be excepted from sufficient clarity as to the nature or recordation fee should not exceed the this requirement if the subject matter is ownership of the work for which difference in processing costs. If the a work such as a book, magazine, enforcement is being sought. The difference in the per recordation rate periodical, or similar copyrighted matter applicant must provide proof of under the alternative arrangement and readily identifiable by title and author); registration with the U.S. Copyright the standard single recordation fee (iii) The foreign title of the work, if Office no later than six months after the exceeds the difference in processing different from the U.S. title; date of the application for recordation. costs, the alternative arrangement fees (iv) In the case of copyright in a sound Such proof will consist of an in the following year will be adjusted to recording, a statement setting forth the ‘‘additional certificate of registration’’ compensate for that difference. name(s) of the performing artist(s) and (see 17 U.S.C. 706) issued by the U.S. any other information identifying the Copyright Office. In the event that the § 133.33 [Removed] content thereof appearing on the applicant fails to provide CBP with 5. Section 133.33 is removed and reproduction surface of the sound proof that a registration has been issued reserved. recording or its label or container; and by the U.S. Copyright Office, CBP will 6. The heading to subpart E is revised (v) The place(s) of manufacture of cancel the related recordation. Where to read as follows: genuine copyrighted articles and the the name of the applicant for CBP identity of the manufacturer(s). recordation differs from the name of the Subpart E—Enforcement of the (2) For claims to copyright in U.S. copyright owner identified in the Prohibition on Importation of Infringing works which have been registered with registration application filed with the Copies or Phonorecords the U.S. Copyright Office, recordation U.S. Copyright Office, the application applications must also contain an 7. Section 133.42 is revised to read as for recordation must be accompanied by follows: additional certificate of registration a certified copy of any assignment, issued by the U.S. Copyright Office. exclusive license, or other document § 133.42 Piratical articles; Unlawful copies Where the name of the applicant differs showing that the party applying for or phonorecords of protected copyrighted from the name of the copyright owner recordation has acquired an ownership works. identified in the registration certificate interest in the copyright. (a) Definition. ‘‘Piratical articles’’ are issued by the U.S. Copyright Office, the (c) CBP reserves the right to cancel those which are unlawfully made application must be accompanied by a any recordation which it determines has (without the authorization of the certified copy of any assignment, been obtained in any manner contrary to copyright owner) copies or exclusive license, or other document law. phonorecords of protected copyrighted showing that the applicant has acquired (d) Fee. Applications to record works. ‘‘Protected copyrighted works’’ an ownership interest in the copyright. protected copyrighted works with CBP for these purposes refers to works falling (3) For claims to copyright in non- must be accompanied by a fee of $190 into any of the following categories: U.S. works, including sound recordings in the form of a check or money order (1) U.S. works registered with the U.S. and motion pictures or similar audio- made payable to the Bureau of Customs Copyright Office and duly recorded visual works, entitled to protection and Border Protection for each claim to with CBP pursuant to § 133.32; under 17 U.S.C. 104, recordation copyright to be recorded. In order to (2) Non-U.S. works that are protected applications must also contain a written reduce processing costs for business and under 17 U.S.C. 104 (including sound affidavit (in English), appropriately government, CBP may enter into recordings and motion pictures or sworn to by a duly authorized party, alternative fee arrangements with similar audio-visual works) and where validating the existence, ownership, and persons, companies, agents, or relevant ownership information is nature of the rights claimed. Claims for associations. Such alternative fee recorded with CPB pursuant to § 133.32;
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(3) U.S. sound recordings and motion marketed by the importer or trafficker, were detained, that are determined by pictures or similar audio-visual works or another acting in concert with the CBP to constitute piratical copies are which have been duly recorded with importer or trafficker, for use in subject to seizure. After seizure, CBP pursuant to § 133.32. circumventing such protection. Upon piratical goods are subject to forfeiture (b) Detention. determination by the IPR Branch, CBP proceedings in accordance with part 162 (1) Detention of suspected piratical Office of Regulations & Rulings, that of this chapter. CBP will notify the articles (other than sound recordings such detained articles constitute importer of the seizure in accordance and motion pictures or similar audio- violations of 17 U.S.C. 1201(b)(1) CBP with part 162 of this chapter. visual works) that are recorded with will seize them and institute forfeiture (iii) Recordings of live musical CBP. Imported articles appearing to be proceedings in accordance with part 162 performances determined by CBP to be piratical copies of protected copyrighted of this chapter. Articles that are not in violation of 18 U.S.C. 2319A will be works, other than sound recordings and determined by the IPR Branch to subject to seizure regardless of the motion pictures or similar audio-visual constitute violations of 17 U.S.C. recordation of any right with CBP. After works, for which a claim to copyright 1201(b)(1) will be released. seizure, piratical goods are subject to has previously been recorded with CBP (c) Seizure and forfeiture. Articles forfeiture proceedings in accordance pursuant to § 133.32, may be detained which have been seized and forfeited to with part 162 of this chapter. CBP will for a period not to exceed 30 days, if the U.S. Government will be disposed of notify the importer of the seizure in CBP has reasonable suspicion to believe in accordance with § 133.52 of this part, accordance with part 162 of this that they constitute piratical copies. subject to the importer’s right to petition chapter. Upon determination by the IPR Branch, for relief from the seizure and forfeiture (3) Seizure of articles determined by CBP Office of Regulations & Rulings, under the provisions of part 171 of this CBP to constitute violations of the that such detained articles constitute chapter. Digital Millennium Copyright Act (17 piratical copies, CBP will seize them (1) Seizure of copies of articles (other U.S.C. 1201(b)(1)). Imported articles and institute forfeiture proceedings in than sound recordings and motion determined by the IPR Branch, CBP accordance with part 162 of this pictures or similar audio-visual works). Office of Regulations & Rulings to chapter. Articles that are not determined (i) Imported articles which, at the time constitute violations of 17 U.S.C. by the IPR Branch within 30 days to be of presentment to CBP, clearly 1201(b)(1) are subject to seizure piratical copies will be released. constitute piratical copies of protected regardless of the recordation of any right (2) Detention of suspected piratical copyrighted works other than sound with CBP. After seizure, such goods are sound recordings and motion pictures recordings and audio-visual works, for subject to forfeiture proceedings in or similar audio-visual works. Imported which a claim to copyright has accordance with part 162 of this articles consisting of sound recordings previously been recorded with CBP chapter. CBP will notify the importer of and motion pictures or similar audio- pursuant to § 133.32 are subject to the seizure in accordance with part 162 visual works may be detained for a immediate seizure. After seizure, of this chapter. period not to exceed 30 days if CBP has piratical goods are subject to forfeiture (d) Disclosure. When merchandise is reasonable suspicion to believe that they proceedings in accordance with part 162 seized under this section, CBP will constitute piratical copies. Where the of this chapter. CBP will notify the disclose to the owner of the protected genuine works or sound recordings are importer of the seizure in accordance copyrighted work (in the case of not recorded with CBP at the time of with part 162 of this chapter. copyright piracy) or the producer, or detention of suspected piratical copies, (ii) Imported articles detained duly authorized agent thereof, of recordation must take place no later pursuant to § 133.42(b)(1) that are circumvented copyright protection than 30 days after the date on which the determined by CBP to constitute systems (in seizures effected for DMCA suspect articles were detained. Upon piratical copies are subject to seizure. violations), the following information, if determination by CBP that such After seizure, piratical goods are subject available, within 30 days, excluding detained articles constitute piratical to forfeiture proceedings in accordance weekends and holidays, of the date of copies, CBP will seize them and with part 162 of this chapter. CBP will the notice of seizure: institute forfeiture proceedings in notify the importer of the seizure in (1) The date of importation; accordance with part 162 of this accordance with part 162 of this (2) The port of entry; chapter, provided that the copyright has chapter. (3) A description of the merchandise; been recorded with CBP pursuant to (2) Seizure of sound recordings and (4) The quantity involved; § 133.32. Articles not recorded with CBP motion pictures or similar audio-visual (5) The name and address of the within 30 days or articles which are not works. (i) Imported articles which, at the manufacturer; determined by CBP to be piratical time of presentment to CBP, clearly (6) The country of origin of the copies will be released. constitute piratical copies or merchandise, if known; (3) Detention of articles suspected of phonorecords of protected copyrighted (7) The name and address of the constituting violations of the Digital works, for which a claim to copyright exporter; Millennium Copyright Act (17 U.S.C. has previously been recorded with CBP (8) The name and address of the 1201(b)(1)). Imported articles appearing pursuant to § 133.32 are subject to importer; and to constitute violations of 17 U.S.C. immediate seizure. After seizure, (9) Information from available 1201(b)(1) may be detained for a period piratical goods are subject to forfeiture shipping documents (such as manifests, not to exceed 30 days if CBP reasonably proceedings in accordance with part 162 air waybills, and bills of lading), believes that such articles are primarily of this chapter. CBP will notify the including mode or method of shipping designed or produced for the purpose of importer of the seizure in accordance (such as airline carrier and flight circumventing protection afforded by a with part 162 of this chapter. number) and the intended final technological measure that effectively (ii) Imported articles which have been destination of the merchandise. protects a right of a copyright owner; detained pursuant to § 133.42(b)(2), for (e) Samples available to the copyright have only limited commercially which a claim to copyright has been owner. At any time following detention significant purpose or use other than to recorded with CBP within 30 days after or seizure of the merchandise, CBP may circumvent such protection; or are the date on which the suspect articles provide a sample of the suspect
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merchandise to the owner of the Dated: September 30, 2004. • E-mail: [email protected]. protected work for examination, testing, Robert C. Bonner, Include Docket No. 2004N–0432 in the or any other use in pursuit of a related Commissioner of Customs and Border subject line of your e-mail message. private civil remedy for copyright Protection. • FAX: 301–827–6870. infringement. To obtain a sample under Timothy E. Skud, • Mail/Hand delivery/Courier [For this section, the owner of the protected Deputy Assistant Secretary of the Treasury. paper, disk, or CD-ROM submissions]: work must furnish to CBP a bond in the [FR Doc. 04–22334 Filed 10–4–04; 8:45 am] Division of Dockets Management (HFA– 305), Food and Drug Administration, form and amount specified by the port BILLING CODE 4820–02–P director at the port of importation, 5630 Fishers Lane, rm. 1061, Rockville, conditioned to hold the U.S., its officers MD 20852. and employees, and the importer or Instructions: All submissions received owner of the imported article harmless DEPARTMENT OF HEALTH AND must include the agency name and from any loss or damage resulting from HUMAN SERVICES Docket No. All comments received will the furnishing of a sample by CBP to the be posted without change to http:// Food and Drug Administration copyright owner. This requirement may www.fda.gov/ohrms/dockets/ be waived at the discretion of the port default.htm, including any personal 21 CFR Part 361 director where the value of the sample information provided. For detailed is less than $50.00. CBP may demand [Docket No. 2004N–0432] instructions on submitting comments the return of the sample at any time. and additional information on the The owner of the protected work must Radioactive Drugs for Certain rulemaking process, see the return the sample to CBP upon demand Research Uses; Public Meeting ‘‘Comments’’ heading in the or at the conclusion of the examination, SUPPLEMENTARY INFORMATION section of testing, or other use in pursuit of a AGENCY: Food and Drug Administration, this document. related private civil remedy for HHS. Docket: For access to the docket to copyright infringement. In the event that ACTION: Notice of public meeting; read background documents or the sample is damaged, destroyed, or request for comments. comments received, go to http:// lost while in the possession of the www.fda.gov/ohrms/dockets/ owner of the protected work, the owner SUMMARY: The Food and Drug default.htm and insert the docket of the protected work must, in lieu of Administration (FDA) is announcing a number, found in brackets in the return of the sample, certify to CBP that: public meeting to discuss the use of heading of this document, into the ‘‘The sample described as [insert certain radioactive drugs for research ‘‘Search’’ box and follow the prompts, description] provided by CBP pursuant purposes without an investigational or go to the Division of Dockets to § 133.42(e) of the CBP Regulations new drug application (IND) under the Management, Food and Drug was (damaged/destroyed/lost) during conditions set forth in FDA regulations Administration, 5630 Fishers Lane, rm. examination, testing, or other use.’’ (typically, use of radioactive drugs to 1061, Rockville, MD 20852. (f) Parallel Imports. Copies or determine drug disposition in the body). Transcripts of the public meeting will phonorecords made lawfully and We are seeking public input on the be available for review at the Division imported into the U.S. without the potential need to modify the conditions of Dockets Management (see ADDRESSES) consent of the owner of the protected under which these radioactive drugs are and on the Internet at http:// copyrighted work, are not subject to studied in light of the scientific and www.fda.gov/ohrms/dockets. technological developments since we detention, seizure, or forfeiture by CBP. FOR FURTHER INFORMATION CONTACT: adopted the regulations in 1975. § 133.43 [Removed] Maria R. Walsh, Center for Drug DATES: The public meeting will be held Evaluation and Research (HFD–103), 8. Section 133.43 is removed and on November 16, 2004, from 8 a.m. to Food and Drug Administration, 5600 reserved. 4 p.m. Submit electronic requests to Fishers Lane, Rockville, MD 20857, speak plus a presentation abstract by § 133.44 [Removed] 301–827–3139, FAX 301–480–3761, e- October 19, 2004, to Maria R. Walsh. mail: [email protected]. 9. Section 133.44 is removed and Submit final presentations and requests SUPPLEMENTARY INFORMATION: reserved. for special accommodations (due to 10. Section 133.46 is revised to read disability) by November 2, 2004, to I. Background as follows: Maria R. Walsh. Submit written or We are announcing a public meeting § 133.46 Demand for redelivery of released electronic comments by January 16, to discuss research on radioactive drugs articles. 2005, to Division of Dockets that is conducted under § 361.1 (21 CFR If CBP determines that articles which Management. 361.1). We added this section to FDA have been released from CBP custody ADDRESSES: The public meeting will be regulations in 1975 (40 FR 31298 at are subject to the prohibitions or held at the CDER Advisory Committee 31308, July 25, 1975). Under § 361.1, restrictions of this subpart, the Conference Room, rm. 1066, 5630 certain radioactive drugs (drugs that appropriate field officer will promptly Fishers Lane, Rockville, MD 20857. exhibit spontaneous disintegration of make demand for redelivery of the You may submit comments, identified unstable nuclei with the emission of articles pursuant to § 141.113 of this by Docket No. 2004N–0432, by any of nuclear particles or photons) are chapter, under the terms of the bond on the following methods: considered generally recognized as safe CBP Form 301, containing the bond • Federal eRulemaking Portal: http:// and effective under specified conditions conditions set forth in § 113.62 of this www.regulations.gov. Follow the of use when administered to human chapter. If the articles are not instructions for submitting comments. research subjects for certain basic redelivered to CBP custody, a claim for • Agency Web site: http:// research uses. These uses include liquidated damages may be made in www.fda.gov/dockets/ecomments. studies intended to obtain basic accordance with § 141.113(h) of this Follow the instructions for submitting information regarding the metabolism chapter. comments on the agency Web site. (including pharmacokinetics,
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distribution, and localization) of a not subject to the requirements for INDs on data available from published radioactive drug or regarding human stated in part 312 (21 CFR part 312). literature or from other valid human physiology, pathophysiology, or In general, to conduct studies using studies (§ 361.1(b)(2) and (d)(2)). radioactive drugs under § 361.1, an biochemistry, but not those intended for 2. The radiation dose is limited such immediate therapeutic, diagnostic, or FDA-approved Radioactive Drug Research Committee (RDRC) must first that the amount of radioactive material similar purposes or those intended to administered is the smallest radiation determine the safety and effectiveness of conclude the following: 1. The pharmacological dose is dose practical to perform the study the drug. When conducted in limited such that the amount of active without jeopardizing the benefits accordance with § 361.1, clinical ingredient or ingredients administered obtained from the study, and the dose, investigations of radioactive drugs are is known not to cause any clinically for adult subjects, does not exceed the detectable pharmacological effect, based following:
TABLE 1.—LIMITS OF RADIATION DOSE FOR ADULTS
Annual and Total Organ or System Single Dose Dose Sieverts Sieverts (Rems) (Rems)
Whole body 0.03 (3) 0.05 (5)
Active blood-forming organs 0.03 (3) 0.05 (5)
Lens of the eye 0.03 (3) 0.05 (5)
Gonads 0.03 (3) 0.05 (5)
Other organs 0.05 (5) 0.15 (15)
For subjects under 18 years of age, the a significant impact on the use of foreign proteins and are assumed to radiation dose must not exceed 10 radioactive drugs. In light of these have the potential to produce an percent of the adult dose (§ 361.1(b)(3)). changes, we are considering whether antigenic response, they should be 3. The design and quality of the study issuance of guidance on, or even excluded from consideration unless and the importance of the information it revision of, § 361.1 would be they have been shown to have no seeks to obtain justify the exposure of appropriate. To that end, we are holding immunologic response.) research subjects to radiation a public meeting to obtain input on b. For an active ingredient that is not (§ 361.1(b)(1)(iii)). what actions we should take, if any, endogenous, what animal, in vitro, and/ 4. The investigator has appropriate concerning the regulation of basic or in vivo data would be needed to qualifications for the conduct of a study research involving radioactive drugs. To demonstrate that there is no human involving radioactive drugs facilitate discussion at the public pharmacological effect? Is there an (§ 361.1(d)(3)). meeting and assist us in our review of absolute dose that would ensure no 5. The investigator has the this matter, we have the following pharmacological effect? If so, what data appropriate licensure for handling questions concerning the application of would be needed to support that dose? radioactive materials (§ 361.1(d)(4)). § 361.1: c. How may an investigator confirm 6. The mechanisms for selecting 1. Pharmacology Issues: Section that a radioactive drug causes no research subjects and obtaining 361.1(b)(2) requires that the amount of clinically detectable pharmacological informed consent are appropriate radioactive drug to be administered be effect in humans in accordance with (§ 361.1(d)(5)). 7. The radioactive drug to be known not to cause any clinically § 361.1(b)(2)? What parameters should administered meets appropriate detectable pharmacological effect in be measured, how frequently, and what chemical, pharmaceutical, humans. According to § 361.1(d)(2), criteria should be used to determine if radiochemical, and radionuclidic investigators must provide a pharmacologic effect has occurred? standards for identity, strength, quality, pharmacological dose calculations 2. Radiation Dose Limits for Adult and purity; and radioactive drugs for based on published literature or other Subjects: The radiation dose limits for parenteral use are prepared in sterile human data to demonstrate an absence adult subjects specified in and pyrogen-free form (§ 361.1(d)(6)). of a clinically detectable § 361.1(b)(3)(i) are based on the basic 8. The study is based on a sound pharmacological effect (thus, no occupational radiation protection rationale and is of sound design such radioactive drug may be studied ‘‘first in criteria established by the Nuclear that information of scientific value may humans’’ under current § 361.1). Regulatory Commission under 10 CFR result (§ 361.1(d)(7)). a. For an active ingredient chemically 20.101. FDA’s thinking in 1975 was that 9. There are mechanisms in place for manufactured in the laboratory that is these criteria would enable a potential identifying and reporting adverse also a body constituent (an endogenous research subject to make an informed reactions (§ 361.1(d)(8)). substance), what percentage of decision regarding participation in a 10. The study has been reviewed and estimated daily endogenous production study under § 361.1 because the subject approved by an institutional review could be considered to have no would, in effect, be deciding whether he board (IRB) (§ 361.1(d)(9)). pharmacological effect? (Because or she was willing to assume the same Since we added § 361.1 in 1975, there heterogeneous biological products (e.g., risk as a radiation worker for the have been numerous developments in monoclonal antibodies and therapeutic duration of the study. Considering the imaging technology, pharmacology, proteins such as interferon, interleukin, advances in scientific knowledge and toxicology, and dosimetry that have had other cytokines, and enzymes) are regulatory changes that have occurred
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since 1975, including new data on present knowledge about radiation and basis. If you need special radiation effects (Ref. 1) and new its effects, can we conclude that the accommodations due to a disability, recommendations on radiation dose current dose limits for pediatric subjects please inform Maria R. Walsh by limits (Refs. 2, 3, and 4), are the current do not pose a significant risk? If not, November 2, 2004. dose limits for adults still appropriate what dose limits would be appropriate If you wish to present information at for research conducted under § 361.1? If to ensure no significant risk for the public meeting, submit your not, what dose limits are appropriate? pediatric subjects? Should there be electronic request and an abstract of Should there be different dose limits for different dose limits for different your presentation by the close of different adult age groups? pediatric age groups? business on October 19, 2004, to Maria 3. Assurance of Safety for Pediatric 4. Quality and Purity: What standards Walsh (see FOR FURTHER INFORMATION Subjects: Currently, § 361.1 allows for for quality and purity should apply to CONTACT). the study of radioactive drugs in radioactive drugs administered under subjects less than 18 years of age § 361.1 to ensure the safety of research The request to participate should without an IND if: subjects? contain the following information: • The study presents a unique 5. Exclusion of Pregnant Women: (1) Presenter’s name; (2) address; (3) opportunity to gain information not Section 361.1(d)(5) requires that each telephone number; (4) e-mail address; currently available, requires the use of female research subject of childbearing (5) affiliation, if any; (6) abstract of the research subjects less than 18 years of potential state in writing that she is not presentation; and (7) approximate age, is without significant risk to pregnant or, on the basis of a pregnancy amount of time requested for the subjects, and is supported with review test, be confirmed as not pregnant before presentation. by qualified pediatric consultants to the she may participate in any research We request that persons and groups RDRC; study involving a radioactive drug having similar interests consolidate • The radiation dose does not exceed under § 361.1. Is written attestation their comments and present them 10 percent of the adult radiation dose adequate assurance that female research through a single representative. We will specified in § 361.1(b)(3)(i); and subjects are not pregnant? If not, what • allocate the time available for the As with adult subjects, the following other assurance should be provided? meeting among the persons who request requirements, among others, are met: (1) 6. RDRC Membership: to present. Because of limited time, we The study is approved by an a. Under § 361.1(c)(1), an RDRC must will accept only one presenter per institutional review board (IRB) that include the following expertise: (1) A organization. We reserve the right to conforms to 21 CFR part 56, (2) physician recognized as a specialist in deny requests if the proposed topic is informed consent of the subjects’ legal nuclear medicine, (2) a person qualified not germane. After reviewing the representative is obtained in accordance to formulate radioactive drugs, and (3) requests to present and abstracts, we with 21 CFR part 50, and (3) the study a person with special competence in will schedule each appearance and is approved by the RDRC that assures all radiation safety and radiation notify each participant by e-mail or other requirements of § 361.1 are met. dosimetry. Would an RDRC benefit from telephone of the time allotted to the Alternatively, when a study is any additional expertise, such as a person and the approximate time the conducted under an IND in accordance pharmacologist or toxicologist? Should person’s presentation is scheduled to with part 312, the sponsor must submit such memberships be required? begin. Presenters planning to use to FDA the study protocol, protocol b. Under § 361.1(c)(4), changes in the electronic presentations in Microsoft changes and information amendments, membership of an RDRC must be PowerPoint, Microsoft Word, or Adobe pharmacology/toxicology and chemistry submitted to FDA as soon as, or before, Acrobat PDF must send them to us by information, and information regarding vacancies occur on the committee. the close of business on November 2, prior human experience with the same However, the regulations do not require 2004. Presenters who do not meet this or similar drugs (see §§ 312.22, 312.23, approval of new members by FDA deadline may provide handouts of their 312.30, and 312.31). Additionally, before a new member assumes presentations at the meeting. § 312.32 requires that sponsors committee responsibilities. We review promptly review all information the qualifications of new members when The meeting schedule will be relevant to the safety of the drug we receive them and contact the RDRC available on the Internet at http:// obtained or otherwise received by the when we identify new members we www.fda.gov/cder/meeting/ sponsor from any source, foreign or consider to be unqualified, but we do clinicalResearch/default.htm and at the domestic. This includes information not always receive notifications of meeting. After the meeting, the schedule derived from any clinical or changes in membership in a timely and presentations will be placed on file epidemiological investigations, animal manner. At times, this has resulted in in the Division of Dockets Management investigations, commercial marketing unqualified members serving on RDRCs under the docket number listed in the experience, reports in the scientific for extended periods. Should the heading of this notice. literature, and unpublished scientific regulations specifically require that FDA III. Comments papers, as well as reports from foreign approve RDRC membership changes regulatory authorities. Section 312.32 before new members assume committee Interested persons may submit written also requires that sponsors submit IND responsibilities? For example, would it or electronic comments on or before safety reports to FDA. be appropriate for the regulations to January 16, 2005, to the Division of a. Does § 361.1 provide adequate allow FDA 15 days to review the Dockets Management (see ADDRESSES). safeguards for pediatric subjects during qualifications of a proposed new You must submit two copies of the course of a research project intended member before the member could comments identified with the docket to obtain basic information about a assume committee responsibilities? number found in brackets in the radioactive drug, or should these studies heading of this document. The received only be conducted under an IND? II. Registration and Presentations comments may be seen at the Division b. If we assume that § 361.1 provides No registration is required to attend of Dockets Management, Monday adequate safeguards for pediatric the meeting. Seating is limited to 120 through Friday between 9 a.m. and 4 subjects during such studies, given our and will be on a first-come, first-served p.m.
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IV. Transcripts regulations relating to the tax on the FOR FURTHER INFORMATION CONTACT Approximately 30 days after the entry of taxable fuel into the United section of this document. public meeting, you can examine a States. Cynthia E. Grigsby, transcript of the meeting on the Internet DATES: The public hearing is being held Acting Chief, Publications and Regulations at http://www.fda.gov/ohrms/dockets/ on January 12, 2005, at 10 a.m. The IRS Branch, Associate Chief Counsel, Legal default.htm or at the Division of Dockets Processing Division (Procedures and must receive outlines of the topics to be Management (see ADDRESSES), Administration). discussed at the hearing by December 1, Monday through Friday between 9 a.m. [FR Doc. 04–22372 Filed 10–4–04; 8:45 am] 2004. and 4 p.m. You may also request a copy BILLING CODE 4830–01–P of the transcript from the Freedom of ADDRESSES: The public hearing is being Information Office (HFI–35), Food and held in the IRS Auditorium, Internal Drug Administration, 5600 Fishers Revenue Building, 1111 Constitution ENVIRONMENTAL PROTECTION Lane, rm. 12A–16, Rockville, MD 20857, Avenue, NW., Washington, DC. at a cost of 10 cents per page or on CD AGENCY at a cost of $14.25 each. Mail outlines to: CC:PA:LPD:PR (REG–120616–03) , room 5203, Internal 40 CFR Part 52 V. References Revenue Service POB 7604, Ben [WI117–01–7347b; FRL–7637–1] The following references have been placed Franklin Station, Washington, DC on display in the Division of Dockets 20044. Submissions may be hand- Approval and Promulgation of Management and may be seen by interested delivered Monday through Friday Implementation Plans; Wisconsin persons between 9 a.m. and 4 p.m., Monday between the hours of 8 a.m. and 4 p.m. through Friday. to CC:PA:LPD:PR (REG–120616–03), AGENCY: Environmental Protection 1. Preston, D.L., Y. Shimizu, D.A. Pierce, Courier’s Desk, Internal Revenue Agency. A. Suyama, and K. Mabuchi, ‘‘Studies of mortality of atomic bomb survivors, Report Service, 1111 Constitution Avenue, ACTION: Proposed rule. 13: Solid cancer and noncancer disease NW., Washington, DC or sent mortality: 1950–1997,’’ Vol. 160, No. 4, pp. electronically, via the IRS Internet site SUMMARY: The Environmental Protection 381–407, Radiation Research, 2003. at http://www.irs.gov/regs or via the Agency (EPA) is proposing to approve a 2. International Commission on Federal eRulemaking Portal at http:// revision to the Wisconsin regulations as they pertain to Northern Engraving Radiological Protection, ‘‘1990 www.regulations.gov (IRS-REG–120616– Recommendations of the International Corporation (NEC) facilities in 03). Commission on Radiological Protection,’’ Galesville and West Salem, Wisconsin Annals of the International Commission on FOR FURTHER INFORMATION CONTACT: as requested by the State of Wisconsin Radiological Protection (ICRP), ICRP Concerning submissions of comments, on June 27, 2003. This State Publication 60, vol. 21, No. 1–3, pp. 1–201, Implementation Plan (SIP) revision 1991. the hearing, and/or to be placed on the 3. National Council on Radiation building access list to attend the hearing makes changes to Wisconsin air Protection Measurements (NCRP), LaNita Van Dyke, (202) 622–7180 (not a pollution control rules federally ‘‘Limitation of Exposure to Ionizing toll-free number). enforceable. The rule revisions modify Radiation,’’ NCRP Report no. 116, Bethesda, the emission limits adopted by the state MD, 1993. SUPPLEMENTARY INFORMATION: The that are part of the current Wisconsin 4. National Council on Radiation subject of the public hearing is the SIP. The revised rules, specifically Protection and Measurements, ‘‘Principles notice of proposed regulations (REG– portions of the Environmental and Application of Collective Dose in 120616–03) that was published in the Cooperative Agreement with NEC, Radiation Protection,’’ NCRP Report No. 121, Federal Register on Friday, July 30, supercede portions of the rules in the Bethesda, MD, 1995. 2004 (69 FR 45631). Wisconsin SIP. Dated: September 24, 2004. The rules of 26 CFR 601.601(a)(3) In the ‘‘Rules and Regulations’’ Jeffrey Shuren, apply to the hearing. Persons who have section of this Federal Register, EPA is Assistant Commissioner for Policy. submitted written comments and wish approving the State’s request as a direct [FR Doc. 04–22354 Filed 10–4–04; 8:45 am] to present oral comments at the hearing final rule without prior proposal BILLING CODE 4160–01–S must submit an outline of the topics to because EPA views this action as noncontroversial and anticipates no be discussed and the amount of time to adverse comments. The rationale for be devoted to each topic (signed original DEPARTMENT OF THE TREASURY approval is set forth in the direct final and eight copies) by December 1, 2004. rule. If EPA receives no written adverse Internal Revenue Service A period of 10 minutes is allotted to comments, EPA will take no further each person for presenting oral action on this proposed rule. If EPA 26 CFR Part 48 comments. After the deadline for receives written adverse comment, we receiving outlines has passed, the IRS will publish a timely withdrawal of the [REG–120616–03] will prepare an agenda containing the direct final rule in the Federal Register RIN 1545–BC08 schedule of speakers. Copies of agenda and inform the public that the rule will will be made available, free of charge, at not take effect. In that event, EPA will Entry of Taxable Fuel; Hearing the hearing. Because of access address all relevant public comments in AGENCY: Internal Revenue Service (IRS), restrictions, the IRS will not admit a subsequent final rule based on this Treasury. visitors beyond the immediate entrance proposed rule. In either event, EPA will not institute a second comment period ACTION: Notice of public hearing on area more than 30 minutes before the on this action. Any parties interested in proposed rulemaking. hearing. For information about having your name placed on the building commenting must do so at this time. SUMMARY: This document contains a access list to attend the hearing, see the DATES: Comments on this action must be notice of public hearing on proposed received by November 4, 2004.
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ADDRESSES: Written comments should I. What action is EPA taking today? supercede portions of rules in the be mailed to: Pamela Blakley, Chief, Air II. Where can I find more information Wisconsin SIP requiring a source- Permits Section, Air Programs Branch about this proposal and corresponding direct specific SIP revision. (AR–18J), United States Environmental final rule? II. Where Can I Find More Information Protection Agency Region 5, 77 West I. What Action Is EPA Taking Today? About This Proposal and Jackson Boulevard, Chicago, Illinois Corresponding Direct Final Rule? 60604. [email protected]. The EPA is proposing to approve a Comments may also be submitted revision to the Wisconsin regulations as For additional information see the electronically or through hand delivery/ they pertain to NEC’s Galesville and direct final rule published in the Rules courier. Commenters are advised to West Salem, Wisconsin facilities as and Regulations section of this Federal review the information and follow the requested by the State of Wisconsin on Register. instructions for submitting comments as June 27, 2003. The SIP revision makes List of Subjects in 40 CFR Part 52 described in Part (I)(B) of the changes to Wisconsin air pollution Supplementary Information section of control rules federally enforceable. Environmental protection, Air the companion direct final rule These rule changes were made at the pollution control, Incorporation by published in the rules section of this request of NEC and the State of reference, Intergovernmental relations, Federal Register. Wisconsin and they apply to the Volatile organic compounds. A copy of the state’s request is operation of the NEC Galesville and Authority: 42 U.S.C. 7401 et seq. available for inspection at the above West Salem facilities. The rule revisions address. modify the emission limits adopted by Dated: March 1, 2004. FOR FURTHER INFORMATION CONTACT: the State of Wisconsin, which are part Jo Lynn Traub, Constantine Blathras at (312) 886–0671, of the current Wisconsin SIP. The rule Acting Regional Administrator, Region 5. [email protected]. revisions and portions of the [FR Doc. 04–22251 Filed 10–4–04; 8:45 am] SUPPLEMENTARY INFORMATION: Environmental Cooperative Agreement BILLING CODE 6560–50–P
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Notices Federal Register Vol. 69, No. 192
Tuesday, October 5, 2004
This section of the FEDERAL REGISTER rate of $119.00 per night. Reservations Background contains documents other than rules or must be confirmed with the necessary proposed rules that are applicable to the credit card or payment information no The explosive growth of the public. Notices of hearings and investigations, later than October 8, 2004. Please international food market has brought a committee meetings, agency decisions and reference the USDA–FSIA meeting variety of food never before available to rulings, delegations of authority, filing of when making reservations. the ordinary consumer’s table petitions and applications and agency throughout the Americas. People can statements of organization and functions are A meeting agenda is available on the examples of documents appearing in this Internet at http://www.fsis.usda.gov/ consume new products from different section. News_&_Events/Meetings_&_Events regions and enjoy traditional seasonal which is a sub-website of the FSIS home favorites throughout the year. Countries page, at http://www.fsis.usda.gov. FSIS are now more dependent on each other’s DEPARTMENT OF AGRICULTURE invites interested persons to submit safeguards to guarantee their citizens a comments on the topics to be discussed wholesome food supply and to protect Food Safety and Inspection Service at the public meeting. Comments may the public health of their country and the region. [Docket No. 04–035N] be submitted by any of the following methods: The nations of the Americas make up Food Safety Institute of the Americas • Mail, including floppy disks or CD– a community committed to meeting the ROM’s, and hand- or courier-delivered many challenges of ensuring food safety AGENCY: Food Safety and Inspection items: Send to Docket Clerk, U.S. and security. One approach to these Service, USDA. Department of Agriculture, Food Safety complex problems is for our countries to ACTION: Notice of public meeting. and Inspection Service, 300 12th Street, develop and effectively exchange SW., Room 102, Cotton Annex, scientific information and education on SUMMARY: The Food Safety and food safety and security risks and on Inspection Service will hold a public Washington, DC 20250–3700. how to manage them. meeting on October 13–15, 2004, in All submissions received must Miami, Florida, to review and discuss include the Agency name and docket The FSIA is an innovative approach the establishment of the Food Safety number 04–035N. for harmonizing, developing, and Institute of the Americas (FSIA). The All comments submitted on the topics distributing food safety and security creation of the FSIA is an innovative to be discussed at the public meeting information and education throughout idea for integrating scientific food safety will be available for public inspection in the Americas; coordinating programs so education, information, communication, the FSIS Docket Room at the address that we concentrate on areas where our and outreach in the Americas. During listed above between 8:30 a.m. and 4:30 needs are the greatest; sharing resources the public meeting, the following issues p.m., Monday through Friday. The on programs that already exist within relating to the FSIA will be discussed: comments also will be posted on the our community; promoting the (1) Identifying and assessing Agency’s Web site at http:// development of international food safety educational and informational needs; (2) www.fsis.usda.gov/regulations/ standards; and protecting ourselves as a _ _ fostering collaboration and partnership 2004 notices index/index.asp. region from food security threats. development; (3) establishing strategies FOR FURTHER INFORMATION CONTACT: To do this, the FSIA will develop and and best practices for developing and Linda Swacina, The Food Safety enlist the support of existing networks delivering programs; and (4) planning Institute of the Americas office at 305– among researchers, public health next steps for the FSIA. 347–5552, [email protected] officials, regulatory officials, and food The public meeting will be an or Mr. Robert Tynan, SIPO–Office of and animal producers and distributors. interactive session. Discussions will be Public Affairs Education and Outreach There are many academic, governmental conducted in plenary sessions as well as at 202–690–6522, and nongovernmental organizations in small group workshops for each of [email protected] for technical with wide-ranging expertise that would the above four issues. information. make them potential partners in FSIA’s DATES: The public meeting will begin on All meeting participants will be development and implementation. Wednesday, October 13, 2004, from 12 required to pre-register before entering FSIA Subject Areas or Colleges p.m. to 5 p.m. and on Thursday, October the meeting. A pre-registration form is 14, from 8:30 a.m. to 5:30 p.m. and located at: http://www.fsis.usda.gov/ _ _ _ _ In one scenario, the FSIA would be Friday, October 15, from 8:30 a.m. to 2 News & Events/Meetings & Events. divided into the following nine colleges p.m. You may also call in your registration and include development and ADDRESSES: All FSIA meetings will take using a special toll free number that has implementation of training, education, place at the Radisson Hotel Miami, 1601 been established for the public meeting. and information materials in these Biscayne Boulevard, Miami, Florida, To phone in registration, please call areas: (1) Codex Alimentarius; (2) 33132. 866–520–8999. Regulatory Foundation Studies; (3) In addition, a block of rooms has been Persons requiring a sign language Public Health Studies; (4) Food held for participants at the Marriott interpreter or other special Security; (5) Manufactured Foods; (6) Biscayne Bay Hotel, 1633 North accommodations should notify the FSIA Animal and Food Production Studies; Bayshore Drive, Miami, Florida 33132. office no later than October 7, 2004, at (7) Retail Programs; (8) Laboratory (Phone: 305–374–3900). Participants for the above number or by e-mail. Studies; and (9) Consumer Education the FSIA meeting will receive a special SUPPLEMENTARY INFORMATION: and Information Programs.
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FSIA Benefits FSIS also will make copies of this foodborne illness associated with eggs The major goal of the FSIA is to Federal Register publication available and egg products. improve and harmonize food safety through the FSIS Constituent Update, At the public meeting, FSIS will education, information, and which is used to provide information discuss the technical design and communication throughout the regarding FSIS policies, procedures, assumptions used to create these draft Americas in order to improve public regulations, Federal Register notices, risk assessments. The draft risk health within each and among the FSIS public meetings, recalls, and other assessments will be available in the countries of the region. It will provide types of information that could affect or FSIS docket room (address below) and major outreach activities to identify, would be of interest to our constituents will be posted to the FSIS Web site at develop, and coordinate educational and stakeholders. The update is http://www.fsis.usda.gov/ programs and to promote the communicated via a free e-mail regulations_&_policies/ development of international food safety subscription service consisting of 2004_Notices_Index/index.asp on or standards and common food security industry, trade, and farm groups, before October 15, 2004. protection. consumer interest groups, allied health DATES: The public meeting is scheduled FSIA will provide the region with professionals, scientific professionals, for Friday, October 22, 2004. The greater access to food safety information and other individuals who have meeting will be held from 9 a.m. to and the technical assistance necessary requested to be included. The update 12:30 p.m. Submit written comments on to ensure the safety of meat, poultry, also is available on the FSIS Web site. the draft risk assessments on or before and egg products. In addition, FSIA will Through the free e-mail subscription November 15, 2004. promote the activities of the Codex service and the Web site, FSIS is able to ADDRESSES: The public meeting will be Alimentarius Commission to bring provide information to a much broader, held at the Hyatt Regency Washington about standardization of food safety more diverse audience. on Capitol Hill, 400 New Jersey Avenue, requirements and become a forum for Done at Washington, DC on September 30, NW., Washington, DC, 20001. scientific discussion relevant to food 2004. safety and international standards in the A tentative agenda is available in the Bryce Quick, FSIS docket room (address below) and Americas. In this way, it will encourage Acting Administrator. and support development of science- on the FSIS Web site at http:// [FR Doc. 04–22392 Filed 10–1–04; 8:45 am] www.fsis.usda.gov/ based agreements that strengthen _ _ national and local economies. BILLING CODE 1410–DM–P regulations & policies/ 2004_Notices_Index/index.asp. FSIS Conclusion invites interested persons to submit The FSIA will help establish working DEPARTMENT OF AGRICULTURE comments on the two draft risk assessments by any of the following relationships among collaborating Food Safety and Inspection Service countries through regular interaction of methods: academic researchers and educators, [Docket No. 04–034N] • Mail, including floppy disks or CD– government regulators, and food safety ROM’s, and hand- or courier-delivered professionals. Enhancing and fostering Salmonella Enteritidis in Shell Eggs items: Send to Docket Clerk, U.S. these contacts are critically important in and Salmonella spp. in Liquid Egg Department of Agriculture, Food Safety addressing regional food safety concerns Products Risk Assessments Technical and Inspection Service, 300 12th Street, and improving understanding about Meeting SW., Room 102, Cotton Annex, requirements for imported and exported Washington, DC 20250. AGENCY: products. Food Safety and Inspection All submissions received must All interested parties are welcome to Service, USDA. include the Agency name and docket attend the meetings and to submit ACTION: Notice of public meeting and number 04–034N. written comments and suggestions availability of draft risk assessments. All comments received and the addressing issues concerning the FSIA official transcript of the meeting will be SUMMARY: The Food Safety and that will be reviewed and discussed. available for viewing in the FSIS Docket Inspection Service (FSIS) is announcing The comments and the official Room at the address listed above that it will hold a public meeting to transcript of the meeting, when they between 8:30 a.m. and 4:30 p.m., discuss two draft quantitative risk become available, will be kept in the Monday through Friday. The comments assessments on Salmonella Enteritidis FSIS Docket Room at the address also will be posted on the Agency’s Web (SE) in shell eggs and Salmonella spp. provided above. All comments received site at http://www.fsis.usda.gov/OPPDE/ in liquid egg products. The first is a in response to this notice will be rdad/FRDockets.htm. considered part of the public record and quantitative risk assessment of SE in FOR FURTHER INFORMATION CONTACT: will be available for viewing in the FSIS shell eggs. The second is a quantitative Philip Derfler, Assistant Administrator, Docket Room between 8:30 a.m. and risk assessment of Salmonella spp. in Office of Policy, Program, and Employee 4:30 p.m., Monday through Friday, pasteurized liquid egg products. The Development, FSIS, U.S. Department of except for Federal holidays. Agency is also announcing the availability of these draft risk Agriculture, 1400 Independence Additional Public Notification assessments and an opportunity to Avenue, SW., Washington, DC 20250– Public awareness of all segments of comment on them. The Agency has 3700, (202) 720–2709. For technical rulemaking and policy development is prepared these draft risk assessments to information, contact Carl Schroeder, important. Consequently, in an effort to provide scientific information on which Ph.D., at (202) 690–6346 or e-mail better ensure that the public and in to base pathogen reduction lethality [email protected]. Members particular that minorities, women, and performance standards that the Agency of the public will be required to pre- persons with disabilities are aware of intends to propose for pasteurized shell register for this meeting. Persons may this notice, FSIS will announce it on- eggs and pasteurized egg products. pre-register by calling (202) 690–6516 or line through the FSIS Web site located These performance standards are e-mailing [email protected]. at http://www.fsis.usda.gov. intended to reduce the incidences of SUPPLEMENTARY INFORMATION:
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Background ADDRESSES above). The draft risk Headquarters, 4077 SW. Research Way, FSIS administers the Egg Products assessments will be made available for Corvallis, Oregon, 97333. Inspection Act (21 U.S.C. 1031–1056). review on October 15, 2004, when they FOR FURTHER INFORMATION CONTACT: Joni The Agency’s current activities are will be posted on the FSIS Web site. Quarnstrom, Public Affairs Specialist, intended to prevent the distribution in Additional Public Notification Siuslaw National Forest, 541–750–7075, domestic and foreign commerce, as or write to Siuslaw National Forest human food, of unwholesome, Public awareness of all segments of Supervisor, P.O. Box 1148, Corvallis, adulterated, or misbranded pasteurized rulemaking and policy development is OR 97339. egg products. important. Consequently, in an effort to SUPPLEMENTARY INFORMATION: The For the past several years, FSIS and ensure that the public and in particular meeting is open to the public. Council the Food and Drug Administration minorities, women, and persons with Discussion is limited to Forest Service/ (FDA) have been developing a joint and disabilities, are aware of this notice, BLM staff and Council Members. Lunch coordinated strategy to more effectively FSIS will announce it on-line through will be on your own. A public input deal with egg safety. Pursuant to this the FSIS Web page located at http:// session will be at 2 p.m. for fifteen coordinated strategy, FDA recently www.fsis.usda.gov. minutes. The meeting is expected to published a proposed rule that would FSIS also will make copies of this adjourn around 3 p.m. Federal Register publication available require shell egg producers to Dated: September 29, 2004. implement measures to prevent SE from through the FSIS Constituent Update, which is used to provide information Michael A. Harvey, contaminating eggs on the farm (69 FR Assistant Recreational Staff. 56823, Sept. 22, 2004). FSIS, in turn, is regarding FSIS policies, procedures, [FR Doc. 04–22341 Filed 10–4–04; 8:45 am] focusing its pathogen reduction efforts regulations, Federal Register notices, on egg products plants and egg handling FSIS public meetings, recalls, and other BILLING CODE 3410–11–M operations that pasteurize shell eggs. types of information that could affect or would be of interest to our constituents To better evaluate potential DEPARTMENT OF AGRICULTURE mitigations for reducing the public and stakeholders. The update is health impact of SE and Salmonella communicated via Listserv, a free e-mail Forest Service spp., as well as improve the safety of subscription service consisting of pasteurized shell eggs and liquid egg industry, trade, and farm groups, Tehama County Resource Advisory products, FSIS has developed two draft consumer interest groups, allied health Committee quantitative risk assessments on SE in professionals, scientific professionals, AGENCY: Forest Service, USDA. shell eggs and Salmonella spp. in liquid and other individuals who have egg products. These draft risk requested to be included. The update ACTION: Notice of meeting. also is available on the FSIS Web page. assessments build upon the 1998 joint SUMMARY: The Tehama County Resource Through Listserv and the Web page, FSIS–FDA Salmonella Enteritidis Risk Advisory Committee (RAC) will meet in FSIS is able to provide information to a Assessment (SERA), which was Red Bluff, California. Agenda items to much broader, more diverse audience. developed to establish the risk of SE in be covered include: (1) Introductions, shell eggs and Salmonella spp. in liquid Done in Washington, DC, on: September (2) approval of minutes, (3) public egg products to human health and to 29, 2004. comment, (4) chairman report, (5) new identify and evaluate potential risk Barbara J. Masters, members welcome, (6) review of reduction strategies. However, the 1998 Acting Administrator. projects funded to date, (7) general SERA did not have sufficient data to [FR Doc. 04–22302 Filed 10–4–04; 8:45 am] discussion, (8) next agenda. provide a scientific basis for FSIS to BILLING CODE 3410–DM–P DATES: The meeting will be held on develop egg safety standards for egg October 14, 2004 from 9 a.m. and end products. at approximately 12 p.m. Since 1998, new data have become DEPARTMENT OF AGRICULTURE ADDRESSES: The meeting will be held at available that has allowed FSIS to the Lincoln Street School, Conference develop risk assessments that are more Forest Service Room A, 1135 Lincoln Street, Red Bluff, useful for developing FSIS performance CA. Individuals wishing to speak or standards for SE in pasteurized shell Oregon Coast Provincial Advisory propose agenda items must send their eggs and Salmonella spp. in liquid egg Committee names and proposals to Jim Giachino, products. This new information AGENCY: Forest Service, USDA. DFO, 825 N. Humboldt Ave., Willows, includes data collected from a national CA 95988. baseline survey conducted by FSIS to ACTION: Notice of meeting. measure Salmonella levels in liquid egg FOR FURTHER INFORMATION CONTACT: SUMMARY: The Oregon Coast Province products and data collected by the Bobbin Gaddini, Committee Advisory Committee will meet in University of Nebraska on the lethality Coordinator, USDA, Mendocino Corvallis, OR, October 14, 2004. The kinetics of Salmonella spp. in a wide National Forest, Grindstone Ranger theme of the meeting is Introduction/ variety of liquid egg products. These District, P.O. Box 164, Elk Creek, CA Overview/Business Planning. The draft risk assessments provide important 95939. (530) 968–5329; Email agenda includes: PAC Subcommittee data that the Agency intends to use in [email protected]. Updates, RiverPrize Update, Special deciding what pathogen reduction SUPPLEMENTARY INFORMATION: The Forest Products, 2005 Meeting Theme/ lethality standards to propose for the meeting is open to the public. Agenda/Dates, Public Comment and processing of pasteurized shell eggs and Committee discussion is limited to Round Robin. pasteurized egg products. Forest Service staff and Committee FSIS requests comment on these draft DATES: The meeting will be held members. However, persons who wish risk assessments and will hold a public October 14, 2004, beginning at 9 a.m. to bring matters to the attention of the meeting to discuss and seek input on ADDRESSES: The meeting will be held at Committee may file written statements them on October 22, 2004, at (see the Siuslaw National Forest with the Committee staff before or after
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the meeting. Public input sessions will /www.fs.fed.us/forestmanagement/ Description of Interim Integrated be provided and individuals who made projects/stewardship/contracts. Resource Contracts FS–2400–13 and written requests by October 12, 2004 Alternatively, these can be viewed in FS–2400–13T will have the opportunity to address the the office of the Director of Forest Integrated Resource Contracts FS– committee at those sessions. Management, Third Floor, Northwest 2400–13 and FS–2400–13T were Dated: September 29, 2004. Wing, Yates Building, 201 14th Street, patterned after the FS–2400–6 and FS– James F. Giachino, SW., Washington, DC. Visitors are 2400–6T contracts respectively. encouraged to call ahead to (202) 205– Designated Federal Official. However, in order to address new 0893 to facilitate entry into the building. [FR Doc. 04–22324 Filed 10–4–04; 8:45 am] authorities in section 323 of Public Law FOR FURTHER INFORMATION CONTACT: BILLING CODE 3410–11–M 108–7, the Consolidated Appropriations Richard Fitzgerald, Forest Management Resolution (16 U.S.C. 2104 note), the Staff, (202) 205–1753, or Lathrop Smith, following conditions and provisions DEPARTMENT OF AGRICULTURE Forest Management Staff, (202) 205– were added to the Integrated Resource 0858. Contracts: Forest Service SUPPLEMENTARY INFORMATION: 1. E/ET2.2 Stewardship Credits. These are credits that the contractor will Background Integrated Resource Contracts FS– establish for performing stewardship 2400–13 and FS–2400–13T Section 323 of Public Law 108–7, the work. These may be used to pay for AGENCY: Forest Service, USDA. Consolidated Appropriations Resolution included timber value subject to certain ACTION: Notice of interim contracts, (16 U.S.C. 2104 note), established new limits set in the contract. request for comments. authorities for stewardship contracting 2. E/ET.2.2.1 Progress Estimate. This not addressed in existing Forest Service requires the Forest Service to make SUMMARY: The Forest Service is timber sale contract forms. In general, timely estimates of a contractor’s implementing Integrated Resource the new authorities allow the Forest progress on stewardship projects. Contracts, FS–2400–13, for use when Service to enter into stewardship 3. E/ET.2.2.2 Excess Stewardship timber products are measured after contracts with public or private entities Credits. In the event that stewardship harvest, and FS–2400–13T, for use or persons to perform services to credits exceed the value of timber, the when timber products are measured achieve land management goals for Forest Service may either add more before harvest. The contracts are for use National Forest System lands that meet timber, or make a cash payment to the in stewardship end result contracting local and rural community needs. By contractor for unused stewardship pursuant to section 323 of Public Law combining components of both service credits. 108–7, the Consolidated Appropriations and timber sale contracts into a single 4. E/ET.2.2.3 Excess Timber Value. Resolution (16 U.S.C. 2104 note), when integrated resource contract the value of In the event that the value of included the value of timber exceeds the cost of timber or other forest products removed timber exceeds the value of mandatory service work. Except for additions can be used as an offset against the cost stewardship projects, the Forest Service addressing new stewardship contracting of services received. Integrated Resource may authorize additional optional authorities, both contracts parallel the Contracts FS–2400–13 and FS–2400– projects if any were identified and/or recently revised Timber Sale Contracts 13T are for use with stewardship end require a cash payment from the FS–2400–6 and FS–2400–6T which result contracting when the value of contractor for excess timber value. became effective upon notice in the timber exceeds the cost of service work. 5. E/ET.2.2.4 Cash Payment for Federal Register on May 6, 2004 (69 FR Except where they deviate to address Stewardship Projects. In lieu of 25367). The Integrated Resource the new authorities and the limitation of providing timber for established Contracts are available electronically compensation in the event of a stewardship credits, Forest Service may and in paper copy, as provided in the sovereign act that would affect a elect to provide the contractor a cash ADDRESSES section of this notice. stewardship contract, the FS–2400–13 payment. Comments received will be considered and FS–2400–13T contracts parallel the 6. G/GT.3.1.1 Technical Proposal. when the Forest Service prepares the recently revised Timber Sale Contracts This replaces B/BT6.311 Plan of final Integrated Resource Contracts. FS–2400–6 and FS–2400–6T which Operations in the FS–2400–6 and FS– DATES: Comments must be received in became effective upon notice in the 2400–6T timber sale contracts. Bidders writing on or before November 4, 2004. Federal Register on May 6, 2004 (69 FR will be required to submit a technical ADDRESSES: Send written comments by 25367). The revisions were the first proposal detailing how they will mail to USDA Forest Service, Director substantive changes to the standard perform the contract work. This Forest Management, 1400 Independence timber sale contract provisions in over provision makes the technical proposal Avenue, SW., Mail Stop 1103, 30 years. A notice with request for from the accepted bidder a binding part Washington, DC 20250–0003; via e-mail comment on the proposed FS–2400–6 of the contract. to: and FS–2400–6T contract revisions was 7. G/GT.9 Stewardship Projects. This [email protected]; published in the Federal Register on provision requires the contractor to or via facsimile to (202) 205–1045. December 19, 2003 (68 FR 70758). The perform all mandatory stewardship Comments may also be submitted via Forest Service made appropriate projects listed in the specific conditions the World Wide Web Internet Web site changes to the contracts in response to section of the contract and addresses at: http://www.regulations.gov. All the public comments and those are procedures for identifying optional comments including names and incorporated in the FS–2400–13 and projects to include. addresses when provided are placed in FS–2400–13T contracts as well. Timber 8. G/GT.9.1 Refund of Unused the record and are available for public Sale Contracts FS–2400–6 and FS– Stewardship Credits. This provision inspection and copying. The Integrated 2400–6T are available on the World provides for making a refund to the Resource Contracts are available for Wide Web/Internet site at: http:// contractor for any unused stewardship public review on the Forest Service www.fs.fed.us/forestmanagement/ credits in event that the Contracting World Wide Web/Internet site at: http:/ infocenter/newcontracts/index.shtml. Officer requests that the contractor
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interrupt or delay operations for more CFR part 1500); and the Natural Dated: September 28, 2004. than 60 days. Resources Conservation Service Richard Van Klaveren, In addition to the changes listed Regulations (7 CFR part 650); the State Conservationist. above, the Integrated Resources Contract Natural Resources Conservation Service, Finding of No Significant Impact for the provisions differ from the timber sale U.S. Department of Agriculture, gives Supplemental Watershed Plan No. 1 East contracts in the following areas: notice than an environmental impact Fork of the Grand River Watershed and 1. Integrated resource contract statement is not being prepared for the Environmental Assessment Ringgold County, provision I/IT2.3-Contract Term Supplemental Watershed Plan No. 1 for Iowa Extension, combines timber sale East Fork of the Grand River Watershed contract provisions B/BT8.23-Contract Introduction Plan and Environmental Impact Term Extension, and B/BT8.231, The Supplemental Watershed Plan No. 1 Statement (Approved 1996), Ringgold Conditions for Contract Term Extension. East Fork of the Grand River Watershed and 2. Integrated resource contract and Union Counties, Iowa, and Harrison Environmental Assessment (EA) describes and Worth Counties, Missouri. the recommended alternative which is a provisions J/JT.4-Damages for Failure to modification of the GB–3 multipurpose site Complete Contract or Termination for FOR FURTHER INFORMATION CONTACT: that was part of the East Fork of the Grand Breach, expands timber sale contract Richard Van Klaveren, State River Watershed Plan and Environmental provision B/BT6.31 to address Conservationist, Natural Resources Impact Statement (EIS). The Supplemental stewardship projects. Conservation Service, 210 Walnut Watershed Plan No. 1–EA compares the 3. The timber sale contracts under effects that will arise from the installation of Street, 693 Federal Building, Des Gooseberry Lake to those that would have provision B/BT6.9 required the Moines, IA 50309–2180. purchaser to provide access to records occurred from the installation of the original SUPPLEMENTARY INFORMATION: The GB–3 structure. to enable the Forest Service to develop This modification of the GB–3 site is and evaluate appraisal data. The environmental assessment of this necessary to meet the Sponsors’ request to Integrated Resource Contracts do not federally assisted action indicates that increase the water supply and recreation contain a comparable requirement the project will not cause significant resources from those originally planned for because the services components of impacts on the environment. As a result GB–3 lake site in order to satisfy increased these contracts would skew operating of these findings, Richard Van Klaveren, demands for these resources from the public. costs rendering the data unreliable for State Conservationist, has determined The East Fork of the Grand River comparative purposes. Watershed Plan and EIS was approved in that the preparation and review of an 1996 under the authority of the Watershed Conclusion environmental impact statement are not Protection and Flood Prevention Act of 1954 needed for this project. (Public Law No. 566, 83rd Congress). Comments will be considered when This document sets forth a This supplemental plan–EA is being the Forest Service prepares the final planned and will be implemented under the Integrated Resource Contracts, FS– supplement to the East Fork of the same authority. It is being planned and is in 2400–13 and FS–2400–13T. When the Grand Watershed Plan–EIS that slightly compliance with all National Environmental Integrated Resource Contracts are relocates and enlarges multipurpose Policy Act (NEPA) and the National Historic finalized, a subsequent notice will be structure GB–3 from a permanent pool Preservation Act of 1966 as amended (NHPA) published in the Federal Register. of 350 acres to 565 acres. The 565 acre provisions. The policies and procedures of site will be renamed Gooseberry Lake. the Watershed Protection and Flood Dated: September 22, 2004. Prevention Act, Public Law 83–566 as Dale N. Bosworth, The increase in size is to meet amended (16 U.S.C. 1001 et seq.) are being additional other agricultural water Chief. utilized for the planning and implementation management and recreation needs. of this project. [FR Doc. 04–22338 Filed 10–4–04; 8:45 am] Gooseberry Lake and its 6210 acre An environmental evaluation was BILLING CODE 3410–11–P undertaken by the Natural Resources watershed are northeast of Mount Ayr Conservation Service (NRCS) in conjunction and are located entirely in Ringgold with the development of this supplemental DEPARTMENT OF AGRICULTURE County, Iowa. plan–EA. This evaluation was undertaken in The Notice of a Finding of No consultation with local, State and Federal Natural Resources Conservation agencies as well as interested organizations Service Significant Impact (FONSI) has been and individuals. Copies of the supplemental forwarded to the Environmental plan–EA are available for public review from Supplemental Watershed Plan No. 1 Protection Agency and to various the following location: Natural Resources East Fork of the Grand River Federal, State, and local agencies. A Conservation Service, 210 Walnut Street, 693 Watershed and Environmental limited number of copies of the FONSI Federal Building, Des Moines, IA 50309– Assessment for East Fork of the Grand are available to fill single copy requests 2180. River Watershed Plan and at the above address. The FONSI is also Recommended Action Environmental Impact Statement available at the Iowa NRCS Web site at Site GB–3 will be moved downstream (Approved 1996), Ringgold and Union http://www.ia.nrcs.usda.gov. A copy of and increased in size. This relocated Counties, IA, and Harrison and Worth the Supplemental Watershed Plan– structure site is renamed Gooseberry Counties, MO Environmental Assessment may be Lake. The Gooseberry Lake Association AGENCY: Natural Resources obtained by contacting Richard Van will acquire the 2,365 acres needed for Conservation Service. Klaveren. Gooseberry Lake and surrounding area ACTION: Notice of finding of no No administrative action will be taken for public use as a fish and wildlife area. significant impact. until 30 days after the date of this The Gooseberry Lake will have a publication in the Federal Register. permanent pool of 565 acres, 1,393 acres SUMMARY: Pursuant to section managed as wildlife habitat, and 182 102(2)(c)of the National Environmental acre county park. The dam and Policy Act of 1969; the Council on floodwater storage pool comprise the Environmental Quality Regulations (40 balance of the 2,365 project acres.
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Access roads, parking areas, boat ramps, Alternative Actions www.ia.nrcs.usda.gov. News releases wildlife plantings in the adjacent lands, The only alternative action to the were issued to state and local media fishing jetties, in-lake facilities, proposed action considered in the announcing its availability on the Web underwater fish structures, etc., will be supplemental plan–EA would be to site and that hard copies could be installed by the Iowa Department of construct Site GB–3 approved in the obtained by contacting the NRCS–Iowa Natural Resources (IDNR) with their original watershed plan–EIS. That state office. Requests for review and own funds. The Ringgold County alternative action was rejected by the input into the document were part of Conservation Board (RCCB) will install Sponsors. The supplemental plan is the the news releases. Significant comments were received the recreation facilities such as roads, only alternative that meets the local from five private citizens, four campgrounds, cabins, restrooms, picnic Sponsors objectives and is acceptable to government agencies, and one non- areas, beach, parking lots, etc. local residents. The plan is the National governmental organization. These Economic Development (NED) plan. Effects of the Recommended Actions comments were addressed in the final There are no cultural resources in the Consultation and Public Participation supplemental plan–EA. area of potential effect. Construction of The Gooseberry Lake Agency has held Conclusion recreation facilities (i.e. access roads, more than 40 meetings beginning in The Environmental Assessment cabins, boat ramps, etc.) will need 2000. All have been conducted in summarized above indicates that this further cultural resources survey. accordance with the Iowa Open Federal action will not cause significant Construction discoveries will be Meetings Law. This means that the impacts on the environment. Therefore, handled in accordance with NRCS public has been notified of each meeting based on the above findings, I have General Manual, Section 420, Part 401. and allowed to attend and participate in determined that an environmental Construction of the dam and each meeting. Typically, 10–25 impact statement for the Supplemental multipurpose pool inundates 24,000 feet members of the public attend these Watershed Plan No. 1 East Fork of the (8 acres) of low quality ephemeral and regular meetings; two to five request Grand River Watershed is not required. intermittent warm water stream channel time on the agenda to speak. One or habitat. This conversion creates 565 more members of the NRCS staff were Dated: September 28, 2004. acres of high quality warm water at each of those meetings in order to Richard Van Klaveren, lacustrine habitat. answer questions and receive State Conservationist. No jurisdictional wetlands were comments. [FR Doc. 04–22300 Filed 10–4–04; 8:45 am] identified in either the planned Ongoing public participation BILLING CODE 3410–16–P multipurpose pool, flood pool, or at the identified the need to include detailed structure site. information on recreation benefits and Ringgold County is within the other direct costs related to lost farm ANTITRUST MODERNIZATION summer range of the Indiana Bat (myotis income. This was done and was COMMISSION sodalis). However, since less than five discussed in the supplemental plan–EA. percent of the project area is in NRCS hosted a week long open house Public Meeting woodland, suitable habitat for this at Mount Ayr, Iowa in February 2004. Numerous displays and information AGENCY: Antitrust Modernization species does not occur at the project Commission. site. No other Federal or state listed T&E related to the East Fork of the Grand ACTION: Notice of public meeting. species are known to occur in the Watershed and the proposed 565 acre Gooseberry Lake were available during Gooseberry Lake project area, nor are SUMMARY: The Antitrust Modernization the open house. NRCS staff answered there any areas of suitable habitat for Commission will hold a public meeting questions from the over 80 public those species listed for Ringgold County on October 20, 2004. The purpose of the participants. in this project area. meeting will be to (1) discuss the Seven Indian tribal contacts and one criteria and processes upon which the While 110.1 acres woody wildlife local historical society were notified of Commission will employ in selecting habitat with a value of 73.6 Habitat this intended action in accordance with issues for further study and (2) discuss Units will be lost to the structure and 36CFR800. They were consulted about the nature of the report the Commission pool, the installation of planned their knowledge of historical properties will issue. measures will produce 248 additional in the project area. No response was acres of woody wildlife habitat worth received from the tribes or the local DATES: October 20, 2004, 10 a.m. until 110.8 Habitat Units. This will produce historical society. 1 p.m., unless earlier adjourned. All a net project gain of 147.9 acres and 37.8 The draft supplemental plan was interested members of the public may habitat units. provided to local, state, and federal attend. Registration is not required. Grassland wildlife habitat on 425 agencies and non-governmental ADDRESSES: Federal Trade Commission, acres with a value of 117.7 Habitat Units organizations for a 45 day long Conference Center Rooms A & B, 601 will be lost due to the project. The interagency review beginning in March, New Jersey Avenue, NW., Washington, installation of planned measures will 2004. Any private citizens who DC. produce 650 acres additional acres of requested the document were also FOR FURTHER INFORMATION CONTACT: grassland wildlife habitat worth 299 mailed copies and requested to Andrew J. Heimert, Executive Director & Habitat Units. This will produce a net comment during the interagency review General Counsel, Antitrust project gain of 225 acres and 181.3 comment period. Seventy-eight copies Modernization Commission: telephone: habitat units. of the supplemental plan–EA were (202) 326–2487; e-mail: [email protected]. Installation of the project will convert distributed to the above agencies and Mr. Heimert is also the Designated 2,365 acres of cropland, hayland, and private citizens during the interagency Federal Officer (DFO) for the Antitrust pasture to non-agricultural land uses. comment period. The NRCS also posted Modernization Commission. This includes 725 acres of prime the draft supplemental plan on its Iowa SUPPLEMENTARY INFORMATION: The farmland. Web site, at http:// Antitrust Modernization Commission
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was established to ‘‘examine whether the authority of the Magnuson-Stevens The United States Patent and the need exists to modernize the Fishery Conservation and Management Trademark Office (USPTO) has antitrust laws and to identify and study Act. The second action would be taken submitted to the Office of Management related issues.’’ Antitrust Modernization both through the FMP and under the and Budget (OMB) for clearance the Commission Act of 2002, Pub. L. 107– authority of the High Seas Fishing following proposal for collection of 273, § 11053, 116 Stat. 1856. Compliance Act. information under the provisions of the The AMC has called this meeting DATES: Public hearings will be held as Paperwork Reduction Act (44 U.S.C. pursuant to its authorizing statute and follows: Wednesday, October 6, 2004, Chapter 35). the Federal Advisory Committee Act. from 5 to 7 p.m., on Hawaii Island in Title: Trademark Processing Antitrust Modernization Commission Hilo, HI; Thursday, October 7, 2004, (proposed addition of seven new TEAS Act of 2002, Pub. L. 107–273, § 11058(f), from 6 to 8 p.m., on Oahu Island in Forms). 116 Stat. 1758, 1857; Federal Advisory Honolulu, HI; and Friday, October 8, Form Number(s): PTO Forms 2194, Committee Act, 5 U.S.C. App. 10(a)(2); 2004, on Kauai Island in Lihue, HI. All 2195, 2196, 2197, 2200, 2201, and 2202. 41 CFR 102–3.150 (2003). times are Hawaii Standard Time. These forms will be added to those that are currently approved for this Dated: September 27, 2004. ADDRESSES: The public hearings will be collection: PTO Form 4.8, 4.9, 4.16, By direction of Deborah A. Garza, Chair of held at the following locations: On 1478, 1478(a), 1553, 1581, 1583, 1963, the Antitrust Modernization Commission. Hawaii Island at the University of 2000, and PTO/TM/4.16 and 1583. Approved by Designated Federal Officer: Hawaii at Hilo, Campus Center, Room Agency Approval Number: 0651– Andrew J. Heimert, 301, 200 W. Kawili St., Hilo, HI; On 0009. Executive Director & General Counsel, Oahu Island at the office of the Western Type of Request: Revision of a Antitrust Modernization Commission. Pacific Fishery Management Council, currently approved collection. [FR Doc. 04–22307 Filed 10–4–04; 8:45 am] 1164 Bishop Street, Suite 1400, Burden: 154,483 hours. BILLING CODE 6820–YM–P Honolulu, HI; On Kauai Island, at Number of Respondents: 762,701 Kamakahelei Middle School, Room E– responses. 101, 4431 Nuhou St., Lihue, HI. Avg. Hours Per Response: DEPARTMENT OF COMMERCE FOR FURTHER INFORMATION CONTACT: Tom Approximately 3 to 12 minutes, Graham, NMFS, 808–973–2937. depending on the form. The USPTO National Oceanic and Atmospheric SUPPLEMENTARY INFORMATION: The DEIS estimates that it takes approximately 3 Administration was made available to the public on minutes (0.05 hours) to complete the requests for deletion of the § 1(b) basis [I.D. 092904D] August 27, 2004, as described in a Notice of Availability published in the from an intent to use application, the change of owner’s address form, and the Fisheries Off West Coast States and in Federal Register by the Environmental express abandonment of the application the Western Pacific; Western Pacific Protection Agency on that date. The and submit them electronically through Pelagic Fisheries; Public Hearing on public comment period for the DEIS the Trademark Electronic Application Draft Environmental Impact Statement ends October 12, 2004. To obtain a copy of the DEIS or for System (TEAS). The USPTO estimates AGENCY: National Marine Fisheries additional information, contact NMFS that it takes approximately 5 minutes Service (NMFS), National Oceanic and (see FOR FURTHER INFORMATION CONTACT). (0.08 hours) to complete the petitions to Atmospheric Administration (NOAA), The DEIS is also available on the revive and the revocation and Commerce. Internet at http://swr.nmfs.noaa.gov/pir/ appointment of attorneys, and 12 ACTION: Notice of public hearing. . minutes (0.20 hours) to complete the withdrawals as the attorney of record SUMMARY: The Pacific Islands Regional Special Accommodations and submit them electronically through Office of NMFS, in coordination with This hearing is physically accessible TEAS. The USPTO estimates that it the Western Pacific Fishery to people with disabilities. Requests for takes 6 minutes (0.10 hours) to complete Management Council, will hold a public sign language interpretation or other the revocation and appointment of hearing in Honolulu, HI, to receive auxiliary aids should be directed to Tom attorney, and 12 minutes (0.20 hours) to comments on a draft environmental Graham, 808–973–2937 (voice) or 808– complete the petitions to revive and impact statement (DEIS) for 973–2941 (fax), by October 6, 2004. mail them to the USPTO. This includes management measures being considered the time to gather the necessary Authority: 16 U.S.C. 1801 et seq., and 16 for the domestic pelagic fisheries in the U.S.C. 5501 et seq. information, prepare the petitions, Pacific Ocean. The DEIS describes and requests, and other associated forms, assesses the likely environmental Dated: September 30, 2004. and submit them to the USPTO. impacts of a range of alternatives for two Alan D. Risenhoover, Needs and Uses: The USPTO is fishery management actions. The first Acting Director, Office of Sustainable developing seven forms that will allow action is aimed at cost-effectively Fisheries, National Marine Fisheries Service. applicants to submit certain petitions, reducing the potentially harmful effects [FR Doc. 04–22343 Filed 10–4–04; 8:45 am] requests, revocations, and change of of fishing by Hawaii-based longline BILLING CODE 3510–22–S address forms electronically through vessels on seabirds. The second is TEAS. When the USPTO deploys these aimed at establishing an effective forms, applicants will be able to petition management framework for pelagic DEPARTMENT OF COMMERCE the USPTO to revive an abandoned squid fisheries in the Pacific, including application; to appoint or revoke a fishing activities within the exclusive Patent and Trademark Office power of attorney; to request that the economic zone of the U.S. and on the Submission for OMB Review; USPTO delete a § 1(b) filing basis from high seas. The first action would be Comment Request an intent to use application; to request taken through the Fishery Management permission to withdraw as the attorney Plan for the Pelagic Fisheries of the AGENCY: United States Patent and of record; and to request the withdrawal Western Pacific Region (FMP), under Trademark Office (USPTO). of an application. Applicants and
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registrants will also be able to change COMMODITY FUTURES TRADING before submitting the collection to OMB their address. The USPTO uses the COMMISSION for approval. To comply with this information submitted electronically requirement, the CFTC is publishing through these forms to revive Agency Information Collection notice of the proposed collection of abandoned applications, to process Activities: Notice of Intent To Renew information listed below. appointments, revocations, and Collection 3038–0095, Rules Relating With respect to the following withdrawals of attorneys and to Security Futures Products applications, to amend the filing basis collection of information, the CFTC AGENCY: Commodity Futures Trading for an intent to use application, and to invites comments on: Commission. change owners’ addresses at their • Whether the proposed collection of request. Use of these forms ensures that ACTION: Notice. information is necessary for the proper the USPTO receives all of the SUMMARY: The Commodity Futures performance of the functions of the information needed to process the Trading Commission (CFTC) is Commission, including whether the trademark applications electronically announcing an opportunity for public information will have a practical use; through TEAS. These forms will be comment on the proposed collection of • The accuracy of the Commission’s added to those currently approved certain information by the agency. under OMB Control Number 0651–0009 estimate of the burden of the proposed Under the Paperwork Reduction Act of collection of information, including the Trademark Processing. 1995 (PRA), 44 U.S.C. 3501 et seq., Affected Public: Business or other for- validity of the methodology and Federal agencies are required to publish profit, individuals or households, not- assumptions used; notice in the Federal Register for-profit institutions, farms, Federal • concerning each proposed collection of Ways to enhance the quality, Government, and State, local, or tribal usefulness, and clarity of the government. information, including each proposed extension of an existing collection of information to be collected; and Frequency: On occasion. • Respondent’s Obligation: Required to information, and to allow 60 days for Ways to minimize the burden of obtain or retain benefits. public comment in response to the collection of information on those who OMB Desk Officer: David Rostker, notice. This notice solicits comments on are to respond, including through the (202) 395–3897. rules relating to Security Futures use of appropriate automated electronic, Copies of the above information Products. mechanical, or other technological collection proposal can be obtained by DATES: Comments must be submitted on collection techniques or other forms of any of the following methods: or before December 6, 2004. information technology; e.g., permitting • E-mail: [email protected]. ADDRESSES: Comments may be mailed to electronic submission of responses. Include ‘‘0651–0009 Trademark David Van Wagner, Division of Market Processing (Addition of Seven New Rules Relating to Security Futures TEAS Forms) copy request’’ in the Oversight, U.S. Commodity Futures Products, OMB Control Number 3038– subject line of the message. Trading Commission, 1155 21st Street, 0059—Extension • Fax: 703–308–7407, marked to the NW., Washington, DC 20581. attention of Susan Brown. FOR FURTHER INFORMATION CONTACT: The Commission’s Part 41 rules • Mail: Susan K. Brown, Records David Van Wagner (202) 418–5481; establish the regulatory framework Officer, Office of the Chief Information FAX: (202) 418–5527; e-mail: governing the offer and sale of security Officer, Office of Data Architecture and [email protected]. futures. Section 5f of the Commodity Services, Data Administration Division, SUPPLEMENTARY INFORMATION: Under the Exchange Act mandates that the U.S. Patent and Trademark Office, P.O. PRA, Federal agencies must obtain Commission set forth procedures that Box 1450, Alexandria, VA 22313–1450. approval from the Office of Management permits certain entities—specifically, Written comments and and Budget (OMB) for each collection of national securities exchanges, national recommendations for the proposed information they conduct or sponsor. securities associations, and alternative information collection should be sent on ‘‘Collection of information’’ is defined trading systems—that would otherwise or before November 4, 2004 to David in 44 U.S.C. 3502(3) and 5 CFR be regulated by the SEC, to become Rostker, OMB Desk Officer, Room 1320.3(c) and includes agency requests designated contract markets for the 10202, New Executive Office Building, or requirements that members of the limited purpose of trading security 725 17th Street NW., Washington, DC public submit reports, keep records, or futures products. 20503. provide information to a third party. The Commission estimates the burden Dated: September 29, 2004. Section 3506(c)(2)(A) of the PRA, 44 of this collection of information as Susan K. Brown, U.S.C. 3506(c)(2)(A), requires Federal follows: Records Officer, USPTO, Office of Data agencies to provide a 60-day notice in Architecture and Services, Data the Federal Register concerning each Administration Division. proposed collection of information, [FR Doc. 04–22345 Filed 10–4–04; 8:45 am] including each proposed extension of an BILLING CODE 3510–16–P existing collection of information,
ESTIMATED ANNUAL REPORTING BURDEN
Annual Frequency 17 CFR section number of of Total annual Hours per Total hours respondents response responses response
17 CFR 41 ...... 144 On occasion ...... 2,739 0.05 1,620
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There are no capital costs or operating required by the Paperwork Reduction Upward Bound and Upward Bound and maintenance costs associated with Act of 1995. Math Science studies. These data this collection. DATES: Interested persons are invited to collections are part of the National This estimate is based on the number submit comments on or before Evaluation of Upward Bound that has of requests for such designations December 6, 2004. been on-going since 1992. The studies are following a sample of 4,728 submitted in the last three years. SUPPLEMENTARY INFORMATION: Section Although the burden varies with the 3506 of the Paperwork Reduction Act of participants and control group students through high school and into young type, size, and complexity of the request 1995 (44 U.S.C. Chapter 35) requires adulthood. submitted, such request might involve that the Office of Management and Requests for copies of the proposed analytical work and analysis, as well as Budget (OMB) provide interested the work of drafting the request itself. information collection request may be Federal agencies and the public an early accessed from http://edicsweb.ed.gov, Dated: September 29, 2004. opportunity to comment on information by selecting the ‘‘Browse Pending Jean A. Webb, collection requests. OMB may amend or Collections’’ link and by clicking on Secretary of Commission. waive the requirement for public link number 2620. When you access the [FR Doc. 04–22299 Filed 10–4–04; 8:45 am] consultation to the extent that public information collection, click on BILLING CODE 6351–01–M participation in the approval process ‘‘Download Attachments’’ to view. would defeat the purpose of the Written requests for information should information collection, violate State or be addressed to U.S. Department of DEPARTMENT OF DEFENSE Federal law, or substantially interfere Education, 400 Maryland Avenue, SW., with any agency’s ability to perform its Potomac Center, 9th Floor, Washington, Department of the Air Force statutory obligations. The Leader, DC 20202–4700. Requests may also be Regulatory Information Management electronically mailed to the Internet HQ USAF Scientific Advisory Board Services, Office of the Chief Information address [email protected] or faxed to Officer, publishes that notice containing 202–245–6621. Please specify the AGENCY: Department of the Air Force, proposed information collection DoD. complete title of the information requests prior to submission of these collection when making your request. ACTION: Notice of meeting. requests to OMB. Each proposed Comments regarding burden and/or information collection, grouped by SUMMARY: Pursuant to Pub. L. 92–463, the collection activity requirements office, contains the following: (1) Type notice is hereby given of the should be directed to Katrina Ingalls at of review requested, e.g. new, revision, forthcoming meeting of the 2004 her e-mail address extension, existing or reinstatement; (2) Science and Technology Quality Review [email protected]. Individuals who title; (3) summary of the collection; (4) Panel. The purpose of the meeting is to use a telecommunications device for the description of the need for, and allow the Air Force Scientific Advisory deaf (TDD) may call the Federal proposed use of, the information; (5) Board to assess the quality and long- Information Relay Service (FIRS) at 1– respondents and frequency of term relevance of Air Force Research 800–877–8339. collection; and (6) reporting and/or Laboratory Directed Energy research. Dated: September 29, 2004. recordkeeping burden. OMB invites Because classified and contractor- Angela C. Arrington, public comment. proprietary information will be The Department of Education is Leader, Regulatory Information Management discussed, this meeting will be closed to Services, Office of the Chief Information especially interested in public comment the public. Officer. addressing the following issues: (1) Is [FR Doc. E4–2492 Filed 10–4–04; 8:45 am] DATES: 25–29 October 2004. this collection necessary to the proper ADDRESSES: Kirtland Air Force Base, functions of the Department; (2) will BILLING CODE 4000–01–P NM. this information be processed and used FOR FURTHER INFORMATION CONTACT: in a timely manner; (3) is the estimate DEPARTMENT OF EDUCATION Major Kyle Gresham, Air Force of burden accurate; (4) how might the Scientific Advisory Board Secretariat, Department enhance the quality, utility, Submission for OMB Review; 1180 Air Force Pentagon, Rm 5D982, and clarity of the information to be Comment Request Washington DC 20330–1180, (703) 697– collected; and (5) how might the Department minimize the burden of this AGENCY: Department of Education. 4808. SUMMARY: collection on the respondents, including The Leader, Regulatory Pamela D. Fitzgerald, through the use of information Information Management Services, Air Force Federal Register Liaison Officer. technology. Office of the Chief Information Officer invites comments on the submission for [FR Doc. 04–22346 Filed 10–4–04; 8:45 am] Office of the Undersecretary OMB review as required by the BILLING CODE 5001–05–P Type of Review: Extension. Paperwork Reduction Act of 1995. Title: National Evaluation of Upward DATES: Interested persons are invited to submit comments on or before DEPARTMENT OF EDUCATION Bound and Upward Bound Math Science. November 4, 2004. Notice of Proposed Information Frequency: On Occasion. ADDRESSES: Written comments should Collection Requests Affected Public: be addressed to the Office of Individuals or household. Information and Regulatory Affairs, AGENCY: Department of Education. Reporting and Recordkeeping Hour Attention: Carolyn Lovett, Desk Officer, SUMMARY: The Leader, Regulatory Burden: Department of Education, Office of Information Management Services, Responses: 2,100. Burden Hours: 888. Management and Budget, 725 17th Office of the Chief Information Officer, Abstract: This request is for Street, NW., Room 10235, New invites comments on the proposed continuation of the fifith follow-up Executive Office Building, Washington, information collection requests as survey and transcript collection regular DC 20503 or faxed to (202) 395–6974.
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SUPPLEMENTARY INFORMATION: Section will be used to determine whether consultation to the extent that public 3506 of the Paperwork Reduction Act of borrowers with low balances are eligible participation in the approval process 1995 (44 U.S.C. Chapter 35) requires for forbearance while they are would defeat the purpose of the that the Office of Management and performing qualifying teaching service. information collection, violate State or Budget (OMB) provide interested Requests for copies of the submission Federal law, or substantially interfere Federal agencies and the public an early for OMB review; comment request may with any agency’s ability to perform its opportunity to comment on information be accessed from http:// statutory obligations. The Leader, collection requests. OMB may amend or edicsweb.ed.gov, by selecting the Regulatory Information Management waive the requirement for public ‘‘Browse Pending Collections’’ link and Services, Office of the Chief Information consultation to the extent that public by clicking on link number 2589. When Officer, publishes that notice containing participation in the approval process you access the information collection, proposed information collection would defeat the purpose of the click on ‘‘Download Attachments’’ to requests prior to submission of these information collection, violate State or view. Written requests for information requests to OMB. Each proposed Federal law, or substantially interfere should be addressed to U.S. Department information collection, grouped by with any agency’s ability to perform its of Education, 400 Maryland Avenue, office, contains the following: (1) Type statutory obligations. The Leader, SW., Potomac Center, 9th Floor, of review requested, e.g. new, revision, Regulatory Information Management Washington, DC 20202–4700. Requests extension, existing or reinstatement; (2) Services, Office of the Chief Information may also be electronically mailed to the Title; (3) Summary of the collection; (4) Officer, publishes that notice containing Internet address [email protected] or Description of the need for, and proposed information collection faxed to 202–245–6621. Please specify proposed use of, the information; (5) requests prior to submission of these the complete title of the information Respondents and frequency of requests to OMB. Each proposed collection when making your request. collection; and (6) Reporting and/or information collection, grouped by Comments regarding burden and/or Recordkeeping burden. OMB invites office, contains the following: (1) Type the collection activity requirements public comment. of review requested, e.g. new, revision, should be directed to Joe Schubart at his Federal Student Aid extension, existing or reinstatement; (2) e-mail address [email protected]. title; (3) summary of the collection; (4) Individuals who use a Type of Review: Revision. description of the need for, and telecommunications device for the deaf Title: William D. Ford Federal Direct proposed use of, the information; (5) (TDD) may call the Federal Information Loan Program Repayment Plan respondents and frequency of Relay Service (FIRS) at 1–800–877– Selection Form. collection; and (6) reporting and/or 8339. Frequency: Occasion. recordkeeping burden. OMB invites [FR Doc. E4–2493 Filed 10–4–04; 8:45 am] Affected Public: Individuals or public comment. BILLING CODE 4000–01–P household. Dated: September 30, 2004. Reporting and Recordkeeping Hour Angela C. Arrington, Burden: Leader, Regulatory Information Management DEPARTMENT OF EDUCATION Responses: 971,000. Services, Office of the Chief Information Burden Hours: 320,430. Officer. Submission for OMB Review; Comment Request Abstract: Borrowers who receive Federal Student Aid loans through the William D. Ford AGENCY: Department of Education. Type of Review: Extension. Federal Direct Loan Program will use SUMMARY: The Leader, Regulatory this form to select a repayment plan for Title: Federal Direct Loan Program Information Management Services, and Federal Family Education Loan their loans. Office of the Chief Information Officer Requests for copies of the submission Program Teacher Loan Forgiveness invites comments on the submission for Forms. for OMB review; comment request may OMB review as required by the be accessed from http://edicsweb.ed.gov Frequency: Annually. Paperwork Reduction Act of 1995. Affected Public: by selecting the ‘‘Browse Pending Businesses or other for-profit; DATES: Interested persons are invited to Collections’’ link and by clicking on Individuals or household, Not-for-profit submit comments on or before link number 2598. When you access the institutions, Federal Government, State, November 4, 2004. information collection, click on Local, or Tribal Gov’t, SEAs or LEAs. ADDRESSES: Written comments should ‘‘Download Attachments ‘‘to view. Reporting and Recordkeeping Hour be addressed to the Office of Written requests for information should Burden: Information and Regulatory Affairs, be addressed to U.S. Department of Responses: 8,700. Attention: Carolyn Lovett, Desk Officer, Education, 400 Maryland Avenue, SW., Burden Hours: 2,780. Department of Education, Office of Potomac Center, 9th Floor, Washington, Abstract: Borrowers who received Management and Budget, 725 17th DC 20202–4700. Requests may also be loans from the William D. Ford Federal Street, NW., Room 10235, New electronically mailed to the Internet Direct Loan Program and/or the Federal Executive Office Building, Washington, address [email protected] or faxed to Family Education Loan Program and DC 20503 or faxed to (202) 395–6974. (202) 245–6621. Please specify the who teach in low-income areas for five SUPPLEMENTARY INFORMATION: Section complete title of the information complete consecutive years, and who 3506 of the Paperwork Reduction Act of collection when making your request. meet other requirements will use this 1995 (44 U.S.C. Chapter 35) requires Comments regarding burden and/or application to receive up to $5,000 of that the Office of Management and the collection activity requirements their subsidized Federal Stafford Loans, Budget (OMB) provide interested should be directed to Joe Schubart at his unsubsidized Federal Stafford Loans, Federal agencies and the public an early e-mail address [email protected]. Direct Subsidize Loans, and/or Direct opportunity to comment on information Individuals who use a Unsubsidized loans forgiven. The collection requests. OMB may amend or telecommunications device for the deaf information on the forbearance form waive the requirement for public (TDD) may call the Federal Information
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Relay Service (FIRS) at 1–800–877– the EAC to study and report on election Voting Equipment 8339. activities, practices, policies and (a) Type, manufacture and number of procedures, including the mechanisms Angela C. Arrington, units of voting equipment used in each of voting in the states, overvotes and county, and (b) the location and number Leader, Regulatory Information Management undervotes, methods of conducting Services, Office of the Chief Information of voting machine malfunctions, Officer. provisional voting, methods of including power failure, broken recruiting, training and improving the [FR Doc. E4–2494 Filed 10–4–04; 8:45 am] counters, computer failure, printer performance of poll workers, matters BILLING CODE 4000–01–P failure, screen failure, damage or particularly relevant to voting destruction of the voting machine, administration and election in rural and modem failure, scanner failure, ballot urban areas, and such other matters as ELECTION ASSISTANCE COMMISSION encoder/activator failure, or other forms the Commission deems appropriate. In of malfunctions. order to fulfill those requirements and Information Collection Activity; Voting Jurisdictions Proposed Collection; Comment to provide a complete report to Request Congress, EAC is seeking information (a) Number of precincts in each relating to November 2, 2004 election. county/local election jurisdiction, and AGENCY: Election Assistance Affected Public: State or local (b) number of polling places in each Commission (EAC). Government. county/local election jurisdiction. ACTION: Notice. Annual Burden Hours: Sources of Information Number of Respondents: 55. SUMMARY: In compliance with Section (a) Number of local election 3506(c)(2)(A) of the Paperwork Responses per Respondent: 1. jurisdictions that responded and Reduction Act of 1995, EAC announces Average Burden per Response: 200 provided information for the survey, (b) the proposed extension of a public hours. name and contact information for information collection and seeks public Frequency: Bi-Annually. persons who provided information for comment on the provisions thereof. SUPPLEMENTARY INFORMATION: the survey, and (c) any other sources of Comments are invited on: (a) Whether information used to report in the survey. the proposed collection of information Summary of Information Collection is necessary for the proper performance Ray Martinez III, HAVA created the Election Assistance Commissioner, U.S. Election Assistance of the functions of the agency, including commission and enacted numerous whether the information shall have Commission. provisions aimed at improving the [FR Doc. 04–22521 Filed 10–4–04; 8:45 am] practical utility; (b) the accuracy of the administration of federal elections. This BILLING CODE 6820–YN–M agency’s estimate of the burden of the survey seeks information relating to the proposed information collection; (c) November 2, 2004 election that will ways to enhance the quality, utility, and assist the EAC in studying the DEPARTMENT OF ENERGY clarity of the information to be administration of that federal election, collected; and (d) ways to minimize the will provide insight into issues or burden of the information collection on Computer Software Available for problems that may require additional License respondents, including through the use study and consideration, and will assist of automated collection techniques or the EAC in providing a complete report AGENCY: Office of General Counsel, other forms of information technology. to Congress on the successes and Department of Energy. DATES: Consideration will be given to all challenges related to the November 2, ACTION: Notice of computer software comments received on or before 2004 election. The following categories available for license. Wednesday, October 14, 2004. of information are requested on a ADDRESSES: Written comments and county/local election jurisdiction and/or SUMMARY: The U.S. Department of recommendations on the proposed state-wide level: Energy announces that the following information collection should be sent to computer software is available for the Election Assistance Commission, Voter Registration license: ‘‘MASTER’’ (Mathematical 1225 New York Avenue, NW., Number of registered voters (active Software for Teaching, Education, and Washington, DC 20005, ATTN: Mr. and inactive) who were eligible to vote Research). Brian Hancock or may be submitted by on November 2, 2004. FOR FURTHER INFORMATION CONTACT: John facsimile transmission at (202) 566– T. Lucas, Office of the Assistant General 3127. Election Results Counsel for Technology Transfer and FOR FURTHER INFORMATION CONTACT: To (a) Number of ballots counted, (b) Intellectual Property, U.S. Department request more information on this number of ballots cast on election day, of Energy, 1000 Independence Ave., proposed information collection or to (c) number of requested absentee SW., Washington, DC 20585; Telephone obtain a copy of the proposal and ballots, (d) number of returned absentee (202) 586–2802. associated collection instruments, ballots, (e) number of counted absentee SUPPLEMENTARY INFORMATION: The please write to the above address, or call ballots, (f) number of early voting ballots above-captioned computer software was Mr. Brian Hancock or Ms. Juliet counted, (g) number of provisional developed under the International Thompson at (202) 566–3100. ballots cast, (h) number of provisional Science and Technology Center (ISTC) Title and OMB Number: Election Day ballots counted, (i) number of project # 1478.2. The software is used to Data Survey; OMB Number Pending. undervotes in each federal contest (i.e., solve physical problems by means of Needs and Uses: The information presidential, senatorial, and computer simulation. It is capable of collection requirement is necessary to congressional races/contests), (j) number simulating the following non-stationary meet a requirement of the Help America of overvotes in each federal contest, and processes in one-dimensional Vote Act (HAVA) of 2002 (42 U.S.C. (k) total number of ballots casts in each approximation: gas, fluid, and solid 15301). Section 241 of HAVA requires federal contest. matter movement under gradients of
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pressure, temperature, or energy release; SUPPLEMENTARY INFORMATION: The DEPARTMENT OF ENERGY propagation of shock, detonation, and above-captioned computer software was sound waves in continuous and porous developed under the International Federal Energy Regulatory substances; destruction and spallation; Science and Technology Center (ISTC) Commission heat transfer; and magneto project #1498. The system, called [Docket Nos. CP04–413–000, CP04–414– hydrodynamics. The software is meant ‘‘Thermal Safety Software’’ or TSS, is 000, and CP04–415–000] for undergraduates, post graduates, designed to address the complex teachers, and researchers. It can be a problems associated with performing Entrega Gas Pipeline Inc.; Notice of supplement to courses on continuum reactive hazard assessment (RHA) of Application mechanics and condensed matter chemical processes. This is achieved by physics. It can exhibit examples of September 28, 2004. extensive use of mathematical models classical problems, illustrate features of Take notice that on September 17, physical process, conduct qualitative and computational methods 2004, Entrega Gas Pipeline, Inc. and quantitative assessments of a implemented in the software set. TSS (Entrega); 950 17th Street, Suite 2600, phenomenon under study, and solve application can significantly improve Denver, Colorado, 80202, filed an applied tasks. reliability of results, speed up the application pursuant to section 7(c) of The software currently may be in design, research, and development work the Natural Gas Act (NGA) and parts need of revision, and the Department is and reduce its cost. TSS has the 157 and 284 of the Commission’s looking for one or more private-sector following general features: (1) regulations, for: (i) A certificate of parties who will revise and maintain the Sequential simulation as the approach public convenience and necessity software at their own expense. The to reactive hazard assessment; (2) authorizing the construction, private sector party or parties will have combination of powerful numerical ownership, and operation of new the right to market the software to non- methods and researcher’s skills; (3) up- interstate natural gas pipeline facilities; Government parties. The Government to-date numerical methods and web- (ii) a blanket certificate of public convenience and necessity authorizing will retain an unlimited, royalty free, based technologies; (4) integration of the Entrega to provide open-access non-exclusive license in the original software suite in one system; (5) a version of the software for Govern transportation services, with pre-granted unified user-friendly interface; (6) abandonment approval; and (iii) a mental purposes. advanced graphics; and (7) an advanced Parties will be given 45 calendar days blanket certificate of public convenience training system. from the date of this Notice to contact and necessity to construct, operate, and/ the Department. After the period for The software currently may be in or abandon certain eligible facilities, response has elapsed, respondents will need of revision, and the Department is and services related thereto. Entrega is be sent a series of questions on their looking for one or more private-sector also requesting authorization for its plans for revising, maintaining, and parties who will revise and maintain the proposed recourse rates for commercializing the software and under software at their own expense. The transportation service and approval of what terms they would make it available private sector party or parties will have its Pro Forma Tariff. This application is to the Government. DOE will then the right to market the software to non- available for review at the Commission decide which party or parties to select. Government parties. The Government in the Public Reference Room or may be will retain an unlimited, royalty free, viewed on the Commission’s Web site at Issued in Washington, DC, on September http://www.ferc.gov using the 29, 2004. non-exclusive license in the original ‘‘eLibrary’’ link. Enter the docket version of the software for Paul A. Gottlieb, number excluding the last three digits in Assistant General Counsel for Technology Governmental purposes. the docket number field to access the Transfer and Intellectual Property. Parties will be given 45 calendar days document. For assistance, please contact [FR Doc. 04–22357 Filed 10–4–04; 8:45 am] from the date of this Notice to contact FERC Online Support at BILLING CODE 6450–01–P the Department. After the period for [email protected] or toll response has elapsed, respondents will free at (866) 208–3676, or for TTY, be sent a series of questions on their contact (202) 502–8659. DEPARTMENT OF ENERGY plans for revising, maintaining and Specifically, Entrega proposes to Computer Software Available for commercializing the software, and construct and operate 327 miles of 36- License under what terms they would make it inch diameter and 42-inch diameter available to the Government. DOE will pipeline from the Meeker Hub in Rio AGENCY: Office of General Counsel, then decide which party or parties to Blanco County, Colorado and extending Department of Energy. select. through Moffat County, Colorado and ACTION: Notice of computer software Sweetwater, Carbon, Albany, and available for license. Issued in Washington, DC, on September Laramie Counties in Wyoming, and 29, 2004. terminating at the Cheyenne Hub in SUMMARY: The U.S. Department of Paul A. Gottlieb, Weld County, Colorado. Entrega also Energy announces that the following Assistant General Counsel for Technology, proposes to construct compressor computer software is available for Transfer and Intellectual Property. stations at three locations in Moffat license: ‘‘Thermal Safety Software’’ or [FR Doc. 04–22358 Filed 10–4–04; 8:45 am] County, Colorado (24,000 horsepower), TSS. BILLING CODE 6450–01–P Sweetwater County, Wyoming (15,500 FOR FURTHER INFORMATION CONTACT: John horsepower), and Carbon County, T. Lucas, Office of the Assistant General Wyoming (15,500 horsepower). In Counsel for Technology Transfer and addition, Entrega proposes to construct Intellectual Property, U.S. Department 7 receipt/delivery points along the of Energy, 1000 Independence Ave., pipeline. Entrega estimates that the SW., Washington, DC 20585; Telephone proposed facilities will cost (202) 586–2802. $644,025,000. Entrega states that the
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pipeline will be able to transport up to Persons may also wish to comment the Commission and open to public 1,500,000 Dth per day of natural gas. further only on the environmental inspection. This filing may be also Any questions about this application review of this project. Environmental viewed on the Web at http:// should be directed to Larry Drader, commenters will be placed on the www.ferc.gov using the ‘‘eLibrary’’ link. President, Entrega Gas Pipeline, Inc., Commission’s environmental mailing Enter the docket number excluding the 950 17th Suite 2600, Denver, Colorado, list, will receive copies of last three digits in the docket number at (303) 389–5069 or fax (720) 956–3610; environmental documents issued by the field to access the document. For or to Keith M. Sappenfield, II, Commission, and will be notified of assistance, please contact FERCOnline Regulatory Lead, Entrega Gas Pipeline, meetings associated with the Support at Inc., 1616 South Voss Road, Suite 750, Commission’s environmental review [email protected] or toll Houston, Texas 77057, at (832) 204– process. Those persons, organizations, free at (866) 208–3676, or TTY, contact 1247 or fax (713) 952–3617. and agencies who submitted comments (202) 502–8659. On March 19, 2004 the Commission during the NEPA Pre-Filing Process in Any questions regarding this staff granted Entrega’s request to utilize Docket No. PF04–7–000 are already on application should be directed to the National Environmental Policy Act the Commission staff’s environmental William W. Grygar, Vice President, (NEPA) Pre-Filing Process and assigned mailing list for the proceeding in the Rates and Regulatory Affairs at (713) Docket No. PF04–7–000 to staff above dockets and may file additional 989–7000, Trunkline Gas Company, activities involving Entrega. Now, as of comments on or before the below listed LLC, 5444 Westheimer Road, Houston, the filing of Entrega’s application on comment date. Environmental Texas 77056. September 17, 2004, the NEPA Pre- commenters will not be required to There are two ways to become Filing Process for Entrega’s project is serve copies of filed documents on all involved in the Commission’s review of closed. From this time forward, other parties. However, environmental this project. First, any person wishing to Entrega’s proceeding will be conducted commenters are also not parties to the obtain legal status by becoming a party in Docket Nos. CP04–413–000, et. al. proceeding and will not receive copies to the proceedings for this project There are two ways to become of all documents filed by other parties should, on or before the comment date involved in the Commission’s review of or non-environmental documents issued stated below, file with the Federal this project. First, any person wishing to by the Commission. Further, they will Energy Regulatory Commission, 888 obtain legal status by becoming a party not have the right to seek court review First Street, NE., Washington, DC 20426, to the proceedings for this project of any final order by Commission in this a motion to intervene in accordance should, on or before the comment date proceeding. with the requirements of the listed below, file with the Federal The Commission strongly encourages Commission’s Rules of Practice and Energy Regulatory Commission, 888 electronic filings of comments, protests, Procedure (18 CFR 385.214 or 385.211) First Street, NE., Washington, DC 20426, and interventions via the Internet in lieu and the Regulations under the NGA (18 a motion to intervene in accordance of paper. See 18 CFR 385.2001(a)(1)(iii) CFR 157.10). A person obtaining party with the requirements of the and the instructions on the status will be placed on the service list Commission’s Rules of Practice and Commission’s Web site (http:// maintained by the Secretary of the Procedure (18 CFR 385.214 or 385.211) www.ferc.gov) under the ‘‘e-Filing’’ link. Commission and will receive copies of and the Regulations under the NGA (18 Comment Date: October 19, 2004. all documents filed by the applicant and CFR 157.10). A person obtaining party by all other parties. A party must submit status will be placed on the service list Magalie R. Salas, 14 copies of filings made with the maintained by the Secretary of the Secretary. Commission and must mail a copy to Commission and will receive copies of [FR Doc. E4–2483 Filed 10–4–04; 8:45 am] the applicant and to every other party in all documents filed by the applicant and BILLING CODE 6717–01–P the proceeding. Only parties to the by all other parties. A party must submit proceeding can ask for court review of 14 copies of this filing and all Commission orders in the proceeding. subsequent filings made with the DEPARTMENT OF ENERGY However, a person does not have to Commission and must mail a copy of all intervene in order to have comments filing to the applicant and to every other Federal Energy Regulatory considered. The second way to party in the proceeding. Only parties to Commission participate is by filing with the the proceeding can ask for court review [Docket No. CP04–420–000] Secretary of the Commission, as soon as of Commission orders in the proceeding. possible, an original and two copies of However, other persons do not have Trunkline Gas Company, LLC; Notice comments in support of or in opposition to intervene in order to have comments of Application to this project. The Commission will considered. The second way to consider these comments in participate is by filing with the September 28, 2004. determining the appropriate action to be Secretary of the Commission, as soon as Take notice that on September 24, taken, but the filing of a comment alone possible, an original and two copies of 2004, Trunkline Gas Company, LLC, will not serve to make the filer a party comments in support of or in opposition P.O. Box 4967, Houston, Texas 77210– to the proceeding. The Commission’s to this project. The Commission will 4967, filed in Docket No. CP04–420–000 rules require that persons filing consider these comments in an application pursuant to section 7(b) comments in opposition to the project determining the appropriate action to be and 7(c) of the Natural Gas Act (NGA) provide copies of their protests only to taken, but the filing of a comment alone and the Commission’s Regulations, for the party or parties directly involved in will not serve to make the filer a party authorization to abandon a 6350 the protest. to the proceeding. The Commission’s horsepower (hp) compressor installed in Persons who wish to comment only rules require that persons filing 1954 and replace it with a new 1675 hp on the environmental review of this comments in opposition to this project compressor at its existing Edna project should submit an original and provide copies of their protests only to Compressor Station located in Jackson two copies of their comments to the the party or parties directly involved in County, Texas, all as more fully set forth Secretary of the Commission. the protest. in the application which is on file with Environmental commenters will be
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placed on the Commission’s accordance with Rules 211 and 214 of 1. LG&E Roanoke Valley L.P., environmental mailing list, will receive the Commission’s Rules of Practice and Westmoreland-Roanoke Valley, L.P., copies of the environmental documents, Procedure (18 CFR 385.211, 385.214). Westmoreland-LG&E Partners and will be notified of meetings Protests will be considered by the [Docket Nos. EC04–160–000 and ER93–734– associated with the Commission’s Commission in determining the 001] environmental review process. appropriate action to be taken, but will Take notice that on September 21, Environmental commenters will not be not serve to make protestants parties to 2004, LG&E Roanoke Valley L.P. (LRV) required to serve copies of filed the proceeding. Any person wishing to and Westmoreland-Roanoke Valley, L.P. documents on all other parties. become a party must file a notice of (WVR, together with LRV, Applicants) However, the non-party commenters intervention or motion to intervene, as on behalf of themselves and on behalf will not receive copies of all documents appropriate. Such notices, motions, or of Westmoreland-LG&E Partners filed by other parties or issued by the protests must be filed on or before the (Partnership) submitted an application Commission (except for the mailing of comment date. Anyone filing a motion pursuant to section 203 of the Federal environmental documents issued by the to intervene or protest must serve a copy Power Act for authorization of Commission) and will not have the right of that document on the Applicant. On disposition of jurisdictional facilities to seek court review of the or before the comment date, it is not whereby an affiliate of WVR will Commission’s final order. necessary to serve motions to intervene purchase LVR’s 50 percent general The Commission strongly encourages or protests on persons other than the partnership interest in the Partnership. electronic filings of comments, protests Applicant. The Partnership filed a notice of change and interventions via the Internet in lieu The Commission encourages in status. Partnership states that it owns of paper. See 18 CFR 385.2001(a)(1)(iii) electronic submission of protests and the remaining 50 percent general and the instructions on the interventions in lieu of paper using the partnership interest in the Partnership. Commission’s Web site (http:// ‘‘eFiling’’ link at http://www.ferc.gov. Partnership also states that it owns two www.ferc.gov) under the ‘‘e-Filing’’ link. pulverized coal-fired cogeneration Comment Date: October 19, 2004. Persons unable to file electronically should submit an original and 14 copies facilities with a combined generating Magalie R. Salas, of the protest or intervention to the capacity of approximately 210 MW in Secretary. Federal Energy Regulatory Commission, Weldon Township, near Roanoke [FR Doc. E4–2481 Filed 10–4–04; 8:45 am] 888 First Street, NE., Washington, DC Valley, North Carolina. BILLING CODE 6717–01–P 20426. Comment Date: 5 p.m. eastern time on October 12, 2004. This filing is accessible on-line at http://www.ferc.gov, using the 2. Union Electric Company d/b/a DEPARTMENT OF ENERGY ‘‘eLibrary’’ link and is available for AmerenUE review in the Commission’s Public Federal Energy Regulatory [Docket No. EC04–161–000] Reference Room in Washington, DC. Commission Take notice that on September 22, There is an ‘‘eSubscription’’ link on the 2004, Union Electric Company d/b/a [Docket No. EL04–137–000] Web site that enables subscribers to AmerenUE (AmerenUE) filed with the receive e-mail notification when a Commission an application pursuant to Cabazon Wind Partners, LLC, document is added to a subscribed section 203 of the Federal Power Act for Complainants v. Southern California docket(s). For assistance with any FERC authorization and approval of the sale of Edison Company, Respondents; Online service, please e-mail certain portions of its electric Notice of Complaint [email protected], or call transmission facilities and related (866) 208–3676 (toll free). For TTY, call September 28, 2004. equipment to Citizens Electric (202) 502–8659. Take notice that on September 27, Cooperative. AmerenUE states that it is 2004, Cabazon Wind Partners, LLC Comment Date: 5 p.m. eastern time on a combination electric and gas public (Cabazon) filed a formal complaint October 18, 2004. utility subject to the jurisdiction of the against Southern California Edison Commission. AmerenUE also states that Linda Mitry, Company (SCE) pursuant to section 206 it provides electric service within parts of the Federal Power Act. Cabazon states Acting Secretary. of the states of Missouri and Illinois and that the complaint alleges that (1) the [FR Doc. E4–2485 Filed 10–4–04; 8:45 am] is subject to the jurisdictions of the failure of the Interconnection Facilities BILLING CODE 6717–01–P utility regulatory commissions in both Agreement (IFA) between Cabazon and states. AmerenUE further states that it is Edison to provide Cabazon credit for its a subsidiary of Ameren Corporation, a upfront payments for network upgrades, DEPARTMENT OF ENERGY registered public utility holding misclassified as distribution facilities, company under the Public Utility causes Southern California Edison’s Federal Energy Regulatory Holding Company Act of 1935, as transmission rates to be unjust and Commission amended (PUHCA). unreasonable; and (2) the IFA is unjust Comment Date: 5 p.m. eastern time on and unreasonable separately because it [Docket No. EC04–160–000, et al.] October 13, 2004. requires Cabazon to pay a tax gross-up 3. Entergy Corporation, et al. associated with the misclassified LG&E Roanoke Valley, L.P., et al.; network upgrades. Electric Rate and Corporate Filings [Docket No. EC04–162–000] Cabazon states that copies of the Take notice that on September 23, complaint were served on the contacts September 27, 2004. 2004, Entergy Corporation, (Entergy) on for (SCE) as listed on the Commission’s The following filings have been made behalf of itself, Entergy Asset list of Corporate Officials. with the Commission. The filings are Management, Inc. (EAM), Entergy Power Any person desiring to intervene or to listed in ascending order within each Generation Corporation, Entergy Power protest this filing must file in docket classification. Gas Operations Corporation, Entergy
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Power Development Corporation, EP this filing does not reflect further Persons unable to file electronically Edegel, Inc., Entergy UK Enterprises substantive changes, but is ministerial should submit an original and 14 copies Limited, Entergy Global Investments, in nature, reflecting both the requested of the protest or intervention to the Inc., Entergy International Holdings Ltd tariff change and a subsequently filed Federal Energy Regulatory Commission, LLC, EK Holding I, LLC and Entergy tariff change. Dynegy requests an 888 First Street, NE., Washington, DC Power International Holdings effective date of January 1, 2005, for the 20426. Corporation (collectively, the Market-Based Ancillary Services Tariffs, This filing is accessible on-line at Applicants) submitted an application and December 17, 2003, for the Market http://www.ferc.gov, using the requesting all necessary authorizations Behavior Rules Tariffs. ‘‘eLibrary’’ link and is available for under section 203 of the Federal Power Comment Date: 5 p.m. eastern time on review in the Commission’s Public Act for the Applicants to engage in a October 13, 2004. Reference Room in Washington, DC. corporate reorganization that will alter 6. Florida Power & Light Company There is an ‘‘eSubscription’’ link on the the upstream ownership of certain Web site that enables subscribers to facilities subject to the Commission’s [Docket No. ER04–1237–000] receive e-mail notification when a jurisdiction and for a third-party Take notice that on September 23, document is added to a subscribed investor to acquire indirect interests in 2004, Florida Power & Light Company docket(s). For assistance with any FERC jurisdictional facilities through (FPL) submitted a Macedonia Online service, please e-mail acquisition of interests in EAM. Temporary Tap Connection Agreement [email protected], or call Entergy states that copies of this filing between Florida Power & Light (866) 208–3676 (toll free). For TTY, call have been served on the Arkansas Company and Georgia Transmission (202) 502–8659. Public Service Commission, the Corporation designated as FPL Rate Louisiana Public Service Commission, Schedule No. 302. FPL states that the Magalie R. Salas, the City Council of New Orleans, the Macedonia Temporary Tap Connection Secretary. Mississippi Public Service Commission, Agreement provides Georgia [FR Doc. E4–2484 Filed 10–4–04; 8:45 am] and the Texas Public Utility Transmission Corporation with an BILLING CODE 6717–01–P Commission. alternative temporary connection Comment Date: 5 p.m. eastern time on capability, which will permit Georgia October 14, 2004. Transmission Corporation time to plan DEPARTMENT OF ENERGY 4. Entergy Services, Inc. and construct additional facilities to enable it to directly serve two Federal Energy Regulatory [Docket Nos. ER04–699–000 and ER03–1272– distribution substations, Macedonia and Commission 002] St. George, in the event that the current [Project No. 2586–024] Take notice that on September 23, radial connection is out of service for 2004, Entergy Services, Inc. (Entergy), any reason. FPL further states that the Alabama Electric Cooperative, Inc.; on behalf of Entergy Arkansas, Inc., Agreement provides a temporary Application and Applicant-Prepared EA Entergy Gulf States, Inc., Entergy connection at the Macedonia substation Accepted for Filing, Soliciting Motions Louisiana, Inc., Entergy Mississippi, on an as-needed and as-available basis To Intervene and Protests, and Inc., and Entergy New Orleans, Inc., until Georgia Transmission Corporation Soliciting Comments, and Final filed a response to the Post Technical plans and constructs permanent Recommendations, Terms and Conference Data Request issued on facilities. Conditions, and Prescriptions August 17, 2004 in the above-captioned FPL states that copies of the filing proceedings. were served upon the Georgia September 28, 2004. Comment Date: 5 p.m. eastern time on Transmission Corporation. Take notice that the following October 14, 2004. Comment Date: 5 p.m. eastern time on hydroelectric application has been filed 5. Dynegy Power Marketing, Inc. October 14, 2004. with the Commission and is available for public inspection. [Docket No. ER04–1223–001] Standard Paragraph a. Type of Application: New major Take notice that on September 22, Any person desiring to intervene or to license. 2004, Dynegy Power Marketing, Inc. protest this filing must file in b. Project No.: 2586–024. (Dynegy) pursuant to section 205 of the accordance with Rules 211 and 214 of c. Date Filed: April 29, 2003. Federal Power Act (FPA), 16 U.S.C. the Commission’s Rules of Practice and d. Applicant: Alabama Electric 824d, and part 35 of the Commission’s Procedure (18 CFR 385.211 and Cooperative, Inc. regulations, 18 CFR part 35, submitted 385.214). Protests will be considered by e. Name of Project: Conecuh River for filing amended rate schedules the Commission in determining the Project. implementing provisions for sales of appropriate action to be taken, but will f. Location: The Conecuh River market-based ancillary services (Market- not serve to make protestants parties to Project is located on the Conecuh River Based Ancillary Services Tariff). Dynegy the proceeding. Any person wishing to in Andalusia, AL. The project does not states that this amended Rate Schedule become a party must file a notice of affect Federal lands. was originally submitted September 10, intervention or motion to intervene, as g. Filed Pursuant to: Federal Power 2004, in compliance with the appropriate. Such notices, motions, or Act, 16 U.S.C. 791(a)–825(r). Commission’s order issued July 29, protests must be filed on or before the h. Applicant Contact: Scott Wright 2004, in Ameren Corporation, 108 FERC comment date. Anyone filing a motion (Engineering contact) or Mike Noel ¶ 61,094. Dynegy submitted for filing to intervene or protest must serve a copy (Environmental contact), Alabama revisions to its tariff implementing the of that document on the Applicant and Electric Cooperative, Inc., 2027 East Market Behavior Rules, Investigation of all parties to this proceeding. Three Notch Street, P.O. Box 550, Terms and Conditions of Public Utility The Commission encourages Andalusia, AL 36420–0550. Market-Based Rate Authorizations, 105 electronic submission of protests and i. FERC Contact: Sean Murphy at FERC ¶ 61,218 (2003) (Market Behavior interventions in lieu of paper using the (202) 502–6145 or Rules Tariff). Dynegy also states that ‘‘eFiling’’ link at http://www.ferc.gov. [email protected].
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j. Deadline for filing motions to Online Support at DEPARTMENT OF ENERGY intervene and protests, comments, and [email protected] or toll- final recommendations, terms and free at 1–866–208–3676, or for TTY, Federal Energy Regulatory conditions, and prescriptions: 60 days (202) 502–8659. A copy is also available Commission from the issuance of this notice for inspection and reproduction at the [Docket No. RP04–276–000] All documents (original and eight address in item h above. copies) should be filed with: Magalie R. Southern Star Central Gas Pipeline, Salas, Secretary, Federal Energy All filings must (1) bear in all capital Inc.; Notice of Informal Settlement Regulatory Commission, 888 First letters the title ‘‘COMMENTS’’, ‘‘REPLY Conference Street, NE., Washington, DC 20426. COMMENTS’’, The Commission’s Rules of Practice ‘‘RECOMMENDATIONS,’’ ‘‘TERMS September 28, 2004. require all intervenors filing documents AND CONDITIONS,’’ or Take notice that an informal with the Commission to serve a copy of ‘‘PRESCRIPTIONS;’’ (2) set forth in the settlement conference will be convened that document on each person on the heading the name of the applicant and in this proceeding commencing at 10 official service list for the project. the project number of the application to a.m. (e.s.t.) on Wednesday, October 6, Further, if an intervenor files comments which the filing responds; (3) furnish 2004, at the Federal Energy Regulatory or documents with the Commission the name, address, and telephone Commission, 888 First Street, NE., relating to the merits of an issue that number of the person submitting the Washington, DC 20426, for the purpose may affect the responsibilities of a filing; and (4) otherwise comply with of exploring the possible settlement of particular resource agency, they must the requirements of 18 CFR 385.2001 the above-referenced docket. also serve a copy of the document on through 385.2005. All comments, Any party, as defined by 18 CFR that resource agency. recommendations, terms and conditions 385.102(c), or any participant as defined Comments, recommendations, terms or prescriptions must set forth their by 18 CFR 385.102(b), is invited to and conditions, and prescriptions may attend. Persons wishing to become a be filed electronically via the Internet in evidentiary basis and otherwise comply party must move to intervene and lieu of paper. The Commission strongly with the requirements of 18 CFR 4.34(b). receive intervenor status pursuant to the encourages electronic filings. See 18 Agencies may obtain copies of the Commission’s regulations (18 CFR CFR 385.2001(a)(1)(iii) and the application directly from the applicant. 385.214). instructions on the Commission’s Web Each filing must be accompanied by For additional information, please site (http://www.ferc.gov) under the ‘‘e- proof of service on all persons listed on contact Bob Keegan at (202) 502–8158, Filing’’ link. the service list prepared by the k. This application and Commission in this proceeding, in [email protected]. environmental assessment has been accordance with 18 CFR 4.34(b), and Magalie R. Salas, accepted, and is ready for 385.2010. Secretary. environmental analysis at this time. You may also register online at: [FR Doc. E4–2480 Filed 10–4–04; 8:45 am] l. The 8.25-megawatt (MW) project http://www.ferc.gov/docs-filing/ BILLING CODE 6717–01–P consists of two developments the Gant esubscription.asp to be notified via e- Dam Development and the Point A mail of new filings and issuances Development The Point ‘‘A’’ Development consists related to this or other pending projects. ENVIRONMENTAL PROTECTION of the following existing facilities: (1) A For assistance, contact FERC Online AGENCY 2,800-foot-long earthen dam comprised Support. [OEI–2004–0004, FRL–7823–4] of a gated concrete spillway section; (2) n. The tentative schedule for a 700-acre reservoir at a normal water processing the application follows: Agency Information Collection surface elevation of 170 feet msl; (3) a Activities: Proposed Collection; powerhouse, integral with the dam, Milestone Date Comment Request; Information containing three generating units with a Collection Request Update for the 40 total installed capacity of 5,200 kW, (4) Deadline for Agency November 1, 2004 CFR Part 64 Compliance Assurance Recommendations. a 0.39-mile-long, 46-kV transmission Monitoring Program, EPA ICR Number line; and (5) other appurtenances. Deadline for Reply December 1, 2004 Comments. 1663.03, OMB Control Number 2060– The Gantt Development consists of 0376 the following existing facilities: (1) A Issuance of EA ...... January 2005 1,562-foot-long earthen dam comprised Public Comments on February 2005 AGENCY: Environmental Protection of a gated concrete spillway section; (2) EA due. Agency. Ready for Commis- March 2005 a 2,767-acre reservoir at a normal water sion Decision on ACTION: Notice. surface elevation of 198 feet msl; (3) a the Application. powerhouse, integral with the dam, SUMMARY: In compliance with the containing two generating units with a Paperwork Reduction Act (44 U.S.C. total installed capacity of 3,050 kW, and Final amendments to the application 3501 et seq.), this document announces (4) other appurtenances. must be filed with the Commission no that EPA is planning to submit a m. A copy of the application is later than 45 days from the issuance continuing Information Collection available for review at the Commission date of this notice. Request (ICR) to the Office of in the Public Reference Room or may be Magalie R. Salas, Management and Budget (OMB). This is viewed on the Commission’s Web site at a request to renew an existing http://www.ferc.gov using the Secretary. collection. This ICR is scheduled to ‘‘eLibrary’’ link. Enter the docket [FR Doc. E4–2482 Filed 10–4–04; 8:45 am] expire on November 30, 2004. Before number excluding the last three digits in BILLING CODE 6717–01–P submitting the ICR to OMB for review the docket number field to access the and approval, EPA is soliciting document. For assistance, contact FERC comments on specific aspects of the
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proposed information collection as a reference to that material in the promulgated the Compliance Assurance described below. version of the comment that is placed in Monitoring rule, part 64, on October 22, DATES: Comments must be submitted on EDOCKET. The entire printed comment, 1997 (62 FR 54900) to implement these or before December 6, 2004. including the copyrighted material, will authorities. be available in the public docket. In accordance with these provisions, ADDRESSES: Submit your comments, Although identified as an item in the the monitoring information source referencing docket ID number OEI– official docket, information claimed as owners must submit must also be 2004–0004, to EPA online using CBI, or whose disclosure is otherwise available to the public, except as EDOCKET (our preferred method), by e- restricted by statute, is not included in entitled top protection from disclosure mail: [email protected], the official public docket and will not as allowed in section 114(c) of the Act. or by mail to: U.S. Environmental be available for public viewing in An agency may not conduct or sponsor, Protection Agency, EPA Docket Center EDOCKET. For further information and a person is not required to respond (EPA/DC), Air and Radiation Docket and about the electronic docket, see EPA’s to, a collection of information unless it Information Center, MC 6102T, 1200 Federal Register notice describing the displays a currently valid OMB control Pennsylvania Avenue, NW., electronic docket at 67 FR 38102 (May number. The OMB control numbers for Washington, DC 20460, A-and-R- 31, 2002), or go to http://www.epa.gov./ EPA’s regulations in 40 CFR are listed [email protected]. edocket. in 40 CFR part 9. FOR FURTHER INFORMATION CONTACT: Affected entities: Entities potentially We are soliciting comments to: Peter R. Westlin, Environmental affected by this action are owners and (i) Evaluate whether the proposed Protection Agency, Office of Air Quality operators of major sources as defined by collection of information is necessary Planning and Standards (mail code any title of the Clean Air Act and for the proper performance of the D243–02), Research Triangle Park, required to apply for and obtain an functions of the Agency, including North Carolina 27711; telephone operating permit under title V of the whether the information will have number: (919) 541–1058; fax number: Clean Air Act as amended by the Clean practical utility; (919) 541–1039; e-mail address: Air Act Amendments of 1990 (the Act). (ii) Evaluate the accuracy of the [email protected]. Title: Information Collection Request Agency’s estimate of the burden of the Update for the 40 CFR Part 64 proposed collection of information, SUPPLEMENTARY INFORMATION: EPA has Compliance Assurance Monitoring including the validity of the established a public docket for this ICR Program, OMB control number 2060– methodology and assumptions used; under Docket ID number OEI–2004– 0376, ICR number 1663.02, expiring (iii) Enhance the quality, utility, and 0004, which is available for public November 30, 2004. clarity of the information to be viewing at the Air and Radiation Docket Abstract: The Act contains several collected; and and Information Center in the EPA provisions directing us to require source (iv) Minimize the burden of the Docket Center (EPA/DC), EPA West, owners to conduct monitoring to collection of information on those who Room B102, 1301 Constitution Ave., support certification as to their status of are to respond, including through the NW., Washington, DC. The EPA Docket compliance with applicable use of appropriate automated electronic, Center Public Reading Room is open requirements. These provisions are set mechanical, or other technological from 8:30 a.m. to 4:30 p.m., Monday forth title V (operating permits collection techniques or other forms of through Friday, excluding legal provisions) and title VII (enforcement information technology, e.g., permitting holidays. The telephone number for the provisions) of the Act. Title V directs us electronic submission of responses. Reading Room is (202) 566–1744, and to implement monitoring and Burden Statement: Based on the the telephone number for the Air and certification requirements through the Agency’s knowledge of the number of Radiation Docket and Information operating permits program. Section title V permits issued since 1997 and Center is (202) 566–1742. An electronic 504(b) of the Act allows us to prescribe the implementation of part 64 through version of the public docket is available by rule methods and procedures for permit renewals, the expected impact of through EPA Dockets (EDOCKET) at determining compliance recognizing the 40 CFR part 64 Compliance http://www.epa.gov/edocket. Use that continuous emissions monitoring Assurance Monitoring (CAM) Program EDOCKET to obtain a copy of the draft systems need not be required if other for the 3 years from October 1, 2004 collection of information, submit or procedures or methods provide until September 30, 2007 is 52,000 view public comments, access the index sufficiently reliable and timely hours. The CAM rule will incur an listing of the contents of the public information for determining average annual cost of $2.5 million in docket, and to access those documents compliance. Under section 504(c), each 2004 dollars. This includes an in the public docket that are available operating permit must ‘‘set forth annualized capital and operation and electronically. Once in the system, inspection, entry, monitoring, maintenance cost of $70,000. select ‘‘search,’’ then key in the docket compliance, certification, and reporting The CAM program burden for source ID number identified above. requirements to assure compliance with owners or operators means the total You should submit any comments the permit terms and conditions.’’ time, effort, or financial resources related to this ICR to EPA within 60 Section 114(a)(3) requires us to expended by persons to generate, days of this notice. EPA’s policy is the promulgate rules for enhanced maintain, retain, or disclose or provide Agency will make available public monitoring and compliance monitoring information to or for a comments, whether submitted certifications. Section 114(a)(1) of the Federal Agency. This includes the time electronically or in paper, for public Act provides additional authority needed to review instructions; develop, viewing in EDOCKET as EPA receives concerning monitoring, reporting, and acquire, install, and utilize technology them and without change, unless the record keeping requirements. This and systems for the purposes of comment contains copyrighted material, section provides the Administrator with collecting, validating, and verifying CBI, or other information whose public the authority to require any owner or information, processing and disclosure is restricted by statute. When operator of a source to install and maintaining information, and disclosing EPA identifies a comment containing operate monitoring systems and to and providing information; adjust the copyrighted material, EPA will provide record the resulting monitoring data. We existing ways to comply with any
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previously applicable instructions and amended, 42 U.S.C. 9622(i), notice is Kristin Balzano, U.S. Environmental requirements; train personnel to be able hereby given of a proposed fourth Protection Agency, Region I, 1 Congress to respond to a collection of administrative settlement for recovery of Street, Suite 1100 (SES), Boston, MA information; search data sources; past and projected future response costs 02114–2023 (Telephone Number: 617– complete and review the collection of concerning the Beede Waste Oil 918–1772). Comments should reference information; and transmit or otherwise Superfund Site in Plaistow, New the Beede Waste Oil Superfund Site in disclose the information. We have also Hampshire with the settling parties Plaistow, New Hampshire and EPA included annualized capital and listed in the Supplementary Information Docket No. CERCLA–01–2004–0012 and operational and maintenance costs for portion of this notice. The U.S. should be addressed to Kristin Balzano, monitoring programs in the cost burden Environmental Protection Agency— U.S. Environmental Protection Agency, calculation. The CAM program over the Region I (‘‘EPA’’) is proposing to enter Region I, 1 Congress Street, Suite 1100 years 2004 through 2007 potentially into a fourth de minimis settlement (SES), Boston, MA 02114–2023. affects 240 large pollutant-specific agreement to address claims under the FOR FURTHER INFORMATION CONTACT: emissions units plus 2440 other Comprehensive Environmental Cindy Lewis, U.S. Environmental pollutant-specific emissions units Response, Compensation, and Liability Protection Agency, Region I, 1 Congress nationwide. The annual burden for Act of 1980, as amended (‘‘CERCLA’’), Street, Suite 1100 (SES), Boston, MA source owners or operators is 5,550 42 U.S.C. 9601 et seq. Notice is being 02114–2023 (Telephone Number: 617– hours for large pollutant-specific published to inform the public of the 918–1889). emissions units and 46,650 hours for proposed fourth settlement and of the SUPPLEMENTARY INFORMATION: This other pollutant-specific emissions units. opportunity to comment. This fourth section contains a list of the During the period, permitting settlement, embodied in a CERCLA approximately 276 settling parties. Each authorities will review CAM submittals section 122(g) Administrative Order on party name is listed as it appears on the from source owners or operators whose Consent (‘‘AOC’’), is designed to resolve current EPA list of potentially permits have already been issued and each settling party’s liability at the Site responsible parties (PRPs) and many of are renewing those permits as the 5-year for past work, past response costs and the names are followed by a permit terms expire. Permitting specified future work and response parenthetical which refers to the name authorities will also be interacting with costs through covenants under sections of the party listed on the AOC signature the source owners or operators in 106 and 107 of CERCLA, 42 U.S.C. 9606 page. The following is a list of the addressing the CAM in semi-annual and 9607, as well as to resolve each settling parties, including settling monitoring reports and reporting CAM such settling party’s liability at the Site federal agencies, to the proposed fourth data as necessary. We estimate the for past response costs and estimated settlement: 67 Smith Place Corporation, annual CAM burden to permitting future response costs by the State of A & C Tire Company, Inc., A & O authorities to be 21,500 hours and about New Hampshire, through its Department Service Center, Inc., A. Neal Perley d/ $1.5 million. Burden means the total of Environmental Services. The b/a Perley’s Marina, Acton Tire Inc., time, effort, or financial resources proposed AOC requires the settling Advisory Realty Corporation, Agri- expended by persons to generate, parties listed in the Supplementary Mark, Inc., Alcatel (Alcatel Vacuum maintain, retain, or disclose or provide Information section below to pay an Products), Alvin Hollis and Company, information to or for a Federal agency. aggregate total of approximately Inc., American Eagle Tours, Inc., Dated: September 22, 2004. $10,736,723.91. For thirty (30) days American Medical Response of following the date of publication of this William Lamason, Massachusetts, Inc., Amesbury Coach notice, the EPA will receive written Inc., Amesbury Group Inc., AMI Leasing Acting Director, Emissions Monitoring and comments relating to the settlement. Analysis Division. (Trucklease Corporation d/b/a AMI The EPA will consider all comments Leasing), Antoine’s Auto Repair, Inc., [FR Doc. 04–22361 Filed 10–4–04; 8:45 am] received and may modify or withdraw BILLING CODE 6560–50–P Aquacultural Research Corporation, its consent to the settlement if Ashland Motors, Inc., Atamian comments received disclose facts or Volkswagen Inc. d/b/a Atamian Honda, ENVIRONMENTAL PROTECTION considerations which indicate that the Atlantic Waste Systems North (Wood AGENCY settlement is inappropriate, improper, Recycling, Inc.), Auto Service & Tire, or inadequate. The EPA’s response to Inc., Auto West, Automotive [FRL–7824–4] any comments received will be available Consultants, Inc., Ayotte Plumbing for public inspection at the EPA Records Heating and Air Conditioning, B & B Proposed Fourth Administrative Center, 1 Congress Street, Boston, MA Cashout Settlement Under Section Auto Clinic, Inc., Bailey Distributing 02114–2023 (Telephone Number: 617– Corporation (Yeliab Corporation, 122(g) of the Comprehensive 918–1440) and at the Plaistow Public Environmental Response, Successor), Ballard Motor Sales Inc. Library, 85 Main Street, Plaistow, NH (Ballard Mack Sales & Service Inc.), Compensation, and Liability Act; in Re: (Telephone Number: 603–382–6011). Beede Waste Oil Superfund Site, Bancroft Tire Center (H. Glick & Son’s, DATES: Comments must be submitted on Plaistow, NH Inc.), Bennett Service Station, Inc., Bert or before November 4, 2004. Libon Inc., BMW Gallery, Bob Innis and AGENCY: Environmental Protection ADDRESSES: The proposed fourth Son, Inc., Bob’s Auto Repair Inc. (Bob’s Agency. settlement is available for public Auto Repair LLC), Bob’s Auto Service, ACTION: Notice of proposed fourth inspection at the EPA Records Center, 1 Boott Mills Hydro (Boott Hydropower, administrative settlement and request Congress Street, Boston, MA 02114– Inc.), Boston Harbor Cruises, Inc. for public comment. 2023 and at the Plaistow Public Library, (Harbor Cruises, LLC d/b/a Boston 85 Main Street, Plaistow, NH Harbor Cruises), Boston Public Health SUMMARY: In accordance with Section (Telephone Number: 603–382–6011). Commission, Boston Sand & Gravel 122(i) of the Comprehensive Please call 617–918–1440 to schedule Company, Bourne Bridge Auto Sales Environmental Response, an appointment. A copy of the proposed Inc. d/b/a Hyannis Saab, Bridge Marina, Compensation, and Liability Act, as fourth settlement may be obtained from Inc., Bridgestone/Firestone North
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American Tire, LLC, Brownie’s Swan Telecom Inc. et al), George Luddy Industrial Machine (Ultima Nashua Street Garage, Browning-Ferris Chevrolet, Inc., George R. Cairns & Sons, Industrial Machine Corporation), New Industries (BFI Waste Services of Inc., Georgetown Service Station, Inc. d/ England Frozen Foods, Inc., (f/k/a Massachusetts, LLC), Burlington Dodge, b/a Georgetown Citgo, Global Petroleum Hendrie’s Frozen Foods, Inc.), New Inc., Bursaw Oil Corporation, C W Corporation, Greater Lawrence Regional England Tank Company, New Equipment Company Inc., C. N. Wood Vocational Technical High School Hampshire Department of Company, Inc., CDST Corporation d/b/ District, Greater Lowell Regional Environmental Services, North Andover a Quality Lube & Wash, Champy’s Vocational Technical School District, Texaco Inc., Norwood Automobile Service Tire & Supply Inc., Chets Auto Grove Products, Inc., Gullwing Service Company d/b/a Cadillac of Norwood, Repair, Chrysler Plymouth of Medford, Company, Inc. d/b/a Paul Russell & Nuri Asmar d/b/a Chandler Value, O.F. Inc. (n/k/a Grava of Medford, Inc.), Company, Gurney’s Service Station, Welker, Inc. d/b/a Welker’s 16 Acres Chuckran Auto Parts Inc., Cinderella Inc., H. Wright’s Service, Inc., Hamilton- Mobil, Oakland Avenue Garage, Old Carriage Company, Inc., City of Wenham Regional School District, Colony Motors Inc., Olson’s Lawrence, Massachusetts, City of Lynn, Harry’s Auto Repair, Henry’s Sunoco Greenhouses Inc., Owens-Illinois Inc., Massachusetts, City of Methuen, Inc., Holden Oil Inc., Honda Village, Palmer Automotive (Palmer’s Massachusetts, City of Newburyport, Inc., Hydramatic Sales & Service Automotive Service), Park Avenue Massachusetts, City of Newton, Corporation, Hyster New England Inc. Citgo, Parkway Texaco (Parkway Massachusetts, CJ 3A Service & Repair (f/k/a Lewis & Boyle Company), Ideal Automotive), Pearl Street Motors, Inc., Inc. (d/b/a CJ Auto Repair), Clark & Reid Transportation Company, Inc., Interstate Perkins School for the Blind, Peters Company, Inc., Coast Pontiac-Cadillac, Electrical Services Corporation, Ipswich Auto Sales Inc., Petroleum Heat & Inc., Computron Metal Products, Inc., Ford Inc., Ipswich Shellfish Company, Power Company, Inc., Pica’s Connolly Buick Company, Inc. (500 Inc., Irwin Motors Inc., J.G. MacLellan Automotive Services, Inc., Plymouth Enterprises, Inc. d/b/a Herb Connolly Concrete Company Inc., James W. Flett County Sheriffs Department, Porter Acura of Framingham), Consumer Auto Company, Inc., Jannell Motors Inc., Chevrolet Inc., Portside Marine Service Parts, Inc., Copeland’s Automotive, Jerry’s Auto Service Inc., JF White Inc., Praxair, Inc., Precision Auto Coppola Inc., Cote & Sons Automotive Contractor, Jim’s American, JLJ Repair, Inc., Precision Wire Shapes, Center, Inc., Cox Fuel Company, Inc., Enterprises, Inc., John C. Bell, Inc. d/b/ Public Service of New Hampshire, Coyne International Enterprises a New Meadows Auto Repair, Joseph A. Quality Controls Inc., R Zambino & Sons Corporation (d/b/a Coyne Textile Noujaim d/b/a Byblos Mercedes Clinic, Inc. (Rocco Zambino & Sons, Inc.), R.L. Services), Cyndan Inc. d/b/a Speedway Kelley’s Service Station, Kelly’s Tire Buzzell, Inc., Raymers Express, Inc., Lube & Tube, D.N. Kelley & Son, Inc., Mart Inc., Ken’s Auto Repair Inc., Ken’s Reimel’s Automotive Specialist, Daley & Wanzer, Inc., Daniels LeSaffre Haus, Inc., Kriswood, Inc., L & R Rockingham Toyota Dodge Nissan, Inc., Motors, Inc., Dave’s Enterprises, Inc., Services Inc., Lawrence Boys & Girls Rods Auto Care, Rolling Green Service Davidson Chevrolet Company, Inc. (d/b/ Club, Lawrence HydroElectric Center, Inc., Romie’s Auto Repair, Inc., a Davidson Chevrolet-Oldsmobile), (Lawrence Hydroelectric Associates), Route 114 Mobil Inc. (Rte 114 Mobil), S DeLucca Fence Company, Inc., Denison Lily Transportation Corporation (f/k/a J McNeilly Oldsmobile Inc., Saint- Pharmaceuticals, Inc., Derry Lily Truck Leasing Corporation and LTL Gobain Corporation (Bird, Inc. Cooperative School District, Dick Inc.), Lindberg Heat Treating Company predecessor of Saint-Gobain Industrial Inc., Dobles Chevrolet (Dobles (n/k/a Bodycote Thermal Processing, Corporation), Salter Transportation, Chevrolet Buick, Inc.), Donald J. Inc.), Longhorn Inc. of Lawrence, Louis Inc., Sam’s Service Inc., Sanders & Michaud d/b/a Auto Care, Donna Lou Pasqualucci & Son, Inc., Lynn Screw Lockheed Martin Company (BAE Enterprises, Inc. (d/b/a Dobbins Auto Corporation, M H R Auto Body Inc. (d/ SYSTEMS Information and Electronic Repair), Downeast Dispatch, Inc., b/a River Street Auto Body & Collision), Systems Integration Inc.), Scooby’s Dreher-Holloway, Inc., Drum Hill Ford Mabardy’s Gulf Service, Maestranzi Bros Truck Sales, Seabrook Tire & Auto Inc., Inc., Dunk’s Automotive Service, Eagle- Inc., Manchester Mack Sales Inc. SEMASS Partnership LP, Sentry Lincoln Tribune Publishing Company, Eastern (McDevitt Trucks, Inc.), Marshall E. Mercury Sales, Inc., Sloban Auto Body Lumber Company, Inc., Eastern Merrill Jr., Martel Automotive Service, Inc., Southworth-Milton, Inc., Stoneham Transmission Service, Edward T. Neal Massachusetts Bay Transportation Motor Company, Inc., Streeter Plumbing (d/b/a Neal’s Automotive Repair), Authority, Massachusetts Department of & Heating Inc., Stutz Motor Car Edwards Buick (Edward Buick-GMC Correction, Massachusetts Institute of Company Inc., Subaru of Milford, Inc., Truck, Inc.), Erickson Fuel Company, Technology, McDevitt Machinery, Inc. Subaru of Wakefield, Inc., Sunnyside Inc., Ernest Service Center, Excel Auto (McDevitt Trucks, Inc.), McLaughlin Motor Company Inc., Sunoco, Inc. (R & Unlimited Inc., Federal Express Chevrolet Inc., Medway Auto Sales Inc., M), Suns Total Systems, Inc., Supervalu Corporation (Flying Tiger Line, Inc.), Menard & Holmberg, Inc., Merrimack Holdings, Inc. (Supervalu Inc. and its Fitchburg Gas & Electric Light Valley Tire Inc., Metcalf & Eddy wholly owned subsidiary Supervalu Company, Foreign Auto Doctor, Foreign Services Inc., Michael’s Motor Sales Holdings, Inc.), Talarico Chevrolet-Geo- Cars of Belmont Inc. d/b/a Belmont Inc., Michaud’s Garage, Midas Pontiac, Inc., Terzakis Brothers, Inc., Volkswagen, Framingham Auto Sales International Corporation/Cape Auto The Bracken Company, Inc., The Inc. (Framingham Ford d/b/a Systems (Cosmic Enterprises, Inc.; Cape Federal Corporation, The Goodyear Tire Framingham Auto Sales, Inc.), Fred’s Auto Systems, Inc.), Midway Garage Inc. and Rubber Company, The Lane Auto Service, Friction Materials, Inc., d/b/a Midway Auto Imports Inc., Construction Corporation, The Gallo Construction Company, Inc., Gary Mihold, Inc. d/b/a Raynham Midas Middlesex Corporation and Middlesex W. Blake, Inc., Gaston Andre Associates, Muffler and Brake Shop, Mirra Paving Corporation, Thompson Oil Inc. (d/b/a Charles River Saab), General Company Inc., MKK Enterprises Inc. d/ Company Inc., Three-C Electrical Cable Industries, Inc. (Carol Cable b/a Mike’s Quicklube & Quality Car Company Inc., Tichon Lincoln Mercury Company, Inc.), Genuity (GLT Care, Montachusett Regional Transit Corporation, Tom’s Auto Service, Inc., Liquidating Trust, successor to Genuity Authority, Moody St. Mobil, Inc., Toupin Rigging Company, Inc., Town of Inc., Genuity Solutions, Inc., & Genuity Mutual Oil Company, Inc., Nashua Amesbury, Massachusetts, Town of
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Barnstable, Massachusetts, Town of FEDERAL COMMUNICATIONS OMB Control Number: 3060–XXXX. Carlisle, Massachusetts, Town of COMMISSION Title: Digital Channel Election for Chelmsford, Massachusetts, Town of Television Broadcast Station: Pre- Danvers, Massachusetts, Town of Public Information Collection(s) Election Certification Form, FCC Form Dennis, Massachusetts, Town of East Requirement Submitted to OMB for 381. Bridgewater, Massachusetts, Town of Emergency Review and Approval Form Number: FCC 381. Type of Review: New collection Harvard, Massachusetts, Town of September 29, 2004. Hingham, Massachusetts, Town of Respondents: Business and other for- SUMMARY: The Federal Communications profit entities; and not-for-profit Lynnfield, Massachusetts, Town of Commission, as part of its continuing institutions. Needham, Massachusetts, Town of effort to reduce paperwork burden Number of Respondents: 1,700. Norfolk, Massachusetts, Town of North invites the general public and other Estimated Time per Response: 2 Andover, Massachusetts, Town of Federal agencies to take this hours. Pepperell, Massachusetts, Town of opportunity to comment on the Frequency of Response: One-time Wellesley, Massachusetts, Transgas Inc., following information collection(s), as reporting requirement. Tremont Nail Company, Trombly required by the Paperwork Reduction Total Annual Burden: 3,400 hours. Brothers Inc., Trustees of Boston Act of 1995, Public Law 104–13. An Total Annual Costs: $1,190,000.00. College, Unisorb, Inc., United States agency may not conduct or sponsor a Privacy Impact Assessment: No Army Corps of Engineers, United States collection of information unless it impact(s). Coast Guard, United States General displays a currently valid control Needs and Uses: FCC Form 381 is to Services Administration—New England number. No person shall be subject to be used by television broadcast Region, Valley Design Corporation, any penalty for failing to comply with licensees and permittees to provide and Vendetti Motors Inc., Weber Auto and a collection of information subject to the certify the technical information that Truck Parts, Inc., Wentworth Motor Paperwork Reduction Act (PRA) that will be used to evaluate DTV channel Company, Inc., Wesson’s Mobil, West does not display a valid control number. elections during the channel election Lynn Creamery, Inc. (Dean Northeast, Comments are requested concerning (a) process. The form must be filed by all LLC, successor by merger to West Lynn whether the proposed collection of full-power television broadcast licensees and permittees. On September Creamery, Inc.), Weymouth Motor Sales information is necessary for the proper 7, 2004, the FCC released the Report Inc., White Equipment Leasing performance of the functions of the Commission, including whether the and Order (‘‘Order’’), In the Matter of Corporation, Whittier Regional Second Periodic Review of the Vocational Technical High School, and information shall have practical utility; (b) the accuracy of the Commission’s Commission’s Rules and Policies William Phillips Automotive (Phillips burden estimate; (c) ways to enhance Affecting the Conversion to Digital Automotive). the quality, utility, and clarity of the Television, MB Docket No. 03–15, FCC In accordance with the information collected; and (d) ways to 04–192. This Order implements several Comprehensive Environmental minimize the burden of the collection of steps necessary for the continued Response, Compensation, and Liability information on the respondents, progress of the conversion of the Act of 1980, as amended, 42 U.S.C. 9601 including the use of automated nation’s television system from analog et seq., notice is hereby given of a collection techniques or other forms of to digital (DTV) technology, including a proposed fourth de minimis settlement information technology. multi-step channel election process agreement under section 122(g) of DATES: Written comments should be through which broadcast stations will CERCLA concerning the Beede Waste submitted on or before November 4, select their channel for use after the Oil Superfund Site in Plaistow, NH. The 2004. If you anticipate that you will be digital transition. FCC Form 381 is one fourth settlement was approved by EPA submitting comments, but find it of six forms to be used by stations in Region I, subject to review by the public difficult to do so within the period of this channel election process. OMB Control Number: 3060–XXXX. pursuant to this Notice. time allowed by this notice, you should advise the contacts listed below as soon Title: Digital Channel Election Form: The proposed fourth settlement has as possible. First Round Election, FCC Form 382. been approved by the United States Form Number: FCC 382. ADDRESSES: Direct all comments to Department of Justice and, for the State Type of Review: New collection. Kristy L. LaLonde, Office of portion of the settlement, by the State of Respondents: Business or other for- Management and Budget (OMB), Room New Hampshire. EPA will receive profit entities; and not-for-profit 10236 NEOB, Washington, DC 20503, written comments relating to this institutions. (202) 395–3087 or via the Internet at Number of Respondents: 1,666. settlement for thirty (30) days from the [email protected], and date of publication of this Notice. Estimated Time per Response: 2–5 Les Smith, Federal Communications hours. Dated: September 27, 2004. Commission, Room 1–A804, 445 12th Frequency of Response: One-time Susan Studlien, Street, SW., Washington, DC 20554 or reporting requirement. Director, Office of Site Remediation and via Internet to [email protected]. Total Annual Burden: 3,383 hours. Restoration, EPA—Region I. FOR FURTHER INFORMATION CONTACT: For Total Annual Costs: $1,686,400.00. [FR Doc. 04–22362 Filed 10–4–04; 8:45 am] additional information or copies of the Privacy Impact Assessment: No information collections contact Les BILLING CODE 6560–50–P impact(s). Smith at (202) 418–0217 or via Internet Needs and Uses: FCC Form 382 is to at [email protected]. be used by television broadcast SUPPLEMENTARY INFORMATION: The licensees and permittees currently Commission has requested approval of assigned at least one in-core channel these six information collections under (i.e., channels 2–51) to make a channel the emergency processing provisions of election in Round One of the DTV the PRA by September 30, 2004. channel election process for their final
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DTV operation. On September 7, 2004, Respondents: Business or other for- the Report and Order (‘‘Order’’), In the the FCC released the Report and Order profit entities; and not-for-profit Matter of Second Periodic Review of the (‘‘Order’’), In the Matter of Second institutions. Commission’s Rules and Policies Periodic Review of the Commission’s Number of Respondents: 100. Affecting the Conversion to Digital Rules and Policies Affecting the Estimated Time per Response: 2–5 Television, MB Docket No. 03–15, FCC Conversion to Digital Television, MB hours. 04–192. This Order implements several Docket No. 03–15, FCC 04–192. This Frequency of Response: One-time steps necessary for the continued Order implements several steps reporting requirement. progress of the conversion of the necessary for the continued progress of Total Annual Burden: 203 hours. nation’s television system from analog the conversion of the nation’s television Total Annual Costs: $101,200.00. to digital (DTV) technology, including a system from analog to digital (DTV) Privacy Impact Assessment: No multi-step channel election process technology, including a multi-step impact(s). through which broadcast stations will channel election process through which Needs and Uses: FCC Form 384 is to select their channel for use after the broadcast stations will select their be used by television broadcast digital transition. FCC Form 385 is one channel for use after the digital licensees and permittees without a of six forms to be used by stations in transition. FCC Form 382 is one of six currently assigned in-core channel (i.e., this channel election process. forms to be used by stations in this channels 2–51) and licensees that OMB Control Number: 3060–XXXX. channel election process. released their only assigned in-core Title: Digital Channel Election Form: OMB Control Number: 3060–XXXX. channel(s) in Round One of the DTV Third Round Election, FCC Form 386. Title: Digital Channel Election Form: channel election process to make a First Round Conflict Decision, FCC channel election for their final DTV Form Number: FCC 386. Form 383. operation. On September 7, 2004, the Type of Review: New collection. Form Number: FCC 383. FCC released the Report and Order Respondents: Business or other for- Type of Review: New collection. (‘‘Order’’), In the Matter of Second profit entities; and not-for-profit Respondents: Business or other for- Periodic Review of the Commission’s institutions profit entities; and not-for-profit Rules and Policies Affecting the Number of Respondents: 85. Conversion to Digital Television, MB institutions. Estimated Time per Response: 2–5 Docket No. 03–15, FCC 04–192. This Number of Respondents: 413. hours. Order implements several steps Estimated Time per Response: 5 necessary for the continued progress of Frequency of Response: One-time hours. the conversion of the nation’s television reporting requirements. Frequency of Response: One-time system from analog to digital (DTV) Total Annual Burden: 173 hours. reporting requirement. technology, including a multi-step Total Annual Costs: $86,200.00. Total Annual Burden: 2,065 hours. channel election process through which Total Annual Costs: $702,100.00. Privacy Impact Assessment: No broadcast stations will select their impact(s). Privacy Impact Assessment: No channel for use after the digital Needs and Uses: FCC Form 386 is to impact(s). transition. FCC Form 384 is one of six be used by television broadcast Needs and Uses: FCC Form 383 is to forms to be used by stations in this licensees and permittees that have not be used by television broadcast channel election process. licensees and permittees that received a tentative channel designation OMB Control Number: 3060–XXXX. by this stage in the DTV channel participated in Round One of the DTV Title: Digital Channel Election Form: channel election process and were election process, as well as certain other Second Round Conflict Decision, FCC television broadcast licensees and notified by the Commission that their Form 385. channel election results in an permittees seeking an alternate tentative Form Number: FCC 385 channel designation, to make a channel interference conflict to make a decision Type of Review: New collection concerning their interference conflict. election for their final DTV operation. Respondents: Business or other for- On September 7, 2004, the FCC released On September 7, 2004, the FCC released profit entities; and not-for-profit the Report and Order (‘‘Order’’), In the the Report and Order (‘‘Order’’), In the institutions. Matter of Second Periodic Review of the Matter of Second Periodic Review of the Number of Respondents: 25. Commission’s Rules and Policies Commission’s Rules and Policies Estimated Time per Response: 5 Affecting the Conversion to Digital Affecting the Conversion to Digital hours. Television, MB Docket No. 03–15, FCC Television, MB Docket No. 03–15, FCC Frequency of Response: One-time 04–192. This Order implements several 04–192. This Order implements several reporting requirement. steps necessary for the continued steps necessary for the continued Total Annual Burden: 125 hours. progress of the conversion of the progress of the conversion of the Total Annual Costs: $43,000.00. nation’s television system from analog nation’s television system from analog Privacy Impact Assessment: No to digital (DTV) technology, including a to digital (DTV) technology, including a impact(s). multi-step channel election process multi-step channel election process Needs and Uses: FCC Form 385 is to through which broadcast stations will through which broadcast stations will be used by television broadcast select their channel for use after the select their channel for use after the licensees and permittees that have not digital transition. FCC Form 386 is one digital transition. FCC Form 383 is one received a tentative channel designation of six forms to be used by stations in of six forms to be used by stations in by this stage in the DTV channel this channel election process. this channel election process. election process, as well as certain other OMB Control Number: 3060–XXXX. television broadcast licensees and Federal Communications Commission. Title: Digital Channel Election Form: permittees seeking an alternate tentative Marlene H. Dortch, Second Round Election, FCC Form 384. channel designation, to make a channel Secretary. Form Number: FCC 384. election for their final DTV operation. [FR Doc. 04–22370 Filed 10–4–04; 8:45 am] Type of Review: New collection. On September 7, 2004, the FCC released BILLING CODE 6712–01–P
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FEDERAL COMMUNICATIONS FEDERAL COMMUNICATIONS mean services and facilities with an COMMISSION COMMISSION upstream (customer-to-provider) and downstream (provider-to-customer) [GN Docket No. 04–54; FCC 04–208] Unleashing the Educational Power of transmission speed of 200 kbps or Broadband Symposium Availability of Advanced greater. Such facilities and services are Telecommunications Capability in the referred to as ‘‘broadband’’ throughout AGENCY: Federal Communications United States this report, and, as the report details, Commission. they include both wireline (telephone AGENCY: ACTION: Notice of public meeting. Federal Communications company and cable) as well as a Commission. growing list of wireless facilities, both SUMMARY: This notice advises interested ACTION: Notice; report to congress. licensed and unlicensed. This Fourth persons that the Federal Report focuses on services and facilities SUMMARY: This Report concludes the Communications Commission is that provide 200 kbps upstream and Commission’s fourth inquiry under holding a symposium exploring the downstream transmission speeds. In section 706 of the Telecommunications educational power of broadband. A contrast, we use the term ‘‘high-speed’’ Act of 1996. This Report finds that the news release announcing the event was to describe services with more than 200 overall goal of section 706 is being met, released on September 8, 2004 and an kbps capability in at least one direction. and that advanced telecommunications expanded release with an agenda was 4. Our existing definitions are not capability is being deployed on a released on September 29, 2004, both of static. The success of first-generation reasonable and timely basis to all which were posted on the Commission’s broadband—at speeds of approximately Americans. website. 200 kbps—has prompted demand for FOR FURTHER INFORMATION CONTACT: ever-faster broadband networks and DATES: Wednesday, October 6, 2004, 9 Regina Brown, Wireline Competition connections, and today most broadband a.m., to 4 p.m. Bureau, Telecommunications Access providers are offering service well in ADDRESSES: Interested persons may join Policy Division, (202) 418–7400, TTY excess of the minimum 200 kbps speed. the meeting at the Federal (202) 418–0484. The Commission currently has under Communications Commission, SUPPLEMENTARY INFORMATION: This is a consideration rule changes that will Commission Meeting Room, Room TW– summary of the Commission’s Fourth enable us to gather more information A402 and TW–A442, 445 12th St. SW., Report to Congress in GN Docket No. about these ‘‘next-generation’’ Washington, DC 20554. 04–54 released on September 9, 2004. broadband networks and services for The full text of this document is purposes of future reports. FOR FURTHER INFORMATION CONTACT: available for public inspection during 5. This Fourth Report documents the Sarah Whitesell, 202–418–1941, regular business hours in the FCC significant development of new [email protected]. Press Contact, Reference Center, Room CY–A257, 445 Internet-based services, and new access Meribeth McCarrick, (202) 418–0654, 12th Street, SW., Washington, DC technologies that has taken place since [email protected]. 20554. the issuance of our last report in 2002. The best-known of these new Internet- SUPPLEMENTARY INFORMATION: The I. Introduction purpose of the meeting is to explore based services is the commercial ways to use broadband to facilitate 1. Section 706 of the 1996 deployment of voice communications learning in schools, libraries and the Telecommunications Act directs both over the Internet Protocol network. The home. Among the presenters will be the Commission and the states to remarkable growth in Internet access is participants in the Schools and Libraries encourage deployment of advanced highlighted by the expansion of Wi-Fi Universal Service program, also called telecommunications capability to all Internet access and the explosive growth ‘‘e-rate,’’ which was established as part Americans on a reasonable and timely of both commercial and noncommercial of the Telecommunications Act of 1996 basis. In conjunction with this objective, hotspots. Wi-Fi joins an increasingly to provide affordable Congress directed the Commission to lengthy list of other wired and wireless telecommunications services for all conduct regular inquiries concerning methods of accessing the Internet, a list eligible schools and libraries, especially whether advanced telecommunications that also includes WiMax, personal area those in rural and economically capability is being deployed to all networks, satellite technologies, fiber-to- disadvantaged areas. Speakers will also Americans on a reasonable and timely the-home, and broadband over power include teachers and librarians with basis and, based on our findings, to take lines, in addition to more familiar cable first-hand experience using digital action to accelerate deployment, if modem and digital subscriber line (DSL) resources and assessing their impact on necessary. services. learning. The Federal Communications 2. This Fourth Report to Congress 6. The Fourth Report also documents Commission will attempt to (Fourth Report) concludes the that subscribership to these networks accommodate as many people as Commission’s fourth inquiry into the and services has increased significantly possible. However, admittance will be availability of advanced since the issuance of our last report. limited to the seating available. A live telecommunications capability in the Specifically, subscribership to high- RealAudio feed will be available over United States. Like the previous three speed lines almost tripled from 9.6 the Internet; information on how to tune reports, this Fourth Report finds that the million in June 2001 to 28.2 million in in can be found at the Commission’s overall goal of section 706 is being met, December 2003, and subscribership to Web site http://www.fcc.gov. and that advanced telecommunications advanced services more than tripled in capability is being deployed on a this same period, from 5.9 million lines Federal Communications Commission. reasonable and timely basis to all to 20.3 million lines. In addition, the Marlene H. Dortch, Americans. number of residential and small Secretary. 3. In the Fourth Report, we use the business subscribers to high-speed [FR Doc. 04–22475 Filed 10–4–04; 8:45 am] terms ‘‘advanced telecommunications services has more than tripled during BILLING CODE 6712–01–P capability’’ and ‘‘advanced services’’ to the same period, from 7.8 million lines
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in June 2001 to 26 million lines in and respondent burden, invites the management, the risk it presents to the December 2003. general public and other Federal relevant insurance fund, the 7. Further, the Fourth Report agencies to take this opportunity to convenience and needs of the documents the continuation of a comment on continuing information community to be served, and the positive trend that first emerged in our collections, as required by the consistency of its corporate powers. All last report: namely, the increasing Paperwork Reduction Act of 1995 (44 depository institutions seeking availability of advanced U.S.C. chapter 35). Currently, the FDIC insurance must follow the same telecommunications capability to is soliciting comments concerning the procedures. certain groups of consumers—those in following collections of information 2. Title: Notice of Branch Closure. rural areas, those with low incomes, and titled: (1) Interagency Charter and those with disabilities—who stand in Federal Deposit Insurance Application, OMB Number: 3064–0109. particular need of advanced services. and (2) Notice of Branch Closure. Frequency of Response: On occasion. Consumers in these groups are of DATES: Comments must be submitted on Affected Public: Insured depository special concern to the Commission in or before December 6, 2004. institutions. that they are the doubly vulnerable: that ADDRESSES: Interested parties are Estimated Number of Respondents: is, although they are most in need of invited to submit written comments to 1,364. access to advanced telecommunications Steven F. Hanft (202–898–3907), capability to overcome economic, Paperwork Clearance Officer, Room Estimated Time per Response: 2.4 educational, and other limitations, they MB–3064, Federal Deposit Insurance hours. are also the most likely to lack access Corporation, 550 17th Street NW., Total Annual Burden: 3,028 hours. precisely because of these limitations. Washington, DC 20429. All comments General Description of Collection: An The Fourth Report demonstrates that we should refer to the OMB control institution proposing to close a branch are making substantial progress in number. Comments may be hand- must notify its primary regulator no closing the gaps in access that these delivered to the guard station at the rear later than 90 days prior to the closing. groups traditionally have experienced. of the 17th Street Building (located on Each FDIC-insured institution must 8. Broadband-based Internet services F Street), on business days between 7 have also become a critical a.m. and 5 p.m. [FAX number (202) adopt policies for branch closings. This communications tool for the deaf and 898–3838]. collection covers the requirements for hard-of-hearing, through the use of A copy of the comments may also be notice, and for policy adoption. Internet Protocol Relay (IP Relay) and submitted to the OMB desk officer for Request for Comment Video Relay Service (VRS), two forms of the FDIC: Mark Menchik, Office of telecommunications relay services Information and Regulatory Affairs, Comments are invited on: (a) Whether (TRS) that rely on the Internet. This Office of Management and Budget, New these two collections of information are report shows that there has been more Executive Office Building, Washington, necessary for the proper performance of than a 640 percent increase in IP Relay DC 20503. the FDIC’s functions, including whether usage and more than a 2,000 percent FOR FURTHER INFORMATION CONTACT: the information has practical utility; (b) increase in VRS in the past two years. Steven F. Hanft, at the address the accuracy of the estimates of the 9. In addition, more than 95 percent identified above. burden of the information collections, of public libraries and 92 percent of SUPPLEMENTARY INFORMATION: including the validity of the public school classrooms have Internet Proposal to renew the following currently methodologies and assumptions used; access. Use of broadband connections in (c) ways to enhance the quality, utility, schools with high minority enrollment approved collections of information: 1. Title: Interagency Charter and and clarity of the information to be increased from 81 percent to 95 percent Federal Deposit Insurance Application. collected; and (d) ways to minimize the between 2000 and 2002. During this OMB Number: 3064–0001. burden of the information collections on same period, schools with the highest Frequency of Response: On occasion. respondents, including through the use poverty concentration using broadband Affected Public: Banks or savings of automated collection techniques or connections to access the Internet associations wishing to become FDIC- other forms of information technology. increased from 75 percent to 95 percent. insured depository institutions. At the end of the comment period, the Federal Communications Commission. Estimated Number of Respondents: comments and recommendations Marlene H. Dortch, 200. Estimated Time per Response: 125 received will be analyzed to determine Secretary. the extent to which the collections [FR Doc. 04–22369 Filed 10–4–04; 8:45 am] hours. Total Annual Burden: 25,000 hours. should be modified prior to submission BILLING CODE 6712–01–P General Description of Collection: The to OMB for review and approval. Interagency Charter and Federal Deposit Comments submitted in response to this Insurance Application is used by the notice also will be summarized or FEDERAL DEPOSIT INSURANCE FDIC as a deposit insurance application, included in the FDIC’s requests to OMB CORPORATION and by the OCC and OTS as a charter for renewal of these collections. All application. Applications for deposit comments will become a matter of Agency Information Collection public record. Activities: Proposed Collections; insurance must provide sufficient Comment Request information to permit the FDIC to Dated at Washington, DC, this 30th day of consider certain factors which are September 2004. AGENCY: Federal Deposit Insurance listsed in Section 6 of the FDI Act. Federal Deposit Insurance Corporation. Corporation (FDIC). These factors include: the financial Robert E. Feldman, ACTION: Notice and request for comment. history and condition of the depository institution, the adequacy of its capital Executive Secretary. SUMMARY: The FDIC, as part of its structure, its future earnings prospects, [FR Doc. 04–22367 Filed 10–4–04; 8:45 am] continuing effort to reduce paperwork the general character and fitness of its BILLING CODE 6714–01–P
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FEDERAL HOUSING FINANCE BOARD The Finance Board uses the incumbent FHLBank directors × 1 information contained in the Appointed response per individual × 0.5 hours). [No. 2004–N–12] Director Eligibility Certification Form C. Comment Request and part 915 to determine whether Submission for OMB Review; prospective and incumbent appointed In accordance with the requirements Comment Request FHLBank directors satisfy the statutory of 5 CFR 1320.8(d), the Finance Board AGENCY: Federal Housing Finance and regulatory eligibility requirements. published a request for public Board. The FHLBanks, and where appropriate, comments regarding this information the Finance Board, use the information collection in the Federal Register on ACTION: Notice. in the Elected Director Eligibility July 30, 2004. See 69 FR 45715 (July 30, SUMMARY: In accordance with the Certification Form and part 915 to 2004). The 60-day comment period requirements of the Paperwork determine whether elected FHLBank closed on September 28, 2004. The Reduction Act of 1995, the Federal directors and director nominees satisfy Finance Board received no public Housing Finance Board (Finance Board) the statutory and regulatory eligibility comments. Written comments are requested on: has submitted the information requirements. Only individuals meeting (1) Whether the collection of collection entitled ‘‘Federal Home Loan these requirements may serve as information is necessary for the proper Bank Directors’’ to the Office of FHLBank directors. See 12 U.S.C. 1427. performance of Finance Board Management and Budget (OMB) for The likely respondents include functions, including whether the review and approval of a three-year FHLBanks, FHLBank members, and information has practical utility; (2) the extension of the OMB control number, prospective and incumbent FHLBank accuracy of the Finance Board’s which is due to expire on October 31, directors. The OMB number for the information estimates of the burdens of the 2004. collection is 3069–0002. The OMB collection of information; (3) ways to DATES: Interested persons may submit clearance for the information collection enhance the quality, utility, and clarity comments on or before November 4, expires on October 31, 2004. of the information collected; and (4) 2004. ways to minimize the burden of the B. Burden Estimate ADDRESSES: Submit comments to the collection of information on Office of Information and Regulatory The Finance Board estimates that total respondents, including through the use Affairs of the Office of Management and number of respondents is 5010, which of automated collection techniques or Budget, Attention: Desk Officer for the includes 12 FHLBanks, 4600 FHLBank other forms of information technology. Federal Housing Finance Board, members, and 398 prospective and Comments should be submitted to OMB Washington, DC 20503. incumbent FHLBank directors. As in writing at the address listed above. explained below, the Finance Board FOR FURTHER INFORMATION OR COPIES OF Dated: September 29, 2004. estimates that the total annual hour THE COLLECTION CONTACT: Patricia L. By the Federal Housing Finance Board. burden for all respondents is 4210 Sweeney, Program Analyst, Office of Mark J. Tenhundfeld, hours. Supervision, by telephone at 202/408– General Counsel. The Finance Board estimates the total 2872, by electronic mail at [FR Doc. 04–22286 Filed 10–4–04; 8:45 am] annual average hour burden for each [email protected], or by regular mail BILLING CODE 6725–01–P FHLBank to run the election of directors to the Federal Housing Finance Board, and process prospective and incumbent 1777 F Street, NW., Washington, DC Elected Director Eligibility Certification 20006. Forms is approximately 234 hours. The FEDERAL RESERVE SYSTEM SUPPLEMENTARY INFORMATION: estimate for the average hour burden for Formations of, Acquisitions by, and all FHLBanks is 2809 hours (12 A. Need for and Use of Information × Mergers of Bank Holding Companies Collection FHLBanks approximately 234 hours). The Finance Board estimates the total The companies listed in this notice Section 7 of the Federal Home Loan annual average hour burden for all have applied to the Board for approval, Bank Act (Bank Act) and the Finance FHLBank members to participate in the pursuant to the Bank Holding Company Board’s implementing regulation director election process is 1150 hours. Act of 1956 (12 U.S.C. 1841 et seq.) establish the eligibility requirements This includes 150 hours for FHLBank (BHC Act), Regulation Y (12 CFR Part and the procedures for electing and members to process director nomination 225), and all other applicable statutes appointing Federal Home Loan Bank forms (600 FHLBank members and regulations to become a bank (FHLBank) directors. See 12 U.S.C. processing nomination forms × 0.25 holding company and/or to acquire the 1427; 12 CFR part 915. Under part 915, hours) and 1000 hours for FHLBank assets or the ownership of, control of, or the FHLBanks determine the eligibility members to vote in the director election the power to vote shares of a bank or of elected directors and director (4000 FHLBank voting members × 0.25 bank holding company and all of the nominees and run the director election hours). banks and nonbanking companies process. The Finance Board determines The Finance Board estimates the total owned by the bank holding company, the eligibility of and selects all annual average hour burden for all including the companies listed below. appointed FHLBank directors. To FHLBank directors is 251 hours. This The applications listed below, as well determine eligibility, the FHLBanks use includes 155 hours for prospective as other related filings required by the the Elected Director Eligibility FHLBank directors to complete and Board, are available for immediate Certification Form and the Finance return Director Eligibility Certification inspection at the Federal Reserve Bank Board uses the Appointed Director Forms (206 prospective directors × 1 indicated. The application also will be Eligibility Certification Form. The response per individual × 0.75 hours). It available for inspection at the offices of Finance Board regulation also requires also includes 96 hours for incumbent the Board of Governors. Interested incumbent directors to certify annually FHLBank directors to complete and persons may express their views in that they continue to meet the director return Director Eligibility Certification writing on the standards enumerated in eligibility requirements. Forms or updates, as appropriate (192 the BHC Act (12 U.S.C. 1842(c)). If the
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proposal also involves the acquisition of pursuant to section 225.28(b)(5) of Other matters initiated by Council a nonbanking company, the review also Regulation Y. members also may be discussed. includes whether the acquisition of the Board of Governors of the Federal Reserve Persons wishing to submit views to nonbanking company complies with the System, September 30, 2004. the Council on any of the above topics standards in section 4 of the BHC Act Robert deV. Frierson, may do so by sending written (12 U.S.C. 1843). Unless otherwise Deputy Secretary of the Board. statements to Ann Bistay, Secretary of noted, nonbanking activities will be [FR Doc. 04–22378 Filed 10–4–04; 8:45 am] the Consumer Advisory Council, conducted throughout the United States. Division of Consumer and Community BILLING CODE 6210–01–S Additional information on all bank Affairs, Board of Governors of the holding companies may be obtained Federal Reserve System, Washington, from the National Information Center FEDERAL RESERVE SYSTEM D.C. 20551. Information about this website at www.ffiec.gov/nic/. meeting may be obtained from Ms. Unless otherwise noted, comments Consumer Advisory Council Bistay, 202–452–6470. regarding each of these applications Board of Governors of the Federal Reserve must be received at the Reserve Bank ACTION: Notice of Meeting of Consumer System, September 29, 2004. indicated or the offices of the Board of Advisory Council Jennifer J. Johnson Governors not later than October 29, 2004. The Consumer Advisory Council will Secretary of the Board A. Federal Reserve Bank of Cleveland meet on Thursday, October 28, 2004. [FR Doc. 04–22332 Filed 10–4–04; 8:45 am] (Cindy C. West, Banking Supervisor) The meeting, which will be open to BILLING CODE: 6210–01–S 1455 East Sixth Street, Cleveland, Ohio public observation, will take place at the 44101–2566: Federal Reserve Board’s offices in FEDERAL RESERVE SYSTEM 1. Fifth Third Bancorp, and Fifth Washington, D.C., in Dining Room E on the Terrace level of the Martin Building. Third Financial Company, both of Sunshine Act Meeting Cincinnati, Ohio; to acquire 100 percent Anyone planning to attend the meeting of the voting shares of, and thereby should, for security purposes, register AGENCY HOLDING THE MEETING: Board of merge with First National Bankshares of no later than Tuesday, October 26, by Governors of the Federal Reserve Florida, Inc., Naples, Florida, and completing the form found on–line at: System. thereby indirectly acquire voting shares https://www.federalreserve.gov/secure/ forms/cacregistration.cfm. TIME AND DATE: 11:30 a.m., Tuesday, of First National Bank of Florida, October 12, 2004. Naples, Florida. Additionally, attendees must present 2. Peoples Community Bancorp, Inc., photo identification to enter the PLACE: Marriner S. Eccles Federal West Chester, Ohio; to become a bank building. Reserve Board Building, 20th and C holding company by acquiring 38 The meeting will begin at 9:00 a.m. Streets, N.W., Washington, D.C. 20551. percent of the voting shares of Columbia and is expected to conclude at 1:00 p.m. STATUS: Closed. Bancorp, Inc., and thereby indirectly The Martin Building is located on C MATTERS TO BE CONSIDERED: acquire voting shares of The Columbia Street, NW, between 20th and 21st Savings Bank, both of Cincinnati, Ohio. Streets. 1. Personnel actions (appointments, In connection with this application, The Council’s function is to advise promotions, assignments, Applicant also has applied to retain the Board on the exercise of the Board’s reassignments, and salary actions) Peoples Community Bank, West responsibilities under various consumer involving individual Federal Reserve Chester, Ohio, and thereby engage in financial services laws and on other System employees. operating a savings association, matters on which the Board seeks its 2. Any items carried forward from a pursuant to section 225.28(b)(4)(ii) of advice. Time permitting, the Council previously announced meeting. Regulation Y. will discuss the following topics: FOR FURTHER INFORMATION CONTACT: B. Federal Reserve Bank of Kansas Community Reinvestment Act Michelle A. Smith, Director, Office of City (Donna J. Ward, Assistant Vice Proposed Rules: Discussion of the Board Members; 202–452–2955. President) 925 Grand Avenue, Kansas impact of the recent CRA proposals on SUPPLEMENTARY INFORMATION: You may City, Missouri 64198–0001: community reinvestment and the call 202–452–3206 beginning at 1.Centennial Bank Holdings, Inc., Fort process of interagency oversight and approximately 5 p.m. two business days Collins, Colorado; and its wholly owned supervision. before the meeting for a recorded subsidiary Newco Front Range, Inc., Courtesy Overdraft Protection: announcement of bank and bank Fort Collins, Colorado, to acquire 100 Discussion of issues relative to coverage holding company applications percent of the voting shares of Guaranty of courtesy overdraft protection under scheduled for the meeting; or you may Corporation, Denver, Colorado, and the Truth in Savings Act or the Truth in contact the Board’s Web site at http:// thereby indirectly acquire Guaranty Lending Act. www.federalreserve.gov for an electronic Bank and Trust Company, Denver, Anti–Predatory Lending Laws: announcement that not only lists Colorado, Collegiate Peaks Bank, Buena Discussion of federal and state applications, but also indicates Vista, Colorado, and First National Bank legislation to protect consumers from procedural and other information about of Strasburg, Strasburg, Colorado. abusive lending practices. the meeting. In connection with this application, Electronic Fund Transfer Act: Applicant also has applied to acquire Discussion of issues in connection with Board of Governors of the Federal Reserve voting shares of Guaranty Corporation, the proposed changes to Regulation E, System, October 1, 2004. Denver, Colorado, and thereby which implements the Electronic Fund Robert deV. Frierson, indirectly acquire AMG Guaranty Trust, Transfer Act. Deputy Secretary of the Board. N.A., Greenwood Village, Colorado, and Committee Reports: Council [FR Doc. 04–22522 Filed 10–1–04; 3:59 pm] thereby engage in trust activities, committees will report on their work. BILLING CODE 6210–01–S
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DEPARTMENT OF HEALTH AND announcing the establishment and 395–6974. Written comments should be HUMAN SERVICES requesting nominations for individuals received within 30 days of this notice. to serve on the Panel. The panel Proposed Project Office of the Assistant Secretary for members are: Mark Pauly, Edwin Planning and Evaluation; Medicare Hustead, Alice Rosenblatt, Michael Active Surveillance of Ciguatera in Program; Meeting of the Technical Chernew, David Meltzer, John Bertko, Culebra, Puerto Rico—New—National Advisory Panel on Medicare Trustee and William Scanlon. Center for Environmental Health Reports Topics of the Meeting: The Panel is (NCEH), Centers for Disease Control and specifically charged with discussing and Prevention (CDC). AGENCY: Assistant Secretary for possibly making recommendations to Planning and Evaluation, HHS. Ciguatera fish poisoning (CFP) is a the Medicare Trustees on how the serious health threat to people in Puerto ACTION: Notice of meeting. Trustees might more accurately estimate Rico. Many finfish that live in the the long term rate of health spending in SUMMARY: This notice announces a island’s coral reefs carry ciguatoxin. public meeting of the Technical the United States. The discussion is When people consume these finfish, Advisory Panel on Medicare Trustee expected to focus on highly technical they can get CFP, a condition that Reports (Panel). Notice of this meeting aspects of estimation involving causes gastrointestinal and neurological is given under the Federal Advisory economics and actuarial science. symptoms. To quantify the health Committee Act (5 U.S.C. App. 2, section Panelists are not restricted, however, in burden caused by CFP, the local 10(a)(1) and (a)(2)). The Panel will the topics they choose to discuss. department of health tallies the number Procedure and Agenda: This meeting discuss the long-term rate of change in of cases of CFP reported by health care is open to the public. Interested persons health spending and may make providers on the island. A recent may observe the deliberations and recommendations to the Medicare evaluation of this passive surveillance discussions, but the Panel will not hear Trustees on how the Trustees might system determined that the majority of public comments until the end of Panel more accurately estimate health CFP cases that occur on the island are deliberations. The Commission will also spending in the long run. The Panel’s missed. To accurately quantify the allow an open public session for any discussion is expected to be very health threat of CFP to the population attendee to address issues specific to the technical in nature and will focus on the in Puerto Rico, the National Center for topic. actuarial and economic methods by Environmental Health, Centers for which Trustees might more accurately Authority: 42 U.S.C. 217a; Section 222 of Disease Control and Prevention, in measure health spending. Although the Public Health Services Act, as amended. conjunction with the Puerto Rico The panel is governed by provisions of Department of Health, will conduct panelists are not limited in the topics Public Law 92–463, as amended (5 USC they may discuss, the Panel is not active surveillance for CFP for twelve Appendix 2), which sets forth standards for (12) months in Puerto Rico. expected to discuss or recommend the formation and use of advisory changes in current or future Medicare committees. This active surveillance system will quantify the public health burden of provider payment rates or coverage Dated: September 29, 2004. policy. CFP by determining the incidence, risk Michael J. O’Grady, factors, and economic effect of CFP in DATES: October 15, 2004, 8 a.m.–4 p.m. Assistant Secretary for Planning and Culebra, Puerto Rico. Household e.d.t. Evaluation. questionnaire, Part B will be ADDRESSES: The meeting will be held at [FR Doc. 04–22323 Filed 10–4–04; 8:45 am] administered to each household in HHS headquarters at 200 Independence BILLING CODE 4150–05–P Culebra every four (4) months for one Ave., SW., 20201, Room 705A. (1) year. This questionnaire elicits Comments: The meeting will allocate information on household fish DEPARTMENT OF HEALTH AND time on the agenda to hear public consumption and identifies individuals HUMAN SERVICES comments. In lieu of oral comments, who have developed symptoms of CFP. formal written comments may be A second questionnaire will be submitted for the record to Jacob Centers for Disease Control and Prevention administered once individuals having Kaplan, OASPE, 200 Independence symptoms compatible with CFP are Ave., SW., 20201, Room 447D. Those [30Day–04–04HH] identified. This second questionnaire submitting written comments should explores personal risk factors, medical Proposed Data Collections Submitted identify themselves and any relevant management, and costs incurred while for Public Comment and organizational affiliations. the individuals were ill with CFP. To Recommendations FOR FURTHER INFORMATION CONTACT: confirm the presence of ciguatoxin in Jacob Kaplan at (202) 401–6119, The Centers for Disease Control and affected areas, fish will be collected [email protected]. Note: Although Prevention (CDC) publishes a list of from local reefs, fish vendors, and any the meeting is open to the public, information collection requests under appropriate leftover fish from people procedures governing security review by the Office of Management and with CFP. The fish will be analyzed by procedures and the entrance to Federal Budget (OMB) in compliance with the the U.S. Food and Drug Administration. buildings may change without notice. Paperwork Reduction Act (44 U.S.C. Ultimately, the information provided Those wishing to attend the meeting Chapter 35). To request a copy of these by this study will aid the Puerto Rico should call or e-mail Mr. Kaplan by requests, call the CDC Reports Clearance Department of Health in controlling the October 11, 2004, so their name may be Officer at (404) 498–1210 or send an health threat of CFP. Quantifying the put on a list of expected attendees and email to [email protected]. Send written incidence, risk factors, and economic forwarded to the security officers at comments to CDC Desk Officer, Human burden of CFP will guide the HHS Headquarters. Resources and Housing Branch, New development of preventive strategies. SUPPLEMENTARY INFORMATION: On April Executive Office Building, Room 10235, The annualized burden to respondents 22, 2004, we published a notice Washington, DC 20503 or by fax to (202) is estimated to be 250 hours.
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Average bur- Number of Number of den Respondents respondents responses per per response respondent (in hrs.)
Recruitment and consent ...... 512 1 2/60 Household Part A ...... 360 1 7/60 Household Part B ...... 720 3 5/60 Individuals ...... 45 1 15/60
Dated: September 29, 2004. DEPARTMENT OF HEALTH AND areas, both genders, ethnic and minority Alvin Hall, HUMAN SERVICES groups, and the disabled. Nominees Director, Management Analysis and Services must be U.S. citizens. Office, Centers for Disease Control and Centers for Disease Control and The following information must be Prevention. Prevention submitted for each candidate: Name, [FR Doc. 04–22348 Filed 10–4–04; 8:45 am] affiliation, address, telephone number, Request for Nominations of and a current curriculum vitae. E-mail BILLING CODE 4163–18–P Candidates To Serve on the Advisory addresses are requested if available. Committee on Immunization Practices, Nominations should be sent in Centers for Disease Control and writing and postmarked by November DEPARTMENT OF HEALTH AND Prevention, Department of Health and 19, 2004 to: Demetria Gardner, National HUMAN SERVICES Human Services Immunization Program, Centers for Centers for Disease Control and The Centers for Disease Control and Disease Control and Prevention, 1600 Prevention Prevention (CDC) is soliciting Clifton Road, NE, Mailstop E–61, nominations for possible membership Atlanta, Georgia 30333. Telephone and Disease, Disability, and Injury on the Advisory Committee on facsimile submissions cannot be Prevention and Control Special Immunization Practices (ACIP). This accepted. Emphasis Panel: Notice of Charter committee provides advice and The Director, Management Analysis and Services Office, has been delegated Renewal guidance to the Secretary of the Department of Health and Human the authority to sign Federal Register This gives notice under the Federal Services, and the Director of the Centers notices pertaining to announcements of meetings and other committee Advisory Committee Act (Public Law for Disease Control and Prevention, management activities for both CDC and 92–463) of October 6, 1972, that the regarding the most appropriate application of antigens and related the Agency for Toxic Substances and Disease, Disability, and Injury Disease Registry. Prevention and Control Special agents for effective communicable Emphasis Panel, Centers for Disease disease control in the civilian Dated: September 23, 2004. Control and Prevention (CDC), population. The committee reviews and Alvin Hall, Department of Health and Human reports regularly on immunization Director, Management Analysis and Services Services, has been renewed for a 2-year practices and recommends Office, Centers for Disease Control and improvements in the national Prevention. period, through September 18, 2006. immunization efforts. [FR Doc. 04–22349 Filed 10–4–04; 8:45 am] FOR FURTHER INFORMATION CONTACT: The committee also establishes, BILLING CODE 4163–19–P Joseph E. Salter, Committee reviews, and as appropriate, revises the Management Officer, CDC, 37 Executive list of vaccines for administration to Park Drive, Atlanta, Georgia 30329, children eligible to receive vaccines DEPARTMENT OF HEALTH AND telephone (404) 498–0090. through the Vaccines for Children (VFC) HUMAN SERVICES Program. The Director, Management Analysis Nominations are being sought for Centers for Disease Control and and Services Office, has been delegated individuals who have expertise and Prevention the authority to sign Federal Register qualifications necessary to contribute to Notices pertaining to announcements of the accomplishments of the committee’s National Institute for Occupational meetings and other committee objectives. Nominees will be selected Safety and Health, Safety and management activities, for both the based upon expertise in the field of Occupational Health Study Section Centers for Disease Control and immunization practices; multi- In accordance with section 10(a)(2) of Prevention and the Agency for Toxic disciplinary expertise in public health; the Federal Advisory Committee Act Substances and Disease Registry. expertise in the use of vaccines and (Pub. L. 92–463), the Centers for Disease Dated: September 28, 2004. immunologic agents in both clinical and Control and Prevention (CDC) preventive medicine; knowledge of Alvin Hall, announces the following committee vaccine development, evaluation, and Director, Management Analysis and Services meeting. vaccine delivery; or knowledge about Name: Safety and Occupational Office, Centers for Disease Control and consumer perspectives and/or social Prevention. Health Study Section (SOHSS), National and community aspects of Institute for Occupational Safety and [FR Doc. 04–22350 Filed 10–4–04; 8:45 am] immunization programs. Federal Health (NIOSH). BILLING CODE 4163–19–P employees will not be considered for Times and Dates: membership. Members may be invited 8 a.m.–5 p.m., October 19, 2004 to serve up to four-year terms. 8 a.m.–5 p.m., October 20, 2004 Consideration is given to Place: Embassy Suites Hotel, 1900 representation from diverse geographic Diagonal Road, Alexandria, Virginia,
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22314, telephone 703/684–5900, fax Dated: September 20, 2004. agreement and does represent an 703/684–1403. Alvin Hall, expansion of activities within the Status: Director, Management Analysis and Services present scope of work. The Federal Office, Centers for Disease Control and Register notice for the sole-source Open 8 a.m.–8:30 a.m., October 19, 2004 Prevention. cooperative agreement award can be Closed 8:30 a.m.–5 p.m., October 19, [FR Doc. 04–22347 Filed 10–4–04; 8:45 am] found in 69 FR 11447, published on 2004 BILLING CODE 4163–19–P March 10, 2004. The specific objectives Closed 8 a.m.–5 p.m., October 20, 2004 and justifications for this program supplement are as follows: Purpose: The Safety and Occupational DEPARTMENT OF HEALTH AND 1. Assistance to States, Tribal Health Study Section will review, HUMAN SERVICES Governments, and the HHS Policy discuss, and evaluate grant Academy to address the needs of young application(s) received in response to Indian Health Service AI/AN adults with disabilities. the Institute’s standard grants review Assistance on this joint initiative of and funding cycles pertaining to National Indian Health Board the Office of Disability, HHS and the research issues in occupational safety AGENCY: Indian Health Services, HHS. IHS will result in the development of an and health, and allied areas. ACTION: Notice to supplement the single- action plan to address the needs of It is the intent of NIOSH to support source cooperative agreement with the young AI/AN adults with disabilities broad-based research endeavors in National Indian Health Board. who are between 16–30 years of age. It keeping with the Institute’s program is necessary that the HHS Office of goals. This will lead to improved SUMMARY: The Indian Health Service Disabilities and the States have access to understanding and appreciation for the (IHS) announces a supplement to the the expertise and experience of the magnitude of the aggregate health single-source cooperative agreement NIHB in order to meet the culturally burden associated with occupational award to the National Indian Health diverse needs if AI/AN youth with injuries and illnesses, as well as to Board (NIHB) for costs in providing disabilities. The involvement of NIHB in support more focused research projects, advice and technical assistance to the Policy Academy will ensure that the which will lead to improvements in the federally recognized Tribes in the area HHS Office of Disabilities and the States delivery of occupational safety and of health care policy analysis and are kept informed of the AI/AN health services, and the prevention of program development. Under the consumer perspective throughout all work-related injury and illness. It is original cooperative agreement activities. This task is consistent with anticipated that research funded will published in the Federal Register, 69 FR the NIHB goal of improving access for promote these program goals. 11447, on March 10, 2004, the NIHB AI/AN people to the programs of HHS. provides advice, consultation, and 2. Assistance to the Centers for Matters to be Discussed: The meeting health care advocacy to the IHS based Medicare and Medicaid Services (CMS) will convene in open session from 8– on Tribal input through a broad-based for outreach and education within the 8:30 a.m. on October 19, 2004, to consumer network involving the Area AI/AN community. address matters related to the conduct of Health Boards or Health Board Funding has been transferred through Study Section business. The remainder representatives from each of the 12 IHS an Intra-Agency agreement between of the meeting will proceed in closed Areas. In addition, the NIHB CMS and the IHS to supplement the session. The purpose of the closed communicates with Tribes and Tribal NIHB cooperative agreement. The NIHB sessions is for the study section to organizations concerning health issues, will be tasked with implementing consider safety and occupational health- disseminates health care information, outreach and education activities related grant applications. These improves and expands access for specific to AI/AN beneficiaries portions of the meeting will be closed to American Indians and Alaska Native regarding the Medicare-approved drug the public in accordance with (AI/AN) Tribal Governments to all discount card and the transitional provisions set forth in Section available programs in the Department of assistance program, both of which are 552b(c)(4) and (6), Title 5 U.S.C., and Health and Human services (HHS), and authorized under the provisions of the the Determination of the Director, coordinates the Tribal consultation Medicare Modernization Act. The CMS Management Analysis and Services activities associated with formulating support for this initiative is in Office, Centers for Disease Control and the IHS annual budget request. The recognition of NIHB’s capability to Prevention, pursuant to Section 10(d) program supplement to the single- systematically disseminate pertinent Pub. L. 92–463. source cooperative agreement is for and timely health care information to Agenda items are subject to change as $622,730 of one time funding for use AI/AN Tribal Governments and Health priorities dictate. during the current budget period in Boards. The NIHB’s dissemination effect from 03/15/2004 to 12/31/2004. activity is funded within the FOR FURTHER INFORMATION CONTACT: The annual funding levels of this single- organization’s present scope of work. Price Connor, Ph.D., NIOSH Health source cooperative agreement is This effort is also consistent with the Scientist, 1600 Clifton Road, NE, approximately $230,000, subject to the NIHB goal of expanding access by AI/ Mailstop E–20, Atlanta, Georgia 30333, availability of appropriations. ANs to other programs of the HHS. telephone 404/498–2511, fax 404/498– 3. Assistance to the CMS in the 2569. Justification for Program Expansion development of a strategic plan for AI/ The Director, Management Analysis Supplement ANs. and Services Office, has been delegated The program expansion supplement is In recognition of the NIHB’s status as the authority to sign Federal Register issued under the authority of the Public the only national Indian organization notices pertaining to announcements of Health Service Act, Section 301(a), and that is representative of Tribal meetings and other committee is included under the Catalog of Federal Governments and has expertise in AI/ management activities for both CDC and Domestic Assistance number 93.933. AN health issues, the CMS has the Agency for Toxic Substances and This supplemental funding is related to transferred funds through a second Disease Registry. the original goals of the cooperative Intra-Agency Agreement between CMS
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and the IHS. The purpose of the developing relationships with other property such as patentable material agreement is to support NIHB assistance organizations and professional groups in and personal information concerning to the Agency in developing a strategic order to serve as an advocate for individuals associated with the grant plan to improve CMS’ services to improved AI/AN health care. applications, the disclosure of which eligible AI/AN beneficiaries. This is would constitute a clearly unwarranted Justification for Single Source consistent with goals in the scope of invasion of personal privacy. This project has been awarded on a work in which NIHB seeks to establish Name of Committee: Center for Scientific relationships with Federal agencies to non-competitive, single-source basis. Review Special Emphasis Panel, ZRG1 PBC service as a health advocate for AI/AN The NIHB is the only national AI/AN 01Q: Pathobiochemistry: Quorum. people and expand services to them organization with health expertise that Date: October 15, 2004. from other HHS agencies. represents the interest of all federally Time: 8:30 a.m. to 6 p.m. 4. Assistance in the implementation recognized Tribes. Agenda: To review and evaluate grant of the IHS Director’s Health Promotion/ applications. Use of Cooperative Agreement Disease Prevention (HP/DP) Initiative. Place: Four Points By Sheraton, 8400 The Director, IHS, has announced this The program supplement to the Wisconsin Avenue, Bethesda, MD 20814. initiative in conjunction with President original cooperative agreement has been Contact Person: Zakir Bengali, PhD, Scientific Review Administrator, Center for Bush’s ‘‘Healthier U.S. Initiative’’ and awarded because of anticipated Scientific Review, National Institutes of HHS Secretary Thompson’s ‘‘Steps to a substantial programmatic involvement Health, 6701 Rockledge Drive, Room 5150, Healthier U.S.’’ to reduce health by IHS staff in the project. The MSC 7842, Bethesda, MD 20892, (301) 435– disparities among AI/AN people. This substantial programmatic involvement 1742, [email protected]. initiative is a strategic approach to includes the following: Name of Committee: Oncological Sciences strengthening prevention efforts to (1) The IHS staff will have approval Integrated Review Group, Drug Discovery improve the health and wellness of AI/ over the hiring of key personnel as and Molecular Pharmacology Study Section. AN families through expanded defined by regulation or provision in the Date: October 20–22, 2004. collaboration with Federal and non- cooperative agreement. Time: 8 a.m. to 6 p.m. Federal partners. The IHS will support (2) The IHS will provide technical Agenda: To review and evaluate grant this prevention effort, in part, through a assistance to the NIHB as requested and applications. attend and participate in all NIHB board Place: Hyatt Arlington, 1325 Wilson partnership with NIHB in promoting Boulevard, Arlington, VA 22209. physical activity in AI/AN communities meetings. Contact Person: Morris I. Kelsey, PhD, under a program called ‘‘Just Move it.’’ FOR FURTHER INFORMATION CONTACT: Mr. Scientific Review Administrator, Center for The NIHB will assist the IHS in Douglas Black, Director, Office of Tribal Scientific Review, National Institutes of managing this particular HP/DP Programs, Office of the Director, Indian Health, 6701 Rockledge Drive, Room 6158, Initiative by hosting a Web site for Health Service, 801 Thompson Avenue, MSC 7804, Bethesda, MD 20892, 301–435– Tribal communities to become ‘‘Just Reyes Building, Suite 220 Rockville, 1718, [email protected]. Move It’’ partners, marketing this effort Maryland 20852, (301) 443–1104. For Name of Committee: Endocrinology, to Tribes, etc. These activities are grants information, contact Ms. Sylvia Metabolism, Nutrition and Reproductive consistent with the NIHB goals of Ryan, Grants Management Specialist, Sciences Integrated Review Group, Cellular systematically disseminating pertinent Aspects of Diabetes and Obesity Study Division of Grants Policy, 12300 Section. and timely health care information to Twinbrook Parkway, Suite 100, AI/AN communities and establishing Date: October 21–22, 2004. Rockville, Maryland 20852, (301) 443– Time: 8 a.m. to 5 p.m. relationships with other organizations to 5204. Agenda: To review and evaluate grant serve as advocates for improved Indian Dated: September 28, 2004. applications. health. Place: Hyatt Regency Bethesda, One Charles W. Grim, 5. Assistance to the IHS in the Bethesda Metro Center, 7400 Wisconsin evaluation of the current relationships Assistant Surgeon General, Director, Indian Avenue, Bethesda, MD 20814. between schools of public health and Health Service. Contact Person: Ann A. Jerkins, PhD, AI/AN communities. [FR Doc. 04–22333 Filed 10–4–04; 8:45 am] Scientific Review Administrator, Center for In order to determine the current BILLING CODE 4160–16–M Scientific Review, National Institutes of relationships between schools of public Health, 6701 Rockledge Drive, Room 6154, health and AI/AN communities, the MSC 7892, Bethesda, MD 20892, 301–435– NIHB will assist the IHS in developing DEPARTMENT OF HEALTH AND 4514, [email protected]. a baseline report of research activities HUMAN SERVICES Name of Committee: Center for Scientific and existing partnerships. The NIHB Review Special Emphasis Panel, Basic National Institutes of Health Mechanisms of Cancer Therapeutics. will serve in an advisory capacity to the Date: October 21–22, 2004. IHS and the Association of Schools of Center for Scientific Review; Notice of Time: 8 a.m. to 5 p.m. Public Health on this initiative. The Closed Meetings Agenda: To review and evaluate grant organization has the expertise and applications. experience to provide technical Pursuant to section 10(d) of the Place: The Watergate, 2650 Virginia assistance on issues related to working Federal Advisory Committee Act, as Avenue, NW., Washington, DC 20037. in Indian Country such as amended (5 U.S.C. Appendix 2), notice Contact Person: Suzanne L. Forry- infrastructure, Tribal Government is hereby given of the following Schaudies, PhD, Scientific Review protocols, cultural and legal aspects of meetings. Administrator, Center for Scientific Review, National Institutes of Health, 6701 Rockledge sovereignty, and the appropriateness of The meetings will be closed to the Dr., Room 6192, MSC 7804, Bethesda, MD products and deliverables. The objective public in accordance with the 20892, (301) 451–0131, [email protected]. of this effort will result in provisions set forth in sections Name of Committee: Center for Scientific recommendations on improving the 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Review Special Emphasis Panel, ZRG1 MGA public health infrastructure in AI/AN as amended. The grant applications and (01) Q: Molecular Genetics A: Quorum. communities. The purpose of this report the discussions could disclose Date: October 21–22, 2004. is consistent with the NIHB goals of confidential trade secrets or commercial Time: 8 a.m. to 5 p.m.
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Agenda: To review and evaluate grant Name of Committee: Center for Scientific Name of Committee: National Heart, Lung, applications. Review Special Emphasis Panel, Stem Cell and Blood Institute Special Emphasis Panel, Place: Four Points by Sheraton Bethesda, Therapy and Ion Channels in the Heart. Asthma Exacerbations: Biology and Disease 8400 Wisconsin Avenue, Bethesda, MD Date: October 29, 2004. Progression. 20814. Time: 10:30 a.m. to 12 p.m. Date: October 27, 2004. Contact Person: Michael M. Sveda, PhD, Agenda: To review and evaluate grant Time: 8 a.m. to 5 p.m. Scientific Review Administrator, Center for applications. Agenda: To review and evaluate grant Scientific Review, National Institutes of Place: Four Points by Sheraton Bethesda, applications. Health, 6701 Rockledge Drive, Room 5152, 8400 Wisconsin Avenue, Bethesda, MD Place: Sheraton Columbia Hotel, 10207 MSC 7842, Bethesda, MD 20892, 301–435– 20814. Wincopin Circle, Columbia, MD 21044. 3565, [email protected]. Contact Person: Anshumali Chaudhari, Contact Person: Arthur N. Freed, PhD, Name of Committee: Musculoskeletal, Oral PhD, Scientific Review Administrator, Center Review Branch, Room 7186, Division of and Skin Sciences Integrated Review Group, for Scientific Review, National Institutes of Extramural Affairs, National Heart, Lung, and Oral, Dental and Craniofacial Sciences Study Health, 6701 Rockledge Drive, Room 4124, Blood Institute, National Institutes of Health, Section. MSC 7802, Bethesda, MD 20892, (301) 435– 6701 Rockledge Drive, MSC 7924, Bethesda, MD 20892, (301) 435–0280. Date: October 26–27, 2004. 1210, [email protected]. Name of Committee: National Heart, Lung, Time: 8:30 a.m. to 3 p.m. Name of Committee: Center for Scientific and Blood Institute Special Emphasis Panel, Agenda: To review and evaluate grant Review Special Emphasis Panel, Review of Institutional National Research applications. Microcirculation and Hypertension. Service Award (T32) and Research Scientist Place: The River Inn, 924 25th Street, NW., Date: October 29, 2004. Washington, DC 20037. Development Awards (K01s). Time: 1:15 p.m. to 2:15 p.m. Date: November 3, 2004. Contact Person: J. Terrell, Hoffeld, DDS, Agenda: To review and evaluate grant PhD, Dental Officer, USPHS, Center for Time: 1 p.m. to 3:30 p.m. applications. Agenda: To review and evaluate grant Scientific Review, National Institutes of Place: Latham Hotel, 3000 M Street, NW., Health, 6701 Rockledge Drive, Room 4116, applications. Washington, DC 20007. Place: National Institutes of Health, 6701 MSC 7816, Bethesda, MD 20892, 301–435– Contact Person: Robert T. Su, PhD, 1781, [email protected]. Rockledge Drive, Bethesda, MD 20892. Scientific Review Administrator, Center for Contact Person: Zoe Huang, MD, Health Name of Committee: Center for Scientific Scientific Review, National Institutes of Scientist Administrator, Review Branch, Review Special Emphasis Panel, ZRG1 Health, 6701 Rockledge Drive, Room 4134, Room 7190, Division of Extramural Affairs, EMNR–A 02: Member Conflict. MSC 7802, Bethesda, MD 20892, (301) 435– National Heart, Lung, and Blood Institute, Date: October 28, 2004. 1195, [email protected]. National Institutes of Health, 6701 Rockledge Time: 2 p.m. to 4 p.m. (Catalogue of Federal Domestic Assistance Drive, MSC 7924, Bethesda, MD 20892–7924, Agenda: To review and evaluate grant Program Nos. 93.306, Comparative Medicine; 301–435–0314. applications. 93.333, Clinical Research, 93.306, 93.333, (Catalogue of Federal Domestic Assistance Place: National Institutes of Health, 6701 93.337, 93.393–93.396, 93.837–93.844, Rockledge Drive, Bethesda, MD 20892, Program Nos. 93.233, National Center for 93.846–93.878, 93.892, 93.893, National Sleep Disorders Research; 93.837, Heart, and (Telephone Conference Call). Institutes of Health, HHS) Contact Person: Syed M. Amir, PhD, Vascular Diseases Research; 93.838, Lung Scientific Review Administrator, Center for Dated: September 28, 2004. Diseases Research; 93.839, Blood Diseases and Resources Research, National Institutes Scientific Review, National Institutes of LaVerne Y. Stringfield, of Health, HHS) Health, 6701 Rockledge Drive, Room 6172, Director, Office of Federal Advisory MSC 7892, Bethesda, MD 20892, (301) 435– Committee Policy. Dated: September 28, 2004. 1043, [email protected]. [FR Doc. 04–22310 Filed 10–4–04; 8:45 am] LaVerne Y. Stringfield, Name of Committee: Health of the BILLING CODE 4140–01–M Director, Office of Federal Advisory Population Integrated Review Group, Committee Policy. Biostatistical Methods and Research Design [FR Doc. 04–22312 Filed 10–4–04; 8:45 am] Study Section. Date: October 29, 2004. DEPARTMENT OF HEALTH AND BILLING CODE 4140–01–M Time: 8 a.m. to 6 p.m. HUMAN SERVICES Agenda: To review and evaluate grant applications. National Institutes of Health DEPARTMENT OF HEALTH AND Place: One Washington Circle Hotel, One HUMAN SERVICES Washington Circle, Washington, DC 20037. National Heart, Lung, and Blood Contact Person: Ann Hardy, DRPH, Institute; Notice of Closed Meeting National Institutes of Health Scientific Review Administrator, Center for Scientific Review, National Institutes of Pursuant to section 10(d) of the National Institute on Drug Abuse; Health, 6701 Rockledge Drive, Room 3158, Federal Advisory Committee Act, as Notice of Closed Meeting MSC 7770, Bethesda, MD 20892, (301) 435– amended (5 U.S.C. Appendix 2), notice 0695, [email protected]. Pursuant to section 10(d) of the is hereby given of the following Federal Advisory Committee Act, as Name of Committee: Center for Scientific meetings. Review Special Emphasis Panel, Social amended (5 U.S.C. Appendix 2), notice Science and Population Studies R03s, R15s, The meetings will be closed to the is hereby given of the following and R21s. public in accordance with the meeting. Date: October 29, 2004. provisions set forth in sections The meeting will be closed to the Time: 8 a.m. to 5 p.m. 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., public in accordance with the Agenda: To review and evaluate grant as amended. The grant applications and provisions set forth in sections applications. the discussions could disclose 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Place: One Washington Circle Hotel, One confidential trade secrets or commercial as amended. The grant applications and Washington Circle, Washington, DC 20037. property such as patentable material, the discussions could disclose Contact Person: Valerie Durrant, PhD, Scientific Review Administrator, Center for and personal information concerning confidential trade secrets or commercial Scientific Review, National Institutes of individuals associated with the grant property such as patentable material, Health, 6701 Rockledge Drive, Room 3148, applications, the disclosure of which and personal information concerning MSC 7770, Bethesda, MD 20892, (301) 435– would constitute a clearly unwarranted individuals associated with the grant 3554, [email protected]. invasion of personal privacy. applications, the disclosure of which
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would constitute a clearly unwarranted If any laboratory has withdrawn from Clinical Reference Lab, 8433 Quivira invasion of personal privacy. HHS National Laboratory Certification Rd., Lenexa, KS 66215–2802, 800– Name of Committee: National Institute on Program (NLCP) during the past month, 445–6917. Drug Abuse Special Emphasis Panel, Member it will be listed at the end, and will be Diagnostic Services Inc., dba DSI, 12700 Conflict Meeting. omitted from the monthly listing Westlinks Dr., Fort Myers, FL 33913, Date: November 17, 2004. thereafter. 239–561–8200 / 800–735–5416. Time: 5 p.m. to 8 p.m. This notice is also available on the Doctors Laboratory, Inc., 2906 Julia Agenda: To review and evaluate grant Internet at http://workplace.samhsa.gov Drive, Valdosta, GA 31602, 229–671– applications. and http://www.drugfreeworkplace.gov. 2281. Place: Ritz-Carlton Hotel at Pentagon City, DrugProof, Division of Dynacare/ 1250 South Hayes Street, Arlington, VA FOR FURTHER INFORMATION CONTACT: Mrs. 22202. Giselle Hersh or Dr. Walter Vogl, Laboratory of Pathology, LLC, 1229 Contact Person: Mark Swieter, PhD., Division of Workplace Programs, Madison St., Suite 500, Nordstrom Health Scientist Administrator, Office of SAMHSA/CSAP, Room 2–1035, 1 Choke Medical Tower, Seattle, WA 98104, Extramural Affairs, National Institute on Cherry Road, Rockville, Maryland 206–386–2661 / 800–898–0180, Drug Abuse, National Institutes of Health, 20857; 240–276–2600 (voice), 240–276– (Formerly: Laboratory of Pathology of DHHS, 6101 Executive Boulevard, Suite 220, 2610 (fax). Seattle, Inc., DrugProof, Division of Bethesda, MD 20892–8401, (301) 435–1389. Laboratory of Pathology of Seattle, SUPPLEMENTARY INFORMATION: The (Catalogue of Federal Domestic Assistance Inc.). Mandatory Guidelines were developed Program Nos. 93.277, Drug Abuse Scientist DrugScan, Inc., P.O. Box 2969, 1119 in accordance with Executive Order Development Award for Clinicians, Scientist Mearns Rd., Warminster, PA 18974, Development Awards, and Research Scientist 12564 and section 503 of Pub. L. 100– 215–674–9310. Awards, 93.278, Drug Abuse National 71. Subpart C of the Guidelines, Dynacare Kasper Medical Laboratories*, Research Service Awards for Research ‘‘Certification of Laboratories Engaged 10150–102 St., Suite 200, Edmonton, Training, 93.279, Drug Abuse Research in Urine Drug Testing for Federal Alberta, Canada T5J 5E2, 780–451– Programs, National Institutes of Health, HHS) Agencies,’’ sets strict standards that 3702 / 800–661–9876. Dated: September 28, 2004. laboratories must meet in order to ElSohly Laboratories, Inc., 5 Industrial LaVerne Y. Stringfield, conduct urine drug testing for Federal Park Dr., Oxford, MS 38655, 662–236– agencies. To become certified, an Director, Office of Federal Advisory 2609. Committee Policy. applicant laboratory must undergo three Express Analytical Labs, 3405 7th Ave., rounds of performance testing plus an [FR Doc. 04–22311 Filed 10–4–04; 8:45 am] Suite 106, Marion, IA 52302, 319– on-site inspection. BILLING CODE 4140–01–M 377–0500. To maintain that certification, a General Medical Laboratories, 36 South laboratory must participate in a Brooks St., Madison, WI 53715, 608– DEPARTMENT OF HEALTH AND quarterly performance testing program 267–6225. HUMAN SERVICES plus periodic, on-site inspections. Kroll Laboratory Specialists, Inc., 1111 Laboratories which claim to be in the Newton St., Gretna, LA 70053, 504– Substance Abuse and Mental Health applicant stage of certification are not to Services Administration 361–8989 / 800–433–3823, (Formerly: be considered as meeting the minimum Laboratory Specialists, Inc.). requirements expressed in the HHS Current List of Laboratories Which LabOne, Inc., 10101 Renner Blvd., Mandatory Guidelines. A laboratory Meet Minimum Standards To Engage in Lenexa, KS 66219, 913–888–3927 / must have its letter of certification from Urine Drug Testing for Federal 800–873–8845, (Formerly: Center for HHS/SAMHSA (formerly: HHS/NIDA) Agencies Laboratory Services, a Division of which attests that it has met minimum LabOne, Inc.). standards. AGENCY: Substance Abuse and Mental LabOne, Inc., d/b/a Northwest Health Services Administration, HHS. In accordance with Subpart C of the Toxicology, 1141 E. 3900 S., Salt Lake Mandatory Guidelines, the following ACTION: Notice. City, UT 84124, 801–293–2300 / 800– laboratories meet the minimum 322–3361, (Formerly: NWT Drug standards set forth in the Mandatory SUMMARY: The Department of Health and Testing, NorthWest Toxicology, Inc.; Guidelines: Human Services (HHS) notifies Federal Northwest Drug Testing, a division of agencies of the laboratories currently ACL Laboratories, 8901 W. Lincoln NWT Inc.). certified to meet the standards of Ave., West Allis, WI 53227, 414–328– Laboratory Corporation of America Subpart C of the Mandatory Guidelines 7840 / 800–877–7016, (Formerly: Holdings, 7207 N. Gessner Rd., for Federal Workplace Drug Testing Bayshore Clinical Laboratory). Houston, TX 77040, 713–856–8288 / Programs (Mandatory Guidelines) ACM Medical Laboratory, Inc., 160 800–800–2387. published in the Federal Register on Elmgrove Park, Rochester, NY 14624, Laboratory Corporation of America April 11, 1988 (53 FR 11970), and 585–429–2264. Holdings, 69 First Ave., Raritan, NJ revised in the Federal Register on June Advanced Toxicology Network, 3560 08869, 908–526–2400 / 800–437– 9, 1994 (59 FR 29908) and on September Air Center Cove, Suite 101, Memphis, 4986, (Formerly: Roche Biomedical 30, 1997 (62 FR 51118). A notice listing TN 38118, 901–794–5770 / 888–290– Laboratories, Inc.). all currently certified laboratories is 1150. Laboratory Corporation of America published in the Federal Register Aegis Analytical Laboratories, Inc., 345 Holdings, 1904 Alexander Dr., during the first week of each month. If Hill Ave., Nashville, TN 37210, 615– Research Triangle Park, NC 27709, any laboratory’s certification is 255–2400. 919–572–6900 / 800–833–3984, suspended or revoked, the laboratory Baptist Medical Center-Toxicology (Formerly: LabCorp Occupational will be omitted from subsequent lists Laboratory, 9601 I–630, Exit 7, Little Testing Services, Inc., CompuChem until such time as it is restored to full Rock, AR 72205–7299, 501–202–2783, Laboratories, Inc.; CompuChem certification under the Mandatory (Formerly: Forensic Toxicology Laboratories, Inc., A Subsidiary of Guidelines. Laboratory Baptist Medical Center). Roche Biomedical Laboratory; Roche
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CompuChem Laboratories, Inc., A location on 03/31/01; Formerly: through that program were accredited to Member of the Roche Group). SmithKline Beecham Clinical conduct forensic urine drug testing as Laboratory Corporation of America Laboratories; SmithKline Bio-Science required by U.S. Department of Holdings, 10788 Roselle St., San Laboratories) Transportation (DOT) regulations. As of that date, the certification of those accredited Diego, CA 92121, 800–882–7272, Quest Diagnostics Incorporated, 4230 Canadian laboratories will continue under (Formerly: Poisonlab, Inc.). South Burnham Ave., Suite 250, Las DOT authority. The responsibility for Laboratory Corporation of America Vegas, NV 89119–5412, 702–733– conducting quarterly performance testing Holdings, 1120 Stateline Rd. West, 7866 / 800–433–2750 (Formerly: plus periodic on-site inspections of those Southaven, MS 38671, 866–827–8042 Associated Pathologists Laboratories, LAPSA-accredited laboratories was / 800–233–6339, (Formerly: LabCorp Inc.) transferred to the U.S. HHS, with the HHS’ Occupational Testing Services, Inc.; Quest Diagnostics Incorporated, 400 NLCP contractor continuing to have an active MedExpress/National Laboratory Egypt Rd., Norristown, PA 19403, role in the performance testing and Center). 610–631–4600 / 877–642–2216 laboratory inspection processes. Other Marshfield Laboratories, Forensic Canadian laboratories wishing to be (Formerly: SmithKline Beecham considered for the NLCP may apply directly Toxicology Laboratory, 1000 North Clinical Laboratories; SmithKline Bio- to the NLCP contractor just as U.S. Oak Ave., Marshfield, WI 54449, 715– Science Laboratories) laboratories do. 389–3734 / 800–331–3734. Quest Diagnostics Incorporated, 506 E. Upon finding a Canadian laboratory to be MAXXAM Analytics Inc.*, 6740 State Pkwy., Schaumburg, IL 60173, qualified, HHS will recommend that DOT Campobello Road, Mississauga, ON, 800–669–6995 / 847–885–2010 certify the laboratory (Federal Register, July Canada L5N 2L8, 905–817–5700, (Formerly: SmithKline Beecham 16, 1996) as meeting the minimum standards (Formerly: NOVAMANN (Ontario) Clinical Laboratories; International of the Mandatory Guidelines published in the Inc.). Toxicology Laboratories) Federal Register on June 9, 1994 (59 FR MedTox Laboratories, Inc., 402 W. Quest Diagnostics Incorporated, 7600 29908) and on September 30, 1997 (62 FR County Rd. D, St. Paul, MN 55112, Tyrone Ave., Van Nuys, CA 91405, 51118). After receiving DOT certification, the laboratory will be included in the monthly 651–636–7466 / 800–832–3244. 818–989–2520 / 800–877–2520 list of HHS certified laboratories and MetroLab-Legacy Laboratory Services, (Formerly: SmithKline Beecham participate in the NLCP certification 1225 NE. 2nd Ave., Portland, OR Clinical Laboratories) maintenance program. 97232, 503–413–5295 / 800–950– Scientific Testing Laboratories, Inc., 450 The following laboratory is 5295. Southlake Blvd., Richmond, VA withdrawing from the NLCP on October Minneapolis Veterans Affairs Medical 23236, 804–378–9130 Center, Forensic Toxicology Sciteck Clinical Laboratories, Inc., 317 8, 2004: PharmChem Laboratories, Inc., Laboratory, 1 Veterans Dr., Rutledge Rd., Fletcher, NC 28732, 4600 N. Beach, Haltom City, TX 76137, Minneapolis, MN 55417, 612–725– 828–650–0409 817–605–5300 (Formerly: PharmChem 2088. S.E.D. Medical Laboratories, 5601 Office Laboratories, Inc., Texas Division; National Toxicology Laboratories, Inc., Blvd., Albuquerque, NM 87109, 505– Harris Medical Laboratory). 1100 California Ave., Bakersfield, CA 727–6300 / 800–999–5227 Anna Marsh, 93304, 661–322–4250 / 800–350– South Bend Medical Foundation, Inc., Executive Officer, SAMHSA. 3515. 530 N. Lafayette Blvd., South Bend, [FR Doc. 04–22351 Filed 10–4–04; 8:45 am] One Source Toxicology Laboratory, Inc., IN 46601, 574–234–4176 x276 1213 Genoa-Red Bluff, Pasadena, TX Southwest Laboratories, 4645 E. Cotton BILLING CODE 4160–20–P 77504, 888–747–3774, (Formerly: Center Boulevard, Suite 177, Phoenix, University of Texas Medical Branch, AZ 85040, 602–438–8507 / 800–279– Clinical Chemistry Division; UTMB 0027 DEPARTMENT OF HOMELAND Pathology-Toxicology Laboratory). Sparrow Health System, Toxicology SECURITY Testing Center, St. Lawrence Campus, Oregon Medical Laboratories, P.O. Box Bureau of Customs and Border 1210 W. Saginaw, Lansing, MI 48915, 972, 722 East 11th Ave., Eugene, OR Protection 97440–0972, 541–687–2134. 517–364–7400 (Formerly: St. Pacific Toxicology Laboratories, 9348 Lawrence Hospital & Healthcare Proposed Collection; Comment DeSoto Ave., Chatsworth, CA 91311, System) Request: Canadian Border Boat 800–328–6942, (Formerly: Centinela St. Anthony Hospital Toxicology Landing Permit Hospital Airport Toxicology Laboratory, 1000 N. Lee St., Laboratory). Oklahoma City, OK 73101, 405–272– ACTION: Notice and request for Pathology Associates Medical 7052 comments. Laboratories, 110 West Cliff Dr., Toxicology & Drug Monitoring Spokane, WA 99204, 509–755–8991 / Laboratory, University of Missouri SUMMARY: As part of its continuing effort 800–541–7897x7. Hospital & Clinics, 301 Business Loop to reduce paperwork and respondent Physicians Reference Laboratory, 7800 70 West, Suite 208, Columbia, MO burden, Bureau of Customs and Border West 110th St., Overland Park, KS 65203, 573–882–1273 Protection (CBP) invites the general 66210, 913–339–0372 / 800–821– Toxicology Testing Service, Inc., 5426 public and other Federal agencies to 3627. N.W. 79th Ave., Miami, FL 33166, comment on an information collection Quest Diagnostics Incorporated, 3175 305–593–2260 requirement concerning the Canadian Presidential Dr., Atlanta, GA 30340, US Army Forensic Toxicology Drug Border Boat Landing Permit. This 770–452–1590 / 800–729–6432 Testing Laboratory, 2490 Wilson St., request for comment is being made (Formerly: SmithKline Beecham Fort George G. Meade, MD 20755– pursuant to the Paperwork Reduction Clinical Laboratories, SmithKline Bio- 5235, 301–677–7085 Act of 1995 (Public Law 104–13; 44 Science Laboratories) *The Standards Council of Canada (SCC) U.S.C. 3505(c)(2)). Quest Diagnostics Incorporated, 4770 voted to end its Laboratory Accreditation DATES: Written comments should be Regent Blvd., Irving, TX 75063, 800– Program for Substance Abuse (LAPSA) received on or before December 6, 2004 824–6152, (Moved from the Dallas effective May 12, 1998. Laboratories certified to be assured of consideration.
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ADDRESS: Direct all written comments to Dated: September 29, 2004. Households Disaster Housing Operations; Bureau of Customs and Border Tracey Denning, 97.050 Individuals and Households Program—Other Needs, 97.036, Public Protection, Information Services Group, Agency Clearance Officer, Information Assistance Grants; 97.039, Hazard Mitigation Room 3.2.C, 1300 Pennsylvania Avenue, Services Group. Grant Program.) NW., Washington, DC 20229. [FR Doc. 04–22335 Filed 10–4–04; 8:45 am] Michael D. Brown, FOR FURTHER INFORMATION CONTACT: BILLING CODE 4820–02–P Requests for additional information Under Secretary, Emergency Preparedness and Response, Department of Homeland should be directed to Bureau of Customs DEPARTMENT OF HOMELAND Security. and Border Protection, Attn.: Tracey SECURITY [FR Doc. 04–22315 Filed 10–4–04; 8:45 am] Denning, Room 3.2.C, 1300 BILLING CODE 9110–10–P Pennsylvania Avenue NW., Washington, Federal Emergency Management DC 20229, Tel. (202) 927–1429. Agency SUPPLEMENTARY INFORMATION: CBP [FEMA–1545–DR] DEPARTMENT OF HOMELAND invites the general public and other SECURITY Federal agencies to comment on Florida; Amendment No. 9 to Notice of Federal Emergency Management proposed and/or continuing information a Major Disaster Declaration Agency collections pursuant to the Paperwork AGENCY: Federal Emergency Reduction Act of 1995 (Pub. L. 104–13; [FEMA–1561–DR] Management Agency, Emergency 44 U.S.C. 3505(c)(2)). The comments Preparedness and Response Directorate, should address: (1) Whether the Florida; Major Disaster and Related Department of Homeland Security. collection of information is necessary Determinations ACTION: Notice. for the proper performance of the AGENCY: Federal Emergency functions of the agency, including SUMMARY: This notice amends the notice Management Agency, Emergency whether the information shall have of a major disaster declaration for the Preparedness and Response Directorate, practical utility; (2) the accuracy of the State of Florida (FEMA–1545–DR), Department of Homeland Security. agency’s estimates of the burden of the dated September 4, 2004, and related ACTION: Notice. collection of information; (3) ways to determinations. enhance the quality, utility, and clarity SUMMARY: This is a notice of the EFFECTIVE DATE: September 27, 2004. of the information to be collected; (4) Presidential declaration of a major ways to minimize the burden including FOR FURTHER INFORMATION CONTACT: disaster for the State of Florida (FEMA– the use of automated collection Magda Ruiz, Recovery Division, Federal 1561–DR), dated September 26, 2004, techniques or the use of other forms of Emergency Management Agency, and related determinations. Washington, DC 20472, (202) 646–2705. information technology; and (5) EFFECTIVE DATE: September 26, 2004. estimates of capital or start-up costs and SUPPLEMENTARY INFORMATION: The notice FOR FURTHER INFORMATION CONTACT: costs of operations, maintenance, and of a major disaster declaration for the Magda Ruiz, Recovery Division, Federal purchase of services to provide State of Florida is hereby amended to Emergency Management Agency, information. The comments that are include the following areas among those Washington, DC 20472, (202) 646–2705. submitted will be summarized and areas determined to have been adversely included in the CBP request for Office affected by the catastrophe declared a SUPPLEMENTARY INFORMATION: Notice is of Management and Budget (OMB) major disaster by the President in his hereby given that, in a letter dated approval. All comments will become a declaration of September 4, 2004: September 26, 2004, the President matter of public record. In this declared a major disaster under the Gadsden, Hamilton, Leon, Madison, and authority of the Robert T. Stafford document CBP is soliciting comments Wakulla Counties for [Categories C–G] under concerning the following information the Public Assistance program (already Disaster Relief and Emergency collection: designated for debris removal and emergency Assistance Act, 42 U.S.C. §§ 5121–5206 (the Stafford Act), as follows: Title: Canadian Border Boat Landing protective measures (Categories A and B) Permit. under the Public Assistance Program and I have determined that the damage in direct Federal assistance at 100 percent certain areas of the State of Florida resulting OMB Number: 1651–0108. Federal funding of the total eligible costs for from Hurricane Jeanne beginning on Form Number: Form I–68. the first 72 hours.) September 24, 2004, and continuing, is of Glades, Hendry, and Union Counties for sufficient severity and magnitude to warrant Abstract: This collection involves [Categories C–G] under the Public Assistance a major disaster declaration under the Robert information from individuals who program (already designated for Individual T. Stafford Disaster Relief and Emergency desire to enter the United States from Assistance and debris removal and Assistance Act, 42 U.S.C. §§ 5121–5206 (the Canada in a small pleasure craft. emergency protective measures (Categories A Stafford Act). Therefore, I declare that such and B) under the Public Assistance Program Current Actions: This is an extension a major disaster exists in the State of Florida. and direct Federal assistance at 100 percent In order to provide Federal assistance, you of a currently approved information Federal funding of the total eligible costs for are hereby authorized to allocate from funds collection. the first 72 hours.) available for these purposes such amounts as Affected Public: Individuals or (The following Catalog of Federal Domestic you find necessary for Federal disaster Households. Assistance Numbers (CFDA) are to be used assistance and administrative expenses. for reporting and drawing funds: 97.030, You are authorized to provide Individual Estimated Number of Respondents: Community Disaster Loans; 97.031, Cora Assistance and assistance for debris removal 68,000. Brown Fund Program; 97.032, Crisis and emergency protective measures Estimated Time Per Respondent: 10 Counseling; 97.033, Disaster Legal Services (Categories A and B) under the Public minutes. Program; 97.034, Disaster Unemployment Assistance program in the designated areas; Assistance (DUA); 97.046, Fire Management Hazard Mitigation throughout the State; and Estimated Total Annual Burden Assistance; 97.048, Individuals and any other forms of assistance under the Hours: 11,288. Households Housing; 97.049, Individuals and Stafford Act you may deem appropriate
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subject to completion of Preliminary Damage Grants; 97.039, Hazard Mitigation Grant Assistance Grants; 97.039, Hazard Mitigation Assessments. Direct Federal assistance is Program.) Grant Program.) authorized. Consistent with the requirement that Michael D. Brown, Michael D. Brown, Federal assistance be supplemental, any Under Secretary, Emergency Preparedness Under Secretary, Emergency Preparedness Federal funds provided under the Stafford and Response, Department of Homeland and Response, Department of Homeland Act for Public Assistance, Hazard Mitigation Security. Security. and the Other Needs Assistance under [FR Doc. 04–22321 Filed 10–4–04; 8:45 am] [FR Doc. 04–22322 Filed 10–4–04; 8:45 am] Section 408 of the Stafford Act will be limited to 75 percent of the total eligible BILLING CODE 9110–10–P BILLING CODE 9110–10–P costs. For a period of up to 72 hours, you are authorized to fund assistance for debris removal and emergency protective measures, DEPARTMENT OF HOMELAND DEPARTMENT OF HOMELAND including direct Federal assistance, at 100 SECURITY SECURITY percent of the total eligible costs. Further, you are authorized to make Federal Emergency Management Federal Emergency Management changes to this declaration to the extent Agency Agency allowable under the Stafford Act. The time period prescribed for the [FEMA–1561–DR] [FEMA–1560–DR] implementation of section 310(a), Priority to Certain Applications for Florida; Amendment No. 1 to Notice of Georgia; Amendment No. 1 to Notice of Public Facility and Public Housing a Major Disaster Declaration a Major Disaster Declaration Assistance, 42 U.S.C. 5153, shall be for a period not to exceed six months after AGENCY: Federal Emergency AGENCY: Federal Emergency the date of this declaration. Management Agency, Emergency Management Agency, Emergency Preparedness and Response Directorate, Preparedness and Response Directorate, The Federal Emergency Management Department of Homeland Security. Department of Homeland Security. Agency (FEMA) hereby gives notice that pursuant to the authority vested in the ACTION: Notice. ACTION: Notice. Under Secretary for Emergency Preparedness and Response, Department SUMMARY: This notice amends the notice SUMMARY: This notice amends the notice of Homeland Security, under Executive of a major disaster declaration for the of a major disaster declaration for the Order 12148, as amended, William L. State of Florida (FEMA–1561–DR), State of Georgia (FEMA–1560–DR), Carwile, III, of FEMA is appointed to act dated September 26, 2004, and related dated September 24, 2004, and related as the Federal Coordinating Officer for determinations. determinations. this declared disaster. EFFECTIVE DATE: September 27, 2004. EFFECTIVE DATE: September 27, 2004. I do hereby determine the following areas of the State of Florida to have been FOR FURTHER INFORMATION CONTACT: FOR FURTHER INFORMATION CONTACT: affected adversely by this declared Magda Ruiz, Recovery Division, Federal Magda Ruiz, Recovery Division, Federal major disaster: Emergency Management Agency, Emergency Management Agency, The counties of Brevard, Hardee, Washington, DC 20472, (202) 646–2705. Washington, DC 20472, (202) 646–2705. Hernando, Highlands, Hillsborough, Indian SUPPLEMENTARY INFORMATION: The notice SUPPLEMENTARY INFORMATION: The notice River, Lake, Martin, Okeechobee, Orange, Osceola, Palm Beach, Pasco, Pinellas, Polk, of a major disaster declaration for the of a major disaster declaration for the Seminole, St. Lucie, Sumter, and Volusia for State of Florida is hereby amended to State of Georgia is hereby amended to Individual Assistance. include the following area among those include the following areas among those The counties of Brevard, Citrus, DeSoto, areas determined to have been adversely areas determined to have been adversely Glades, Hardee, Hendry, Hernando, affected by the catastrophe declared a affected by the catastrophe declared a Highlands, Hillsborough, Indian River, Lake, major disaster by the President in his major disaster by the President in his Levy, Manatee, Marion, Martin, Okeechobee, declaration of September 26, 2004: declaration of September 24, 2004: Orange, Osceola, Palm Beach, Pasco, Pinellas, Polk, Seminole, St. Lucie, Sumter, Marion County for Individual Assistance The counties of Baker, Bleckley, Calhoun, and Volusia for Public Assistance (Categories (already designated for Public Assistance Camden, Dougherty, Emanuel, Grady, A and B), including direct Federal assistance, Categories A and B, including direct Federal Hancock, Harris, Hart, Jeff Davis, Lanier, at 100 percent of the total eligible costs for assistance, at 100 percent of the total eligible Long, McIntosh, Pike, Taliaferro, Toombs, a period of up to 72 hours. costs for a period of up to 72 hours.) Treutlen, Ware, Wayne, Webster, Wilcox, and All counties within the State of Florida are Worth for Public Assistance. eligible to apply for assistance under the (The following Catalog of Federal Domestic Hazard Mitigation Grant Program. Assistance Numbers (CFDA) are to be used (The following Catalog of Federal Domestic (The following Catalog of Federal Domestic for reporting and drawing funds: 97.030, Assistance Numbers (CFDA) are to be used Assistance Numbers (CFDA) are to be used Community Disaster Loans; 97.031, Cora for reporting and drawing funds: 97.030, for reporting and drawing funds: 97.030, Brown Fund Program; 97.032, Crisis Community Disaster Loans; 97.031, Cora Community Disaster Loans; 97.031, Cora Counseling; 97.033, Disaster Legal Services Brown Fund Program; 97.032, Crisis Brown Fund Program; 97.032, Crisis Program; 97.034, Disaster Unemployment Counseling; 97.033, Disaster Legal Services Counseling; 97.033, Disaster Legal Services Assistance (DUA); 97.046, Fire Management Program; 97.034, Disaster Unemployment Program; 97.034, Disaster Unemployment Assistance; 97.048, Individuals and Assistance (DUA); 97.046, Fire Management Assistance (DUA); 97.046, Fire Management Households Housing; 97.049, Individuals and Assistance; 97.048, Individuals and Assistance; 97.048, Individual and Households Disaster Housing Operations; Households Housing; 97.049, Individuals and Household Housing; 97.049, Individual and 97.050 Individuals and Households Households Disaster Housing Operations; Household Disaster Housing Operations; Program—Other Needs, 97.036, Public 97.050 Individuals and Households Program- 97.050 Individual and Household Program— Other Needs, 97.036, Public Assistance Other Needs, 97.036, Public Assistance
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Grants; 97.039, Hazard Mitigation Grant Assistance Grants; 97.039, Hazard Mitigation Assistance Grants; 97.039, Hazard Mitigation Program.) Grant Program.) Grant Program.) Michael D. Brown, Michael D. Brown, Michael D. Brown, Under Secretary, Emergency Preparedness Under Secretary, Emergency Preparedness Under Secretary, Emergency Preparedness and Response, Department of Homeland and Response, Department of Homeland and Response, Department of Homeland Security. Security. Security. [FR Doc. 04–22320 Filed 10–4–04; 8:45 am] [FR Doc. 04–22317 Filed 10–4–04; 8:45 am] [FR Doc. 04–22316 Filed 10–4–04; 8:45 am] BILLING CODE 9110–10–P BILLING CODE 9110–10–P BILLING CODE 9110–10–P
DEPARTMENT OF HOMELAND DEPARTMENT OF HOMELAND DEPARTMENT OF HOMELAND SECURITY SECURITY SECURITY Federal Emergency Management Agency Federal Emergency Management Federal Emergency Management Agency Agency [FEMA–1550–DR]
Mississippi; Amendment No. 4 to [FEMA–1546–DR] [FEMA–1553–DR] Notice of a Major Disaster Declaration North Carolina; Amendment No. 4 to North Carolina; Amendment No. 2 to AGENCY: Federal Emergency Notice of a Major Disaster Declaration Notice of a Major Disaster Declaration Management Agency, Emergency Preparedness and Response Directorate, AGENCY: Federal Emergency AGENCY: Federal Emergency Department of Homeland Security. Management Agency, Emergency Management Agency, Emergency ACTION: Notice. Preparedness and Response Directorate, Preparedness and Response Directorate, Department of Homeland Security. Department of Homeland Security. SUMMARY: This notice amends the notice of a major disaster declaration for the ACTION: Notice. ACTION: Notice. State of Mississippi (FEMA–1550–DR), dated September 15, 2004, and related SUMMARY: This notice amends the notice SUMMARY: This notice amends the notice determinations. of a major disaster declaration for the of a major disaster declaration for the EFFECTIVE DATE: September 27, 2004. State of North Carolina (FEMA–1546– State of North Carolina (FEMA–1553- FOR FURTHER INFORMATION CONTACT: DR), dated September 10, 2004, and DR), dated September 18, 2004, and Magda Ruiz, Recovery Division, Federal related determinations. related determinations. Emergency Management Agency, EFFECTIVE DATE: September 27, 2004. EFFECTIVE DATE: September 27, 2004. Washington, DC 20472, (202) 646–2705. FOR FURTHER INFORMATION CONTACT: FOR FURTHER INFORMATION CONTACT: SUPPLEMENTARY INFORMATION: The notice of a major disaster declaration for the Magda Ruiz, Recovery Division, Federal Magda Ruiz, Recovery Division, Federal State of Mississippi is hereby amended Emergency Management Agency, Emergency Management Agency, to include the following areas among Washington, DC 20472, (202) 646–2705. Washington, DC 20472, (202) 646–2705. those areas determined to have been SUPPLEMENTARY INFORMATION: The notice SUPPLEMENTARY INFORMATION: The notice adversely affected by the catastrophe of a major disaster declaration for the of a major disaster declaration for the declared a major disaster by the State of North Carolina is hereby State of North Carolina is hereby President in his declaration of amended to include the following areas amended to include the following areas September 15, 2004: among those areas determined to have among those areas determined to have Clay, Monroe, Oktibbeha, and Winston been adversely affected by the been adversely affected by the Counties for Public Assistance. catastrophe declared a major disaster by catastrophe declared a major disaster by Clarke, Forrest, George, Greene, Hancock, the President in his declaration of the President in his declaration of Harrison, Jackson, Jasper, Jones, Kemper, Lamar, Lauderdale, Lowndes, Neshoba, September 10, 2004: September 18, 2004: Newton, Noxubee, Perry, Stone, and Wayne Alleghany and Wilkes Counties for Alamance, Alleghany, Ashe, Caswell, Counties for Public Assistance [Categories C Individual Assistance. Davidson, Forsyth, Graham, Guilford, through G](already designated for Public Ashe County for Individual Assistance Randolph, Rockingham, Stokes, Swain, and Assistance Categories A and B, including (already designated for Public Assistance.) Wilkes Counties for Individual Assistance. direct Federal Assistance, at 100 percent of the total eligible costs for a period of up to (The following Catalog of Federal Domestic (The following Catalog of Federal Domestic 72 hours.) Assistance Numbers (CFDA) are to be used Assistance Numbers (CFDA) are to be used (The following Catalog of Federal Domestic for reporting and drawing funds: 97.030, for reporting and drawing funds: 97.030, Assistance Numbers (CFDA) are to be used Community Disaster Loans; 97.031, Cora Community Disaster Loans; 97.031, Cora for reporting and drawing funds: 97.030, Brown Fund Program; 97.032, Crisis Brown Fund Program; 97.032, Crisis Community Disaster Loans; 97.031, Cora Counseling; 97.033, Disaster Legal Services Counseling; 97.033, Disaster Legal Services Brown Fund Program; 97.032, Crisis Program; 97.034, Disaster Unemployment Program; 97.034, Disaster Unemployment Counseling; 97.033, Disaster Legal Services Assistance (DUA); 97.046, Fire Management Assistance (DUA); 97.046, Fire Management Program; 97.034, Disaster Unemployment Assistance; 97.048, Individuals and Assistance; 97.048, Individuals and Assistance (DUA); 97.046, Fire Management Households Housing; 97.049, Individuals and Households Housing; 97.049, Individuals and Assistance; 97.048, Individuals and Households Disaster Housing Operations; Households Disaster Housing Operations; Households Housing; 97.049, Individuals and 97.050 Individuals and Households 97.050 Individuals and Households Households Disaster Housing Operations; 97.050 Individuals and Households Program—Other Needs, 97.036, Public Program—Other Needs, 97.036, Public Program—Other Needs, 97.036, Public
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Assistance Grants; 97.039, Hazard Mitigation DEPARTMENT OF HOMELAND 7, 1981; 45 FR 67830, Oct. 14, 1980; and Grant Program.) SECURITY 45 FR 51431, Aug. 1, 1980. As of March 1, 2003, FEMA became a component of Michael D. Brown, Federal Emergency Management EP and R, which is a Directorate of DHS. Under Secretary, Emergency Preparedness Agency The previous notice is, therefore, being and Response, Department of Homeland updated in part to reflect the transfer of Security. RIN 1660–ZA04 FEMA’s functions to the EP and R [FR Doc. 04–22318 Filed 10–4–04; 8:45 am] Privacy Act of 1974; Updating the Directorate within DHS and in part to BILLING CODE 9110–10–P Student Application and Registration reflect a conversion in the type of System of Records records being maintained in this system. This system of records contains DEPARTMENT OF HOMELAND AGENCY: Federal Emergency information provided by individuals SECURITY Management Agency (FEMA), applying for courses offered by the Emergency Preparedness and Response National Fire Academy (NFA) and the Federal Emergency Management (EP and R) Directorate, Department of Emergency Management Institute (EMI) Agency Homeland Security (DHS). on-campus and off-campus, by State and ACTION: Notice of proposed revision to local training agencies, through selected [FEMA–1558–DR] an existing Privacy Act system of colleges and universities, and through records. independent self-study. Information West Virginia; Amendment No. 2 to collected includes citizenship (city and Notice of a Major Disaster Declaration SUMMARY: Pursuant to the Privacy Act of 1974 (5 U.S.C. 552a), FEMA proposes to country of birth for non-U.S. citizens), social security number or an alternate AGENCY: upgrade the system of records currently Federal Emergency number that has been assigned in lieu Management Agency, Emergency entitled ‘‘Student Application and Registration Records, FEMA/NETC/– of the social security number, name, Preparedness and Response Directorate, mailing address, work phone number, Department of Homeland Security. 017,’’ by amending the method of collecting the information from hard alternate phone number, fax number, e- ACTION: Notice. copy only to hard copy and electronic. mail address, course code and title, FEMA is also modifying this system of course location, dates requested, course SUMMARY: This notice amends the notice records to reflect its transfer to DHS. pre-requisite as described in the course of a major disaster for the State of West Subsections 552a(e)(4) and (11) of Title catalog, special assistance request, name Virginia (FEMA–1558–DR), dated 5, United States Code, provide that the and address of the organization being September 20, 2004, and related public be given a 30-day period in represented, fire department identification number, current position determinations. which to comment on routine uses. The Office of Management and Budget and years in that position, category of EFFECTIVE DATE: September 27, 2004. (OMB), which has oversight the position, jurisdiction type, type of responsibility under the Act, requires a work for the organization, organization FOR FURTHER INFORMATION CONTACT: 40-day period in which to review the type, employment status, number of Magda Ruiz, Recovery Division, Federal proposed systems. staff in the organization, size of Emergency Management Agency, DATES: The proposed system of records population served by the organization, Washington, DC 20472, (202) 646–2705. will be effective November 15, 2004, brief description of the activities or SUPPLEMENTARY INFORMATION: Notice is unless comments are received that responsibilities as they relate to the hereby given that the incident period for result in a contrary determination. The course for which they are applying, this disaster is closed effective public, OMB and Congress are invited to primary responsibility and type of experience, number of years of September 27, 2004. comment on the proposed system of records. experience, date of birth, sex, ethnicity (The following Catalog of Federal Domestic and race. Information such as age, sex, Assistance Numbers (CFDA) are to be used ADDRESSES: We invite your comments and ancestral heritage are used for for reporting and drawing funds: 97.030, on this system of records. Please address statistical purposes only and are Community Disaster Loans; 97.031, Cora them to the Rules Docket Clerk, Office provided on a voluntary basis. The Brown Fund Program; 97.032, Crisis of the General Counsel, Federal social security number is necessary Counseling; 97.033, Disaster Legal Services Emergency Management Agency, room because of the large number of Program; 97.034, Disaster Unemployment 840, 500 C Street, SW., Washington, DC individuals who may have identical Assistance (DUA); 97.046, Fire Management 20472, (telefax) (202) 646–4536, or names and birth dates and whose Assistance; 97.048, Individuals and (email) FEMA–[email protected]. identities can only be distinguished by Households Housing; 97.049, Individuals and FOR FURTHER INFORMATION CONTACT: their social security number. Disclosure Households Disaster Housing Operations; Rena Y. Kim, Privacy Act Officer, room of an individual’s social security 97.050 Individuals and Households Program- 840, 500 C Street, SW., Washington, DC number is voluntary. However, if an Other Needs, 97.036, Public Assistance 20472; (telephone) (202) 646–3949. applicant does not provide a social Grants; 97.039, Hazard Mitigation Grant SUPPLEMENTARY INFORMATION: Prior to security number, a unique identification Program.) March 1, 2003, FEMA was an number will be substituted, which will Michael D. Brown, independent agency within the Federal affect the ability to retrieve complete Under Secretary, Emergency Preparedness government. While operating as an training information on an applicant. and Response, Department of Homeland independent agency, FEMA established The information is contained in the Security. this Privacy Act system of records. See National Emergency Training Center [FR Doc. 04–22319 Filed 10–4–04; 8:45 am] 55 FR 37182, Sept. 7, 1990; 52 FR 324, (NETC) Admissions System. It will Jan. 5, 1987; 49 FR 45257, Nov. 15, consist of computerized files and paper BILLING CODE 9110–10–P 1984; 48 FR 12132, Mar. 23, 1982; 47 FR records retrieved by name or social 53483, Nov. 26, 1982; 46 FR 49726, Oct. security number.
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Dated: September 29, 2004. responsibilities as they relate to the the purposes of performing authorized David A. Trissell, course for which they are applying, audit or oversight operations. General Counsel, Emergency Preparedness primary responsibility and type of 2. Congressional Inquiries: To a and Response, Department of Homeland experience, number of years of congressional office from the record of Security. experience, date of birth, sex, ethnicity an individual in response to an inquiry and race. Information such as age, sex, from that congressional office made at and ancestral heritage are used for the request of the individual to whom statistical purposes only. Personal the record pertains. information is provided on a voluntary 3. Contractors, et al: To contractors, Accordingly, we add DHS/EP and R/ basis. Failure to provide certain FEMA/NETC/017, of the FEMA Privacy grantees, experts, consultants, students, information being requested, however, and others performing or working on a Act systems of records to read as may result in a delay in processing an follows: contract, service, grant, cooperative application because the information agreement, or other assignment for the SYSTEM NAME: provided may be insufficient to Federal government, when necessary to Student Application and Registration determine eligibility for the course. The accomplish an agency function related Records. social security number is necessary to this system of records. because of the large number of 4. Investigations: Where a record, SECURITY CLASSIFICATION: individuals who may have identical either on its face or in conjunction with Unclassified. names and birth dates and whose other information, indicates a violation identities can only be distinguished by or potential violation of law—criminal, SYSTEM LOCATION: their social security number. The social civil or regulatory—the relevant records NETC, 16825 South Seton Avenue, security number is used for record- may be referred to an appropriate Emmitsburg, Maryland 21727–8998. keeping purposes, i.e., to ensure that Federal, State, territorial, tribal, local, academic records are maintained international, or foreign agency law CATEGORIES OF INDIVIDUALS COVERED BY THE accurately. Disclosure of an individual’s SYSTEM: enforcement authority or other social security number is voluntary. The system covers those individuals appropriate agency charged with However, if an applicant does not investigating or prosecuting such a who apply for or take courses offered by provide a social security number, a FEMA’s NFA or EMI. Courses are violation or enforcing or implementing unique identification number will be such law. offered on-campus and off-campus, by substituted, which will affect the ability State and local training agencies, 5. Litigation: To the Department of to retrieve complete training Justice (DOJ) or other Federal agency through selected colleges and information on an applicant. universities, and through independent conducting litigation or in proceedings self-study. Information can be obtained AUTHORITY FOR MAINTENANCE OF THE SYSTEM: before any court, adjudicative or by individuals completing a general Pub. L. 93–498, Federal Fire administrative body, when: (a) DHS, or admissions application or by applying Prevention and Control Act of 1974, as (b) any employee of DHS in his/her for a course electronically. Information amended; Pub. L. 93–288, Robert T. official capacity, or (c) any employee of may also be provided by a State or local Stafford Disaster Relief and Emergency DHS in his/her individual capacity training agency when the course has Assistance Act; Pub. L. 93–579, 44 where DOJ or DHS has agreed to been taken through that agency. U.S.C. 3101; Privacy Act of 1974; E.O. represent the employee, or (d) the 12127; E.O. 12148; and Reorganization United States or any agency thereof, is CATEGORIES OF RECORDS IN THE SYSTEM: Plan No. 3 of 1978; 5 U.S.C. 301; a party to the litigation or has an interest Files include application forms and Presidential Memorandum, ‘‘Electronic in such litigation and when the records other information submitted either in Government’s Role in Implementing the are determined by the DHS to be hard copy or electronically by the President’s Management Agenda,’’ July arguably relevant to the proceeding applicant. Information collected 10, 2002; 15 U.S.C. 2206, 44 U.S.C. 6. Privacy Act Verification and includes, but is not limited to, U.S. 3101; 50 U.S.C. App. 2253 and 2281; Amendment: To a federal, State, citizenship (city and country of birth is E.O. 12127, 12148 and 9397; Title VI of territorial, tribal, local, international, or also included for non-U.S. citizens), the Civil Rights Act of 1964; and Section foreign agency or entity for the purpose social security number or an alternate 504 of the Rehabilitation Act of 1973. of consulting with that agency or entity number that has been assigned in lieu Executive Order 9397 authorizes the (a) to assist in making a determination of the social security number, name, collection of the social security number. regarding access to or amendment of mailing address, work phone number, information, or (b) for the purpose of PURPOSE(S): alternate phone number, fax number, verifying the identity of an individual or email address, course code and title, For the purpose of determining the accuracy of information submitted course location, dates requested, course eligibility and effectiveness of NFA and by an individual who has requested pre-requisite as described in the course EMI courses; to reimburse students access to or amendment of information. catalog, an indication if they require under the Student Stipend Program, and 7. Privacy/Act FOIA Access and special assistance, name and address of to provide housing to students and other Amendment: To the submitter or subject the organization being represented, fire official guests of the NETC. Information of a record or information to assist DHS department identification number, such as age, sex, and ancestral heritage in making a determination as to access current position and years in that are used for statistical purposes only. or amendment. position, category of the position, ROUTINE USES OF RECORDS MAINTAINED IN THE 8. Records Management: To the jurisdiction type, type of work for the SYSTEM, INCLUDING CATEGORIES OF USERS AND National Archives and Records organization, organization type, THE PURPOSES OF SUCH USES: Administration or other Federal employment status, number of staff in Information in this system may be government agencies pursuant to the organization, size of population disclosed as a routine use as follows: records management inspections being served by the organization, brief 1. Audits and Oversight: To an conducted under the authority of 44 description of the activities or agency, organization, or individual for U.S.C. sections 2904 and 2906.
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9. Requesting Information: To a a safe in another building and retained are made available. All reports are based Federal, State, local, tribal, territorial, for one year. on organizational information. foreign, or international agency, if RETRIEVABILITY: necessary to obtain information relevant RECORD ACCESS PROCEDURES: to a DHS decision concerning the hiring Records can be retrieved by an Same as Notification Procedure above. or retention of an employee, the individual’s last name or social security CONTESTING RECORD PROCEDURES: issuance of a security clearance, the number. Same as Notification Procedure above. reporting of an investigation of an SAFEGUARDS: employee, the letting of a contract, or State clearly and concisely the The admissions contractor controls information being contested, the reasons the issuance of a license, grant or other access to hardcopy records by keeping benefit. for contesting it, and the proposed them in file cabinets when not being amendment to the information sought. 10. Requested Information: To a used and in a work area that is locked Federal, State, local, tribal, territorial, when it is not occupied by authorized RECORD SOURCE CATEGORIES: foreign, or international agency, in personnel. The System Administrator The sources are the individuals response to its request, in connection controls access to the electronic files by with the hiring or retention of an themselves, applicants to NFA or EMI use of passwords and the Admissions courses, Federal employees, and FEMA employee, the issuance of a security Specialist assigns rights to modules of clearance, the reporting of an employees and contractor support the system based on work processing NFA or EMI course investigation of an employee, the letting responsibility. The files are stored in a of a contract, or the issuance of a applications as part of their official secure server room at FEMA’s duties. license, grant, or other benefit by the Emmitsburg facility. Records are requesting agency, to the extent that the maintained in accordance with Federal EXEMPTION CLAIMED FOR THE SYSTEM: information is relevant and necessary to computer security standards. the requesting agency’s decision on the None. matter. RETENTION AND DISPOSAL: [FR Doc. 04–22363 Filed 10–4–04; 8:45 am] 11. Medical Assistance: To a Hard copy records are maintained for BILLING CODE 9110–17–P physician(s) in order to provide one year and nine months, at which information from the application for time they are retired to the Federal DEPARTMENT OF HOMELAND students who become ill or are injured Records Center. Records are retained for SECURITY during courses and are unable to a total of 40 years. Computerized provide the information. records are stored in a database server Federal Emergency Management 12. Boards of Visitors: To members of in a secured file server room. The same Agency the NFA and EMI Boards of Visitors retention schedule that applies to paper Federal advisory committees for the records will be followed. This is Announcement of Performance Review purpose of evaluating NFA’s and EMI’s consistent with the records retention Board Members programmatic statistics. schedule that has been developed for 13. Sponsors: To sponsoring States, this system. AGENCY: Federal Emergency local officials, or state agencies to Management Agency, Emergency update/evaluate statistics on NFA and SYSTEM MANAGER(S) AND ADDRESS: Preparedness and Response Directorate, EMI educational program participation. Senior Admissions Specialist, Department of Homeland Security. National Emergency Training Center, ACTION: Notice. DISCLOSURE TO CONSUMER REPORTING 16825 South Seton Avenue, AGENCIES: Emmitsburg, Maryland, 21727–8998. SUMMARY: This notice announces the Records in this system do not qualify names of new members of the NOTIFICATION PROCEDURE: for the purpose of disclosure to Emergency Preparedness and Response consumer reporting agencies. Individuals seeking notification and Directorate Performance Review Board. access to any records contained in the POLICIES AND PRACTICES FOR STORING, system of records, or seeking to contest FOR FURTHER INFORMATION CONTACT: RETRIEVING, ACCESSING, RETAINING, AND Shirley Schell, Executive Resources DISPOSING OF RECORDS IN THE SYSTEM: its content, may inquire in accordance with instructions appearing at 6 CFR Program Manager, Human Capital STORAGE: Part 5, subpart B, with specific reference Division, 500 C Street, SW., Copies of paper applications as well to the verification of identity Washington, DC 20742, 202–646–3297. as information maintained requirements of 6 CFR 5.21. SUPPLEMENTARY INFORMATION: 5 U.S.C. electronically are stored in a work area Requests for Privacy Act protected 4314 (c)(4) requires agencies to publish that is locked when it is not staffed. The information must be made in writing, notice of Performance Review Board doors to the work area are kept closed and clearly marked as a ‘‘Privacy Act appointees in the Federal Register and signs stating that access is limited Request.’’ The name of the requester, the before their service begins. The role of to authorized personnel are posted on nature of the record sought, and the the Performance Review Board is to the doors. There is limited access given required verification of identity must be review and make recommendations to to persons who have a need to have clearly indicated. Requests should be the appointing authority on access to the information to perform sent to: Privacy Act Officer, DHS/FEMA performance management issues such as their official duties. Computerized Office of General Counsel (GL), room appraisals, pay adjustments, bonuses, records are stored in a database server 840, 500 C Street, SW., Washington, DC and Presidential Rank Awards for in a secured file server room. Electronic 20472. members of the Senior Executive records are stored on a file server in Certain public information such as Service. Under Secretary Michael D. another building and backed up nightly. name, organizational address, Brown has named the following The backup tapes are stored in a organizational telephone number, email members of the Emergency separate area from the file server for address, position title, course code and Preparedness and Response Directorate seven days. After that they are placed in title, and the dates the course was taken Performance Review Board:
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Patricia Stahlschmidt, Director, review, as required by the Paperwork organizations on their likelihood and Strategic Planning and Evaluation. Reduction Act. The Department is success at applying for various funding Thomas McQuillan, Program Advisor, soliciting public comments on the programs. This Notice is soliciting Facilities Management Division. subject proposal. comments from members of the public Edward Kernan, Chief Information Request for reinstatement of an and affecting agencies concerning the Policy and Resources Management. information collection for the proposed collection of information to: David Trissell, Associate General application, qualification, and (1) Evaluate whether the proposed Counsel. certification processes for participants collection of information is necessary Michael Hall, Acting Director, Human in the Rehabilitation Mortgage for the proper performance of the Capital Division. Insurance program. functions of the agency, including Charlie Dickerson, Deputy DATES: Comments Due Date: November whether the information will have Administrator, U.S. Fire 4, 2004. practical utility; (2) Evaluate the Administration. accuracy of the agency’s estimate of the ADDRESSES: Interested persons are David Maurstad, Regional Director, burden of the proposed collection of Region VIII, Denver, CO. invited to submit comments regarding this proposal. Comments should refer to information; (3) Enhance the quality, Reynold Hoover, Director Office of utility, and clarity of the information to National Security Coordination. the proposal by name and/or OMB approval Number (2502–0527) and be collected; and (4) Minimize the Dated: September 30, 2004. should be sent to: HUD Desk Officer, burden of the collection of information Michael D. Brown, Office of Management and Budget, New on those who are to respond; including Under Secretary, Emergency Preparedness Executive Office Building, Washington, through the use of appropriate and Response, Department of Homeland DC 20503; fax: 202–395–6974. automated collection techniques or Security. other forms of information technology, FOR FURTHER INFORMATION CONTACT: [FR Doc. 04–22364 Filed 10–4–04; 8:45 am] e.g., permitting electronic submission of Wayne Eddins, Reports Management BILLING CODE 9110–49–P responses. Officer, AYO, Department of Housing This Notice also lists the following and Urban Development, 451 Seventh information: Street, SW., Washington, DC 20410; e- DEPARTMENT OF HOUSING AND mail [email protected] and Title of Proposal: Rehabilitation URBAN DEVELOPMENT Lillian Deitzer at Mortgage Insurance Underwriting [Docket No. FR–4903–N–78] [email protected] or Program Section 203 (K). telephone (202) 708–2374. This is not a OMB Approval Number: 2502–0527. Notice of Submission of Proposed toll-free number. Copies of available Form Numbers: HUD–92700, HUD– Information Collection to OMB; documents submitted to OMB may be 92700–A, HUD–9746–A. Rehabilitation Mortgage Insurance obtained from Mr. Eddins and at HUD’s Description of the Need for the Underwriting Program Section 203 (K) Web site at http://www5.hud.gov:63001/ Information and its Proposed Use: AGENCY: Office of the Chief Information po/i/icbts/collectionsearch.cfm . Request for reinstatement of an Officer. SUPPLEMENTARY INFORMATION: This information collection for the application, qualification, and ACTION: Notice. Notice informs the public that the U.S. Department of Housing and Urban certification processes for participants SUMMARY: The proposed information Development (HUD) has submitted to in the Rehabilitation Mortgage collection requirement described below OMB, for emergency processing, a Insurance program. has been submitted to the Office of survey instrument to obtain information Frequency of Submission: On Management and Budget (OMB) for from faith based and community occasion, quarterly.
Number of Annual Reporting burden: respondents responses x Hours per = Burden hours
3,030 1.7 44 .... 231,000
Total Estimated Burden Hours: DEPARTMENT OF THE INTERIOR SUMMARY: Public Law 102–575, Central 231,000. Utah Project Completion Act, Section Status: Reinstatement without change. Office of the Secretary 210, as amended through Public Law 104–286 and Public Law 107–366, Authority: Section 3507 of the Paperwork Central Utah Project Completion Act stipulates that: AThe Secretary shall Reduction Act of 1995, 44 U.S.C. 35, as allow for prepayment of the repayment amended. AGENCY: Office of the Assistant contract between the United States and Dated: September 29, 2004. Secretary for Water and Science, the Central Utah Water Conservancy Wayne Eddins, Department of the Interior. District dated December 28, 1965, and Departmental Reports Management Office, ACTION: Notice of intent to negotiate a supplemented on November 26, 1985, or Office of the Chief Information Officer. contract between the Central Utah Water any additional or supplemental [FR Doc. E4–2495 Filed 10–4–04; 8:45 am] Conservancy District and Department of repayment contract providing for BILLING CODE 4210–27–P the Interior for prepayment of costs repayment of municipal and industrial allocated to municipal and industrial water delivery facilities of the Central water from the Bonneville Unit of the Utah Project for which repayment is Central Utah Project, Utah County, provided pursuant to such contract, Utah. under terms and conditions similar to those contained in the supplemental
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contract that provided for the issued a Final Environmental Impact Environmental Impact Statement (DEIS) prepayment of the Jordan Aqueduct Statement (FEIS) for the Utah Lake was announced in the Federal Register dated October 28, 1993. The Drainage Basin Water Delivery System on August 23, 2000 (FR Doc. 00–21458). prepayment may be provided in several (Utah Lake System), Bonneville Unit, Scoping was accomplished in two installments to reflect substantial Central Utah Project. The FEIS stages: informal scoping was conducted completion of the delivery facilities addresses potential impacts related to through public meetings in September being prepaid and may not be adjusted construction and operation of the 2000 and October 2001; and formal on the basis of the type of prepayment features proposed for the Utah Lake scoping was conducted through financing utilized by the District. System. The FEIS is intended to satisfy mailings and public meetings during Nothing in this section authorizes or disclosure requirements of the National February 2002. The DEIS was issued by terminates the authority to use tax Environmental Policy Act (NEPA) and the Joint-Lead Agencies on March 25, exempt bond financing for this will serve as the NEPA compliance 2004. Notice of availability of the DEIS prepayment.@ In accordance with the document for contracts, agreements and was published in the Federal Register above referenced legislation, the Central permits that would be required for on March 30, 2004, (FR Doc. 04–7034). Utah Water Conservancy District construction and operation of the Utah Comments received during the public (CUWCD) intends to prepay the costs Lake System. The Joint-Lead Agencies comment period from March 25, 2004, obligated under repayment contract No. intend to seek Clean Water Act until June 11, 2004, were considered 14–06–400–4286, as supplemented. compliance through Section 404(r) during preparation of the FEIS. Public This contract will provide for the fifth provisions by including a 404(b)(1) hearings were held April 28 and 29, installment in a series of prepayments. analysis within the FEIS and therefore 2004, for the purpose of receiving The terms of the prepayment are to be an exemption from the requirements to comments on the DEIS. Publication of publicly negotiated between CUWCD obtain a Section 404 permit for the Record of Decision will occur no and the Department of the Interior. construction. In addition to this sooner than 30 days from the date of DATES: Dates for public negotiation notification, notices will be published this notice. Proposed Action Alternative—The sessions will be announced in local in local newspapers. Utah Lake System Proposed Action newspapers. FOR FURTHER INFORMATION CONTACT: Alternative would provide an average Additional information on matters FOR FURTHER INFORMATION CONTACT: transbasin diversion of 101,900 acre-feet related to this notice can be obtained Additional information on matters which consists of 30,000 acre-feet of from Mr. Reed Murray at (801) 379– related to this Federal Register notice Municipal and Industrial (M&I) can be obtained by contacting Mr. 1237, or [email protected]. Additional copies of the FEIS, and secondary water to southern Utah Wayne Pullan, Program Coordinator, copies of the resource technical reports County and 30,000 acre-feet of M&I CUP Completion Act Office, Department can be obtained from Ms. Laurie water to Salt Lake County water of the Interior, 302 East 1860 South, Barnett, Central Utah Water treatment plants; and 40,310 acre-feet of Provo UT 84606–6154, (801) 379–1194, Conservancy District, 355 West M&I water to Utah Lake for exchange to [email protected]. Jordanelle Reservoir. It would conserve University Parkway, Orem, Utah, 84058. Dated: September 29, 2004. Copies are also available for water in a Mapleton-Springville Lateral Ronald Johnston, inspection at: Pipeline, conserve water in the Provo River basin and deliver it along with Program Director, Department of the Interior. Central Utah Water Conservancy acquired water to assist June sucker [FR Doc. 04–22336 Filed 10–4–04; 8:45 am] District, 355 West University spawning and rearing in the lower BILLING CODE 4310–RK–P Parkway, Orem, Utah 84058; Provo River, convey water to support Utah Reclamation Mitigation and year-round instream flows in Provo Conservation Commission, 102 West River and seasonal instream flows in DEPARTMENT OF THE INTERIOR 500 South, Suite 315, Salt Lake City Hobble Creek to assist in the recovery of UT 84101; Central Utah Project Completion Act Department of the Interior, Natural the June sucker, and develop Resource Library, Serials Branch, 18th hydropower. This alternative would AGENCIES: Department of the Interior, involve construction of five new C Streets, NW., Washington, DC Office of the Assistant Secretary—Water pipelines for delivery of water and 2 20240; and Science, (Interior); Utah Department of the Interior, Central Utah new hydropower plants and associated Reclamation Mitigation and Project Completion Act Office, 302 transmission lines. Under this Conservation Commission, (Mitigation East 1860 South, Provo, Utah 84606. alternative, Interior would acquire Commission); Central Utah Water 57,000 acre-feet of the District’s Conservancy District, (CUWCD). and on the Central Utah Water secondary water rights in Utah Lake to Conservancy District Web site at: http:/ ACTION: Notice of availability of the Utah provide a firm annual yield of 60,000 /www.cuwcd.com/cupca/projects/uls/ acre-feet of ULS M&I water. Lake Drainage Basin Water Delivery index.htm. System, Final Environmental Impact Bonneville Unit Water Alternative— Statement for the facilities and measures SUPPLEMENTARY INFORMATION: The Bonneville Unit Water Alternative authorized in Sections 202(a)(1), 202(c), Background—The Utah Lake System would have an average transbasin 207, and 302 of the Central Utah Project is one of the systems of the Bonneville diversion of 101,900 acre-feet consisting Completion Act (CUPCA), which is part Unit of the Central Utah Project that of: 15,800 acre-feet of M&I water to of the Bonneville Unit of the Central would develop central Utah’s water southern Utah County to be used in Utah Project. resources for municipal and industrial secondary water systems; and 84,510 supply, fish and wildlife, and acre-feet of M&I water delivered to Utah SUMMARY: Pursuant to section 102(2)(C) recreation. Initiation of planning for the Lake for exchange to Jordanelle of the National Environmental Policy Utah Lake System was announced in the Reservoir. It would conserve water in a Act of 1969, as amended, Interior, Federal Register on October 14, 1998 Mapleton-Springville Lateral Pipeline, CUWCD, and the Mitigation (FR Doc. 98–27484). Notice of intent to conserve water in the Provo River basin Commission (Joint-Lead Agencies), have initiate scoping and prepare a Draft and deliver it along with acquired water
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to assist June sucker spawning and DEPARTMENT OF THE INTERIOR cancelled and rescheduled for rearing in the lower Provo River, convey November 8, 2004. water to support instream flows in Bureau of Land Management SUPPLEMENTARY INFORMATION: The Hobble Creek to assist recovery of the [OR–030–1020–XX–028H; HAG 04–0291] rescheduled meeting on November 8, June sucker, and develop hydropower. It 2004 will start at 9 a.m. and adjourn would involve construction of three Council Meeting Notice about 4 p.m. Topics on the meeting new pipelines and two new hydropower agenda include: AGENCY: Bureau of Land Management plants with associated transmission • Fiscal Year 2004 Accomplishments. (BLM), Vale District. • lines. Under this alternative, Interior Fiscal Year 2005 Work Plan. ACTION: would acquire 15,000 acre-feet of the Conference call for the John The RAC meeting is open to the Day/Snake Resource Advisory Council. public, and there will be an opportunity District’s secondary water rights in Utah for public comments at 10:30 a.m.. Lake to provide a firm annual yield of SUMMARY: The John Day/Snake Resource Information to be distributed to Council 15,800 acre-feet of M&I water. Advisory Council will have a members for their review is requested in No Action Alternative—No new water conference call on November 8, 2004 at written format 10 days prior to the conveyance features would be 7 p.m. Pacific Time. Council meeting date. constructed under the No Action The conference call participants will FOR FURTHER INFORMATION CONTACT: Alternative. It would provide the discuss the Draft Forest Service Sandra Gourdin or Kathy Helm, Bureau delivery of 86,100 acre-feet of water Vegetation Treatment Environmental of Land Management, Spokane District from Strawberry Reservoir to Utah Lake Impact Statement (EIS). Office, 1103 N. Fancher Road, Spokane, for the Bonneville Unit M&I exchange The entire conference call is open to Washington, 99212, or call (509) 536– water. The 15,800 acre-feet of the public. To participate in the 1200. Bonneville Unit water would remain in conference call, please submit a written request to the Vale District Office 10 Dated: September 29, 2004. Strawberry Reservoir to provide a firm days prior to the call. Joseph K. Buesing, supply for the Bonneville Unit M&I FOR FURTHER INFORMATION CONTACT: District Manager. exchange. Some of the Bonneville Unit [FR Doc. 04–22353 Filed 10–4–04; 8:45 am] M&I exchange water would be routed Peggy Diegan, Management Assistant/ BILLING CODE 4310–33–P through the Strawberry Tunnel to meet Webmaster, Vale District Office, 100 Oregon Street, Vale, OR 97918 (541) instream flow needs in Sixth Water and 473–3144, or e-mail Diamond Fork creeks. The remaining [email protected]. DEPARTMENT OF THE INTERIOR Bonneville Unit M&I exchange water would be conveyed through the Dated: September 29, 2004. Bureau of Land Management Tom Dabbs, Diamond Fork System and discharged [WO–260–09–1060–00–24 1A] into Diamond Fork Creek at the outlet Acting District Manager. near Monks Hollow or discharged from [FR Doc. 04–22352 Filed 10–4–04; 8:45 am] Wild Horse and Burro Advisory Board; the Diamond Fork Pipeline into the BILLING CODE 4310–33–P Meeting Spanish Fork River at the mouth of AGENCY: Bureau of Land Management, Diamond Fork Canyon. The irrigation Interior. diversions on lower Spanish Fork River DEPARTMENT OF THE INTERIOR ACTION: Announcement of meeting. would be modified to bypass and Bureau of Land Management measure the 86,100 acre-feet into Utah SUMMARY: The Bureau of Land Lake, and to allow fish passage as [OR–130–1020–PH; GP4–0292] Management (BLM) announces that the previously agreed by the Interior and Notice of Cancellation of October 7, Wild Horse and Burro Advisory Board District in the 1999 Diamond Fork FS– 2004 Meeting, Eastern Washington will conduct a meeting on matters FEIS and ROD. Interior would not Resource Advisory Council Meeting pertaining to management and purchase any of the District’s secondary and Notice To Reschedule Meeting for protection of wild, free-roaming horses water rights in Utah Lake and no water November 8, 2004 and burros on the Nation’s public lands. would be conveyed to Hobble Creek for DATES: The Advisory Board will meet June sucker recovery. The No Action AGENCY: Bureau of Land Management, Monday, November 8, 2004, from 8 Alternative would be the same as the Interior. a.m., to 5 p.m., local time. This will be Interim Proposed Action in the ACTION: Notice of public meeting a one day meeting. Diamond Fork FS–FEIS. cancellation and rescheduling. ADDRESSES: The Advisory Board will Dated: September 30, 2004. meet at the Reno Hilton, 2500 E. Second SUMMARY: In accordance with the Street, Reno, Nevada 89595 (775) 789– Ronald Johnston, Federal Land Policy and Management 2000. Program Director, Department of the Interior. Act (FLPMA) and the Federal Advisory Written comments pertaining to the Committee Act of 1972 (FACA), the U.S. Dated: September 30, 2004. Advisory Board meeting should be sent Department of the Interior, Bureau of to: Bureau of Land Management, Michael C. Weland, Land Management (BLM) Eastern National Wild Horse and Burro Executive Director, Utah Reclamation Washington Resource Advisory Council Program, WO–260, Attention: Ramona Mitigation and Conservation Commission. (RAC), will meet as indicated below. Delorme, 1340 Financial Boulevard, [FR Doc. 04–22337 Filed 10–4–04; 8:45 am] DATES: The Eastern Washington Reno, Nevada, 89502–7147. Submit BILLING CODE 4310–RK–P Resource Advisory Council (EWRAC) written comments pertaining to the meeting for October 7, 2004, at the Advisory Board meeting no later than Spokane District Office, Bureau of Land close of business November 3, 2004. See Management, 1103 North Fancher Road, SUPPLEMENTARY INFORMATION section for Spokane, Washington, 99212–1275 is electronic access and filing address.
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FOR FURTHER INFORMATION CONTACT: II. Public Comment Procedures [email protected]. Please include the Janet Neal, Wild Horse and Burro Public Members of the public may make oral identifier ‘‘WH&B’’ in the subject of Outreach Specialist, 775–861–6583. statements to the Advisory Board on your message and your name and Individuals who use a November 8, 2004, at the appropriate address in the body of your message. telecommunications device for the deaf point in the agenda. This opportunity is Dated: September 30, 2004. (TDD) may reach Ms. Neal at any time anticipated to occur at 4 p.m., local Thomas H. Dyer, by calling the Federal Information Relay time. Persons wishing to make Service at 1–800–877–8339. Assistant Director, Renewable Resources and statements should register with the BLM Planning. SUPPLEMENTARY INFORMATION: by noon on November 8, 2004, at the [FR Doc. 04–22388 Filed 10–4–04; 8:45 am] I. Public Meeting meeting location. Depending on the number of speakers, the Advisory Board BILLING CODE 4310–84–P Under the authority of 43 CFR part may limit the length of presentations. At 1784, the Wild Horse and Burro previous meetings, presentations have Advisory Board advises the Secretary of been limited to three minutes in length. DEPARTMENT OF JUSTICE the Interior, the Director of the BLM, the Speakers should address the specific Secretary of Agriculture, and the Chief wild horse and burro-related topics Antitrust Division of Forest Service, on matters pertaining listed on the agenda. Speakers must to management and protection of wild, submit a written copy of their statement free-roaming horses and burros on the Notice Pursuant to the National to the address listed in the ADDRESSES Cooperative Research and Production Nation’s public lands. The tentative section or bring a written copy to the agenda for the meeting is: Act of 1993—Accreditation Association meeting. for Ambulatory Health Care, Inc. Monday, November 8, 2004 (8 a.m.–5 Participation in the Advisory Board p.m.) meeting is not a prerequisite for Notice is hereby given that, on August submission of written comments. The 8 a.m. Call to Order & Introductions: 26, 2004, pursuant to Section 6(a) of the 8:15 a.m. Old Business: BLM invites written comments from all National Cooperative Research and Approval of August 2004 Minutes interested parties. Your written Production Act of 1993, 15 U.S.C. 4301 2005 Nominations Update comments should be specific and et seq. (‘‘the Act’’), Accreditation FY 04–FY 05 Updates explain the reason for any Association for Ambulatory Health Care, 8:45 a.m. Program Updates: recommendation. The BLM appreciates Inc. (AAAHC) has filed written Gathers any and all comments, but those most notifications simultaneously with the Adoptions useful and likely to influence decisions Attorney General and the Federal Trade Facilities on management and protection of wild New Long Term Holding Contracts Commission disclosing (1) the name and horses and burros are those that are principal place of business of the Break (9:30 a.m.–9:45 a.m.) either supported by quantitative 9:45 a.m.–Program Updates (continued): standards development organization information or studies or those that and (2) the nature and scope of its National Adoption Plan include citations to and analysis of Forest Service Update standards development activities. The applicable laws and regulations. Except Fertility Control notifications were filed for the purpose Lunch (11:30 p.m.–1 p.m.) for comments provided in electronic of invoking the Act’s provisions limiting format, speakers should submit two 1 p.m.–New Business: the recovery of antitrust plaintiffs to copies of their written comments where Response to Advisory Board actual damages under specified feasible. The BLM will not necessarily Recommendation circumstances. Break (2:30 p.m.–2:45 p.m.) consider comments received after the 2:45 p.m. Board Recommendations time indicated under the DATES section Pursuant to section 6(b) of the Act, the 4 p.m. Public Comments or at locations other than that listed in name and principal place of business of 4:45 p.m. Recap/Summary/Next the ADDRESSES section. the standards development organization Meeting/Date/Site In the event there is a request under is Accreditation Association for 5–6 p.m. Adjourn: Roundtable the Freedom of Information Act (FOIA) Ambulatory Health Care, Inc., Discussion to Follow for a copy of your comments, the BLM (‘‘AAAHC’’) Wilmette, IL 60091. The The meeting site is accessible to will make them available in their nature and scope of AAAHC’s standard individuals with disabilities. An entirety, including your name and development activities are: AAAHC individual with a disability needing an address. However, if you do not want develops and maintains standards of auxiliary aid or service to participate in the BLM to release your name and encourage the voluntary attainment of the meeting, such as interpreting address in response to a FOIA request, high-quality care in organizations service, assistive listening device, or you must state this prominently at the providing health care services in materials in an alternate format, must beginning of your comment. The BLM ambulatory settings. The standards notify the person listed under FOR will honor your request to the extent describe characteristics that AAAHC FURTHER INFORMATION CONTACT two allowed by law. The BLM will release determines as indicative of an weeks before the scheduled meeting all submissions from organizations or accreditable organization. The date. Although the BLM will attempt to businesses, and from individuals accreditation process involves self- meet a request received after that date, identifying themselves as assessment by a health care the requested auxiliary aid or service representatives or officials of organizations, as well as a thorough may not be available because of organizations or businesses, in their review by AAAHC’s expert surveyors to insufficient time to arrange it. entirety, including names and determine compliance with AAAHC The Federal Advisory Committee addresses. standards. AAAHC updates its Management Regulations (41 CFR 101– standards on a year basis, with input 6.1015(b)), require BLM to publish in Electronic Access and Filing Address from many health care organizations the Federal Register notice of a meeting Speakers may transmit comments and the public. The standards and 15 days prior to the meeting date. electronically via the Internet to: survey procedures are contained in the
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AAAHC Accreditation Handbook for 4035, Annapolis, MD 21403, Tel. (410) (1) Glare reduction filters for video Ambulatory Health Care. 267–7707. display terminals: (2) non-prescription sunglasses; (3) privacy filters for video Dorothy B. Fountain, Dorothy B. Fountain, display terminals; (4) anti-reflection Deputy Director of Operations, Antitrust Deputy Director of Operations Antitrust interference coatings for video display Division. Division. terminals; (5) storage cases used by [FR Doc. 04–22296 Filed 10–4–04; 8:45 am] [FR Doc. 04–22294 Filed 10–4–04; 8:45 am] wearers of contact lenses; (6) suction BILLING CODE 4140–01–M BILLING CODE 4410–11–M cup devices used to remove rigid contact lenses from the human eye; and (7) ultraviolet absorbers and blockers. DEPARTMENT OF JUSTICE DEPARTMENT OF JUSTICE Additional categories are always under Antitrust Division review. The AOA CmOS is a nine- Antitrust Division member commission that abides by a Notice Pursuant to the National strict Code of Conduct for reviewing any Notice Pursuant to the National Cooperative Research and Production applications for seals of acceptance of Cooperative Research and Production Act of 1993—American Optometric certification and for developing Act of 1993—Accredited Standards Association Commission on approved evaluation specifications/ Committee X9, Inc. Ophthalmic Standards standards.
Notice is hereby given that, on August Notice is hereby given that, on August Dorothy B. Fountain, 23, 2004, pursuant to Section 6(a) of the 5, 2004, pursuant to Section 6(a) of the Deputy Director of Operations, Antitrust Division. National Cooperative Research and National Cooperative Research and Production Act of 1993, 15 U.S.C. 4301 Production Act of 1993, 15 U.S.C. 4301 [FR Doc. 04–22295 Filed 10–4–04; 8:45 am] et seq. (‘‘the Act’’), American BILLING CODE 4410–11–M et seq. (‘‘the Act’’), the Accredited Optometric Association Commission on Standards Committee X9, Inc. (‘‘ASC Ophthalmic Standards (‘‘AOA CmOS’’) X9’’) has filed written notifications has filed written notifications DEPARTMENT OF JUSTICE simultaneously with the Attorney simultaneously with the Attorney General and the Federal Trade General and the Federal Trade Antitrust Division Commission disclosing (1) the name and Commission disclosing (1) The name principal place of business of the Notice Pursuant to the National and principal place of business of the Cooperative Research and Production standards development organization standards development organization and (2) the nature and scope of its Act of 1993—Waste Equipment and (2) the nature and scope of its Technology Association standards development activities. The standards development activities. The notifications were filed for the purpose notifications were filed for the purpose Notice is hereby given that on August of invoking the Act’s provisions limiting of invoking the Act’s provisions limiting 17, 2004, pursuant to Section 6(a) of the the recovery of antitrust plaintiffs to the recovery of antitrust plaintiffs to National Cooperative Research and actual damages under specified actual damages under specified Production Act of 1993, 15 U.S.C. circumstances. circumstances. § 4301 et seq. (‘‘the Act’’), the Waste Pursuant to Section 6(a) of the Act, Equipment Technology Association Pursuant to Section 6(b) of the Act, the name and principal place of (WASTEC) has filed written the name and principal place of business of the standards development notifications simultaneously with the business of the standards development organization is: American Optometric Attorney General and the Federal Trade organization is: Accredited Standards Association Commission on Ophthalmic Commission disclosing: (1) The name Committee X9, Inc. (‘‘ASC X9’’), Standards, St. Louis, MO. The nature and principal place of business of the Annapolis, MD. The nature and scope of and scope of AOA CmOS’s standards standards development organization; ASC X9’s standards development development activities are: The AOA and (2) the nature and scope of its activities are to develop and promote CmOS provides for voluntary, impartial standards development activities. The standards for the financial services ophthalmic product evaluation resulting notifications were filed for the purpose industry in order to facilitate services in the issuance of a seal of acceptance of invoking the Act’s provisions limiting and products. ASC X9’s objectives are to for those ophthalmic products that meet the recovery of antitrust plaintiffs to support (maintain, enhance and published standards specifications actual damages under specified promote use of) existing standards; developed by the AOA CmOS, circumstances. facilitate development of new, open including biological, laboratory, and/or Pursuant to Section 6(b) of the Act, standards based upon consensus; clinical evolutions, or the issuance of a the name and principal place of incorporate nonproprietary items seal of certification for those ophthalmic business of the standards development developed by other organizations where products that meet standards already organization is: Waste Equipment appropriate; provide a common source approved by accepted standards Technology Association, Washington, for all standards affecting the financial organizations and which are designated DC. The nature and scope of WASTEC’s services industry; focus on concurrent for use by the AOA CmOS. The AOA standards development activities are and future standards needs of the CmOS selects the categories of products that WASTEC serves as the Secretariat financial services industry standards; to be evaluated and develops evaluation for the American National Standards specifications/standards for those Institute (ANSI) Accredited Standards and participate in and promote the ophthalmic products using the Committee Z245 on Equipment development of international standards. American National Standard Institute’s Technology and Operations for Wastes Additional information concerning Third Party Certification Program and Recyclable Materials. WASTEC ASC X9 may be obtained from Cynthia principles (ANSI Z34. 1–1993). Product facilitates the development of ANSI L. Fuller, Executive Director, Accredited categories for which the AOA CmOS safety standards for solid waste Standards Committee X9, Inc., P.O. box currently has approved standards are: equipment manufacturers and users.
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For further information concerning e.g., permitting electronic submission of Occupational Safety and Health WASTEC’s standards development responses. Administration (OSHA), Office of activities, please contact WASTEC’s Agency: Occupational Safety and Management and Budget, Room 10235, Executive Vice President, Gary Health Administration. Washington, DC 20503, 202–395–7316 Satterfield at (202) 244–4700. Type of Review: Extension of (this is not a toll-free number), within currently approved collection. 30 days from the date of this publication Dorothy B. Fountain, Title: Logging Operations (29 CFR in the Federal Register. Deputy Director of Operations, Antitrust 1910.266). The OMB is particularly interested in Division. OMB Number: 1218–0198. comments which: [FR Doc. 04–22293 Filed 10–4–04; 8:45 am] Frequency: On occasion and initially. • Evaluate whether the proposed BILLING CODE 4410–11–M Type of Response: Recordkeeping. collection of information is necessary Affected Public: Business or other for- for the proper performance of the profit; not-for-profit institutions; Federal functions of the agency, including DEPARTMENT OF LABOR Government; and State, Local, or Tribal whether the information will have Government. practical utility; Office of the Secretary Number of Respondents: 12,098. • Evaluate the accuracy of the Number of Annual Responses: agency’s estimate of the burden of the Submission for OMB Review: 118,962. proposed collection of information, Comment Request Estimated Time Per Response: Varies including the validity of the from 1 minute to maintain a record to September 28, 2004. methodology and assumptions used; 3 hours to conduct initial training. • The Department of Labor (DOL) has Total Burden Hours: 30,751. Enhance the quality, utility, and submitted the following public Total Annualized capital/startup clarity of the information to be information collection request (ICR) to collected; and costs: $0. • the Office of Management and Budget Total Annual Costs (operating/ Minimize the burden of the (OMB) for review and approval in maintaining systems or purchasing collection of information on those who accordance with the Paperwork services): $0. are to respond, including through the Reduction Act of 1995 (Pub. L. 104–13, Description: 29 CFR 1910.266 requires use of appropriate automated, 44 U.S.C. chapter 35). A copy of this employers to ensure that operating and electronic, mechanical, or other ICR, with applicable supporting maintenance instructions are available technological collection techniques or documentation, may be obtained by for machinery and vehicles used in other forms of information technology, contacting the Department of Labor logging operations; to provide training e.g., permitting electronic submission of (DOL). To obtain documentation, to employees and supervisors and to responses. contact Darrin King on 202–693–4129 document this training. These Agency: Occupational Safety and (this is not a toll-free number) or email: information collection requirements are Health Administration. [email protected]. necessary to ensure the occupational Type of Review: Extension of Comments should be sent to Office of safety of workers in logging operations. currently approved collection. Information and Regulatory Affairs, Title: Ionizing Radiation 29 CFR Attn: OMB Desk Officer for the Ira L. Mills, 1910.1096. Occupational Safety and Health Departmental Clearance Officer. OMB Number: 1218–0103. Administration (OSHA), Office of [FR Doc. 04–22326 Filed 10–4–04; 8:45 am] Frequency: On occasion; monthly; Management and Budget, Room 10235, BILLING CODE 4510–23–P quarterly; and annually. Washington, DC 20503, 202–395–7316 Type of Response: Recordkeeping; (this is not a toll-free number), within Reporting; and Third party disclosure. 30 days from the date of this publication DEPARTMENT OF LABOR Affected Public: Business or other for- in the Federal Register. profit; Federal Government; and State, Office of the Secretary The OMB is particularly interested in Local, or Tribal Government. comments which: Number of Respondents: 12,719. • Submission for OMB Review: Evaluate whether the proposed Comment Request Number of Annual Responses: collection of information is necessary 198,579. for the proper performance of the September 27, 2004. Estimated Time Per Response: Varies functions of the agency, including The Department of Labor (DOL) has from 5 minutes to maintain records to whether the information will have submitted the following public 30 minutes for training-related tasks. practical utility; information collection requests (ICRs) to Total Burden Hours: 34,617. • Evaluate the accuracy of the the Office of Management and Budget Total Annualized capital/startup agency’s estimate of the burden of the (OMB) for review and approval in costs: $0. proposed collection of information, accordance with the Paperwork Total Annual Costs (operating/ including the validity of the Reduction Act of 1995 (Pub. L. 104–13, maintaining systems or purchasing methodology and assumptions used; 44 U.S.C. chapter 35). A copy of each services): $2,022,648. • Enhance the quality, utility, and ICR, with applicable supporting Description: The purpose of 29 CFR clarity of the information to be documentation, may be obtained by 1910.1096 and its information collection collected; and contacting the Department of Labor requirements is to provide protection for • Minimize the burden of the (DOL). To obtain documentation, employees from the adverse health collection of information on those who contact Darrin King on 202–693–4129 effects associated with occupational are to respond, including through the (this is not a toll-free number) or email: exposure to ionizing radiation. use of appropriate automated, [email protected]. Agency: Occupational Safety and electronic, mechanical, or other Comments should be sent to Office of Health Administration. technological collection techniques or Information and Regulatory Affairs, Type of Review: Extension of other forms of information technology, Attn: OMB Desk Officer for the currently approved collection.
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Title: Cranes and Derricks Standard Agency: Occupational Safety and of Management and Budget, Room for Construction (29 CFR Health Administration. 10235, Washington, DC 20503 202–395– 1926.550(a)(6)). Type of Review: Extension of 7316 (this is not a toll-free number), OMB Number: 1218–0113. currently approved collection. within 30 days from the date of this Frequency: Annually. Title: Standard on Manlifts (29 CFR publication in the Federal Register. Type of Response: Recordkeeping. 1910.68(e)). The OMB is particularly interested in Affected Public: Business or other for- OMB Number: 1218–0226. comments which: profit; not-for-profit institutions; Federal Frequency: Monthly. Government; and State, Local, or Tribal Type of Response: Recordkeeping. • Evaluate whether the proposed Government. Affected Public: Business or other for- collection of information is necessary Number of Respondents: 2,073. profit; not-for-profit institutions; Federal for the proper performance of the Number of Annual Responses: 4,146. Government; and State, Local, or Tribal functions of the agency, including Estimated Time Per Response: Varies Government. whether the information will have from 4 hours to 5 hours and 30 minutes Number of Respondents: 3,000. practical utility; depending on establishment size. Number of Annual Responses: 36,042. • Evaluate the accuracy of the Total Burden Hours: 9,329. Estimated Time Per Response: Varies agency’s estimate of the burden of the Total Annualized capital/startup from 2 minutes to disclose an inspection costs: $0. proposed collection of information, certification record to 1 hour to inspect including the validity of the Total Annual Costs (operating/ a manlift. maintaining systems or purchasing methodology and assumptions used; Total Burden Hours: 37,801. • services): $0. Total Annualized capital/startup Enhance the quality, utility, and Description: The purpose of the costs: $0. clarity of the information to be information collection requirements Total Annual Costs (operating/ collected; and contained in 29 CFR 1926.550(a)(6) is to maintaining systems or purchasing • Minimize the burden of the promote workplace safety by assuring services): $0. collection of information on those who that employees who operate powered Description: The purpose of the are to respond, including through the platforms in the construction industry inspection and certification use of appropriate automated, receive uniform and comprehensive requirements of 29 CFR 1910.68(e) is to electronic, mechanical, or other instruction and information in the ensure that employers take the technological collection techniques or operation, safe use, and inspection of necessary preventive actions to protect other forms of information technology, this equipment. the safety of workers using such e.g., permitting electronic submission of Agency: Occupational Safety and equipment. The certification record is responses. Health Administration. used by employers and OSHA Type of Review: Extension of Agency: Employment and Training compliance officers for determining the Administration. currently approved collection. cumulative maintenance status of a Title: Powered Platforms for Building manlift. Type of Review: Extension of a Maintenance (29 CFR 1910.66). currently approved collection. OMB Number: 1218–0121. Dated: Title: Petition for Classifying Labor Frequency: On occasion; initially; Ira L. Mills, Surplus Areas. monthly; and annually. Departmental Clearance Officer. Type of Response: Recordkeeping and [FR Doc. 04–22327 Filed 10–4–04; 8:45 am] OMB Number: 1205–0207. third party disclosure. BILLING CODE 4510–23–P Frequency: Other; as needed. Affected Public: Business or other for- profit; not-for-profit institutions; Federal Affected Public: Federal Government. Government; and State, Local, or Tribal DEPARTMENT OF LABOR Number of Respondents: 1. Government. Number of Annual Responses: 1. Number of Respondents: 900. Office of the Secretary Number of Annual Responses: Total Burden Hours: 3. 182,848. Submission for OMB Review; Estimated Time Per Response: 3 Estimated Time Per Response: Varies Comment Request Hours. from 2 minutes to disclose a record to September 24, 2004. Total annualized capital/startup 10 hours to conduct the necessary costs: $0. inspection and prepare a certification The Department of Labor (DOL) has record. submitted the following public Total annual costs (operating/ Total Burden Hours: 135,656. information collection request (ICR) to maintaining systems or purchasing Total Annualized capital/startup the Office of Management and Budget services): $0. costs: $0. (OMB) for review and approval in Description: DOL issues an annual list Total Annual Costs (operating/ accordance with the Paperwork of labor surplus areas (LSA) to be used maintaining systems or purchasing Reduction Act of 1995 (Pub. L. 104–13, by Federal and state entities in a services): $0. 44 U.S.C. Chapter 35). A copy of each number of actions such as procurement Description: The purpose of the ICR, with applicable supporting and property transfer. The annual LSA information collection requirements documentation, may be obtained by list is updated during the year based contained in 29 CFR 1910.66 is to contacting the Department of Labor upon petitions submitted to DOL by promote workplace safety by assuring (DOL). To obtain documentation, State Workforce Agencies requesting that employees who operate powered contact Ira Mills on 202–693–4122 (this additional areas for LSA certification. platforms for building maintenance is not a toll-free number) or E-Mail: receive uniform and comprehensive [email protected]. Ira L. Mills, instruction and information in the Comments should be sent to Office of Departmental Clearance Officer. operation, safe use, and inspection of Information and Regulatory Affairs, [FR Doc. 04–22328 Filed 10–4–04; 8:45 am] this equipment. Attn: OMB Desk Officer for DOL, Office BILLING CODE 4510–23–P
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DEPARTMENT OF LABOR DC 20210, telephone (202) 693–0418, • Evaluate whether the proposed fax (202) 693–1451, e-mail collection of information is necessary Employment Standards Administration [email protected]. Please use only one for the proper performance of the method of transmission for comments functions of the agency, including Proposed Collection; Comment (mail, fax, or e-mail). whether the information will have Request SUPPLEMENTARY INFORMATION: practical utility; • ACTION: Notice. I. Background Evaluate the accuracy of the agency’s estimate of the burden of the SUMMARY: The Department of Labor, as The Black Lung Benefits Act of 1977, proposed collection of information, part of its continuing effort to reduce as amended, 30 U.S.C. 901 et seq., including the validity of the paperwork and respondent burden, provides for the payment of benefits to methodology and assumptions used; conducts a preclearance consultation coal miners who have contracted black • Enhance the quality, utility and program to provide the general public lung disease as a result of coal mine clarity of the information to be and Federal agencies with an employment, and their dependents and opportunity to comment on proposed collected; and survivors. Once a miner has been • and/or continuing collections of identified as having performed non-coal Minimize the burden of the information in accordance with the mine work subsequent to coal mine collection of information on those who Paperwork Reduction Act of 1995 employment, the miner or the miner’s are to respond, including through the (PRA95) (44 U.S.C. 3506(c)(2)(A)). This survivor is asked to complete a CM–913 use of appropriate automated, program helps to ensure that requested to compare coal mine work to non-coal electronic, mechanical, or other data can be provided in the desired mine work. This employment technological collection techniques or format, reporting burden (time and information along with medical other forms of information technology, financial resources) is minimized, information is used to establish whether e.g., permitting electronic submissions collection instruments are clearly the miner is totally disabled due to of responses. understood, and the impact of collection black lung disease caused by coal mine III. Current Actions requirements on respondents can be employment. The CM–918 is an properly assessed. Currently, the affidavit used to gather coal mine The Department of Labor seeks the Employment Standards Administration employment evidence only when approval of the extension of this is soliciting comments concerning the primary evidence, such as pay stubs, information collection in order to carry proposed collection: (1) Comparability W–2 forms, employer and union out its responsibility to determine of Current Work to Coal Mine records, and Social Security records are eligibility for black lung benefits. Employment; (2) Coal Mine unavailable or incomplete. The CM– Type of Review: Extension. Employment Affidavit; (3) Affidavit of 1093 is an affidavit form for recording Agency: Employment Standards Deceased Miner’s Condition. A copy of lay medical evidence, used in survivors’ Administration. the proposed information collection claims in which there is no medical Titles: (1) Comparability of Current request can be obtained by contacting evidence that addresses the miner’s Work to Coal Mine Employment; (2) the office listed below in the addresses pulmonary or respiratory condition. Coal Mine Employment Affidavit; (3) section of this notice. This information collection is currently Affidavit of Deceased Miner’s DATES: Written comments must be approved for use through April 30, Condition. submitted to the office listed in the 2005. addresses section below on or before OMB Number: 1215–0056. December 6, 2004. II. Review Focus Agency Numbers: CM–913, CM–918, ADDRESSES: Ms. Hazel M. Bell, U.S. The Department of Labor is CM–1093. Department of Labor, 200 Constitution particularly interested in comments Affected Public: Individuals or Ave., NW., Room S–3201, Washington, which: households.
Time per Forms Total response Burden hours responses (in minutes)
CM–913 ...... 1,350 30 675 CM–918 ...... 75 10 13 CM–1093 ...... 75 20 25
Total ...... 1,500 ...... 713
Total Respondents: 1,500. Dated: September 28, 2004. NUCLEAR REGULATORY Total Annual responses: 1,500. Bruce Bohanon, COMMISSION Estimated Total Burden Hours: 713. Chief, Branch of Management Review and Frequency: On occasion. [Docket No. 72–1] Total Burden Cost (Capital/Startup): Internal Control, Division of Financial $0. Management, Office of Management, General Electric Company, Morris Total Burden Cost (Operating/ Administration and Planning, Employment Standards Administration. Operation; Notice of Docketing of the Maintenance): $600.00. Materials License SNM–2500 Comments submitted in response to [FR Doc. 04–22329 Filed 10–4–04; 8:45 am] Amendment Application for the Morris this notice will be summarized and/or BILLING CODE 4510–CN–P Operation Independent Spent Fuel included in the request for Office of Storage Installation Management and Budget approval of the information collection request; they will AGENCY: Nuclear Regulatory also become a matter of public record. Commission.
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ACTION: License amendment. the amendment in accordance with 10 opportunities for oral or written CFR 72.46(b)(2). statements from members of the public FOR FURTHER INFORMATION CONTACT: In accordance with 10 CFR 2.390 of to be considered as part of the Christopher M. Regan, Senior Project NRC’s ‘‘Rules of Practice,’’ final NRC Committee’s information gathering Manager, Spent Fuel Project Office, records and documents regarding this process. ACRS reviews do not normally Office of Nuclear Material Safety and proposed action, including the encompass matters pertaining to Safeguards, U.S. Nuclear Regulatory application for license amendment environmental impacts other than those Commission, Washington, DC 20555. dated July 30, 2004, as supplemented related to radiological safety. Telephone: (301) 415–1179; fax number: August 13, 2004, and supporting The ACRS meetings are not (301) 415–1179; e-mail: [email protected]. documentation, are publically available adjudicatory hearings such as those SUPPLEMENTARY INFORMATION: By letter in the records component of NRC’s conducted by the NRC’s Atomic Safety dated July 30, 2004, as supplemented Agencywide Documents Access and and Licensing Board Panel as part of the August 13, 2004, General Electric Management System (ADAMS). These Commission’s licensing process. Company submitted an application to documents may be inspected at NRC’s Public Electronic Reading Room at General Rules Regarding ACRS Full the U.S. Nuclear Regulatory Committee Meetings Commission (NRC or the Commission), http://www.nrc.gov/reading-rm/ in accordance with 10 CFR part 72, adams.html under Accession Nos. An agenda will be published in the requesting the amendment of the ML042180412 and ML042250233. These Federal Register for each full documents may also be viewed General Electric—Morris Operation Committee meeting. There may be a electronically on the public computers (GEMO) independent spent fuel storage need to make changes to the agenda to located at the NRC’s Public Document installation (ISFSI) Materials License facilitate the conduct of the meeting. Room (PDR), O1F21, One White Flint SNM–2500 and the associated Technical The Chairman of the Committee is North, 11555 Rockville Pike, Rockville, Specifications (TS) for the GEMO ISFSI empowered to conduct the meeting in a MD 20852. The PDR reproduction located in Grundy County, Illinois. The manner that, in his/her judgment, will contractor will copy documents for a amendment application requests facilitate the orderly conduct of fee. Persons who do not have access to changes to the GEMO Consolidated business, including making provisions ADAMS or who encounter problems in Safety Analysis Report to reflect the to continue the discussion of matters accessing the documents located in current condition of the fuel stored and not completed on the scheduled day on ADAMS, should contact the NRC PDR another meeting day. Persons planning only that equipment necessary for its Reference staff by telephone at 1–800– safe storage. The major changes to attend the meeting may contact the 397–4209 or 301–415–4737, or by e-mail Designated Federal Official (DFO) proposed include revisions to to [email protected]. information regarding the spent fuel specified in the Federal Register Notice inventory, deletion of the requirement Dated at Rockville, Maryland, this 28 day prior to the meeting to be advised of any for ventilation exhaust vacuum, deletion of September 2004. changes to the agenda that may have of the requirement to have certain For the Nuclear Regulatory Commission. occurred. instrumentation operative for Christopher M. Regan, The following requirements shall equipment that is no longer in service, Senior Project Manager, Spent Fuel Project apply to public participation in ACRS a change in the methods to verify pool Office, Office of Nuclear Material Safety and full Committee meetings: water quality, revision to the Safeguards. (a) Persons who plan to make oral description of the company [FR Doc. 04–22313 Filed 10–4–04; 8:45 am] statements and/or submit written organization, and removal of ‘‘receipt’’ BILLING CODE 7590–01–P comments at the meeting should from the license which effectively will provide 35 copies to the DFO at the not permit the GEMO facility to accept beginning of the meeting. Persons who NUCLEAR REGULATORY shipment of any additional spent fuel. cannot attend the meeting but wishing COMMISSION Commensurate changes to the Technical to submit written comments regarding Specifications to reflect these revisions Advisory Committee on Reactor the agenda items may do so by sending are also proposed. This application Safeguards; Procedures for Meetings a readily reproducible copy addressed supersedes in its entirety, General to the DFO specified in the Federal Electric’s amendment 10 application Background Register Notice, care of the Advisory dated April 30, 1998, and amendment This notice describes procedures to be Committee on Reactor Safeguards, U.S. 11 application dated August 13, 2001. followed with respect to meetings Nuclear Regulatory Commission, Amendment requests 10 and 11 were conducted by the Nuclear Regulatory Washington, DC 20555–0001. withdrawn by GEMO by letter dated Commission’s (NRC’s) Advisory Comments should be limited to items March 1, 2004. This application was Committee on Reactor Safeguards being considered by the Committee. docketed under 10 CFR part 72; the (ACRS) pursuant to the Federal Comments should be in the possession GEMO ISFSI Docket No. 72–1. The Advisory Committee Act (FACA). These of the DFO five days prior to the amendment of an ISFSI license is procedures are set forth so that they may meeting to allow time for reproduction subject to the Commission’s approval. be incorporated by reference in future and distribution. The Director, Office of Nuclear Material notices for individual meetings. (b) Persons desiring to make oral Safety and Safeguards, or his designee, The ACRS is a statutory group statements at the meeting should make will determine if the amendment established by Congress to review and a request to do so to the DFO. If presents a genuine issue as to whether report on nuclear safety matters and possible, the request should be made public health and safety will be applications for the licensing of nuclear five days before the meeting, identifying significantly affected and may issue facilities. The Committee’s reports the topic(s) to be discussed and the either a notice of a hearing or a notice become a part of the public record. amount of time needed for presentation of proposed action and opportunity for The ACRS meetings are conducted in so that orderly arrangements can be a hearing in accordance with 10 CFR accordance with FACA; they are made. The Committee will hear oral 72.46(b)(1) or take immediate action on normally open to the public and provide statements on topics being reviewed at
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an appropriate time during the meeting ACRS Subcommittee Meetings NUCLEAR REGULATORY as scheduled by the Chairman. COMMISSION In accordance with the revised FACA, (c) Information regarding topics to be the agency is no longer required to Sunshine Federal Register Notice discussed, changes to the agenda, apply the FACA requirements to whether the meeting has been canceled meetings conducted by the AGENCY HOLDING THE MEETING: Nuclear or rescheduled, and the time allotted to Subcommittees of the NRC Advisory Regulatory Commission. present oral statements can be obtained Committees, if the Subcommittee’s DATE: Weeks of October 4, 11, 18, 25, by contacting the DFO. recommendations would be November 1, 8, 2004. (d) The use of still, motion picture, independently reviewed by its parent PLACE: Commissioner’s Conference and television cameras will be Committee. Room, 11555 Rockville Pike, Rockville, permitted at the discretion of the The ACRS, however, chose to conduct Maryland. Chairman and subject to the condition its Subcommittee meetings in STATUS: Public and closed. that the use of such equipment will not accordance with the procedures noted interfere with the conduct of the MATTERS TO BE CONSIDERED: above for ACRS full Committee meeting. The DFO will have to be Week of October 4, 2004 notified prior to the meeting and will meetings, as appropriate, to facilitate authorize the use of such equipment public participation, and to provide a Thursday, October 7, 2004 after consultation with the Chairman. forum for stakeholders to express their 9.25 a.m. Affirmation Session The use of such equipment will be views on regulatory matters being (public meeting) (tentative). restricted as is necessary to protect considered by the ACRS. When a. State of Alaska Department of proprietary or privileged information Subcommittee meetings are held at Transportation and Public Facilities that may be in documents, folders, etc., locations other than at NRC facilities, (Confirmatory Order Modifying in the meeting room. Electronic reproduction facilities may not be License); appeals of LBP–04–16 by NRC recordings will be permitted only available at a reasonable cost. staff and license (tentative). during those portions of the meeting Accordingly, 25 additional copies (total b. Private Fuel Storage (Independent that are open to the public. of 50 copies) of the materials to be used Spent Fuel Storage Installation) Docket during the meeting should be provided No. 72–22–ISFSI (tentative). (e) A transcript will be kept for certain for distribution at such meetings. open portions of the meeting and will be c. USEC, Inc. (tentative). d. Citizen’s Awareness Network’s available in the NRC Public Document Special Provisions When Proprietary (CAN) motion to dismiss the Yankee Room (PDR), One White Flint North, Sessions Are To Be Held Rowe license termination proceeding or Room O–1F21, 11555 Rockville Pike, to re-notice it (tentative). Rockville, MD 20852–2738. A copy of If it is necessary to hold closed e. Duke Energy Corp. (Catawba the certified minutes of the meeting will sessions for the purpose of discussing Nuclear Station, Units 1 and 2); be available at the same location three matters involving proprietary Licensing Board’s certification of its months following the meeting. Copies information, persons with agreements ruling on ‘‘need to know’’ during may be obtained upon payment of permitting access to such information may attend those portions of the ACRS discovery (tentative). appropriate reproduction charges. ACRS f. Final rulemaking to add new meeting agenda, transcripts, and letter meetings where this material is being discussed upon confirmation that such Section 10 CFR 50.69. ‘‘Risk-Informed reports are available through the NRC Categorization and Treatment of Public Document Room at [email protected], agreements are effective and related to the material being discussed. Structures, Systems, and Components by calling the PDR at 1–800–394–4209, for Nuclear Power Reactors’’ (tentative). or from the Publicly Available Records The DFO should be informed of such 10:30 a.m. Discussion of security System (PARS) component of NRC’s an agreement at least five working days issues (Closed—Ex.1). document system (ADAMS) which is prior to the meeting so that it can be 1 p.m. Discussion of security issues accessible from the NRC Web site at confirmed, and a determination can be (Closed—Ex. 1). http://www.nrc.gov/reading-rm/ made regarding the applicability of the 2:30 p.m. Discussion of security adams.html or http://www.nrc.gov/ agreement to the material that will be issues (Closed—Ex. 1) reading-rm/doc-collections/ (ACRS & discussed during the meeting. The ACNW Mtg schedules/agendas). minimum information provided should Week of October 11, 2004—Tentative (f) Video teleconferencing service is include information regarding the date Wednesday, October 13, 2004. of the agreement, the scope of material available for observing open sessions of 9:30 a.m. Briefing on included in the agreement, the project ACRS meetings. Those wishing to use decommissioning activities and status or projects involved, and the names and this service for observing ACRS (public meeting) (contact: Claudia Craig, meetings should contact Mr. Theron titles of the persons signing the 301–415–7276). Brown, ACRS Audio Visual Technician, agreement. Additional information may This meeting will be webcast live at (301–415–8066) between 7:30 a.m. and be requested to identify the specific the Web address—http://www.nrc.gov. 3:45 p.m. Eastern Time at least 10 days agreement involved. A copy of the 1:30 p.m. Discussion of before the meeting to ensure the executed agreement should be provided intragovernmental issues (Closed—Ex. availability of this service. Individuals to the DFO prior to the beginning of the 1& 9). or organizations requesting this service meeting for admittance to the closed will be responsible for telephone line session. Week of October 18, 2004—Tentative charges and for providing the Dated: September 29, 2004. There are no meetings scheduled for equipment and facilities that they use to the Week of October 18, 2004. establish the video teleconferencing Andrew L. Bates, link. The availability of video Advisory Committee Management Officer. Week of October 25, 2004—Tentative teleconferencing services is not [FR Doc. 04–22314 Filed 10–4–04; 8:45 am] There are no meetings scheduled for guaranteed. BILLING CODE 7590–01–P the Week of October 25, 2005.
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Week of November 1, 2004—Tentative Washington, DC 2055 (301–415–1969). designated this filing as Docket No. There are no meetings scheduled for In addition, distribution of this meeting MC2004–1. On July 7, 2004, pursuant to the Week of November 1, 2004. notice over the Internet system is 39 U.S.C. 3624, the PRC issued to the available. If you are interested in Governors of the Postal Service its Week of November 8, 2004—Tentative receiving this Commission meeting Opinion and Recommended Decision schedule electronically, please send an Monday, November 8, 2004. Approving Stipulation and Agreement, electronic message to [email protected]. in Docket No. MC2004–1. The PRC 2 p.m. Briefing on plant aging and Dated: September 30, 2004. recommended the establishment of the material degradation issues (public Dave Gamberoni, Postal Service proposal for experimental meeting) (Contact: Steve Koenick, 301– Periodicals co-palletization dropship Office of the Secretary. 415–1239). discounts for high editorial [FR Doc. 04–22398 Filed 10–1–04; 8:45 am] The meeting will be webcast live at publications. BILLING CODE 7590–01–M the Web address—http://www.nrc.gov. Pursuant to 39 U.S.C. 3625, the Tuesday, November 9, 2004. Governors of the United States Postal Service acted on the PRC’s 9:30 a.m. Briefing on reactor safety POSTAL SERVICE recommendations on July 19, 2004. In and licensing activities (public meeting) the Decision of the Governors of the (Contact: Steve Koenick, 301–415– Changes in Domestic Mail Classifications United States Postal Service on the 1239). Opinion and Recommended Decision of This meeting will be webcast live at AGENCY: Postal Service. the Postal Rate Commission Approving the Web address—http://www.nrc.gov. ACTION: Notice of implementation of Stipulation and Agreement on The schedule for Commission changes to the Domestic Mail Experimental Periodicals Co- meetings is subject to change on short Classification Schedule. palletization Dropship Discounts for notice. To verify the status of meetings High Editorial Publications, Docket No. call (recording)—(301) 415–1292. SUMMARY: This notice sets forth the MC2004–1, the Governors of the Postal Contact person for more information: changes to the Domestic Mail Service approved the recommended Dave Gamberoni, (301) 415–1651. Classification Schedule to be decision. In accordance with Resolution * * * * * implemented as a result of the Decision 04–5, the Board of Governors The NRC Commission Meeting of the Governors of the United States established an implementation date of Schedule can be found on the Internet Postal Service on the Opinion and October 3, 2004, on which the approved at: http://www.nrc.gov/what-we-do/ Recommended Decision of the Postal classification changes and discounts for policy-making/schedule.html. Rate Commission Approving Stipulation the co-palletization experiment take * * * * * and Agreement on Experimental effect. The attachments to the The NRC provides reasonable Periodicals Co-palletization Dropship Governors’ Decision, setting forth the accommodation to individuals with Discounts for High Editorial classification changes ordered into disabilities where appropriate. If you Publications, Docket No. MC2004–1. effect by the Governors, are set forth need a reasonable accommodation to The attachment also reflects the changes below. participate in these public meetings, or resulting from the first co-palletization In accordance with the Decision of the need this meeting notice or the case, Docket No. MC2002–3. Governors and Resolution No. 04–5 of transcript or other information from the EFFECTIVE DATE: October 3, 2004. the Board of Governors, the Postal public meetings in another format (e.g. FOR FURTHER INFORMATION CONTACT: Service hereby gives notice that the braille, large print), please notify the Daniel J. Foucheaux, Jr., (202) 268–2989. classification changes set forth below NRC’s Disability Program Coordinator, SUPPLEMENTARY INFORMATION: On will become effective at 12:01 a.m. on August Spector, at 301—415–7080, February 25, 2004, the United States October 3, 2004. TDD: 301–415–2100, or by e-mail at Postal Service, in conformance with Attachments to the Decision of the [email protected]. Determinations on sections 3622 and 3623 of the Postal Governors of the United States Postal Service requests for reasonable accommodation Reorganization Act (39 U.S.C. 101 et on the Opinion and Recommended Decision will be made on a case-by-case basis. seq.), filed a request for a recommended of the Postal Rate Commission Approving * * * * * decision by the Postal Rate Commission Stipulation and Agreement on Experimental This notice is distributed by mail to (PRC) on the establishment of Periodicals Co-palletization Dropship several hundred subscribers; if you no experimental Periodicals co- Discounts for High Editorial Publications, longer wish to receive it, or would like palletization dropship discounts for Docket No. MC2004–1 to be added to the distribution, please high-editorial, heavy-weight, small- (Additions underlined; deletions in brackets) contact the Office of the Secretary, circulation publications. The PRC BILLING CODE 7710–12–P
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Stanley F. Mires, Chief Counsel, Legislative. [FR Doc. 04–22285 Filed 10–4–04; 8:45 am] BILLING CODE 7710–12–C
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RAILROAD RETIREMENT BOARD Creditable Compensation Adjustments, should be addressed to Ronald J. to secure the required information from Hodapp, Railroad Retirement Board, 844 Proposed Collection; Comment railroad employers. Form BA–3a North Rush Street, Chicago, Illinois Request provides the RRB with information 60611–2092 or send an e-mail to regarding annual creditable service and [email protected]. Written SUMMARY: In accordance with the compensation for each individual who requirement of Section 3506 (c)(2)(A) of comments should be received within 60 worked in the railroad industry in a the Paperwork Reduction Act of 1995 days of this notice. given year. Forms BA–4 and BA–4 which provides opportunity for public (Internet) provide for the adjustment of Charles Mierzwa, comment on new or revised data any previously submitted reports and Clearance Officer. collections, the Railroad Retirement also the opportunity to provide any [FR Doc. 04–22297 Filed 10–4–04; 8:45 am] Board (RRB) will publish periodic service and compensation that had been BILLING CODE 7905–01–P summaries of proposed data collections. previously omitted. Form BA–4 Comments are invited on: (a) Whether (Internet) collects essentially the same the proposed information collection is information as Form BA–4, but it necessary for the proper performance of SECURITIES AND EXCHANGE consists of a series of screens which the functions of the agency, including COMMISSION collects the necessary information and whether the information has practical provides for the required notices and [Release No. 34–50469; File No. SR–CBOE– utility; (b) the accuracy of the RRB’s certifications. Employers also have the 2004–61] estimate of the burden of the collection option of submitting the reports on the of the information; (c) ways to enhance Self-Regulatory Organizations; Notice aforementioned forms, or, in like format the quality, utility, and clarity of the of Filing and Immediate Effectiveness by magnetic tape, tape cartridges, PC of Proposed Rule Change by the information to be collected; and (d) diskettes and CD–ROM as outlined in ways to minimize the burden related to Chicago Board Options Exchange, the RRB’s Reporting Instructions to Incorporated Relating to Reduction of the collection of information on Employers. Submission of the creditable Customer Transaction Fees for respondents, including the use of compensation reports is mandatory. One Options on Exchange-Traded Funds automated collection techniques or response is required of each respondent. and Holding Company Depositary other forms of information technology. No changes are proposed to Forms BA– Receipts Title and Purpose of Information 3a, BA–4 and BA–4 (Internet). Collection: Railroad Service and Form BA–12, System Access Compensation Reports; OMB 3220– September 29, 2004. Application, identifies employees who Pursuant to Section 19(b)(1) of the 0008. Under Section 9 of the Railroad are allowed to use the internet to submit Retirement Act (RRA), railroad Securities Exchange Act of 1934 reporting forms to the RRB. This form (‘‘Act’’) 1 and Rule 19b–4 thereunder,2 employers are required to submit also determines what degree of access reports of their employees’ service and notice is hereby given that on (view only, data entry/modification or September 23, 2004, the Chicago Board compensation. Also, under Section 9 of approval/submission) is appropriate for the RRA and Section 6 of the Railroad Options Exchange, Incorporated that employee. Form BA–12, an OMB (‘‘CBOE’’ or ‘‘Exchange’’) filed with the Unemployment Insurance Act (RUIA) approved form (3220–0199), is being the Railroad Retirement Board (RRB) Securities and Exchange Commission incorporated into this information (‘‘Commission’’) the proposed rule maintains, for each railroad employee, a collection at the request of OMB. record of the compensation paid by all change as described in Items I, II, and Completion of Form BA–12 is voluntary III below, which Items have been railroad employers for whom the and is necessary only if an employer employee worked after 1936. This prepared by the CBOE. On September wants to submit data and reports via the 28, 2004, CBOE submitted Amendment record, which is used by the RRB to internet. Minor editorial changes are No. 1 to the proposed rule change.3 The determine eligibility for, and amount of, being proposed to Form BA–12. Commission is publishing this notice to benefits due under the laws it The completion time for Form BA–3a administers, is conclusive as to the is estimated at between 33.3 hours per solicit comments on the proposed rule amount of compensation paid to an response for electronic submissions to change from interested persons. employee during such period(s) covered 85 hours for manual paper responses. I. Self-Regulatory Organization’s by the report(s) of the compensation by The completion time for Form BA–4 is Statement of the Terms of Substance of the employee’s railroad employer(s), estimated at 60 minutes per response. the Proposed Rule Change except in cases when an employee files The completion time for Form BA–4 The CBOE proposes to amend its Fee a protest pertaining to his or her (Internet) is 15 minutes per response. Schedule to reduce the fees charged to reported compensation within the statue The completion time for Form BA–12 is public customers for transactions in of limitations cited in Section 6 of the estimated at between 10 and 20 options on exchange-traded funds RUIA and Section 9 of the RRA. minutes. The RRB estimates that To enable the RRB to establish and approximately 579 Form BA–3a’s, 211 1 maintain the record of compensation, Form BA–4’s, 1,000 Form BA–4 15 U.S.C. 78s(b)(1). 2 17 CFR 240.19b–4. employers are required to file with the (Internet) and 350 Form BA–12’s are 3 See letter from Jamie Galvin, Attorney II, Legal RRB, in such manner and form and at completed annually. Division, CBOE, to Ira Brandriss, Assistant Director, such times as the RRB prescribes, Additional Information or Comments: Division of Market Regulation, Commission, dated reports of compensation of employees. To request more information or to September 27, 2004 (‘‘Amendment No. 1’’). In Amendment No. 1, the CBOE converted the original The information reporting requirements obtain a copy of the information proposed rule change from a proposal filed are prescribed in 20 CFR 209.6 through collection justification, forms, and/or pursuant to Section 19(b)(3)(A)(ii) of th eAct and 209.9 and 20 CFR 345.110. The RRB supporting material, please call the RRB Rule 19b–4(f)(2) thereunder to a ‘‘non- utilizes Form BA–3a, Annual Report of Clearance Officer at (312) 751–3363 or controversial’’ proposal filed pursuant to Section 19(b)(3)(A) of the Act and Rule 19b–4(f)(6) Compensation, Form BA–4, Report of send an e-mail request to thereunder, and requested waiver of the 30-day pre- Creditable Compensation Adjustments [email protected]. Comments operative period and pre-filing notice requirement and Form BA–4 (Internet), Report of regarding the information collection for ‘‘non-controversial’’ proposals.
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(‘‘ETFs’’) and Holding Company Section 6(b)(4) of the Act 7 in particular, Rule 19b–4(f)(6) thereunder, with an Depositary Receipts (‘‘HOLDRs’’). The in that it is designed to provide for the operative date of October 1, 2004.12 text of the proposed rule change is equitable allocation of reasonable dues, At any time within 60 days of the available at the Office of the Secretary, fees, and other charges among CBOE filing of the proposed rule change, the CBOE, and at the Commission. members and other persons using its Commission may summarily abrogate facilities. such rule change if it appears to the II. Self-Regulatory Organization’s Commission that such action is Statement of the Purpose of, and B. Self-Regulatory Organization’s necessary or appropriate in the public Statutory Basis for, the Proposed Rule Statement on Burden on Competition interest, for the protection of investors, Change The Exchange does not believe that or otherwise in furtherance of the In its filing with the Commission, the the proposed rule change will impose purposes of the Act. CBOE included statements concerning any burden on competition that is not IV. Solicitation of Comments the purpose of, and basis for, the necessary or appropriate in furtherance proposed rule change and discussed any of the purposes of the Act. Interested persons are invited to comments it received on the proposed submit written data, views, and C. Self-Regulatory Organization’s arguments concerning the foregoing, rule change. The text of these statements Statement on Comments on the may be examined at the places specified including whether the proposed rule Proposed Rule Change Received From change is consistent with the Act. in Item IV below. The CBOE has Members, Participants, or Others prepared summaries, set forth in Comments may be submitted by any of Sections A, B, and C below, of the most No written comments were solicited the following methods: significant aspects of such statements. or received with respect to the proposed rule change. Electronic Comments A. Self-Regulatory Organization’s • Use the Commission’s Internet Statement of the Purpose of, and III. Date of Effectiveness of the comment form (http://www.sec.gov/ Statutory Basis for, the Proposed Rule Proposed Rule Change and Timing for rules/sro.shtml); or Change Commission Action • Send an e-mail to rule- 1. Purpose The proposed rule change has been [email protected]. Please include File designated by the CBOE as a ‘‘non- No. SR–CBOE–2004–61 on the subject CBOE currently assesses public controversial’’ rule change pursuant to line. customer transactions in options on Section 19(b)(3)(A) of the Act 8 and Paper Comments ETFs and HOLDRs the customer subparagraph (f)(6) of Rule 19b–4 transaction fees that apply to index thereunder.9 • Send paper comments in triplicate options.4 Specifically, public customer The foregoing rule change: (1) Does to Jonathan G. Katz, Secretary, transactions in these products are not significantly affect the protection of Securities and Exchange Commission, assessed transaction fees of $.45 if the investors or the public interest, (2) does 450 Fifth Street, NW., Washington, DC premium is greater than or equal to $1 not impose any significant burden on 20549–0609. and $.25 if the premium is less than $1. competition, and (3) by its terms does All submissions should refer to File The Exchange proposes to reduce the not become operative for 30 days after No. SR–CBOE–2004–61. This file transaction fees charged to public the date of filing, or such shorter time number should be included on the customers for transactions in all options as the Commission may designate if subject line if e-mail is used. To help the on ETFs and HOLDRs to $.15, regardless consistent with the protection of Commission process and review your of premium, except for options on Dow investors and the public interest. The comments more efficiently, please use Jones DIAMONDS (DIA).5 Options on CBOE has requested that the only one method. The Commission will Dow Jones DIAMONDS will continue to Commission waive the 30-day pre- post all comments on the Commission’s be assessed at current index option operative period and the five-day pre- Internet Web site (http://www.sec.gov/ customer transaction rates. filing notice requirement for ‘‘non- rules/sro.shtml). Copies of the The Exchange believes this fee controversial’’ proposals and accelerate submission, all subsequent reduction will help the Exchange to the operative date of the filing to amendments, all written statements compete more effectively for order flow October 1, 2004, to allow public with respect to the proposed rule in these products. The Exchange intends customers to benefit from the reduced change that are filed with the to begin assessing the reduced fees on transaction fees in the subject options Commission, and all written October 1, 2004. The Exchange will classes effective on that date. The communications relating to the reassess the fee reduction as Commission has determined to waive proposed rule change between the appropriate, and will file any the five-day notice and the 30-day Commission and any person, other than modification to these transaction fees operative period as requested to permit those that may be withheld from the with the Commission pursuant to public customers to benefit from the fee public in accordance with the Section 19(b) of the Act. reduction without delay.10 provisions of 5 U.S.C. 552, will be available for inspection and copying in 2. Statutory Basis Consequently, the proposed rule change has become effective pursuant to the Commission’s Public Reference The proposed rule change is Section 19(b)(3)(A) of the Act 11 and Room, 450 Fifth Street, NW., consistent with Section 6(b) of the Act,6 Washington, DC 20549. Copies of such in general, and furthers the objectives of 7 15 U.S.C. 78f(b)(4). filing will also be available for 8 15 U.S.C. 78s(b)(3)(A). inspection and copying at the principal 4 Except for options on the Nasdaq-100 Index 9 17 CFR 240.19b–4(f)(6)(i)–(ii). office of the CBOE. All comments Tracking Stock (QQQ) which are assessed no 10 For the purposes only of waiving the 30-day received will be posted without change; customer transaction fees. pre-operative period, the Commission has the Commission does not edit personal 5 A $.04 floor brokerage fee will continue to be considered the proposed rule’s impact on charged to executing brokers if a broker executes a efficiency, competition, and capital formation. 15 identifying information from customer order in these products. U.S.C. 78c(f). 6 15 U.S.C. 78f(b). 11 15 U.S.C. 78s(b)(3)(A). 12 17 CFR 240.19b–4(f)(6).
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submissions. You should submit only markets with which NASD has entered I. Self-Regulatory Organization’s information that you wish to make a contract to provide regulatory services, Statement of the Terms of Substance of available publicly. and those in which NASD has an the Proposed Rule Change All submissions should refer to File ownership interest. Because NASD has Nasdaq proposes to list and trade the No. SR–CBOE–2004–61 and should be entered into a regulatory services common stock (‘‘Common Stock’’) of submitted on or before October 26, agreement with Amex, and continues Theravance, Inc. (‘‘Theravance’’). The 2004. both to maintain an ownership interest Common Stock includes call and put For the Commission, by the Division of in and to provide regulatory services to rights. Market Regulation, pursuant to delegated Nasdaq, the amended definition of authority.13 ‘‘Industry Governor’’ will continue to II. Self-Regulatory Organization’s Margaret H. McFarland, encompass individuals who have a Statement of the Purpose of, and Deputy Secretary. consulting or employment relationship Statutory Basis for, the Proposed Rule [FR Doc. E4–2491 Filed 10–4–04; 8:45 am] with Amex or Nasdaq. NASD believes Change BILLING CODE 8010–01–P that, given the difficulty and expense In its filing with the Commission, involved in amending the NASD By- Nasdaq included statements concerning Laws when regulatory clients are added the purpose of and basis for the SECURITIES AND EXCHANGE or deleted, substituting ‘‘a market for proposed rule change and discussed any COMMISSION which NASD provides regulation’’ is comments it received on the proposed [Release No. 34–50403A; File No. SR– preferable to identifying such clients by rule change. The text of these statements NASD–2004–110] name in the By-Laws.’’ may be examined at the places specified in Item III below. Nasdaq has prepared For the Commission, by the Division of Self-Regulatory Organizations; Notice Market Regulation, pursuant to delegated summaries, set forth in sections A, B, of Filing of Proposed Rule Change by authority.2 and C below, of the most significant National Association of Securities aspects of such statements. Dealers, Inc. Relating to Divestiture of Margaret H. McFarland, A. Self-Regulatory Organization’s American Stock Exchange; Correction Deputy Secretary. [FR Doc. E4–2487 Filed 10–4–04; 8:45 am] Statement of the Purpose of, and September 29, 2004. Statutory Basis for, the Proposed Rule BILLING CODE 8010–01–P In FR Doc. E4–2354, issued on Change 1 September 23, 2004, the Commission 1. Purpose notes that the proposed rule text in SECURITIES AND EXCHANGE Nasdaq proposes to list and trade the subsection (cc) on page 57120, column COMMISSION 3 should state as follows below. Common Stock under the NASD rules Proposed new language is in italics; that generally apply to the listing, [Release No. 34–50468; File No. SR–NASD– proposed deletions are in brackets. designation for the Nasdaq National ‘‘(cc) ‘‘Non-Industry Governor’’ or 2004–144] Market, and trading of the first class of common stock.3 As described more fully ‘‘Non-Industry committee member’’ Self-Regulatory Organizations; Notice means a Governor (excluding the Chief below, the Common Stock currently of Filing and Order Granting includes an unusual feature, call and Executive Officer and any other officer Accelerated Approval to a Proposed of the NASD, the President of NASD put rights. Nasdaq believes that the call Rule Change by the National and put rights make it desirable to apply Regulation)[, any Floor Governor, and Association of Securities Dealers, Inc., the Chief Executive Officer of Amex)] or certain additional requirements in Relating to the Listing and Trading of connection with the listing of the committee member who is: (1) A Public Theravance, Inc., Common Stock Governor or committee member; (2) an Common Stock. Pursuant to its authority under NASD Rule 4300, officer or employee of an issuer of September 29, 2004. securities listed on [Nasdaq or Amex, ‘‘Qualification Requirements for Nasdaq or] a market for which NASD provides Pursuant to Section 19(b)(1) of the Stock Market Securities,’’ to apply Securities Exchange Act of 1934 additional or more stringent criteria for regulation; (3) an officer or employee of 1 2 an issuer of unlisted securities that are (‘‘Act’’), and Rule 19b–4 thereunder, the initial or continued inclusion of traded in the over-the-counter market; notice is hereby given that on particular securities, Nasdaq proposes to or ([3]4) any other individual who September 24, 2004, the National apply to the Common Stock certain would not be an Industry Governor or Association of Securities Dealers, Inc. requirements of NASD Rule 4420(f), committee member;’’ (‘‘NASD’’ or ‘‘Association’’), through its ‘‘Other Securities,’’ in addition to all of In the corresponding paragraph subsidiary, The Nasdaq Stock Market, the other requirements normally describing the proposed rule text, Inc. (‘‘Nasdaq’’) filed with the Securities applicable to common stock. Under appearing on page 57124, beginning in and Exchange Commission NASD Rule 4420(f), Nasdaq may column 1, the first, second and third (‘‘Commission’’) the proposed rule approve for listing and trading complete sentences in column 2 should change as described in Items I and II innovative securities that cannot be read as follows: below, which Items have been prepared readily categorized under traditional ‘‘Under the proposed amendments, by Nasdaq. The Commission is listing guidelines.4 the ‘‘Industry Governor’’ definition will publishing this notice and order to Theravance has entered into an include persons with a consulting or solicit comments on the proposed rule agreement with GlaxoSmithKline employment relationship with ‘‘a change from interested persons and to market for which NASD provides grant accelerated approval to the 3 See the 4300 and 4400 series of the NASD’s regulation,’’ a term that embraces both proposed rule change. rules. 4 See Securities Exchange Act Release No. 32988 (September 29, 1993); 58 FR 52124 (October 6, 13 17 CFR 200.30–3(a)(12). 2 17 CFR 200.30–3(a)(12). 1993) (File No. SR–NASD–93–15) (order approving 1 See Exchange Act Release No. 50403 (September 1 15 U.S.C. 78s(b)(1). listing standards for hybrid securities products) 16, 2004), 69 FR 57119. 2 17 CFR 240.19b–4. (‘‘1993 Order’’).
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(‘‘GSK’’), whereby GSK has the right to outstanding, may decline significantly. (A) The issuer shall have assets in excess require Theravance to redeem 50% of Although shareholders are granted the of $100 million and stockholders’ equity of the Common Stock held by each holder option to exercise their put rights of at least $10 million. In the case of an issuer of Common Stock. Upon notice of such Common Stock during the period which is unable to satisfy the income criteria set forth in paragraph (a)(1), Nasdaq generally a redemption, each stockholder will described above, provided that GSK has will require the issuer to have the following: automatically be deemed to have opted not to exercise its call right, there (i) assets in excess of $200 million and submitted for redemption 50% of the are no price protections after that stockholders’ equity of at least $10 million; Common Stock held by the stockholder period. or (ii) assets in excess of $100 million and at $54.25 per share. This right is referred After September 1, 2012, GSK will stockholders’ equity of at least $20 million; to as the ‘‘call.’’ If GSK does not exercise have no restrictions on its ability to sell (B) There must be a minimum of 400 this right, each holder of Common Stock or transfer the Common Stock in the holders of the security, provided, however, has the right in August 2007 to require open market, in privately negotiated that if the instrument is traded in $1,000 Theravance to redeem up to 50% of the transactions or otherwise, and these denominations, there must be a minimum of sales or transfers could create a 100 holders; holder’s Common Stock at $19.375 per (C) For equity securities designated share. This right is referred to as the substantial decline in the price of the pursuant to this paragraph, there must be a ‘‘put.’’ In either case, GSK is outstanding shares of Common Stock or, minimum public distribution of 1,000,000 contractually obligated to pay if these sales or transfers are made to a trading units; and Theravance the funds necessary to single buyer or group of buyers, could (D) The aggregate market value/principal redeem the shares of Common Stock transfer control of the Common Stock to amount of the security will be at least $4 from Theravance’s stockholders. a third party. million. However, GSK’s maximum obligation In addition, the existence of the call As envisioned in NASD Rule for the shares of Common Stock subject right may limit the Common Stock from 4420(f)(3), prior to the commencement to the put is $525 million. trading much above the call price of of trading of the Common Stock, Nasdaq As described in the registration $54.25 per share even if Theravance’s will distribute a circular to members statement filed by Theravance,5 if GSK future growth and/or market conditions providing guidance regarding the elects to exercise its call right, it must were to otherwise warrant a per share features of the Common Stock and provide written notice to Theravance valuation in excess of that price. If the members’ responsibilities, including between June 1, 2007, and July 1, 2007, call right is exercised, the holders of suitability recommendations, when and must provide adequate funds in Common Stock would participate in this handling transactions and highlighting cash to pay the aggregate redemption increased valuation only to the extent of the characteristics and risks of the price of the shares of Common Stock to the $54.25 per share Common Stock Common Stock. In particular, Nasdaq be called. GSK must specify the date redemption price for 50% of their will inform members that customer that the call will occur, which must be shares. confirmations involving the Common no later than July 31, 2007. Upon receipt Upon the occurrence of a triggering Stock should identify the security as a of notice from GSK to effect the call, event (an insolvency event as described callable and puttable instrument and Theravance must provide notice by mail in the registration statement), the right that a customer may contact the member of the proposed call to holders of record of Theravance’s shareholders to exercise for more information concerning the of Common Stock between ten and 30 the put with respect to 50% of their security.9 days prior to the call date specified by Common Stock will accelerate and Furthermore, given the put and call GSK. commence immediately and continue features of the Common Stock, the If GSK does not exercise its call right, for the 65 business days after such event circular will indicate that Nasdaq each holder of Common Stock may or until a later date as required under suggests that transactions in the exercise the put right described above the Act or under the Hart-Scott-Rodino Common Stock be recommended only to during the period beginning on August Act. In the event the put notification is investors whose accounts have been 1, 2007, and ending on the 30th accelerated due to an insolvency event, approved for options trading. If a business day thereafter or as may be GSK remains obligated to provide customer has not been approved for required under the Act or under the Theravance the funds necessary to effect options trading, or does not wish to Hart-Scott-Rodino Antitrust the redemption of all shares of the open an options account, the member Improvements Act of 1976 (‘‘Hart-Scott- Common Stock that are properly put or should ascertain whether the Common Rodino Act’’).6 elect and arrange to purchase the Stock is suitable for the customer. As set forth in the registration Common Stock at the expiration of the Pursuant to NASD Rule 2310, statement,7 prior to the expiration of the period in which the put can be ‘‘Recommendations to Customers put period, the existence of the put right exercised, in compliance with (Suitability),’’ and IM–2310–2, ‘‘Fair will likely be influential in determining applicable law.8 Dealing with Customers,’’ members the market price at which the Common In addition to all of the requirements must have reasonable grounds for Stock will trade. However, the market normally applicable under Nasdaq rules believing that a recommendation to a price of the Common Stock is not to the listing and trading of common customer regarding the purchase, sale or guaranteed and may be adversely stock, the Common Stock initially will exchange of any security is suitable for affected in the event that the ability of be made subject to certain additional such customer upon the basis of the Common Stock holders to exercise the listing criteria, which are essentially the facts, if any, disclosed by such customer put right or to receive proceeds upon listing criteria for ‘‘other securities’’ as to his other security holdings and as exercise of the call right is impaired or under NASD Rule 4420(f). Specifically, to his financial situation and needs. In diminished. After the expiration of the under NASD Rule 4420(f)(1): addition, members recommending a put period, the market price of the transaction in the Common Stock must, Common Stock, to the extent still 8 8 Nasdaq clarified two minor typographical among other things, have a reasonable errors in this sentence. Telephone conversation between Alex Kogan, Associate General Counsel, basis for believing that the customer can 5 See File No. 333–116384. Nasdaq, and Yvonne Fraticelli, Special Counsel, 6 15 U.S.C. 18a. Office of Market Supervision, Division of Market 9 9 See IM–2110–6, ‘‘Confirmation of Callable 7 7 See note 5, supra. Regulation, Commission, on September 28, 2004. Common Stock.’’
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evaluate the special characteristics of, promote just and equitable principles of those that may be withheld from the and is able to bear the financial risks of, trade, to remove impediments to and public in accordance with the such transaction. perfect the mechanism of a free and provisions of 5 U.S.C. 552, will be The circular will identify the open market and, in general, to protect available for inspection and copying in following specific risks associated with investors and the public interest. the Commission’s Public Reference the Common Stock. The circular will Nasdaq believes that the callable and Section, 450 Fifth Street, NW., note that members should inform their puttable feature of the Common Stock Washington, DC 20549. Copies of such customers that the price at which the justify the additional listing filing also will be available for Common Stock will trade may be requirements described in the proposal, inspection and copying at the principal influenced, prior to the expiration of the and that investors will benefit from the office of the NASD. All comments put period, by the existence of the put application of the requirements. received will be posted without change; right. The circular will also note that the the Commission does not edit personal B. Self-Regulatory Organization’s final rate of return on the Common identifying information from Statement on Burden on Competition Stock may be less than the market price submissions. You should submit only of the Common Stock, and that after the Nasdaq does not believe that the information that you wish to make expiration of the put period the market proposed rule change will impose any available publicly. All submissions price of the Common Stock may decline burden on competition that is not should refer to File Number SR–NASD– significantly. Furthermore, customers necessary or appropriate in furtherance 2004–144 and should be submitted on should be aware that after September 1, of the purposes of the Act. or before October 26, 2004. 2012, GSK will have no restrictions on its ability to sell or transfer the Common C. Self-Regulatory Organization’s IV. Commission’s Findings and Order Stock in the open market, in privately Statement on Comments on the Granting Accelerated Approval of negotiated transactions or otherwise, Proposed Rule Change Received from Proposed Rule Change Members, Participants or Others and that these sales or transfers could Nasdaq has asked the Commission to create a substantial decline in the price No written comments were solicited approve the proposal on an accelerated of the outstanding shares of the or received. basis to enable Nasdaq to accommodate Common Stock or, if these sales or III. Solicitation of Comments the timetable for listing the Common transfers were made to a single buyer or Stock. In addition, Nasdaq believes that group of buyers, could transfer control Interested persons are invited to the proposal raises no new or novel of the Common Stock to a third party. submit written data, views, and issues. In this regard, Nasdaq notes that The Common Stock will be subject to arguments concerning the foregoing, a national securities exchange all of the initial and continued listing including whether the proposed rule previously has listed and traded callable requirements otherwise applicable to change is consistent with the Act. puttable common stock.14 Nasdaq also the first class of common stock Comments may be submitted by any of states that it previously has listed designated for the Nasdaq National the following methods: callable puttable common stock and Market under NASD Rule 4420(a), (b) or Electronic Comments callable common stock.15 (c), including, but not limited to, all The Commission finds that the • Use the Commission’s Internet otherwise applicable corporate proposed rule change is consistent with 10 comment form (http://www.sec.gov/ governance requirements. The the requirements of the Act and the rules/sro.shtml); or Common Stock will be subject to all rules and regulations thereunder • Send an e-mail to rule- applicable fees set forth in NASD Rule applicable to a national securities [email protected]. Please include File 4310, ‘‘Qualification Requirements for association and, in particular, with the Domestic and Canadian Securities.’’ 11 Number SR–NASD–2004–144 on the requirements of Section 15A(b)(6) of the Nasdaq will rely on its current subject line. Act 16 in that it is designed to promote surveillance procedures governing Paper Comments just and equitable principles of trade, to equity securities, and it represents that remove impediments to and perfect the its surveillance procedures are adequate • Send paper comments in triplicate mechanism of a free and open market to properly monitor the trading of the to Jonathan G. Katz, Secretary, Securities and Exchange Commission, Common Stock. 14 450 Fifth Street, NW., Washington, DC According to Nasdaq, Genentech, Inc. callable 2. Statutory Basis puttable common stock was listed on the New York 20549–0609. Stock Exchange, Inc. (‘‘NYSE’’) from October 1995 Nasdaq believes the proposal is All submissions should refer to File through July 2000. consistent with the provisions of Number SR–NASD–2004–144. This file 15 According to Nasdaq, Dreyer’s Grand Ice Cream Section 15A of the Act,12 in general, and number should be included on the Holding, Inc. callable puttable common stock was 13 listed on Nasdaq in February 2003; Genomic with Section 15A(b)(6) of the Act, in subject line if e-mail is used. To help the Solutions callable common stock was listed on particular, in that the proposal is Commission process and review your Nasdaq in May 2000; Spiros Development designed to prevent fraudulent and comments more efficiently, please use Company, Inc. units, consisting of one warrant and manipulative acts and practices, to only one method. The Commission will one share of callable common stock, were listed on Nasdaq in December 1997; Aramed, Inc. units, post all comments on the Commission’s consisting of one warrant and one share of callable 10 Pursuant to Rule 10A–3 under the Act, 17 CFR Internet Web site (http://www.sec.gov/ common stock, were listed on Nasdaq from October 240.10A–3, and Section 3 of the Sarbanes-Oxley Act rules/sro.shtml). Copies of the 1993 through November 1995; SciGenics, Inc. units, of 2002, Pub. L. No. 107–204, 116 Stat. 745 (2002), submission, all subsequent consisting of one warrant and one share of callable Nasdaq will prohibit the initial or continued listing common stock, were listed on Nasdaq from of any security of an issuer that is not in amendments, all written statements September 1991 through December 1995; and compliance with the requirements set forth therein. with respect to the proposed rule Neozyme Corporation units, consisting of one 11 Because the Common Stock is not being change that are filed with the warrant and one share of callable common stock, designated under NASD Rule 4420(f), it will not be Commission, and all written were listed on Nasdaq from January 1991 through subject to the fee schedule for ‘‘other securities’’ December 1993. In addition, AT&T Canada, Inc. contained in NASD Rule 4530, ‘‘Other Securities.’’ communications relating to the callable Deposit Receipts were listed on Nasdaq in 12 15 U.S.C. 78o–3. proposed rule change between the June 1999. 13 15 U.S.C. 78o–3(b)(6). Commission and any person, other than 16 15 U.S.C. 78o–3(b)(6).
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and a national market system and, in could arise from the listing and trading made to a single buyer or group of general, to protect investors and the of the Common Stock. buyers, could transfer control of the public interest.17 The Commission notes that Nasdaq Common Stock to a third party. The Commission notes that the will distribute a circular to its members The Commission believes that, to Common Stock has both call and put that provides guidance regarding some extent, the financial risks features. In particular, as described members’ compliance responsibilities associated with the Common Stock more fully above, GSK has the right to and requirements, including heightened could be minimized by the proposed require Theravance to redeem 50% of suitability recommendations, when listing criteria. In this regard, the the Common Stock held by each handling transactions in callable Commission notes that in addition to stockholder at $54.25 per share. If GSK puttable common stock, and that satisfying the initial and continued elects to exercise its call right, it must highlights the special risks and listing requirements for the first class of characteristics associated with the provide written notice of its election to common stock designated for the Common Stock. Specifically, among Theravance between June 1, 2007, and Nasdaq National Market under NASD other things, the circular will inform July 1, 2007, and the call must occur no Rule 4420(a), (b), or (c), including all members that customer confirmations later than July 31, 2007. If GSK declines otherwise applicable corporate involving the Common Stock should to exercise its call right, each holder of governance requirements, the Common identify the security as a callable and Common Stock has the right to require Stock also must meet the additional puttable instrument and that a customer Theravance to redeem up to 50% of the initial asset, equity, and distribution may contact the member for more holder’s Common Stock at $19.375 per requirements described above. share. Upon the occurrence of an information concerning the security. insolvency event, as described in the Nasdaq represents that the circular The Commission notes that Nasdaq registration statement filed by also will indicate that, given the put and intends to rely on its current Theravance,18 the put rights of the call features of the Common Stock, surveillance procedures governing holders of Common Stock will Nasdaq will suggest that transactions in equity securities to monitor trading in accelerate and commence immediately. the Common Stock be recommended the Common Stock. Nasdaq represents The listing and trading of a non- only to investors whose accounts have that its surveillance procedures are traditional equity security like the been approved for options trading. adequate to properly monitor the Common Stock raises several regulatory Nasdaq further represents that, if a trading of the Common Stock. issues. For the reasons discussed below, customer has not been approved for The Commission finds good cause for the Commission believes that Nasdaq’s options trading, or does not wish to approving the proposal prior to the proposal adequately addresses the open an options account, the member thirtieth day after the date of concerns raised by the listing and should ascertain whether the Common publication of notice thereof in the trading of the Common Stock. Stock is suitable for the customer Federal Register. The Commission As noted above, in addition to being pursuant to NASD Rule 2310 and IM– believes that approving the proposal on subject to the Nasdaq rules applicable to 2310–2. The Commission believes that an accelerated basis will accommodate the initial and continued listing and the distribution of the circular should the proposed timetable for listing the trading of common stock, the Common help to ensure that only customers with Common Stock. In addition, as Stock initially also will be subject to an understanding of the risks attendant described more fully above, the certain listing criteria applicable to to the trading of the Common Stock and Commission notes that common stock ‘‘other securities’’ under NASD Rule who are able to bear the financial risks with put and call features has been 4420(f). The Commission notes that the associated with transactions in the listed and traded on the NYSE and protections of NASD Rule 4420(f) were Common Stock will acquire and trade Nasdaq, and that the compliance and designed to address the concerns the Common Stock. suitability requirements for the As noted above, Nasdaq represents attendant to the trading of innovative Common Stock are similar to those that that the circular will identify certain securities like the Common Stock.19 By Nasdaq adopted previously for a specific risks associated with the imposing the listing criteria and common stock with put and call Common Stock. Specifically, the compliance requirements described features.21 Accordingly, the circular will note that members should above, as well as heightened suitability Commission believes that good cause inform their customers that the price at for recommendations,20 the Commission exists, consistent with Sections which the Common Stock will trade believes that Nasdaq has adequately 15A(b)(6) and 19(b)(2) of the Act,22 may be influenced by the existence of to addressed the potential issues that the put right prior to the expiration of approve the proposal on an accelerated the put period. The circular also will basis. 17 In approving the proposed rule, the Commission has considered the proposed rule’s note that the final rate of return on the V. Conclusion impact on efficiency, competition, and capital Common Stock may be less than the formation. 15 U.S.C. 78c(f). market price of the Common Stock, and For the foregoing reasons, the 18 See note 5, supra. that after the expiration of the put Commission finds that the proposal is 19 See 1993 Order, supra note 4. See also period the market price of the Common consistent with the requirements of the Securities Exchange Act Release No. 47350 Act and rules and regulations (February 11, 2003), 68 FR 8061 (February 19, 2003) Stock may decline significantly. In (File No. SR–NASD–2003–16) (order approving the addition, customers should be aware thereunder. listing standards applicable to Dreyer’s Grand Ice that after September 1, 2012, GSK will It is therefore ordered, pursuant to Cream Holdings, Inc. callable puttable common have no restrictions on its ability to sell 23 stock) (‘‘2003 Order’’). Section 19(b)(2) of the Act, that the 20 As discussed above, Nasdaq will advise or transfer the Common Stock in the proposed rule change (SR–NASD–2004– members and employees thereof recommending a open market, in privately negotiated 144) is approved on an accelerated transaction in the Common Stock to: (1) determine transactions or otherwise, and that these basis. that the transaction is suitable for the customer; and sales or transfers could create a (2) have a reasonable basis for believing that the customer can evaluate the special characteristics of, substantial decline in the price of the 21 See 2003 Order, supra note 19. and is able to bear the financial risks of, the outstanding shares of the Common 22 15 U.S.C. 78o–3(b)(6) and 78s(b)(2). transaction. Stock or, if these sales or transfers are 23 15 U.S.C. 78s(b)(2).
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For the Commission, by the Division of (A) Self-Regulatory Organization’s options.5 As noted in the order Market Regulation, pursuant to delegated Statement of the Purpose of, and approving OCC’s rule change for index authority.24 Statutory Basis for, the Proposed Rule options, OCC’s authority to fix exercise Margaret H. McFarland, Change settlement values in unusual market Deputy Secretary. Article XVI, Section 3(c) of OCC’s By- conditions should be sufficiently broad [FR Doc. E4–2488 Filed 10–4–04; 8:45 am] Laws currently provides OCC with the to ensure that such values are consistent BILLING CODE 8010–01–P authority to adjust outstanding options with the settlement values established in a class of yield-based Treasury for related products in other markets options in the event that an exchange whenever that result is deemed to be in SECURITIES AND EXCHANGE decreases the multiplier. The proposed the best interest of investors.6 While COMMISSION changes to Section 3(c) would simply Article VI, Section 4(a)(2) as currently provide for the possibility that an drafted is also broad, OCC believes that [Release No. 34–50466; File No. SR–OCC– exchange might increase rather than its authority should be expressed in 2004–11] decrease the multiplier and would grant language parallel to other By-Laws OCC the flexibility to adjust any provisions that expressly acknowledge Self-Regulatory Organizations; The outstanding options accordingly. The that a settlement price may be fixed Options Clearing Corporation; Notice proposed rule change is similar to a based either on the last reported price of Filing of a Proposed Rule Change previously approved OCC rule change before a market disruption or the next Relating to Yield-Based Treasury pertaining to the adjustment of index reported price following the disruption Options option contracts.3 or by some other method. Article XVI, Section 4 of OCC’s By- September 29, 2004. As with index options, under Revised Laws currently provides OCC with the Article XVI, Section 4(a)(2) the Pursuant to Section 19(b)(1) of the authority to fix the exercise settlement settlement value of yield-based Treasury Securities Exchange Act of 1934 amount for exercised yield-based options would be fixed by an (‘‘Act’’),1 notice is hereby given that on Treasury option contracts ‘‘in adjustment panel consisting of June 8, 2004, The Options Clearing accordance with the best information representatives of the exchange or Corporation (‘‘OCC’’) filed with the available as to the correct settlement exchanges on which the affected series Securities and Exchange Commission value of the underlying yield’’ if OCC (‘‘Commission’’) the proposed rule determines that the settlement value of of options is traded. Additionally, under change as described in Items I, II, and the underlying yield is unreported or Section 4(a)(3), in the event the III below, which items have been otherwise unavailable for purposes of adjustment panel delays fixing a prepared primarily by OCC. The calculating the settlement amount for settlement value beyond the expiration Commission is publishing this notice to exercised contracts. Until recently, the date of the affected series, the normal solicit comments on the proposed rule Chicago Board Options Exchange exercise by exception procedures would change from interested persons. (‘‘CBOE’’), on which yield-based not apply. Instead, options that are in Treasury options are traded, had a rule the money by one dollar or more would I. Self-Regulatory Organization’s setting forth a specific method for be deemed to have been irrevocably Statement of the Terms of Substance of determining the settlement value of the exercised prior to the expiration time. the Proposed Rule Change yield in the event the reporting OCC believes that the proposed rule The proposed rule change would authority failed to supply a settlement change is consistent with the purposes update two sections of OCC’s By-Laws value. The CBOE rule setting forth that and requirements of Section 17A of the pertaining to yield-based Treasury method, a random poll of a minimum of Act, as amended, because it is designed options. The proposed changes would ten primary government bond dealers, to promote the prompt and accurate conform those sections to the was eliminated on December 2, 2003, clearance and settlement of securities when the Commission accepted for corresponding By-Law provisions transactions, foster cooperation and immediate effectiveness a CBOE rule governing index options. coordination with persons engaged in filing deleting it. In that filing, CBOE II. Self-Regulatory Organization’s adopted a provision stating that the the clearance and settlement of Statement of the Purpose of, and settlement value would be determined securities transactions, remove Statutory Basis for, the Proposed Rule in accordance with OCC’s By-Laws and impediments to the mechanisms of a Change Rules.4 national system for the prompt and accurate clearance and settlement of The repeal of the CBOE rule prompted In its filing with the Commission, OCC to review its own rules governing securities transactions, and, in general, OCC included statements concerning the setting of exercise settlement values to protect investors and the public the purpose of and basis for the for yield-based Treasury options. OCC interest. The proposed changes promote proposed rule change and discussed any now proposes to amend Article XVI, these objectives by providing OCC with comments it received on the proposed Section 4 to give OCC substantially the flexibility in responding to rule change. The text of these statements same discretion in fixing exercise unanticipated events. may be examined at the places specified settlement values for yield-based in Item IV below. OCC has prepared Treasury options as it has under Article 5 A draft supplement to the Options Disclosure summaries, set forth in sections (A), (B), XVII, Section 4 governing index Document (‘‘ODD’’) that describes the substance of and (C) below, of the most significant the By-Laws changes proposed herein will be filed aspects of such statements.2 with the Commission pursuant to Rule 9b–1 under 3 Securities Exchange Act Release No. 44184 the Act. Implementation of this rule change will be (April 16, 2001), 66 FR 20342 (April 20, 2001) [File coordinated with the distribution of the related 24 17 CFR 200.30–3(a)(12). No. SR–OCC–99–12]. ODD supplement. 1 15 U.S.C. 78s(b)(1). 4 Securities Exchange Act Release No. 48865 6 Securities Exchange Act Release No. 47418 2 The Commission has modified parts of these (December 2, 2003), 68 FR 68676 (December 9, (February 27, 2003), 68 FR 11439 (March 10, 2003) statements. 2003) [File No. SR–CBOE–2003–48]. [File No. SR–OCC–2002–09].
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(B) Self-Regulatory Organization’s with respect to the proposed rule I. Self-Regulatory Organization’s Statement on Burden on Competition change that are filed with the Statement of the Terms of Substance of OCC does not believe that the Commission, and all written the Proposed Rule Change communications relating to the proposed rule change would impose any PCX proposes to amend its Schedule proposed rule change between the burden on competition. of Fees and Charges For Exchange Commission and any person, other than Services in order to increase the Broker (C) Self-Regulatory Organization’s those that may be withheld from the Dealer Surcharge by $.05 to $.25 per Statement on Comments on the public in accordance with the contract. The text of the proposed rule Proposed Rule Change Received from provisions of 5 U.S.C. 552, will be change is available at the Office of the Members, Participants, or Others available for inspection and copying in Secretary, PCX, and at the Commission. Written comments were not and are the Commission’s Public Reference not intended to be solicited with respect Section, 450 Fifth Street, NW., II. Self-Regulatory Organization’s to the proposed rule change, and none Washington, DC 20549. Copies of such Statement of the Purpose of, and have been received. filing also will be available for Statutory Basis for, the Proposed Rule inspection and copying at the principal Change III. Date of Effectiveness of the office of OCC and on OCC’s Web site at Proposed Rule Change and Timing for http://www.optionsclearing.com. All In its filing with the Commission, Commission Action comments received will be posted PCX included statements concerning the Within thirty five days of the date of without change; the Commission does purpose of, and basis for, the proposed publication of this notice in the Federal not edit personal identifying rule change and discussed any Register or within such longer period (i) information from submissions. You comments it received on the proposed as the Commission may designate up to should submit only information that rule change. The text of these statements ninety days of such date if it finds such you wish to make available publicly. All may be examined at the places specified longer period to be appropriate and submissions should refer to File in Item IV below. PCX has prepared publishes its reasons for so finding or Number SR–OCC–2004–11 and should summaries, set forth in Sections A, B, (ii) as to which the self-regulatory be submitted on or before October 26, and C below, of the most significant organization consents, the Commission 2004. aspects of such statements. will: For the Commission by the Division of A. Self-Regulatory Organization’s (a) by order approve the proposed rule Market Regulation, pursuant to delegated Statement of the Purpose of, and change or authority.7 Statutory Basis for, the Proposed Rule (b) institute proceedings to determine Margaret H. McFarland, Change whether the proposed rule change Deputy Secretary. should be disapproved. 1. Purpose [FR Doc. E4–2486 Filed 10–4–04; 8:45 am] VI. Solicitation of Comments BILLING CODE 8010–01–P The purpose of this proposed rule change is to increase the Broker Dealer Interested persons are invited to Surcharge by $.05 per contract from $.20 submit written data, views, and to $.25 per contract. PCX states that the arguments concerning the foregoing, SECURITIES AND EXCHANGE rate increase is necessary to help narrow including whether the proposed rule COMMISSION the gap in trading costs between PCX change is consistent with the Act. [Release No. 34–50470; File No. SR–PCX– market makers and Broker Dealers as Comments may be submitted by any of 2004–88] well as to help offset the costs the following methods: associated with trading system Self-Regulatory Organizations; Pacific Electronic Comments enhancements that will allow for higher Exchange, Inc.; Notice of Filing and levels of transparency to Broker Dealers • Use the Commission’s Internet Immediate Effectiveness of Proposed accessing the PCX markets. comment form (http://www.sec.gov/ Rule Change to Amend its Schedule of rules/sro.shtml) or Fees and Charges for Exchange 2. Statutory Basis • Send an e-mail to rule- Services by Increasing its Broker [email protected]. Please include File Dealer Surcharge The proposed rule change is Number SR–OCC–2004–11 on the consistent with Section 6(b) of the Act,3 subject line. September 29, 2004. in general, and furthers the objectives of Pursuant to Section 19(b)(1) of the Section 6(b)(4) of the Act,4 in particular, Paper Comments Securities Exchange Act of 1934 in that it provides for the equitable • Send paper comments in triplicate (‘‘Act’’) 1 and Rule 19b–4 thereunder,2 allocation of dues, fees and other to Jonathan G. Katz, Secretary, notice is hereby given that on charges among its Options Trading Securities and Exchange Commission, September 23, 2004, the Pacific Permit Holders and other persons using 450 Fifth Street, NW., Washington, DC Exchange, Inc. (‘‘PCX’’ or ‘‘Exchange’’) its facilities for the purpose of trading 20549–0609. All submissions should filed with the Securities and Exchange option contracts. refer to File Number SR–OCC–2004–11. Commission (‘‘Commission’’) the B. Self-Regulatory Organization’s This file number should be included on proposed rule change as described in Statement on Burden on Competition the subject line if e-mail is used. To help Items I, II, and III below, which Items the Commission process and review have been prepared by PCX. The PCX does not believe that the your comments more efficiently, please Commission is publishing this notice to proposed rule change will impose any use only one method. The Commission solicit comments on the proposed rule burden on competition that is not will post all comments on the change from interested persons. necessary or appropriate in furtherance Commission’s Internet Web site (http:// of the purposes of the Act, as amended. www.sec.gov/rules/sro.shtml). Copies of 7 17 CFR 200.30–3(a)(12). the submission, all subsequent 1 15 U.S.C. 78s(b)(1). 3 15 U.S.C. 78f(b). amendments, all written statements 2 17 CFR 240.19b–4. 4 15 U.S.C. 78f(b)(4).
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C. Self-Regulatory Organization’s communications relating to the solicit comments on the proposed rule Statement on Comments on the proposed rule change between the change from interested persons. Proposed Rule Change Received from Commission and any person, other than Members, Participants, or Others those that may be withheld from the I. Self-Regulatory Organization’s public in accordance with the Statement of the Terms of Substance of Written comments on the proposed the Proposed Rule Change rule change were neither solicited nor provisions of 5 U.S.C. 552, will be available for inspection and copying in received. The Phlx proposes to amend its the Commission’s Public Reference schedule of dues, fees, and charges to III. Date of Effectiveness of the Room, 450 Fifth Street, NW., Proposed Rule Change and Timing for Washington, DC 20549. Copies of such revise its equity options payment for Commission Action filing will also be available for order flow program. The foregoing rule change establishes inspection and copying at the principal Equity Options Payment for Order Flow or changes a due, fee, or other charge office of PCX. All comments received Program Prior to September 22, 2004 imposed by the Exchange, and, will be posted without change; the therefore, has become effective pursuant Commission does not edit personal The Exchange recently amended its to Section 19(b)(3)(A)(ii) of the Act 5 and identifying information from equity options payment for order flow subparagraph (f)(2) of Rule 19b–4 submissions. You should submit only program.5 Pursuant to that program, for thereunder.6 At any time within 60 days information that you wish to make trades settling on or after August 2, of the filing of the proposed rule change, available publicly. All submissions 2004, the Exchange assessed a payment the Commission may summarily should refer to File No. SR–PCX–2004– for order flow fee as follows when abrogate such rule change if it appears 88 and should be submitted on or before Registered Options Traders (‘‘ROTs’’) to the Commission that such action is October 26, 2004. traded against a customer order: (1) necessary or appropriate in the public For the Commission, by the Division of $1.00 per contract for options on the interest, for the protection of investors, Market Regulation, pursuant to delegated Nasdaq-100 Index Tracking StockSM 7 or otherwise in furtherance of the authority. traded under the symbol QQQ;6 and (2) purposes of the Act. Margaret H. McFarland, $0.35 per contract for all other equity Deputy Secretary. IV. Solicitation of Comments options. The ROT payment for order [FR Doc. E4–2490 Filed 10–4–04; 8:45 am] flow fee is not assessed on transactions Interested persons are invited to BILLING CODE 8010–01–P between: (1) A specialist and a ROT; (2) submit written data, views, and a ROT and a ROT; (3) a ROT and a firm;7 arguments concerning the foregoing, and (4) a ROT and a broker-dealer.8 The including whether the proposed rule SECURITIES AND EXCHANGE ROT payment for order flow fee does change is consistent with the Act. COMMISSION not apply to index options or foreign Comments may be submitted by any of [Release No. 34–50471; File No. SR–PHLX– the following methods: currency options. Accordingly, the ROT 2004–60] payment for order flow fee applies, in Electronic Comments effect, to equity option transactions Self-Regulatory Organizations; Notice • Use the Commission’s Internet of Filing and Immediate Effectiveness between a ROT and a customer. In comment form (http://www.sec.gov/ of Proposed Rule Change by the addition, a 500 contract cap per rules/sro.shtml); or Philadelphia Stock Exchange, Inc. • 5 Send an e-mail to rule- Relating to its Equity Options Payment See SR–Phlx–2004–50 and SR–Phlx–2004–56. See infra note 19 for a discussion of the status of [email protected]. Please include File for Order Flow Program No. SR–PCX–2004–88 on the subject these filings. 6 QQQ is currently the most actively-traded line. September 29, 2004. equity option. The Nasdaq-100, Nasdaq-100 Pursuant to Section 19(b)(1) of the Paper Comments Index , Nasdaq , The Nasdaq Stock Market , Securities Exchange Act of 1934 Nasdaq-100 SharesSM, Nasdaq-100 TrustSM, Nasdaq- • Send paper comments in triplicate (‘‘Act’’)1 and Rule 19b–4 thereunder,2 100 Index Tracking StockSM, and QQQSM are to Jonathan G. Katz, Secretary, trademarks or service marks of The Nasdaq Stock notice is hereby given that on Market, Inc. (‘‘Nasdaq’’) and have been licensed for Securities and Exchange Commission, September 22, 2004, the Philadelphia use for certain purposes by the Phlx pursuant to a 450 Fifth Street, NW., Washington, DC Stock Exchange, Inc. (‘‘Phlx’’ or License Agreement with Nasdaq. The Nasdaq-100 20549–0609. ‘‘Exchange’’) filed with the Securities Index (‘‘Index’’) is determined, composed, and All submissions should refer to File and Exchange Commission calculated by Nasdaq without regard to the No. SR–PCX–2004–88. This file number Licensee, the Nasdaq-100 TrustSM, or the beneficial (‘‘Commission’’) the proposed rule owners of Nasdaq-100 SharesSM. Nasdaq has should be included on the subject line change as described in Items I, II, and complete control and sole discretion in if e-mail is used. To help the III below, which Items have been determining, comprising, or calculating the Index or Commission process and review your prepared by the Exchange. The Phlx has in modifying in any way its method for comments more efficiently, please use determining, comprising, or calculating the Index in designated this proposal as one the future. only one method. The Commission will changing a fee imposed by the Phlx 7 For the purposes of the equity options payment post all comments on the Commission’s under Section 19(b)(3)(A)(ii) of the Act3 for order flow program, a firm is defined as a Internet Web site (http://www.sec.gov/ and Rule 19b–4(f)(2) thereunder,4 which proprietary account of a member firm, and not the account of an individual member. rules/sro.shtml). Copies of the renders the proposal effective upon submission, all subsequent 8 For purposes of the equity options payment for filing with the Commission. The order flow program, broker-dealer orders are orders, amendments, all written statements Commission is publishing this notice to entered from other than the floor of the Exchange, with respect to the proposed rule for any account (i) in which the holder of beneficial interest is a member or non-member broker-dealer change that are filed with the 7 17 CFR 200.30–3(a)(12). or (ii) in which the holder of beneficial interest is Commission, and all written 1 15 U.S.C. 78s(b)(1). a person associated with or employed by a member 2 17 CFR 240.19b–4. or non-member broker-dealer. This includes orders 5 15 U.S.C. 78s(b)(3)(A)(ii). 3 15 U.S.C. 78s(b)(3)(A)(ii). for the account of an ROT entered from off-the- 6 17 CFR 240.19b–4(f)(2). 4 17 CFR 240.19b–4(f)(2). floor.
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individual cleared side of a transaction funds collected from ROTs in the verify the use and accuracy of the is imposed.9 options for which that specialist unit is payment for order flow funds remitted Specialist units10 elect to participate acting as the specialist, then that to the specialists based on their or not to participate in the program in specialist unit will be required to pay certification.17 all options in which they are acting as payment for order flow fees for that The Exchange also continues to a specialist by notifying the Exchange in month at the same rate as the ROTs. implement a quality of execution writing no later than five business days The Exchange bills the ROTs and program.18 prior to the start of the month.11 If collects the payment for order flow fees The above referenced program was in electing not to participate in the from the ROTs on a monthly basis.14 effect for trades settling on or after program, the specialist unit waives its The collected funds will be used by August 2, 2004.19 right to any reimbursement of payment each specialist unit to reimburse it for for order flow funds for the month(s) monies expended to attract options Proposed Equity Options Payment for during which it elected to opt out of the orders to the Phlx by making payments Order Flow Program Commencing program.12 to order flow providers who provide September 22, 2004 Specialist units may opt out entirely order flow to the Exchange. Each The Exchange proposes to charge a from the equity options payment for specialist will establish the amounts payment for order flow fee on order flow program, as long as they that will be paid to order flow transactions by Phlx ROTs of $1.00 per notify the Exchange in writing by the providers. Specialists receive their contract for options on the QQQ, 15th of the month.13 If a specialist unit respective funds only after submitting currently the most actively traded opts out of the program by the 15th of an Exchange certification form equity option, and $0.40 per contract for the month, no payment for order flow identifying the amount of the requested the remaining top 150 equity options, charges will be incurred for either the funds.15 Because the specialists are not other than the QQQ.20 The payment for specialist unit or ROTs for transactions being charged the payment for order in the affected options for that month. flow fee for their own transactions, they 17 See Exchange Rule 760. If a specialist unit opts into the may not request reimbursement for 18 See, e.g., Securities Exchange Act Release No. program, and does not request order flow funds in connection with any 43436 (October 11, 2000), 65 FR 63281 (October 23, reimbursement of at least 50% of the 2000) (SR–Phlx–2000–83). transactions to which they were a 19 total amount of payment for order flow 16 See SR–Phlx–2004–50 and SR–Phlx–2004–56, party. originally filed with the Commission on July 29, The Exchange may audit a specialist’s 2004 (subsequently amended on August 16, 2004) 9 Under the Exchange’s equity options payment payments to payment-accepting firms to and August 16, 2004, respectively. These proposed for order flow program, a 500 contract cap per rule changes were in effect until the Commission individual cleared side of a transaction is imposed. 14 issued an abrogation order on September 22, 2004, Thus, the applicable payment for order flow fee is Originally, in filing SR–Phlx–2004–50, the Exchange proposed that the collected payment for which effectively rescinded the proposed rule imposed only on the first 500 contracts, per changes as of the date of abrogation. See Securities individual cleared side of a transaction. For order flow fees be combined in one account to form a ‘‘pool.’’ If, after taking into account all requests Exchange Act Release No. 50420 (September 22, example, if a transaction consists of 750 contracts 2004). In addition, on August 31, 2004, the by one ROT, the applicable payment for order flow for reimbursement in a given month, the amount in the pool would be insufficient to satisfy all such Exchange filed SR–Phlx–2004–58 with the fee would be applied to, and capped at, 500 Commission, which proposed to increase the contracts for that transaction. Also, if a transaction requests, then the reimbursement requests would be reduced on a proportionate basis among the payment for order flow fee of $0.35 per contract to consists of 600 contracts, but is equally divided requesting specialists for that month based on $0.40 per contract for all equity options, other than among three ROTs, the 500 contract cap would not contracts executed by ROTs in the specialists’ options on the QQQ, to be effective for trades apply to any such ROT and each ROT would be respective options. The amount by which the settling on or after September 1, 2004. On assessed the applicable payment for order flow fee requests exceed the proportionate reimbursement September 22, 2004, the Exchange withdrew SR– on 200 contracts, as the payment for order flow fee may not be recovered in future months (and would Phlx–2004–58 and filed with the Commission SR– is assessed on a per ROT, per transaction basis. See not carry forward as claims against the pool). If Phlx–2004–60 and SR–Phlx–2004–61, which are Securities Exchange Act Release Nos. 47958 (May there were any excess funds after monthly intended to address payment for order flow fees 30, 2003), 68 FR 34026 (June 6, 2003) (proposing reimbursements, those funds would carry forward imposed on trades settling on or after September 1, SR–Phlx–2002–87); and 48166 (July 11, 2003), 68 to be used for future requests. The Exchange 2004. FR 42450 (July 17, 2003) (approving SR–Phlx– subsequently proposed to amend this aspect of its In SR–Phlx–2004–50, the Phlx also made a 2002–87). See also SR–Phlx–2004–50. equity options payment for order flow program. For technical update to a footnote on the first page of 10 The terms ‘‘specialist’’ and ‘‘specialist unit’’ are the month of August 2004, the Exchange has the Exchange’s Summary of Equity Option Charges used interchangeably herein. proposed to require specialists to request by deleting a page reference and inserting a 11 A specialist unit must notify the Exchange in reimbursement for payment for order flow funds on reference to a section header in its place. writing to either elect to participate or not to an option-by-option basis and that any excess 20 The top 150 options will be calculated based participate in the program. Once a specialist unit payment for order flow funds collected but not on the most actively traded equity options in terms has either elected to participate or not to participate reimbursed to specialists would be rebated back to of the total number of contracts that are traded in the Exchange’s equity options payment for order the affected ROTs on an option-by-option basis. See nationally, based on volume statistics provided by flow program in a particular month, it is not SR–Phlx–2004–61. the Options Clearing Corporation (‘‘OCC’’) and that required to notify the Exchange in a subsequent 15 While all determinations concerning the are also traded on the Exchange. For example, if month, as described above, if it does not intend to amount that will be paid for orders and which order two of the most actively traded equity options, change its participation status. For example, if a flow providers shall receive these payments will be based on volume statistics provided by the OCC are specialist unit elected to participate in the program made by the specialists, the specialists will provide not traded on the Exchange, then the next two most and provided the Exchange with the appropriate to the Exchange on an Exchange form certain actively traded equity options that are traded on the notice, that specialist unit would not be required to information, such as what firms they paid for order Exchange will be selected. (For example, if the list notify the Exchange in the subsequent month(s) if flow, the amount of the payment and the price paid of the top 150 options includes two options that are it intends to continue to participate in the program. per contract. The purpose of the form, in part, is not traded on the Exchange, then the options However, if it elects not to participate (a change to assist the Exchange in determining the ranked 151 and 152 will be included in the from its current status), it would need to notify the effectiveness of the proposed fee and to account for Exchange’s top 150, assuming those options are Exchange in accordance with the requirements and track the funds transferred to specialists, traded on the Exchange). The measuring periods for stated above. consistent with normal bookkeeping and auditing the top 150 options will be calculated every three 12 For any month (or part of a month where an practices. In addition, certain administrative duties months. For example, for trade months September, option is allocated mid-month) the specialist unit will be provided by the Exchange to assist the October and November, the measuring period to has elected to opt out of the program, no ROT specialists. determine the top 150 options will be based on payment for order flow fee will apply. 16 The amount a specialist may receive in volume statistics from May, June and July. This 13 If the 15th of the month is not a business day, reimbursement is limited to the percentage of ROT cycle will continue every three months. Members the specialist unit may notify the Exchange of its monthly volume to total specialist and ROT will be notified of the top 150 options desire to opt out of the program by the next monthly volume in the equity options payment for approximately two weeks before the beginning of a business day. order flow program. Continued
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order flow fee will continue to apply to establish the amounts that will be paid entering into the equity options customer orders.21 In addition, the 500 to order flow providers. payment for order flow program for that contract cap per individual cleared side Any excess payment for order flow option for the next three months. of a transaction will continue to be funds will be carried forward to the next If a specialist unit opts into the imposed.22 month by option and may not be program (and does not opt out of the The payment for order flow fee will applied retroactively to past deficits, program entirely by the 15th day of the be billed and collected on a monthly which may be incurred when the month or by option by the third basis. Because the specialists are not specialist requests more than the business day after the end of the month) being charged the payment for order amount collected.25 Thus, excess funds and does not request reimbursement by flow fee for their own transactions, they will not be rebated to ROTs except in option of at least 50% of the total may not request reimbursement for the limited situation discussed below, amount of payment for order flow funds order flow funds in connection with any nor will deficits carry forward to billed to and collected from ROTs for transactions to which they were a subsequent months. ROTs may, each option in which that specialist unit party.23 however, receive a rebate of excess is acting as the specialist, then any Specialists will request payment for funds in a particular option for a excess payment for order flow funds order flow reimbursements on an particular month if the specialist unit remaining after the specialist has been option-by-option basis. The collected does not request reimbursement by reimbursed will be rebated, on a pro rata funds will be used by each specialist option of at least 50% of the total basis, to the affected ROTs for those unit to reimburse it for monies amount of payment for order flow funds particular options in which the 50% expended to attract options orders to the billed to and collected from ROTs for threshold was not met.27 Exchange by making payments to order each option in which that specialist unit Consistent with current practice, the flow providers who provide order flow is acting as specialist, as more fully Exchange may audit a specialist’s to the Exchange. They will receive their described below. The Exchange will payments to payment-accepting firms to respective funds only after submitting periodically review its equity options verify the use and accuracy of the an Exchange certification form payment for order flow program to payment for order flow funds remitted identifying the amount of the requested determine whether a cap on the amount to the specialists based on their funds.24 Each specialist unit will collected for each option should be certification.28 imposed in the future.26 The Exchange will also continue to new three-month trading period. As discussed Consistent with the Exchange’s implement a quality of execution below, the payment for order flow fees are incurred current equity options payment for program.29 Other aspects of the only when the specialist elects to participate in the Exchange’s equity options payment for equity options payment for order flow program. The order flow program, specialists units Exchange’s fee schedule will reflect the fee of $1.00 may opt out entirely from the program order flow program will remain for options on the QQQ and $0.40 for the remaining as long as they notify the Exchange in unchanged.30 top 150 equity options, other than the QQQ. Any writing by the 15th of the month, or the The payment for order flow fees as set change to the rate at which the payment for order next business day if the 15th of the forth in this proposal would be in effect flow fee is assessed would be the subject of a for trades settling on or after September separate proposed rule change filed with the month is not a business day. If a 31 Commission. specialist unit opts out of the program 22, 2004. 21 Thus, consistent with current practice, the ROT by the 15th of the month, no payment payment for order flow fee is not assessed on for order flow charges will be incurred 27 For example, if a specialist unit requests transactions between: (1) A specialist and a ROT; $10,000 in reimbursement for one option and the (2) a ROT and a ROT; (3) a ROT and a firm; and for either the specialist unit or ROTs for total amount billed and collected from the ROTS (4) a ROT and a broker-dealer. The ROT payment transactions in the affected options for was $30,000, then the specialist unit did not satisfy for order flow fee does not apply to index options that month. the 50% threshold, given the fact that it did not or foreign currency options. Accordingly, the ROT In addition to opting out entirely from request reimbursement of at least $15,000. payment for order flow fees applies, in effect, to Therefore, the remaining amount of $20,000 will be equity option transactions between a ROT and a the program, specialists may opt out of rebated to the ROTs on a pro rata basis. If ROT A customer. the program on an option-by-option was assessed $15,000 in payment for order flow 22 See supra note 9. basis if they notify the Exchange in fees, he would receive a rebate of $10,000 ($15,000/ 23 The amount a specialist may receive in writing no later than three business days $30,000 = 50% and 50% of $20,000 is $10,000). If ROT B was assessed $8,000 in payment for order reimbursement is limited to the percentage of ROT after the end of the month (which is monthly volume to total specialist and ROT flow fees, it would receive $5,333.33, which monthly volume in the equity options payment for before the payment for order flow fee is represents 26.67% ($8,000/$30,000) of $20,000. If order flow program. For example, if a specialist unit billed). If a specialist unit opts out of an ROT C was assessed $7,000 in payment for order has a payment for order flow arrangement with an option at the end of the month then no flow fees, it would receive $4,666.67, which represents 23.33% ($7,000/$30,000) of $20,000. order flow provider to pay that order flow provider payment for order flow fees will be $0.70 per contract for order flow routed to the 28 See Exchange Rule 760. Exchange and that order flow provider sends 90,000 assessed on the applicable ROT(s) for 29 See, e.g., Securities Exchange Act Release No. customer contracts to the Exchange in one month that option. If a specialist unit opts out 43436 (October 11, 2000), 65 FR 63281 (October 23, for one option, then the specialist would be of the program in a particular option 2000) (SR–Phlx–2000–83). required, pursuant to its agreement with the order more than two times in a six-month 30 For example, specialists will elect to participate flow provider, to pay the order flow provider or not to participate in all options in which they $63,000 for that month. Assuming that the 90,000 period, it will be precluded from are acting as a specialist by notifying the Exchange represents 30,000 specialist transactions, 20,000 in writing no later than five business days prior to ROT transactions and 40,000 transactions from 25 Specialists may not receive more than the the start of the month. Once a specialist unit elects firms, broker-dealers and other customers, the payment for order flow amount billed and collected to participate or not to participate in the program, specialist may request reimbursement of up to 40% in a given month; however, the amounts specialists the specialist does not have to notify the Exchange (20,000/50,000) of the amount paid ($63,000 x receive may include excesses, if any, for that in a subsequent month if it does not intend to 40%=$25,200). However, because the ROTs will option, carried forward from prior months, up to change its participation status. (See supra note 11). have paid $8,000 into the payment for order flow the payment for order flow amount billed and Specialists will waive the right to reimbursement of fund for that month, the specialist may collect only collected in such month. Telephone conversation payment for order flow funds for the month(s) $8,000 (20,000 contracts x $0.40 per contract) of its between Cynthia K. Hoekstra, Counsel, Phlx, and during which it elected to opt out of the program. $25,200 reimbursement request plus, if applicable, David Liu, Attorney, Division of Market Regulation, 31 Because SR–Phlx–2004–50 has no legal effect any excess funds for that particular option carried Commission, on September 24, 2004. as of the date of its abrogation, the Exchange’s over from a prior month up to the specialist’s 26 Any such cap would have to be filed with the Summary of Equity Option Charges reflects changes $25,200 reimbursement request. Commission as a proposed rule change under that were proposed in SR–Phlx–2004–50. The 24 See supra note 15. Section 19(b)(1) of the Act. Exchange has also filed a separate proposed rule
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Below is the text of the proposed rule $0.10 per contract side—see [$50,000 for trades occurring as part of a change. Proposed new language is in ‘‘Firm Related’’ Equity Option and dividend spread strategy. italics; deletions are in [brackets]. Index Option Cap.] $50,000 ‘‘Firm ⊕ These fees are waived from May 1, Related’’ Equity Option and Index SUMMARY OF EQUITY OPTION 2004 until August 31, 2004 for Option Cap. transactions in equity options that begin CHARGES (p. 1/[3]3) ∧ Specialists may also elect to pay a trading on the Exchange between fixed fee monthly charge, see Specialist OPTION COMPARISON CHARGE January 1, 2004 and June 30, 2004. (applicable to all trades—except Unit Fixed Monthly Fee described specialist trades) below. Footnotes 9–13—no change. * ROTs are eligible for a $.08/contract SUMMARY OF EQUITY OPTION * * * * * side rebate and specialists who have not CHARGES (p. 2/[3]3) + Subject to a maximum fee of elected the fixed monthly fee are $50,000, except for QQQ license fees of eligible for a $.07/contract side rebate * * * * *
[SUMMARY OF EQUITY OPTION CHARGES (P. 3/3)] [EQUITY OPTION PAYMENT FOR ORDER FLOW FEES*] [Registered Option Trader (on-floor): ** + QQQ (NASDAQ–100 Index Tracking StockSM) ...... $1.00 per contract. Remaining equity options subject to charge ...... $0.35 per contract. * Assessed on transactions resulting from customer orders ** Subject to a 500-contract cap, per individual cleared side of a transaction. + Only incurred when the specialist elects to participate in the payment for order flow program]
SUMMARY OF EQUITY OPTION CHARGES (p. 3/3) EQUITY OPTION PAYMENT FOR ORDER FLOW FEES * Registered Option Trader (on-floor)** + QQQ (NASDAQ–100 Index Tracking Stock SM) ...... $1.00 per contract. Remaining Top 150 Equity Options ...... $0.40 per contract. * Assessed on transactions resulting from customer orders, subject to a 500-contract cap, per individual cleared side of a transaction ** Any excess payment for order flow funds will be carried forward to the next month by option and will not be rebated to ROTs. ROTs may, however, receive a rebate of any excess funds in a particular option for a particular month if the specialist unit does not request reim- bursement by option of at least 50% of the total amount of payment for order flow funds billed and collected from ROTs for each option in which that specialist unit is acting as specialist. +Only incurred when the specialist elects to participate in the payment for order flow program
II. Self-Regulatory Organization’s generated by the $1.00 or $0.40 payment Exchange to compete with other markets Statement of the Purpose of, and for order flow fees, as outlined in this in attracting customer order flow. Statutory Basis for, the Proposed Rule proposal, is intended to be used by Because the payment for order flow fees Change specialist units to compete for order are collected only from member flow in equity options listed for trading organizations respecting customer In its filing with the Commission, the on the Exchange. The Exchange believes Phlx included statements concerning transactions, the Phlx believes that there that, in today’s competitive is a direct and fair correlation between the purpose of and basis for the environment, changing its equity proposed rule change and discussed any those members who fund the equity options payment for order flow program options payment for order flow fee comments it received on the proposed to compete more directly with other rule change. The text of these statements program and those who receive the options exchanges is important and benefits of the program. The Exchange may be examined at the places specified appropriate. in Item IV below. The Phlx has prepared states that ROTs also potentially benefit The Phlx states that the purpose of summaries, set forth in sections A, B, from additional customer order flow. In imposing the 50% threshold is to and C below, of the most significant addition, the Phlx believes that the encourage specialists to have payment aspects of such statements. proposed payment for order flow fees for order flow arrangements in place would serve to enhance the A. Self-Regulatory Organization’s before electing to participate in the competitiveness of the Phlx and its Statement of the Purpose of, and Exchange’s equity options payment for members and that this proposal Statutory Basis for, the Proposed Rule order flow program. Change therefore is consistent with and furthers 2. Basis the objectives of the Act, including 1. Purpose Section 6(b)(5) thereof,34 which requires The Exchange believes that its The Exchange represents that the proposal to amend its schedule of dues, the rules of exchanges to be designed to purpose of the proposed rule change is fees and charges is consistent with promote just and equitable principles of to adopt a more competitive equity Section 6(b) of the Act 32 in general, and trade, and to remove impediments to options payment for order flow furthers the objectives of Sections and perfect the mechanism of a free and program. Equity options payment for 6(b)(4) of the Act 33 in particular, in that open market and a national market order flow programs are in place at each it is an equitable allocation of system. The Phlx believes that attracting of the other options exchanges. The reasonable fees among Phlx members more order flow to the Exchange should, Exchanges states that the revenue and that it is designed to enable the in turn, result in increased liquidity,
change to implement the payment for order flow through September 21, 2004. See SR–Phlx–2004– 33 15 U.S.C. 78f(b)(4). fee, as outlined in this proposal, to be in effect for 61. 34 15 U.S.C. 78f(b)(5). trades settling on or after September 1, 2004 32 15 U.S.C. 78f(b).
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tighter markets and more competition All submissions should refer to File damages caused by Hurricane Ivan among exchange members. Number SR–PHLX–2004–60. This file occurring on September 13, 2004 and number should be included on the continuing. B. Self-Regulatory Organization’s subject line if e-mail is used. To help the In addition, applications for economic Statement on Burden on Competition Commission process and review your injury loans from small businesses The Exchange does not believe that comments more efficiently, please use located in the contiguous counties of the proposed rule change will impose only one method. The Commission will Chambers, Cherokee, Cleburne, Colbert, any inappropriate burden on post all comments on the Commission’s DeKalb, Henry, Jackson, Lauderdale, competition. Internet Web site (http://www.sec.gov/ Limestone, Madison, Morgan, C. Self-Regulatory Organization’s rules/sro.shtml). Copies of the Randolph, and Russell in the State of submission, all subsequent Statement on Comments on the Alabama; Clay, Harris, Muscogee, amendments, all written statements Proposed Rule Change Received From Quitman, and Stewart in the State of with respect to the proposed rule Members, Participants, or Others Georgia; and Clarke, Itawamba, Kemper, change that are filed with the Lauderdale, Lowndes, Monroe, No written comments were either Commission, and all written Noxubee, and Tishomingo in the State solicited or received.35 communications relating to the of Mississippi may be filed until the III. Date of Effectiveness of the proposed rule change between the specified date at the previously Proposed Rule Change and Timing for Commission and any person, other than designated location. All other counties Commission Action those that may be withheld from the contiguous to the above named primary public in accordance with the counties have previously been declared. The foregoing proposed rule change provisions of 5 U.S.C. 552, will be The economic injury number assigned has been designated as a fee change available for inspection and copying in to Georgia is 9AA500. pursuant to Section 19(b)(3)(A)(ii) of the the Commission’s Public Reference All other information remains the Act 36 and Rule 19b–4(f)(2) 37 Room. Copies of such filing also will be same, i.e., the deadline for filing thereunder, because it establishes or available for inspection and copying at applications for physical damage is changes a due, fee, or other charge the principal office of the Phlx. All November 15, 2004 and for economic imposed by the Exchange. Accordingly, comments received will be posted injury the deadline is June 15, 2005. the proposal will take effect upon filing without change; the Commission does with the Commission. At any time (Catalog of Federal Domestic Assistance not edit personal identifying Program Nos. 59002 and 59008) within 60 days of the filing of such information from submissions. You proposed rule change, the Commission should submit only information that Dated: September 27, 2004. may summarily abrogate such rule you wish to make available publicly. All Herbert L. Mitchell, change if it appears to the Commission submissions should refer to File Associate Administrator for Disaster that such action is necessary or Number SR–PHLX–2004–60 and should Assistance. appropriate in the public interest, for be submitted on or before October 26, [FR Doc. 04–22291 Filed 10–4–04; 8:45 am] the protection of investors, or otherwise 2004. BILLING CODE 8025–01–P in furtherance of the purposes of the For the Commission, by the Division of Act. Market Regulation, pursuant to delegated 38 SMALL BUSINESS ADMINISTRATION IV. Solicitation of Comments authority. Margaret H. McFarland, [Declaration of Disaster #3635] Interested persons are invited to Deputy Secretary. submit written data, views, and State of Florida arguments concerning the foregoing, [FR Doc. E4–2489 Filed 10–4–04; 8:45 am] including whether the proposed rule BILLING CODE 8010–01–P As a result of the President’s major change is consistent with the Act. disaster declaration on September 26, Comments may be submitted by any of 2004, and a notice received from the the following methods: SMALL BUSINESS ADMINISTRATION Department of Homeland Security— Federal Emergency Management Electronic Comments Declaration of Disaster #3624; State of Agency—on September 27, 2004, I find • Use the Commission’s Internet Alabama (Amendment #1) that Brevard, Hardee, Hernando, comment form (http://www.sec.gov/ In accordance with a notice received Highlands, Hillsborough, Indian River, rules/sro.shtml); or from the Department of Homeland Lake, Marion, Martin, Okeechobee, • Send an e-mail to rule- Security—Federal Emergency Orange, Osceola, Palm Beach, Pasco, [email protected]. Please include File Management Agency—effective Pinellas, Polk, Seminole, St. Lucie, Number SR–PHLX–2004–60 on the September 23, 2004, the above Sumter, and Volusia Counties in the subject line. numbered declaration is hereby State of Florida constitute a disaster area due to damages caused by Hurricane Paper Comments amended to include Autauga, Barbour, Bibb, Blount, Bullock, Calhoun, Chilton, Jeanne occurring on September 24, 2004 • Send paper comments in triplicate Choctaw, Clay, Coosa, Cullman, Dallas, and continuing. Applications for loans to Jonathan G. Katz, Secretary, Dale, Elmore, Etowah, Fayette, Franklin, for physical damage as a result of this Securities and Exchange Commission, Greene, Hale, Jefferson, Lamar, disaster may be filed until the close of 450 Fifth Street, NW., Washington, DC Lawrence, Lee, Lowndes, Macon, business on November 26, 2004 and for 20549–0609. Marengo, Marshall, Marion, economic injury until the close of Montgomery, Perry, Pickens, Pike, business on June 27, 2005 at the address 35 Previously, in connection with SR–Phlx–2004– Shelby, St. Clair, Sumter, Talladega, listed below or other locally announced 50, the Exchange received one written comment letter dated August 10, 2004, which was forwarded Tallapoosa, Tuscaloosa, Walker, Wilcox, locations: U.S. Small Business to the Commission on August 20, 2004. and Winston as disaster areas due to Administration, Disaster Area 2 Office, 36 15 U.S.C. 78s(b)(A)(ii). One Baltimore Place, Suite 300, Atlanta, 37 17 CFR 240.19b–4(f)(2). 38 17 CFR 200.30–3(a)(12). GA 30308.
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In addition, applications for economic contiguous to the above named primary Morgan, and Wood Counties as disaster injury loans from small businesses counties have previously been declared. areas due to damages caused by severe located in the following contiguous All other information remains the storms, flooding and landslides counties may be filed until the specified same, i.e., the deadline for filing occurring on September 16, 2004, and date at the above location: Alachua, applications for physical damage is continuing. Broward, Charlotte, Citrus, DeSoto, November 18, 2004 and for economic In addition, applications for economic Flagler, Glades, Hendry, Levy, Manatee, injury the deadline is June 20, 2005. injury loans from small businesses and Putnam in the State of Florida. (Catalog of Federal Domestic Assistance located in the contiguous counties of The interest rates are: Program Nos. 59002 and 59008). Boone, Clay, Fayette, Hampshire, Dated: September 27, 2004. Jefferson, Logan, Mingo, Nicholas, Percent Putnam, Raleigh, and Wayne in the Herbert L. Mitchell, State of West Virginia; Athens, Gallia, For Physical Damage: Associate Administrator for Disaster Assistance. Lawrence, and Meigs in the State of Homeowners with credit avail- Ohio; Allegany and Washington able elsewhere ...... 6.375 [FR Doc. 04–22288 Filed 10–4–04; 8:45 am] Counties in the State of Maryland; and Homeowners without credit BILLING CODE 8025–01–P available elsewhere ...... 3.187 Clarke and Frederick Counties in the Businesses with credit available Commonwealth of Virginia may be filed elsewhere ...... 5.800 SMALL BUSINESS ADMINISTRATION until the specified date at the previously Businesses and non-profit orga- designated location. All other counties nizations without credit avail- Declaration of Disaster #3634; contiguous to the above named primary able elsewhere ...... 2.900 Commonwealth of Puerto Rico counties have previously been declared. Others (including non-profit or- (Amendment #1) The economic injury number assigned ganizations) with credit avail- to Maryland is 9AA200 and Virginia is able elsewhere ...... 4.875 In accordance with notices received For Economic Injury 9AA300. from the Department of Homeland All other information remains the Businesses and small agricul- Security—Federal Emergency tural cooperatives without same, i.e., the deadline for filing credit available elsewhere ..... 2.900 Management Agency—effective applications for physical damage is September 19 and 22, 2004, the above November 19, 2004 and for economic The number assigned to this disaster numbered declaration is hereby injury the deadline is June 20, 2005. for physical damage is 363508 and for amended to establish the incident period for this disaster as beginning (Catalog of Federal Domestic Assistance economic injury the number is 9AA400. Program Nos. 59002 and 59008) September 14, 2004 and continuing (Catalog of Federal Domestic Assistance through September 19, 2004. The Dated: September 27, 2004. Program Nos. 59002 and 59008). declaration is also amended to include Herbert L. Mitchell, Dated: September 28, 2004. the municipalities of Caguas and Associate Administrator for Disaster Herbert L. Mitchell, Vieques as disaster areas due to Assistance. Associate Administrator for Disaster damages caused by Tropical Storm [FR Doc. 04–22292 Filed 10–4–04; 8:45 am] Assistance. Jeanne. All other municipalities BILLING CODE 8025–01–P [FR Doc. 04–22290 Filed 10–4–04; 8:45 am] contiguous to the above named primary BILLING CODE 8025–01–P municipalities have previously been declared. DEPARTMENT OF THE TREASURY All other information remains the SMALL BUSINESS ADMINISTRATION same, i.e., the deadline for filing Submission for OMB Review; applications for physical damage is Comment Request [Declaration of Disaster #3632] November 22, 2004 and for economic injury the deadline is June 21, 2005. September 14, 2004. The Department of Treasury has Commonwealth of Pennsylvania; (Catalog of Federal Domestic Assistance Amendment #2 Program Nos. 59002 and 59008) submitted the following public information collection requirement(s) to In accordance with a notice received Dated: September 27, 2004. OMB for review and clearance under the from the Department of Homeland Herbert L. Mitchell, Paperwork Reduction Act of 1995, Security—Federal Emergency Associate Administrator for Disaster Public Law 104–13. Copies of the Management Agency—effective Assistance. submission(s) may be obtained by September 22, 2004, the above [FR Doc. 04–22289 Filed 10–4–04; 8:45 am] calling the Treasury Bureau Clearance numbered declaration is hereby BILLING CODE 8025–01–P Officer listed. Comments regarding this amended to include Franklin, Lebanon, information collection should be Montour, Tioga, and York counties as addressed to the OMB reviewer listed disaster areas due to damages caused by SMALL BUSINESS ADMINISTRATION and to the Treasury Department Tropical Depression Ivan occurring on Declaration of Disaster #3633; State of Clearance Officer, Department of the September 17, 2004 and continuing. West Virginia (Amendment #1) Treasury, Room 11000, 1750 In addition, applications for economic Pennsylvania Avenue, NW., injury loans from small businesses In accordance with a notice received Washington, DC 20220. located in the contiguous county of from the Department of Homeland DATES: Written comments should be Steuben in the State of New York; and Security—Federal Emergency received on or before November 4, 2004 Baltimore, Carroll, Frederick, and Management Agency—effective to be assured of consideration. Harford Counties in the State of September 24, 2004, the above Maryland may be filed until the numbered declaration is hereby Internal Revenue Service (IRS) specified date at the previously amended to include Berkeley, Cabell, OMB Number: 1545–1882. designated location. All other counties Jackson, Kanawha, Lincoln, Mason, Form Number: IRS Form 8877.
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Type of Review: Extension. DEPARTMENT OF THE TREASURY Respondents: Business or other for- Title: Request for Waiver of Annual profit, Individuals or households. Submission for OMB Review; Income Recertification Requirement for Estimated Number of Respondents: Comment Request the Low-Income Housing Credit. 20. Estimated Burden Hours Respondent: Description: Owners of low-income September 23, 2004. 1 hour, 13 minutes. housing buildings that are 100% The Department of Treasury has Frequency of response: Annually. occupied by low-income tenants may submitted the following public Estimated Total Reporting Burden: request a waiver from the annual information collection requirement(s) to 1,460 hours. recertification of income requirement, as OMB for review and clearance under the OMB Number: 1545–1345. Paperwork Reduction Act of 1995, provided by Code section 42(g)(8)(B). Regulation Project Number: CO–99– Public Law 104–13. Copies of the Respondents: Business or other for- 91 Final. submission(s) may be obtained by profit, individuals or households. Type of Review: Extension. calling the Treasury Bureau Clearance Title: Limitations on Corporate Net Estimated Number of Respondents/ Officer listed. Comments regarding this Recordkeepers: 200. Operating Loss. information collection should be Description: This regulation modifies Estimated Burden Hours Respondent/ addressed to the OMB reviewer listed the application of segregation rules Recordkeeper: and to the Treasury Department under section 382 in the case of certain Clearance Officer, Department of the issuances of stock by a loss corporation. Recordkeeping ...... 5 hr., 15 min. Treasury, Room 11000, 1750 This regulation provides that the Learning about the law or 1 hr., 17 min. Pennsylvania Avenue, NW., segregation rules do not apply to small the form. Washington, DC 20220. Preparing, Copying, as- 1 hr., 25 min. issuances of stock, as defined, and apply DATES: sembling and sending Written comments should be only in part to certain other issuances of the form to the IRS. received on or before November 4, 2004 stock for cash. to be assured of consideration. Respondents: Business or other for- Frequency of response: On occasion. Internal Revenue Service (IRS) profit, Farms. Estimated Total Reporting/ Estimated Number of Respondents: 1. OMB Number: 1545–1205. Recordkeeping Burden: 1,598 hours. Estimated Burden Hours Respondent: Form Number: IRS Form 8826. 1 hour. OMB Number: 1545–1890. Type of Review: Extension. Frequency of response: On occasion. Revenue Procedure Number: Revenue Title: Disabled Access Credit. Estimated Total Reporting Burden: 1 Procedure 2004–44. Description: Code section 44 allows hour. eligible small businesses to claim a non- OMB Number: 1545–1352. Type of Review: Extension. refundable income tax credit of 50% of Regulation Project Number: PS–276– Title: Extension of the Amortization the amount of eligible access 76 Final. Period. expenditures for any tax year that Type of Review: Extension. exceed $250 but do not exceed $10,250. Description: This revenue procedure Title: Treatment of Gain from Form 8826 figures the credit and the tax describes the process for obtaining an Disposition of Certain Natural Resource limit. extension of the amortization period for Recapture Property. Respondents: Business or other for- the minimum funding standards set Description: This regulation profit, Individuals or households, forth in section 412(e) of the Code. prescribes rules for determining the tax Farms. treatment of gain from the disposition of Respondents: Business of other for- Estimated Number of Respondents/ natural resource recapture property in profit, not-for-profit institutions, farms, Recordkeepers: 26,133. accordance with Internal Revenue Code State, Local or Tribal Government. Estimated Burden Hours Respondent/ section 1254. Gain is treated as ordinary Estimated Number of Respondents/ Recordkeeper: income in an amount equal to the Recordkeepers: 25. Recordkeeping—6 hr., 13 min. intangible drilling and development Estimated Burden Hours Respondent/ Learning about the law or the form—42 costs and depletion deductions taken Recordkeeper: 100 hours. min. with respect to the property. The Frequency of response: Other (one Preparing and sending the form to the information that taxpayers are required response). IRS—49 min. to retain will be used by the IRS to Frequency of response: Annually. Estimated Total Reporting/ determine whether a taxpayer has Estimated Total Reporting/ Recordkeeping Burden: 2,500 hours. properly characterized gain on the Recordkeeping Burden: 202,270 hours. disposition of section 1254 property. Clearance Officer: Paul H. Finger (202) OMB Number: 1545–1292. Respondents: Business of other for- 622–4078, Internal Revenue Service, Regulation Project Number: PS–97–91 profit, Individuals or households. Room 6516, 1111 Constitution and PS–101–90 Final. Estimated Number of Respondents/ Avenue, NW., Washington, DC 20224. Type of Review: Extension. Recordkeepers: 400. OMB Reviewer: Joseph F. Lackey, Jr. Title: Enhanced Oil Recovery Credit. Estimated Burden Hours Respondent/ (202) 395–7316, Office of Description: This regulation provides Recordkeeper: 5 hours. Management and Budget, Room guidance concerning the costs subject to Frequency of response: On occasion. 10235, New Executive Office the enhanced oil recovery credit, the Estimated Total Reporting/ Building, Washington, DC 20503. circumstances under which the credit is Recordkeeping Burden: 2,000 hours. available, and procedures for certifying OMB Number: 1545–1362. Lois K. Holland, to the Internal Revenue Service that a Form Number: IRS Form 8835. Treasury PRA Clearance Officer. project meets the requirements of Type of Review: Extension. [FR Doc. 04–22304 Filed 10–4–04; 8:45 am] section 43(c) of the Internal Revenue Title: Renewable Electricity BILLING CODE 4830–01–P Code. Production Credit.
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Description: Filers claiming the Dated: September 29, 2004. SUPPLEMENTARY INFORMATION: The OCC general business credit for electricity Barbara Angus, is proposing to extend OMB approval of produced from certain renewable International Tax Counsel, (Tax Policy). the following information collection: resources under code sections 38 and 45 [FR Doc. 04–22366 Filed 10–4–04; 8:45 am] Title: Transfer Agent Registration and must file Form 8835. BILLING CODE 4810–25–M Amendment Form—Form TA–1. Respondents: Business or other for- OMB Number: 1557–0124. profit, Individuals or households. Description: Section 17A(c) of the DEPARTMENT OF THE TREASURY Securities Exchange Act of 1934 (Act), Estimated Number of Respondents/ as amended by the Securities Act Recordkeepers: 70. Office of the Comptroller of the Amendments of 1975, provides that all Estimated Burden Hours Respondent/ Currency those authorized to transfer securities Recordkeeper: registered under Section 12 of the Act Agency Information Collection Recordkeeping—9 hr., 48 min. (transfer agents) shall register by filing Activities: Submission for OMB with the appropriate regulatory agency Learning about the law or the form— 24 Review; Comment Request an application for registration in such min. AGENCY: Office of the Comptroller of the form and containing such information Preparing and sending the form to the Currency (OCC), Treasury. and documents as such appropriate IRS—34 min. regulatory agency may prescribe to be ACTION: Notice and request for comment. necessary or appropriate, in furtherance Frequency of response: On occasion; of the purposes of this section. The Annually. SUMMARY: The OCC, as part of its continuing effort to reduce paperwork OCC, Federal Deposit Insurance Estimated Total Reporting/ and respondent burden, invites the Corporation, and the Board of Governors Recordkeeping Burden: 755 hours. general public and other Federal of the Federal Reserve jointly developed Clearance Officer: Paul H. Finger, agencies to take this opportunity to Form TA–1 to satisfy this statutory (202) 622–4078, Internal Revenue comment on a continuing information requirement. Service, Room 6516, 1111 Constitution collection, as required by the Paperwork National bank transfer agents use Avenue, NW., Washington, DC 20224. Reduction Act of 1995. The OCC is Form TA–1 to register or amend OMB Reviewer: Joseph F. Lackey, Jr., soliciting comment concerning its registration as transfer agents. The OCC (202) 395–7316, Office of Management information collection titled, ‘‘Transfer uses the information to determine and Budget, Room 10235, New Agent Registration and Amendment whether to allow, deny, accelerate, or Executive Office Building, Washington, Form—Form TA–1.’’ The OCC also postpone an application. The OCC also DC 20503. gives notice that it has sent the uses the data to more effectively information collection to OMB for schedule and plan transfer agent Lois K. Holland, review and approval. examinations. Treasury PRA Clearance Officer. National bank transfer agents must DATES: You should submit your file amendments to Form TA–1 with the [FR Doc. 04–22305 Filed 10–4–04; 8:45 am] comments to the OCC and the OMB OCC within 60 calendar days following BILLING CODE 4830–01–P Desk Officer by November 4, 2004. the date on which any information ADDRESSES: You should direct your reported on Form TA–1 becomes DEPARTMENT OF THE TREASURY comments to: inaccurate, misleading, or incomplete. OCC: Communications Division, Amendments to Form TA–1 are used by Office of the Secretary Office of the Comptroller of the the OCC to schedule and plan Currency, Public Information Room, examinations. List of Countries Requiring Mailstop 1–5, Attention: 1557–0124, The Securities and Exchange Cooperation With an International 250 E Street, SW., Washington, DC Commission maintains complete files Boycott 20219. In addition, comments may be on the registration data of all transfer sent by fax to (202) 874–4448, or by agents registered, pursuant to the Act. It In order to comply with the mandate electronic mail to utilizes the data to identify transfer of section 999(a)(3) of the Internal [email protected]. You can agents and to facilitate development of Revenue Code of 1986, the Department inspect and photocopy the comments at rules and standards applicable to all of the Treasury is publishing a current the OCC’s Public Information Room, 250 registered transfer agents. list of countries which may require E Street, SW., Washington, DC 20219. Type of Review: Extension, without participation in, or cooperation with, an You can make an appointment to change, of OMB approval. international boycott (within the inspect the comments by calling (202) Affected Public: Businesses or other meaning of section 999(b)(3) of the 874–5043. for-profit (national banks). Internal Revenue Code of 1986). OMB: Mark Menchik, OMB Desk Estimated Number of Respondents: On the basis of the best information Officer, Office of Management and 60. currently available to the Department of Budget, New Executive Office Building, Estimated Total Annual Responses: the Treasury, the following countries Room 3208, Washington, DC 20503. 60. may require participation in, or FOR FURTHER INFORMATION CONTACT: You Frequency of Response: On occasion. cooperation with, an international can request additional information or a Estimated Time per Respondent: 30 boycott (within the meaning of section copy of the collection from John minutes. 999(b)(3) of the Internal Revenue Code Ference, OCC Clearance Officer, or Estimated Total Annual Burden: 30 of 1986). Camille Dixon, (202) 874–5090, hours. Bahrain, Kuwait, Lebanon, Libya, Legislative and Regulatory Activities An agency may not conduct or Oman, Qatar, Saudi Arabia, Syria, Division, Office of the Comptroller of sponsor, and a respondent is not United Arab Emirates, Yemen, Republic the Currency, 250 E Street, SW., required to respond to, an information of. Washington, DC 20219. collection unless the information
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collection displays a currently valid Notice 438 to recipients of technical DEPARTMENT OF THE TREASURY OMB control number. advice memorandums; and Notice 466 to recipients if a request for the related Internal Revenue Service Stuart Feldstein, background file document is received. Assistant Director, Legislative and Regulatory The notices also inform the recipients of Proposed Collection; Comment Activities Division. their right to request further deletions to Request for Cognitive and [FR Doc. 04–22325 Filed 10–4–04; 8:45 am] the public inspection version of written Psychological Research Coordinated BILLING CODE 4810–33–P determinations or related background by Statistics of Income on Behalf of All file documents. IRS Operations Functions Current Actions: There are no changes DEPARTMENT OF THE TREASURY AGENCY: Internal Revenue Service (IRS), being made to the notices at this time. Treasury. Internal Revenue Service Type of Review: Extension of a currently approved collection. ACTION: Notice and request for comments. Proposed Collection; Comment Affected Public: Individuals or Request for Notices 437, 437–A, 438 households, business or other for-profit SUMMARY: The Department of the and 466 organizations, not-for-profit institutions, Treasury, as part of its continuing effort farms, and state, local, or tribal to reduce paperwork and respondent AGENCY: Internal Revenue Service (IRS), governments. burden, invites the general public and Treasury. Estimated Number of Respondents: other Federal agencies to take this ACTION: Notice and request for 5,250. opportunity to comment on proposed Estimated Time Per Respondent: 30 comments. and/or continuing information minutes. collections, as required by the SUMMARY: The Department of the Estimated Total Annual Burden Treasury, as part of its continuing effort Hours: 2,625. Paperwork Reduction Act of 1995, to reduce paperwork and respondent The following paragraph applies to all Public Law 104–13 (44 U.S.C. burden, invites the general public and of the collections of information covered 3506(c)(2)(A)). Currently, the IRS is other Federal agencies to take this by this notice: soliciting comments concerning opportunity to comment on proposed An agency may not conduct or Cognitive and Psychological Research and/or continuing information sponsor, and a person is not required to Coordinated by Statistics of Income on collections, as required by the respond to, a collection of information Behalf of All IRS Operations Functions. Paperwork Reduction Act of 1995, unless the collection of information DATES: Written comments should be Public Law 104–13 (44 U.S.C. displays a valid OMB control number. received on or before December 6, 2004 3506(c)(2)(A)). Currently, the IRS is Books or records relating to a collection to be assured of consideration. soliciting comments concerning Notices of information must be retained as long ADDRESSES: Direct all written comments 437, 437–A, 438 and 466, Notice of as their contents may become material to Paul H. Finger, Internal Revenue Intention to Disclose. in the administration of any internal Service, room 6512, 1111 Constitution DATES: Written comments should be revenue law. Generally, tax returns and Avenue NW., Washington, DC 20224. received on or before December 6, 2004 tax return information are confidential, FOR FURTHER INFORMATION CONTACT: to be assured of consideration. as required by 26 U.S.C. 6103. Requests for additional information or Request for Comments: Comments ADDRESSES: Direct all written comments copies of information collection should to Paul H. Finger, Internal Revenue submitted in response to this notice will be directed to Carol Savage at Internal Service, room 6516, 1111 Constitution be summarized and/or included in the Revenue Service, room 6516, 1111 Avenue, NW., Washington, DC 20224. request for OMB approval. All Constitution Avenue, NW., Washington, comments will become a matter of DC 20224, or at (202) 622–3945, or FOR FURTHER INFORMATION CONTACT: public record. Comments are invited on: Requests for additional information or through the Internet at (a) Whether the collection of [email protected]. copies of the notices should be directed information is necessary for the proper to Carol Savage at Internal Revenue performance of the functions of the SUPPLEMENTARY INFORMATION: Service, room 6516, 1111 Constitution agency, including whether the Title: Cognitive and Psychological Avenue, NW., Washington, DC 20224, information shall have practical utility; Research Coordinated by Statistics of or at (202) 622–3945, or through the (b) the accuracy of the agency’s estimate Income on Behalf of All IRS Operations Internet at [email protected]. of the burden of the collection of Functions. SUPPLEMENTARY INFORMATION: information; (c) ways to enhance the OMB Number: 1545–1349. Title: Notice of Intention to Disclose. quality, utility, and clarity of the Abstract: The proposed research will OMB Number: 1545–0633. information to be collected; (d) ways to improve the quality of data collection by Notice Numbers: Notices 437, 437–A, minimize the burden of the collection of examining the psychological and 438, and 466. information on respondents, including cognitive aspects of methods and Abstract: Section 6110(f) of the through the use of automated collection procedures such as: interviewing Internal Revenue Code requires that a techniques or other forms of information processes, forms redesign, survey and notice of intention to disclose be sent to technology; and (e) estimates of capital tax collection technology and operating all persons to which a written or start-up costs and costs of operation, procedures (internal and external in determination (either a technical advice maintenance, and purchase of services nature). memorandum or a private letter ruling) to provide information. Current Actions: We will be is issued. That section also requires that conducting different opinion surveys, such persons receive a notice if related Approved: September 28, 2004. focus group sessions, think-aloud background file documents are Paul H. Finger, interviews, and usability studies requested. Notice 437 is issued to IRS Reports Clearance Officer. regarding cognitive research recipients of letter rulings; Notices 437– [FR Doc. 04–22374 Filed 10–4–04; 8:45 am] surrounding forms submission or IRS A to recipients of Chief Counsel Advice; BILLING CODE 4830–01–P system/product development.
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Type of Review: Revision of a SUMMARY: In accordance with the The proposed new system of records, currently approved collection. requirements of the Privacy Act of 1974, entitled ‘‘Treasury/IRS 35.001– Affected Public: Individuals and as amended, 5 U.S.C. 552a, the Internal Reasonable Accommodation Request businesses or other for-profit Revenue Service (IRS), Department of Records,’’ is published in its entirety organizations. the Treasury, gives notice of a proposed below. Estimated Number of Respondents: Internal Revenue-wide system of Dated: September 17, 2004. 75,000. records, Treasury/IRS 35.001– Arnold I. Havens, Estimated Average Time Per Reasonable Accommodation Request Respondent: 30 minutes. Records. General Counsel. Estimated Total Annual Burden DATES: Comments must be received no TREASURY/IRS 35.001 Hours: 37,500. later than November 4, 2004. The SYSTEM NAME: The following paragraph applies to all proposed system of records will be Reasonable Accommodation Request of the collections of information covered effective November 15, 2004, unless the Records. by this notice: IRS receives comments that would An agency may not conduct or result in a contrary determination. SYSTEM LOCATION: sponsor, and a person is not required to ADDRESSES: Comments should be sent to respond to, a collection of information National Headquarters, Chief Counsel, Chief, EEO and Diversity, Internal unless the collection of information and Business Units (Agency-Wide Revenue Service, Room 2422, 1111 displays a valid OMB control number. Shared Services, Appeals, Constitution Avenue, NW., Washington, Books or records relating to a collection Modernization & Information DC 20224. Comments will be made Technology Services (MITS), Taxpayer of information must be retained as long available for inspection and copying in as their contents may become material Advocate Service, Communications and the IRS Freedom of Information Reading Liaison, Criminal Investigation, Wage in the administration of any internal Room. An appointment for inspecting revenue law. Generally, tax returns and and Investment, Small Business/Self the comments can be made by Employed, Large and Mid-sized tax return information are confidential, contacting the library at (202) 622–5164. as required by 26 U.S.C. 6103. Business, and Tax Exempt and FOR FURTHER INFORMATION CONTACT: Request for Comments: Comments Pat Governmental Entities (TE/GE)). See Mance or Teresa A. Bonham, National submitted in response to this notice will ‘‘system managers and addresses’’ for Headquarters EEO and Diversity Office, be summarized and/or included in the location. Internal Revenue Service, Department of request for OMB approval. All the Treasury, Room 2422, 1111 CATEGORIES OF INDIVIDUALS COVERED BY THE comments will become a matter of SYSTEM: Constitution Avenue, NW., Washington, public record. Comments are invited on: DC 20224. Telephone number (202) Applicants and current and former (a) Whether the collection of 622–5410 or (202) 622–6786 (TDD). Internal Revenue Service employees information is necessary for the proper with disabilities who request reasonable SUPPLEMENTARY INFORMATION: The performance of the functions of the accommodation. agency, including whether the Internal Revenue Service (IRS) gives information shall have practical utility; notice of a proposed new system of CATEGORIES OF RECORDS IN THE SYSTEM: (b) the accuracy of the agency’s estimate records entitled ‘‘Treasury/IRS 35.001– Employee’s or applicant’s name, of the burden of the collection of Reasonable Accommodation Request occupational series and grade, operating information; (c) ways to enhance the Records’’ that is subject to the Privacy division/function, office location and Act of 1974. The IRS is establishing the quality, utility, and clarity of the address, office telephone number, system of records to facilitate the information to be collected; (d) ways to disability or medical condition, provision of reasonable accommodation minimize the burden of the collection of reasonable accommodation (RA) by establishing procedures and a form information on respondents, including requested, explanation of how RA for use in requesting such reasonable through the use of automated collection would assist the applicant in the accommodation, as well as providing a techniques or other forms of information application process and the employee in record that the request was submitted. technology; and (e) estimates of capital performing his/her job, deciding The request form initiates the agency’s or start-up costs and costs of operation, official’s name and title, deciding reasonable accommodation procedures maintenance, and purchase of services official’s telephone number, essential and the system of records serves as the to provide information. duties of the position, information agency’s record of the administrative relating to an individual’s capability to Approved: September 28, 2004. events pertaining to the approval or satisfactorily perform the duties of the Paul H. Finger, disapproval of the requested position he/she is either applying for or IRS Reports Clearance Officer. accommodation. In implementing the presently holds, relevant medical [FR Doc. 04–22373 Filed 10–4–04; 8:45 am] procedures, a new ‘‘Reasonable information, estimated cost of BILLING CODE 4830–01–P Accommodation Request Form’’ will be accommodation, action by deciding implemented Servicewide. official, signature of employee/ The new system of records report, as applicant, signature of the deciding DEPARTMENT OF THE TREASURY required by 5 U.S.C. 552a(r) of the official, signature of health care Privacy Act, has been submitted to the practitioner, social worker, or Internal Revenue Service Committee on Government Reform of rehabilitation counselor, medical the House of Representatives, the documentation and supporting Privacy Act of 1974, as Amended; Committee on Governmental Affairs of System of Records documents relating to reasonable the Senate, and the Office of accommodation. AGENCY: Internal Revenue Service, Management and Budget, pursuant to Treasury. Appendix I to OMB Circular A–130, AUTHORITY: ‘‘Federal Agency Responsibilities for Title VII of the Civil Rights Act of ACTION: Notice of proposed new Privacy Maintaining Records About 1964, as amended; Civil Rights Act of Act system of records. Individuals,’’ dated November 30, 2000. 1991; The Rehabilitation Act of 1973, 29
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U.S.C. 701 et seq., as amended; The (6) To provide information to third SYSTEMS MANAGER(S) AND ADDRESS: Americans with Disabilities Act of 1990, parties during the course of an National Headquarters, Attn: Chief, 42 U.S.C. 12101 et seq. (ADA); investigation to the extent necessary to EEO and Diversity, N:EEO, Room 2422/ Executive Order 13164, Requiring obtain information. IR, 1111 Constitution Avenue, NW., Federal Agencies to Establish (7) To disclose information to the Washington, DC 20224. Procedures to Facilitate the Provision of news media and the public, in Chief Counsel, Attn: Director, EEO Reasonable Accommodation (July 26, accordance with guidelines contained in and Diversity Office, Suite 500, 950 2000). 28 CFR 50.2 in the same manner as L’Enfant Plaza, SW., Washington, DC permitted for Department of Justice 20024. PURPOSE: officials, unless release would constitute Business Units: The purpose of the system is to an unwarranted invasion of personal Agency-Wide Shared Services, Room implement uniform procedures to privacy. 7554/IR; Communications and Liaison, administer reasonable accommodation (8) To disclose information to a Room 7230/IR; Taxpayer Advocate requests. contractor to the extent necessary for the Service, Room 1314/IR; Criminal performance of a contract. ROUTINE USES OF RECORDS MAINTAINED IN THE Investigation, Room 2242/IR; Attn: (9) To disclose information to an SYSTEM, INCLUDING CATEGORIES OF USERS AND Director, EEO and Diversity Office, 1111 THE PURPOSES OF SUCH USE: arbitrator, mediator, or similar person, Constitution Avenue, NW., Washington, and to the parties, in the context of These records may be used: DC 20224. alternative dispute resolution, to the (1) To disclose pertinent information Appeals, Attn: Director, EEO and extent relevant and necessary to permit to appropriate Federal, State, local, or Diversity Office, FCB, Suite 4200 E, the arbitrator, mediator, or similar foreign agencies responsible for 1099 14th Street, NW., Washington, DC person to resolve the matters presented, investigating or prosecuting the 20005. including asserted privileges. violations of, or for enforcing or MITS, Attn: Director, EEO and (10) To disclose information to the Diversity Office, 5000 Ellin Road, B8– implementing, a statute, rule, Merit Systems Protection Board and the regulation, order, or license, where the 157, Lanham, MD 20706. Office of Special Counsel in personnel, Small Business/Self Employed, Attn: disclosing agency becomes aware of a discrimination, and labor management Director, EEO and Diversity Office, 5000 potential violation of civil or criminal matters when relevant and necessary to Ellin Road, C3–275, Lanham, MD 20706. law or regulations. their duties. Large and Mid-sized Business, Attn: (2) To disclose information to a (11) To disclose information to foreign Director, EEO and Diversity Office, 801 Federal, State, or local agency, governments in accordance with formal 9th Street, Mint Building, M3–177, maintaining civil, criminal or other or informal international agreements Washington, DC 20001. relevant enforcement information or when necessary to respond to a request TE/GE, Attn: Director, EEO and other pertinent information, which has for reasonable accommodation. Diversity Office, 4050 Alpha Road, MS requested information relevant to or (12) To disclose information to the 1120, Dallas, TX 75244. necessary to the requesting agency’s or Office of Personnel Management and/or Wage and Investment Division, Attn: the bureau’s hiring or retention of an to the Equal Employment Opportunity Director, EEO and Diversity, 401 W. individual, or issuance of a security Commission in personnel, Peachtree Street, Room 1619, Atlanta, clearance, license, contract, grant or discrimination, and labor management GA 30365. other benefit. matters when relevant and necessary to (3) To provide information to the their duties. NOTIFICATION PROCEDURES: Department of Justice for the purpose of Individuals seeking access to any litigating an action or seeking legal POLICIES AND PRACTICES FOR STORING, record contained in this system of advice. Disclosure may be made during RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: records pertaining to themselves or judicial processes. seeking to contest its contents may (4) To disclose information in a STORAGE: inquire in accordance with instructions proceeding before a court, adjudicative Paper and electronic records. appearing in 31 CFR part 1, subpart C, body, or other administrative body RETRIEVABILITY: Appendix B. Inquiries should be before which the agency is authorized to addressed as in ‘‘Record Access Date of reasonable accommodation appear when (a) the agency, (b) any Procedures’’ below. employee of the agency in his or her request, employee/applicant for official capacity, (c) any employee of the employment’s name, record number, RECORD ACCESS PROCEDURES: agency in his or her individual capacity and Business Unit. Individuals seeking access to any where the Department of Justice or the SAFEGUARDS: record contained in this system of agency has agreed to represent the Access controls will not be less than records, or seeking to contest its employee, or (d) the United States, those provided for by the Automated content, may inquire in accordance with when the agency determines that Information System Security Handbook, instructions appearing at 31 CFR part 1, litigation is likely to affect the agency, IRM 2(10)00, and the Manager’s subpart C, Appendix B. Inquiries should is a party to litigation or has an interest Security Handbook, IRM 1(16)12. be addressed to the Chief, EEO and in such litigation, and the use of such Diversity, Chief Counsel, or Business records by the agency is deemed to be RETENTION AND DISPOSAL: Units (Appeals, Modernization & relevant and necessary to the litigation Records are maintained in accordance Information Technology Services, or administrative proceeding and not with Record Disposition Handbooks, Taxpayer Advocate Service, otherwise privileged. IRM 1(15)59.1 through 1(15)59.32. Communications and Liaison, Criminal (5) To provide information to officials Records related to specific individuals Investigation, Wage and Investment, of labor organizations recognized under are to be maintained for the duration of Small Business/Self Employed, Large 5 U.S.C. chapter 71 when relevant and employment. Aggregate data used to and Mid-sized Business, and Tax necessary to their duties of exclusive track the agency’s performance are to be Exempt and Governmental Entities) representation. maintained for three years. Directors, EEO and Diversity, servicing
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the area in which the individual resides. industries. The Commission will receive investigate how this is indicative of (See ‘‘System Manager(s) and Address’’ testimony from industry representatives, broader trends for the U.S. economy and for location) labor organizations, researchers and the implications for U.S. economic and analysts of the aviation, aerospace, national security. CONTESTING RECORD PROCEDURES: software, technology, agriculture, forest Copies of the hearing agenda will be See ‘‘Notification Procedure’’ above. products and other key industries on: made available on the Commission’s RECORD SOURCE CATEGORIES: (1) How these industries have been Web site at http://www.uscc.gov. The affected by economic relations with hearing will be held in two sessions, Information given by an individual China, and (2) how this may be one in the morning and one in the requesting accommodation(s), input indicative of broader trends for the U.S. afternoon, where Commissioners will from individual’s manager, economy. The Commission will also take testimony from invited witnesses. documentation from individual’s hear from witnesses on the economic medical practitioner, agency medical DATE AND TIME: Thursday, October 14, development and other local effects on representative, contractors or offices 2004, 8:45 a.m. to 5 p.m. Pacific the region of trade and investment relating to the issuance of Daylight Time inclusive. A detailed relations with China. accommodation(s). agenda for the hearing will be posted to Background the Commission’s Web site at http:// EXEMPTIONS: www.uscc.gov in the near future. This event is part of a series of field None. ADDRESSES: hearings the Commission is holding to The hearing will be held at [FR Doc. 04–22306 Filed 10–4–04; 8:45 am] collect input from local industry and the Olympic Conference Room, 4th BILLING CODE 4830–01–P labor leaders, government officials, Floor, The Edgewater Hotel, Pier 67, researchers, other informed witnesses 2411 Alaskan Way, Seattle, Washington. and the public on the impact of U.S.- Garage parking is available across the U.S.-CHINA ECONOMIC AND China trade and economic relations. street from the hotel at a daily rate of $7. SECURITY REVIEW COMMISSION Information on upcoming field hearings, Public seating is available on a first- come, first-served basis. Notice of Open Public Hearing as well as transcripts of past Commission hearings, can be obtained FOR FURTHER INFORMATION CONTACT: Any AGENCY: U.S.-China Economic and from the USCC Web site at http:// member of the public wishing further Security Review Commission. www.uscc.gov. information concerning the hearing should contact Kathy Michels, Associate ACTION: Notice of open public hearing. The Seattle, Washington hearing will be Co-chaired by Commissioner George Director for the U.S.-China Economic SUMMARY: Notice is hereby given of the Becker, Former International President and Security Review Commission, 444 following hearing of the U.S.-China of the United Steelworkers of America North Capitol Street, NW., Suite 602, Economic and Security Review and AFL-CIO Vice President and Washington, DC 20001; phone (202) Commission. Executive Council Member, and 624–1409, or via e-mail at Name: C. Richard D’Amato, Chairman Commissioner Robert F. Ellsworth, [email protected]. of the U.S.-China Economic and Chairman and Founding Partner, Authority: The Commission was Security Review Commission. Hamilton Apex Technology Ventures. established in October 2000 pursuant to the The Commission is mandated by Floyd D. Spence National Defense Congress to investigate and report to Purpose of Hearing Authorization Act Section 1238, Public Law Congress annually on ‘‘the national The hearing is designed to assist the 106–398, 114 STAT. 1654A–334 (2000) security implications of the bilateral Commission in fulfilling its mandate by (codified at 22 U.S.C. 7002 (2001), as trade and economic relationship exploring how U.S.-China trade and amended, and the ‘‘Consolidated Appropriations Resolution of 2003,’’ Public between the United States and the investment is impacting vital sectors of Law 108–7 dated February 20, 2003. People’s Republic of China.’’ Pursuant the U.S. economy. The Commission to this mandate, the Commission will be seeks to gain a better understanding of Dated: September 30, 2004. holding a public hearing in Seattle, how Washington State and the aviation, Kathleen J. Michels, Washington, October 14, 2004. The technology, agriculture and other Associate Director, U.S.-China Economic and purpose of this hearing is to examine important regional industries have been Security Review Commission. the impact of U.S.-China trade and impacted by U.S.-China economic [FR Doc. 04–22377 Filed 10–4–04; 8:45 am] investment on Pacific Northwest relations. The Commission will also BILLING CODE 1137–00–P
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Corrections Federal Register Vol. 69, No. 192
Tuesday, October 5, 2004
This section of the FEDERAL REGISTER September 30, 2004 make the following September 30, 2004 make the following contains editorial corrections of previously correction: corrections: published Presidential, Rule, Proposed Rule, On page 58353, in the third column, (1) On page 58261, in the third and Notice documents. These corrections are in the DATES section ‘‘September 29, column, in the second paragraph, in the prepared by the Office of the Federal 2004’’ should read ‘‘September 30, Register. Agency prepared corrections are next to last line ‘‘new types of 2004’’. issued as signed documents and appear in subscription’’ should read ‘‘new the appropriate document categories [FR Doc. C4–21852 Filed 10–4–04; 8:45 am] subscription’’. elsewhere in the issue. BILLING CODE 1505–01–D (2) On page 58262, in the first column, in the second paragraph, in the LIBRARY OF CONGRESS eighth line ‘‘types of subscription DEPARTMENT OF DEFENSE services’’ should read ‘‘subscription Copyright Office 48 CFR Part 219 services’’. [FR Doc. C4–22002 Filed 10–4–04; 8:45 am] 37 CFR Part 270 [DFARS Case 2004–D015] BILLING CODE 1505–01–D [Docket No. RM 2002–1G] Defense Federal Acquisition Notice and Recordkeeping for Use of Regulation Supplement; Extension of Sound Recordings Under Statutory Partnership Agreement—8(a) Program License Correction Correction In rule document 04–21852 beginning In rule document 04–22002 beginning on page 58353 in the issue of Thursday, on page 58261 in the issue of Thursday,
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Part II
Department of Agriculture Rural Business-Cooperative Service
7 CFR Part 4280 Renewable Energy Systems and Energy Efficiency Improvements Grant, Guaranteed Loan, and Direct Loan Program; Proposed Rule
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DEPARTMENT OF AGRICULTURE working hours at 300 7th Street, SW., Section 9006. The 2002 Act mandates 7th Floor, address listed above. that the Secretary of Agriculture create Rural Business-Cooperative Service FOR FURTHER INFORMATION CONTACT: a program to make loans, loan Georg A. Shultz, Special Advisor for guarantees, and grants to ‘‘a farmer, 7 CFR Part 4280 Renewable Energy Policy and Programs, rancher, or rural small business’’ to RIN 0570–AA50 Office of the Deputy Administrator purchase renewable energy systems and Business Programs, U.S. Department of make energy efficiency improvements. Renewable Energy Systems and Agriculture, Mail Stop 3220, 1400 The purpose of the program is to help Energy Efficiency Improvements Independence Ave., SW., Washington, agricultural producers and rural small Grant, Guaranteed Loan, and Direct DC 20250–3220, Telephone: (202) 720– businesses to reduce energy costs and Loan Program 2976. consumption. The 2002 Act mandates SUPPLEMENTARY INFORMATION: The the maximum percentage that the AGENCY: Rural Business-Cooperative Agency will provide in funding for Service, USDA. information presented in this preamble is organized as follows: these projects. Grant funding is limited ACTION: Proposed rule. to 25 percent of the eligible project cost I. Background and will be made only to those who SUMMARY: Rural Business-Cooperative A. Statutory Authority demonstrate financial need. Guaranteed B. Background Information Service proposes to implement a loans and direct loans are each limited program for making grants, loan C. Request for Comments II. General Criteria and Terms for Approval to 50 percent of the eligible project guarantees, and direct loans to farmers costs. Lastly, the Agency may fund up and ranchers (agricultural producers) or of Grants and Guaranteed Loans A. Applicant and Applicant/Borrower to 50 percent of the eligible cost for any rural small businesses to purchase Eligibility combination of grants, guaranteed loans, renewable energy systems and make B. Project Eligibility and direct loans per project under this energy efficiency improvements. The C. Eligible Project Costs program. Farm Security and Rural Investment Act D. Project Funding In determining the amount of a grant, of 2002 (2002 Act) established the E. Appeals guaranteed loan, or direct loan for Renewable Energy Systems and Energy F. Insurance renewable energy systems and energy Efficiency Improvements Program. This G. Construction Planning and Performing Development efficiency improvements, the 2002 Act program will help farmers, ranchers, requires the Agency to take into and rural small businesses to reduce H. Laws that Contain Other Requirements III. Application and Documentation consideration, as applicable, the energy costs and consumption. Requirements for Grants and Guaranteed following factors: DATES: Written comments on this Loans 1. The type of renewable energy proposed rule must be received on or A. Application system or energy efficiency before November 4, 2004 to be assured B. Forms, Certifications, and Agreements improvement to be purchased; of consideration. The comment period C. Studies and Reports 2. The estimated quantity of energy to for the information collection under the IV. Evaluation of Grant and Guaranteed Loan be generated by the renewable energy Paperwork Reduction Act of 1995 Applications system or energy efficiency A. Criteria for Applications for Renewable improvement; continues through November 4, 2004. Energy Systems ADDRESSES: You may submit comments B. Criteria for Applications for Energy 3. The expected environmental to this rule by any of the following Efficiency Improvements benefits of the renewable energy system methods: C. Selection of Evaluation Criteria and or energy efficiency improvement; • Agency Web Site: http:// their Point Values 4. The extent to which the renewable rdinit.usda.gov/regs/. Follow V. Processing and Servicing Grants and energy system or energy efficiency instructions for submitting comments Guaranteed Loans improvement will be replicable; A. Processing and Servicing Grants 5. The demonstrated amount of on the Web Site. B. Processing and Servicing Guaranteed energy savings expected to be derived • E-Mail: [email protected]. Loans from this activity or project; Include the RIN No. 0570–0050 in the C. Processing and Servicing Combined 6. The estimated length of time it subject line of the message. Funding • would take for the energy savings Federal eRulemaking Portal: http:// VI. Economic Analysis generated by the project to equal the www.regulations.gov. Follow the A. Benefit-Cost Analysis B. Small Businesses cost of the activity or project; and instructions for submitting comments. 7. Other appropriate factors. • Mail: Submit written comments via VII. Administrative Requirements the U.S. Postal Service to the Branch A. Paperwork Reduction Act B. Background Information B. Intergovernmental Review Chief, Regulations and Paperwork C. Regulatory Flexibility Act Due to time constraints for Management Branch, U.S. Department D. Civil Justice Reform implementing this program, the Agency of Agriculture, STOP 0742, 1400 E. National Environmental Policy Act decided to institute only the grant Independence Avenue, SW., F. Unfunded Mandates Reform Act program for FY 2003. Therefore, a Washington, DC 20250–0742. G. Executive Order 13132, Federalism NOFA inviting applications to purchase • Hand Delivery/Courier: Submit H. Executive Order 12866, Regulatory renewable energy systems and make written comments via Federal Express Planning and Review energy efficiency improvements under Mail or another courier service requiring I. Background the grant program was published in the a street address to the Branch Chief, Federal Register on April 8, 2003 (68 FR Regulations and Paperwork A. Statutory Authority 17009). Of the 147 applications for grant Management Branch, U.S. Department The Farm Security and Rural funds received, 114 were approved and of Agriculture, 300 7th Street, SW., 7th Investment Act of 2002 (2002 Act) funded under this program for FY 2003. Floor, Washington, DC 20024. established the Renewable Energy For FY 2004, the Agency published a All written comments will be available Systems and Energy Efficiency second NOFA (May 5, 2004; 69 FR for public inspection during regular Improvements Program under Title IX, 25234) for a grant program for
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renewable energy systems and energy renewable energy industry. As funding The Agency believes that a 30-day efficiency improvements. For FY 2005, is provided for this purpose, the Agency comment period, rather than a 60-day the Agency is in the process of will develop the appropriate rules, comment period, is sufficient for developing a rule for a complete grant, terms, conditions and criteria for the soliciting public comments on this guaranteed loan, and direct loan direct loan program that will address proposed rulemaking. First, the program. This notice is the first formal the specific direct loan needs for stakeholders are already very familiar step of this process. renewable energy at that time. Finally, with the grant and guaranteed loan In developing the proposed rule, the the implementation of a direct loan program being proposed. The Agency Agency relied on several main program can require significant staffing issued two Notices of Funds components. First, the rule needs to be and resources, which the Agency does Availability (NOFAs) for grant programs consistent with the requirements not currently have. By implementing a under section 9006, one in fiscal year specified in the 2002 Act. Thus, some of direct loan program tailored to specific (FY) 2003 and one in FY 2004, and the proposed requirements are needs at a later time, the Agency will be requested public comments on both statutorily-based. Second, Rural in a better position to allocate the NOFAs. In addition, the Agency’s Development is proposing to implement necessary staff and resources to current Business and Industry (B&I) the grant and guaranteed loan program implement a direct loan program. For guaranteed loan program forms the basis based on the requirements outlined in these reasons, the Agency is not of the proposed guaranteed loan the NOFA published on April 8, 2003, proposing a specific direct loan program program. Second, in developing the including stakeholder comments. Third, at this time, but is instead identifying proposed program, the Agency in proposing the guaranteed loan the process for developing a direct loan considered all of the comments received program, the Agency is proposing program and the information that would on the NOFAs and used its experience requirements based on the experience of be included in the direct loan program. with the NOFAs in developing the other loan programs (e.g., the Business proposed rule. Third, the Agency hosted and Industry Loan program) and the C. Request for Comments a national public stakeholders forum for need to ensure that loan programs are The Agency is requesting comments constituents on December 3, 2002, based on sound financial principles. on the overall program being proposed. which was simulcast nationwide over Based on experience, the Agency is The Agency is especially interested in the Internet. At this forum, attendees proposing to require applicants and comments on the following areas: expressed their views on the borrowers as well as their proposed 1. The rule sets a minimum funding implementation of section 9006. There projects to meet certain eligibility amount of $2,500. How would this was significant participation with both requirements to ensure that the funds minimum value affect the projects most oral and written comments, which were available under this program are likely to otherwise use this program? also considered in the development of disbursed to those who meet the target 2. The rule does not allow non- the proposed rule. Finally, the grant market in the 2002 Act. To assess the traditional lenders to participate in the program is identical to the latest NOFA eligibility and viability of proposed and there are only a few differences projects, applicants will be required to program. Is this appropriate for renewable energy projects or would being proposed between the section provide certain information. 9006 guaranteed loan program and the Because of limitations of available some non-traditional lenders be likely to lend funds for this type of activity if the existing B&I guaranteed loan program. funds, the Agency is proposing criteria For these reasons, the Agency believes rule did not prohibit their participation? to score and rank eligible projects to that 30 days is sufficient for the 3. Are there ways to improve, determine those projects that are funded stakeholders to understand the streamline, or simplify the application first. To make funds available to more proposed program and to provide process for the program? The Agency is agricultural producers and rural small comment on it. If additional time is particularly interested in the views of businesses, the Agency is proposing required, stakeholders can always program applicants and other interested limits to maximum funding levels. In request an extension of the public stakeholders. The Agency will consider addition, minimum funding levels are comment period. being proposed to help ensure that most comments based on its need to assess projects that have beneficial aspects of the eligibility and viability of proposed II. General Criteria and Terms for energy production and energy savings in projects. Applicants and the Agency Approval of Grants and Guaranteed rural areas can be considered for must meet all applicable laws, Loans assistance. regulations and executive orders. The There exist thousands of agricultural Finally, the Agency is proposing applicants must provide the Agency and producers and rural small businesses processing and servicing requirements, other agencies with appropriate engaged in meeting the needs of the which are necessary for any grant and information so that all compliance nation’s growing population. The guaranteed loan program. issues can be addressed and competing potential contribution of this group With regards to the direct loan applications can be evaluated in a fair toward meeting the national goal of program, the Agency has chosen not to and objective process. The Agency will conserving and reducing energy usage promulgate a regulation for the direct balance the above criteria, where nationwide is great. In implementing loan program under section 9006 at this possible, with the need to establish this program, the Agency encourages time because we believe the government information requirements agricultural producers and rural small needs to have options for dealing with commensurate with the scale and businesses to utilize commercially change and innovation within the complexity of the proposed renewable available technologies. renewable energy industry. By allowing energy system or energy efficiency the Agency to tailor the direct program improvement. Terminology to specific needs that are not properly Comments are to be submitted as Throughout this preamble, we use the addressed by either the grant or indicated in the DATES and ADDRESSES term ‘‘applicant,’’ ‘‘borrower,’’ and guarantee gives the government some sections above. The Agency will ‘‘grantee’’ in describing the proposed flexibility in dealing with the ever consider all comments, although some grant and loan program. The term changing and evolving nature of the may be addressed at a future date. ‘‘applicant’’ refers to the entity seeking
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a grant or loan. For the grant program, B. Project Eligibility 1. Post-application purchase and this entity is the agricultural producer The proposed rule contains criteria to installation of equipment, except or rural small business. For the direct determine if an applicant’s proposed agricultural tillage equipment and loan program, this entity is the project is eligible to receive funds or vehicles. Vehicles are considered to be agricultural producer. For the guarantees under the Renewable Energy any powered mobile equipment, guaranteed loan program, however, this Systems and Energy Efficiency including but not limited to cars and entity is the lender. We use the term Improvements Program. To be eligible, tractors; ‘‘borrower’’ when referring to the the proposed project is required to meet 2. Post-application construction or agricultural producer or rural small the following criteria, as applicable: project improvements, except business that is seeking the guaranteed 1. The project must be for the residential; loan or to whom a loan has been made. purchase of a renewable energy system 3. Energy audits or assessments; We use the term ‘‘grantee,’’ to refer to or to make energy efficiency 4. Permit fees; the agricultural producer or rural small improvements; 5. Professional service fees, except for business that has received a grant. 2. The project must be for a replicable, application preparation; pre-commercial or a replicable, 6. Feasibility studies; In summary, when the phrase 7. Business plans; ‘‘applicant or borrower’’ is used in the commercially available technology; 3. The project must be technically 8. Retrofitting; preamble, it refers to the agricultural 9. Construction of a new facility only producer or rural small business seeking feasible; 4. The project must be located in a when the facility is used for the same the grant, guaranteed loan, or direct purpose; is approximately the same size; loan. When just the term ‘‘applicant’’ is rural area; 5. The applicant or borrower must be and, based on the energy audit, will used, it refers to the entity (agricultural the owner of the system and control the provide more energy savings than producer, rural small business, or operation and maintenance of the improving an existing facility. Only lender) submitting the application, as proposed project. However, a qualified costs identified in the energy audit for described in the above paragraph. third-party operator will be allowed to energy efficiency projects are allowed; A. Applicant and Applicant/Borrower manage the operation and/or 10. Working capital (guaranteed loans Eligibility maintenance of the proposed project; only); and and 11. Land acquisition (guaranteed To be eligible to receive a grant or 6. All projects must be based on loans only). guaranteed loan, an applicant or satisfactory sources of revenues in an The Agency selected these items as borrower must meet each of the five amount sufficient to provide for the eligible project costs because they are criteria, as applicable, identified below. operation and maintenance of the integral to the acquisition or These criteria were selected because system or project. construction of eligible projects and they are identified in Section 9006 of Projects that are still in the research these items are necessary for the the 2002 Act. and development stage are not eligible successful implementation and quality 1. To receive a grant or guaranteed for funds under this program, because assurance of the project; and allowing loan, the applicant or borrower must be the 2002 Act requires projects to be these costs provides for support of an agricultural producer (farmer or ‘‘replicable’’ and the Agency does not actual purchase of a renewable energy rancher) or a rural small business; believe projects that are in the research system and energy efficiency and development stage meet this improvements. The Agency is allowing 2. If the applicant or borrower is an statutory requirement. In addition, a working capital and land acquisition as individual, the applicant or borrower project for which construction has been an eligible project costs for guaranteed must be a citizen of the United States initiated will not be considered by the loans because the Agency wants to (U.S.) or reside in the U.S. after being Agency because the necessary ensure that the relatively limited legally admitted for permanent environmental assessment cannot be percentage of grant funds (25 percent for residence; conducted in accordance with the grants versus 50 percent for guaranteed 3. Entities must be at least 51 percent National Environmental Protection Act. loans) are used for the renewable energy owned, directly or indirectly, by The technical feasibility of each system or energy efficiency individuals who are either citizens of proposed project will be based on all of improvement project itself. the U.S. or reside in the U.S. after being the information provided by the D. Project Funding legally admitted for permanent applicant and on other sources of residence; information, such as recognized 1. Funding Amounts. The minimum 4. If the applicant or borrower is industry experts in the applicable level of funding available for a grant, applying as a rural small business, both technology field, as necessary. If the guaranteed loan, or a combined grant the applicant’s or borrower’s business project is determined to be not and guaranteed loan is $2,500. The headquarters and the proposed project technically feasible, the applicant will Agency believes that including this must be in a rural area; and be notified in writing of this minimum level of funding will allow determination and the reasons therefore. more agricultural producers and rural 5. For grants only, the applicant must The rule allows the applicant or small businesses to qualify and take have demonstrated financial need. borrower to appeal such determinations. advantage of this program. The Agency’s Any applicant, borrower, or owner goal in implementing this program is to that has an outstanding Federal C. Eligible Project Costs distribute all of the available funds judgment, is delinquent in paying Funds may be used only for certain quickly and equitably to qualified Federal income taxes, or is delinquent specified project costs, provided these applicants and borrowers. on a Federal debt is ineligible to receive costs are an integral and necessary part To encourage wide participation and a grant or guaranteed loan under this of the total project. Funds received distribution of funds, the Agency has program. This condition is consistent under 7 CFR part 4280, subpart B, established levels of available funding with standard Agency practice for cannot be used for any other project for both funding programs. The funding programs. costs. The eligible project costs are: following paragraphs discuss maximum
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funding levels and specific details the borrower and may be varied no more E. Appeals related to funding for grants and than once per quarter. Consistent with standard Agency guaranteed loans, and percentages of The interest rate for a guaranteed loan policy, appeals will be handled in eligible project costs available under is to be based on indices, such as money accordance with 7 CFR part 11. Any each funding program. market indices, that are published in a party adversely affected by an Agency i. Grant Funding. The maximum recognized banking industry source. As decision under this subpart may request funding level for grants for renewable in the Agency’s B&I program, the a determination of appealability from energy systems is $500,000. The interest rate can not be more than that the Director, National Appeals Division, maximum funding level for grants for rate customarily charged borrowers in USDA, within 30 days of the adverse energy efficiency improvements is similar circumstances in the ordinary decision. $250,000. The maximum amount of course of business and is subject to grant assistance to one individual or Agency review and approval. F. Insurance entity is limited to $750,000. ii. Combination Funding. The interest This rule will require the applicant or As required by the 2002 Act, the rate for the loan portion of a combined borrower to carry certain types of amount of grant funds made available to funding request will be determined insurance. The insurance requirements an applicant for an eligible project must based on the procedures specified for are consistent with other Rural not exceed 25 percent of eligible project guaranteed loans. Development programs and are costs. The remaining funds needed to applicable to this program. All complete the project must come from 3. Terms of Loan. This rule sets insurance must be maintained for the other sources. The applicant may use maximum loan term limits for life of the grant or loan, unless such third-party, in-kind contributions as guaranteed loans and also applies when requirement is waived or modified by part of the remaining funds. Third- they are part of a combination funding the Agency. party, in-kind contributions, however, request. These term limits vary cannot exceed 10 percent of the according to the type of item and will G. Construction Planning and matching funds provided by other be utilized only when the loan cannot Performing Development sources. reasonably be repaid over a shorter Consistent with Agency policies, ii. Loan funding. For guaranteed term. The maximum loan terms being construction planning and performing loans, the maximum funding level is proposed are established loan terms development requirements of 7 CFR part $10 million. If a more than $10 million used under the Agency’s B&I program 1924, subpart A, will be used for grants. in loan guarantees is sought, then the and are familiar to commercial lenders. Under the Guaranteed Loan program, loan should be sought under the The maximum loan term limits in this lenders will be required to ensure that Agency’s B&I program. rule are as follows: all project facilities are designed The amount of guaranteed loan funds i. For real estate, 30 years. utilizing accepted architectural and made available to an applicant or ii. For machinery and equipment, 15 engineering practices, conform to borrower for an eligible project will not years, or the useful life, whichever is applicable Federal, state, and local exceed 50 percent of eligible project less. codes and requirements, and meet the requirements of this regulation. costs. iii. For repayment for combined loans For guaranteed loans, the total on real estate and equipment, 20 years. H. Laws That Contain Other amount of Agency loans to one borrower Requirements will be limited to no more than $10 iv. For working capital, 7 years. million. The percentage of the The first installment of principal and There are several laws that applicants guarantee, which will be negotiated interest will, if possible, be scheduled and borrowers must comply with under for payment after the project is this program. These are: between the lender and the borrower, • cannot exceed 85 percent for loans of operational and has begun to generate Executive Order 11246, ‘‘Equal $600,000 or less; 80 percent for loans income. Employment Opportunity;’’ • Americans with Disabilities Act of greater than $600,000 but up to $5 4. Guaranteed Loan Fees. This rule 1990; million; and 70 percent for loans greater sets the maximum guarantee fee at 1 • Title VI of the Civil Rights Act of than $5 million but up to $10 million. percent and the maximum annual 1964 (grants only); c. Combined Grant and Guaranteed renewal fee at 0.5 percent. The Agency • Section 504 of the Rehabilitation Loan Funding. As required by the 2002 considered establishing a higher Act of 1973 (grants only); Act, a combined grant and guaranteed guarantee fee (2 percent), which would • Equal Credit Opportunity Act (Title loan under this program cannot exceed help leverage funds. However, the V of Pub. L. 90–321, as amended) 50 percent of eligible project costs and Agency believes that the lower fee is (guaranteed loans only); the applicant or borrower is responsible more appropriate because it provides a • 7 CFR part 1940, subpart G, which for having other funding sources for the financial incentive, relative to other requires an environmental impact remaining funds. Eligible project costs programs, to agricultural producers and analysis; and will be based on costs identified for rural small businesses to participate in • Executive Order 12898, each type of funding being requested this program. The maximum annual ‘‘Environmental Justice,’’ under which under a combination funding request. renewal fee is based on Small Business the Agency will conduct a Civil Rights 2. Interest rates on loans. Administration (SBA) programs and is Impact Analysis in regard to i. Guaranteed loans. The interest rate adopted for this program to provide environmental justice. for a guaranteed loan will be negotiated additional funds to supplement the between the lender and the borrower available funds appropriate to the III. Application and Documentation and may be fixed, variable, or a program, thereby allowing the program Requirements for Grants and combination of fixed and variable as to reach more potential applicants. The Guaranteed Loans long as it is a legal rate. If a variable Agency will publish each year in the The Agency is requiring the minimum interest rate is used, it must be tied to Federal Register the fee levels in effect amount of information that it needs to a base rate agreed to by the lender and for that year. evaluate an applicant’s or borrower’s
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eligibility, evaluate the proposed service; who will buy the product and/ Responsibility Matters—Primary project’s eligibility, evaluate the or service, identification of the supply Covered Transactions.’’ applications and establish selection (past, present, and future) of the product x. Form RD 400–1, ‘‘Equal priorities among competing projects, and/or service; identification of Opportunity Agreement.’’ ensure compliance with applicable competitors; and a description how the xi. Form RD 400–4, ‘‘Assurance regulations, and effectively monitor the business will be able to sell enough of Agreement.’’ applicant’s or borrower’s activities after its product/service to be profitable given xii. Where applicable, a copy of a the loan is made or the grant is awarded. the trends in demand and supply. letter of intent to purchase power, a The following paragraphs describe the The Agency will then evaluate power purchase agreement, a copy of a Agency’s proposed application and applications to determine if the letter of intent for an interconnection documentation requirements when applicant or borrower is eligible and if agreement, or an interconnection applying for a grant or guaranteed loan. the project is eligible to receive funds agreement will be required from your In applying for grant or guaranteed and to score each application to assist utility company or other purchaser for loan funds under this program, the in determining those projects that are renewable energy systems. applicant will be required to submit an funded first. xiii. Where applicable, application; submit a series of forms, B. Forms, Certifications, and intergovernmental consultation certifications, and agreements; perform Agreements comments in accordance with Executive a feasibility study for renewable energy Order 12372. systems projects of more than $100,000; Applicants must submit a series of xiv. Certification indicating whether and prepare technical requirements forms, certifications, and agreements or not there is a known relationship or reports. with each application. These forms, certifications, and agreements are association with an Agency employee. A. Application necessary for the Agency to evaluate xv. An environmental impact analysis Separate applications must be applications and to administer this prepared in accordance with 7 CFR part submitted for renewable energy system program. Some of these are applicable to 1940, subpart G, using Form RD 1940– and for energy efficiency improvement both funding programs. Applicants 20, ‘‘Request for Environmental projects from applicants applying for applying for a combined grant and Information.’’ both. Only one application per each guaranteed loan will be required to 2. Guaranteed loans. For guaranteed type of project may be submitted. submit all applicable forms for both loans, an applicant will be required to Applicants applying for a combined types of funding. submit the items described above in grant and guaranteed loan will submit a Most of the forms being used for this paragraphs B.1.vii through xv as well as separate application for each grant and program have been used in other, the following items: guaranteed loan, with at least one set of similar programs. Rather than develop i. Form 4279–1, ‘‘Application for Loan documentation. The separate new forms, which would be very time Guarantee.’’ applications must be submitted consuming, the Agency is amending ii. A personal credit report for the simultaneously. these existing forms. For example, Form borrower, a proprietor (owner), and Applications will consist of: 4279–4, ‘‘Lender’s Agreement,’’ would anyone owning 20 percent or more • A table of contents; be amended to note that Section III, Item interest in the borrower’s business from • A one page summary of the project; A.2, is only applicable to the Business a credit reporting company acceptable • A description of applicant/borrower and Industry program. to the Agency. eligibility and project eligibility; 1. Grants. For grants, an applicant • iii. Completed appraisals should be A description of agricultural will be required to submit the following: submitted when the application is filed. producer’s/rural small business’ i. Form SF–424, ‘‘Application for If the appraisal has not been completed business, farm, or ranch operation and Federal Assistance.’’ when the application is filed, the ownership; ii. Form SF–424C, ‘‘Budget • applicant must submit an estimated Management information; Information—Construction Programs.’’ appraisal. In all cases, a completed • Financial information including an iii. Form SF–424D, ‘‘Assurances— appraisal must be submitted prior to the explanation of financial need (grants Construction Programs.’’ loan being closed. only), balance sheets and income iv. AD–1049, ‘‘Certification Regarding statements or equivalent, information to iv. Lender’s complete comprehensive Drug-Free Workplace Requirements written analysis. allow assessment of annual receipts (Grants).’’ (rural small businesses only), historical v. AD–1048, ‘‘Certification Regarding v. Commercial credit reports on the financial statements, pro forma balances Debarment, Suspension, Ineligibility borrower and any parent, affiliate, and sheets, and gross market value of and Voluntary Exclusion -Lower Tiered subsidiary firms. agricultural products (agricultural Covered Transactions.’’ vi. Current personal and corporate producers only); and vi. A copy of a bank statement or a financial statements of any guarantors. • A Dun and Bradstreet (D&B) Data copy of the commitment letter from the vii. A proposed Loan Agreement or a Universal Numbering System (DUNS) funding source. sample Loan Agreement with an number (grants only). vii. Exhibit A–1 of RD Instruction attached list of the proposed Loan For renewable energy systems, the 1940–Q, ‘‘Certification for Contracts, Agreement provisions. applicant must also indicate whether Grants and Loans,’’ if the grant exceeds viii. A certification by the lender that the technology to be employed is $100,000 (or Exhibit A–2 of RD it has completed a comprehensive commercially or pre-commercially Instruction 1940–Q, ‘‘Statement for written analysis of the proposal, the available and is replicable, the Loan Guarantees,’’ if the guaranteed borrower is eligible, the loan is for information to support this position, loan exceeds $150,000). authorized purposes, and there is and a description of the availability of viii. Form SF–LLL, ‘‘Disclosure of reasonable assurance of repayment materials, labor, and equipment for the Lobbying Activities.’’ ability based on the borrower’s history, facility. Also required is information on ix. AD–1047, ‘‘Certification Regarding projections and equity, and the the demand for the product and/or Debarment, Suspension, and Other collateral to be obtained.
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C. Studies and Reports mature technology with significant industry experts in the applicable 1. Feasibility Study for Renewable commercial operational history will technology field, as necessary. If the Agency determines that either Energy Systems. Because of factors of require the least information. the applicant or borrower or the project cost and complexity for renewable The type of information to be is ineligible, the Agency will notify the energy system projects of more than provided includes the qualifications of applicant in writing of the decision, $100,000, a project-specific feasibility the project team, agreements and reasons therefore, and any appeal rights, study prepared by a qualified permits, resource assessment, and no further evaluation will take independent consultant will be preliminary design and engineering, place. required. The feasibility study will have project development schedules, economic/feasibility modeling, If the Agency determines that the to include an analysis of the market, application is incomplete, the Agency financial, economic, technical, and equipment procurement, equipment installation, operations and will return it to the applicant to provide management feasibility of the proposed the applicant the opportunity to project. The feasibility study will also maintenance, and project decommissioning. Energy efficiency resubmit the application. The Agency have to include an opinion and a will identify those parts of the recommendation by the independent improvement projects of more than $100,000 would be required to conduct application that are incomplete. Upon consultant. Applicants for renewable receipt of a complete application, the energy system projects of $100,000 or an energy audit. The specific inputs for each of the ten technologies are Agency will complete its evaluation of less and for all energy efficiency the application and forward a copy of improvement projects will not be identified in the proposed rule. The Agency allows for the use of an the technical requirements to outside required to conduct a feasibility study. qualified industry experts for review. 2. Technical Requirements Reports. abbreviated set of requirements for small projects using a pre-engineered The Agency will score each This rule contains technical application in order to prioritize each requirements for renewable energy kits or complete integrated appliances utilizing a mature technology. proposed project. The evaluation systems and energy efficiency criteria that the Agency will use to score Projects costing more than $100,000 improvement projects. The rule renewable energy systems and energy will be required to employ the services identifies the following project efficiency improvement projects are of a professional engineer (PE). The technology categories: discussed in Sections IV.A and IV.B, • applicant or borrower may be required Biomass, bioenergy. respectively. The rationale for the • to use the services of a PE for projects Biomass, digesters. selection criteria and their point values • of $100,000 or less, depending on the Geothermal, electric. is presented in Sections IV.C.1 and • level of engineering required for the Geothermal, direct use. IV.C.2, respectively. • Hydrogen. specific project or if necessary to ensure • Solar, small. public safety. A. Criteria for Applications for • Solar, large. To facilitate the review of proposed Renewable Energy Systems • Wind, small. projects, all technical information 1. Quantity of Energy Produced. • Wind, large. provided will be required to follow a Points are earned for the amount of • Energy efficiency improvements. specific format, which is set forth in energy replaced or the amount of energy The purpose of these technical § 4280.111(d). However, supporting generated, not both. requirements reports is to ensure that information may be submitted in other i. Energy replacement. If the proposed the renewable energy system or energy formats as determined by the applicant. renewable energy system is intended efficiency improvement operates or Although not required in the proposed primarily for self use by the agricultural performs as expected over its design life rule, the Agency recommends that the producer or rural small business and in a reliable and cost effective manner. narrative portion of the technical will provide energy replacement of To this end, the applicant must provide requirements portion of the application greater than 75 percent, 20 points will information on project design, for small solar and small wind projects be awarded; greater than 50 percent, but procurement, startup, operation, and be less than 10 pages. For all proposed equal to or less than 75 percent, 15 maintenance. projects, the applicant will be required points will be awarded; or greater than The technical requirements vary for to submit the original technical 25 percent, but equal to or less than 50 each different system and project. In requirements report plus one copy to percent, 10 points will be awarded. The general, smaller projects will require the State Rural Development Office. energy replacement should be less information than larger projects, IV. Evaluation of Grant and determined by dividing the estimated projects using mature technologies will Guaranteed Loan Applications quantity of energy to be generated by at require less information than pre- least the past 12 months’ energy profile commercial technologies or The Agency will evaluate each of the agricultural producer or rural technologies with limited commercial application and make a determination small business or anticipated energy operational history; projects using pre- as to whether the applicant or borrower use. engineered systems or kits will require is eligible, whether the proposed project ii. Energy generation. If the proposed less information than projects that is eligible, and whether the proposed renewable energy system is intended require system design engineering; and grant or guaranteed loan or combined primarily for production of energy for systems or improvements using design- funding request complies with all sale, 20 points will be awarded. build project delivery methods where applicable statutes and regulations. The 2. Environmental Benefits. If the the supplier assumes all project delivery Agency will also evaluate the technical purpose of the proposed renewable risks will require less information than feasibility of each grant, while the energy system is to upgrade an existing those projects utilizing design-bid- lender will make this evaluation for facility or construct a new facility construction methods where the risks of guaranteed loans. The evaluation will be required to meet applicable health or project delivery fall on the applicant or based on the information provided by sanitary standards, 10 points will be borrower. Small projects using pre- the applicant and on other sources of awarded. The applicant must supply engineered kits or appliances utilizing a information, such as recognized appropriate documentation.
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3. Commercial Availability. If the greater than 9 and up to and including The Agency identified up to four renewable energy system is currently 11 years, 10 points will be awarded. additional factors that were considered commercially available and replicable, 3. Matching Funds (for Grants only). appropriate. These factors, the programs an additional 10 points will be awarded. If the agricultural producer or rural to which they are applicable, and the 4. Cost Effectiveness. If the proposed small business has provided eligible reasons for their selection, are: renewable energy system will return the matching funds of over 90 percent, 15 • Matching funds, which is cost of the investment in 5 years or less, points will be awarded; 85–90 percent, applicable to both renewable energy 25 points will be awarded; up to 10 10 points will be awarded; or 80 and up systems and energy efficiency years, 20 points will be awarded; up to to but not including 85 percent, 5 points improvements. One of the Agency’s 15 years, 15 points will be awarded; or will be awarded. goals for this program is to fund as up to 20 years, 10 points will be 4. Small Agricultural Producer. If the many projects as possible. To enable awarded. The estimated return on applicant (for grants) or borrower (for more projects to be funded, the Agency investment will be determined by guaranteed loans) is an agricultural elected to include as a criterion the dividing the total project cost by the producer producing agricultural amount of funds being requested. Those estimated projected net annual income products with a gross market value of projects requesting less assistance will and/or energy savings of the renewable less than $1 million in the preceding be awarded more points than those energy system. year, an additional 10 points will be projects requesting more assistance. As 5. Matching Funds (for Grants only). awarded. there are no matching funds associated If the agricultural producer or rural 5. Loan Rate (Guaranteed loans only). with guaranteed loans, this criterion is applicable only to grants. small business has provided eligible If the rate of the loan is below the Prime • matching funds of over 90 percent, 15 Rate (as published in The Wall Street Management, which is applicable to renewable energy systems only. One of points will be awarded; 85–90 percent, Journal) plus 1.75 percent, 5 points will the Agency’s goals for this program is to 10 points will be awarded; or at least 80 be awarded. If the rate of the loan is fund projects that have a high likelihood and up to but not including 85 percent, below the Prime Rate (as published in of success. One key component to a 5 points will be awarded. The Wall Street Journal) plus 1 percent successful project is the quality of the 6. Management. If the renewable an additional 5 points will be awarded. management team. Therefore, the energy system will be monitored and C. Selection of Evaluation Criteria and Agency believes it appropriate to managed by a qualified third-party Their Point Values include management as an evaluation operator, an additional 10 points will be criterion for renewable energy projects. 1. Selection of Evaluation Criteria. awarded. This criterion is applicable for grants The 2002 Act requires the Agency to 7. Small Agricultural Producer. If the and guaranteed loans. applicant (for grants) or borrower (for consider the following factors in • Small agricultural producers, which guaranteed loans) is an agricultural determining the amount of a grant or is applicable to renewable energy producer producing agricultural loan to be awarded or approved under systems and energy efficiency products with a gross market value of this program: improvements. The 2002 Act specifies less than $1 million in the preceding i. The type of renewable energy the target market as rural small year, an additional 10 points will be systems to be purchased; businesses and agricultural producers, awarded. ii. The estimated quantity of energy to but does not limit the size associated 8. Loan Rate (Guaranteed loans only). be generated by the renewable energy with agricultural producers. Another of If the rate of the loan is below the Prime system; the Agency’s goals for this program is to Rate (as published in The Wall Street iii. The expected environmental help ensure additional income to small Journal) plus 1.75 percent, 5 points will benefits of the renewable energy system; agricultural producers, thereby assisting be awarded. If the rate of the loan is iv. The extent to which the renewable in their economic sustainability. In below the Prime Rate (as published in energy system is replicable. order to help meet this goal, the Agency The Wall Street Journal) plus 1 percent, v. The amount of energy savings has elected to include as an evaluation an additional 5 points will be awarded. expected to be derived from the activity, criterion the size of the agricultural as determined by an energy audit producer. This criterion is applicable to B. Criteria for Applications for Energy comparable to an energy audit Efficiency Improvements grants and guaranteed loans. conducted under section 9004; • Loan rate, which is only 1. Energy savings. If the estimated vi. The estimated length of time it appropriate for guaranteed loans, energy expected to be saved, as would take for the energy savings because there are no loan rates determined by an energy assessment or generated by the activity to equal the associated with grants. The Agency is audit, will be 35 percent or greater, 20 cost of the activity; and adopting loan rate as a criterion because points will be awarded; 30 and up to but vii. Other factors as appropriate. it is consistent with Agency procedures not including 35 percent, 15 points will The Agency has incorporated Items under the B&I program and are be awarded; 25 and up to but not C.1.ii through vi into the evaluation applicable to this program. including 30 percent, 10 points will be criteria for renewable energy systems 2. Evaluation Criteria Point Values. awarded; or 20 and up to but not and Items C.1.v and vi into the The Agency has assigned point values including 25 percent, 5 points will be evaluation criteria for energy efficiency or point value ranges to each of the awarded. improvements (Items C.1.i through iv criterion identified above. Generally, the 2. Cost Effectiveness. If the proposed are not applicable to energy efficiency Agency considers all of the evaluation energy efficiency improvements will improvements). The Agency did not use criteria to be of similar value for scoring return the cost of the investment in 2 Item C.1.i, the type of renewable energy applications and, therefore, most have years or less, 25 points will be awarded; system, as an evaluation criteria because similar point values. It is possible, and greater than 2 and up to and including the rule specifies the types of renewable likely, that many applications will 5 years, 20 points will be awarded; energy systems that are approvable and receive no points for some of the criteria greater than 5 and up to and including no reason was found to ‘‘favor’’ one because the application does not meet 9 years, 15 points will be awarded; or technology over another. the conditions for being awarded points.
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For example, a guaranteed loan with an systems and energy efficiency $600,000 or more. Complete summary interest at the Prime Rate plus 2 percent improvements program are applicable appraisals are required for loans less would receive no points for the Loan and therefore have essentially adopted than $600,000. Unconditional personal Rate criterion. the B&I requirements. Two exceptions and corporate guarantees for those The criterion that the Agency believes to note are: owning or having a beneficial interest should have the highest potential • Under the proposed program, the greater than 20 percent of the borrower weight is cost effectiveness, because this Agency is not utilizing the ‘‘Certified will be required where legally criterion evaluates the overall return on Lender’’ aspect of the B&I program permissible; investment for each project. Point because the Agency believes that there iv. Supervising and monitoring values for this criterion range from 10 to are few, if any, lenders who would pre- project construction and ensuring all 25. qualify as ‘‘certified’’ lenders for making projects are designed according to After this criterion, the Agency guaranteed loans for renewable energy accepted practices; believes the criterion for the amount of systems and energy efficiency v. Distributing loan funds; energy generated or saved is the second improvements. vi. Conducting credit evaluations. For • most important criterion because it Under the proposed program, the each proposed project, lenders will be reflects the basic goals of the program’s Agency is only allowing a single note required to conduct a credit analysis in projects—to create new renewable system and is not incorporating the order to determine credit quality of the energy systems and to improve energy multi-note system from the B&I borrower. Elements of credit quality to efficiency. Point values for this criterion program. The Agency is doing this be addressed include adequacy of range from 10 to 20 for energy because the size of the loans associated equity, cash flow, collateral, history, replacement and 20 points for energy with the renewable energy systems and management, and the current status of generation for renewable energy energy efficiency improvements the industry for which credit is to be systems, and from 5 to 20 points for program are likely to be small enough extended. In determining the adequacy energy savings for energy improvement that there is minimal benefit to allowing of equity, the lender must ensure that, projects. multi-notes and the program becomes for loans over $600,000, evidence of The remaining criteria all have point simpler to implement without multi- cash equity injection in the project of values of about 10 points, although notes. not less than 25 percent of eligible some have the potential to be slightly The following paragraphs discuss the project costs is demonstrated and that, higher (e.g., 15 points under matching processing and servicing requirements for loans of $600,000 or less, evidence funds for those seeking the lowest of the guaranteed loan program. of cash equity injection in the project of percentage assistance) or lower (e.g., 5 1. Eligible Lenders. Lenders eligible to not less than 15 percent of eligible points under loan rate for higher interest make guaranteed loans under this project costs is demonstrated; vii. Ensuring that borrowers furnish rates). program are the ‘‘traditional’’ lenders, as identified under the B&I guaranteed all required environmental information V. Processing and Servicing Grants and loan program. Such lenders include, but and reporting any environmental issues Guaranteed Loans are not limited to: Federal or State to the Agency; and viii. Closing loans. When loan closing A. Processing and Servicing Grants chartered banks, Farm Credit Banks, other Farm Credit System institutions plans are established, the lender must The Agency will prepare a Letter of with direct lending authority, Banks for notify the Agency in writing. At the Conditions, which establishes Cooperatives, or Savings and Loan same time, or immediately after loan conditions that must be understood and Associations. These lenders have a closing, the lender must provide to the agreed to by the applicant before the broad range of experience and expertise Agency the lender’s certifications (as Agency will obligate any funds. The to make, secure, service, and collect required by § 4280.146), an executed applicant must sign the Letter of Intent loans. In addition, these lenders allow Form 4279–4, ‘‘Lender’s Agreement,’’ an to Meet Conditions, if they accept the the Agency to implement this program executed Form RD 1980–19, conditions of the grant. The grantee quickly because of the similarities ‘‘Guaranteed Loan Closing Report,’’ and must sign a Grant Agreement (Form RD between this program and the B&I appropriate guarantee fee, copies of 4280–2) and abide by all requirements program. legal loan documents, and disbursement contained in the Grant Agreement as 2. Lender’s Functions and plan if working capital is a purpose of well as other requirements specified. Responsibilities. As under the B&I the project. Note that, if a valid Lender’s Grants will be serviced in accordance program, lenders are responsible for Agreement already exists, the lender with 7 CFR part 1951, subpart E and the properly implementing the guaranteed will not be required to execute a new Grant Agreement. The Agency is using loan program, making sound loans, and Lender’s Agreement with each loan 7 CFR part 1951, subpart E, for this conducting all servicing in a reasonable guarantee. program because it is the Agency’s and prudent manner, in accordance 3. Loan Note Guarantee. A loan regulations for servicing Agency grant with Agency regulations and approvals, guarantee will be evidenced by Form programs. as required. Lender’s responsibilities in 4279–5, ‘‘Loan Note Guarantee,’’ which is prepared and issued by the Agency. B. Processing and Servicing Guaranteed fulfilling this requirement include, but The entire loan must be evidenced by Loans are not limited to: i. Processing applications; one note, and the Agency will issue Under the proposed program, ii. Developing and maintaining loan only one Loan Note Guarantee. The guaranteed loans will be processed and files. Both the lender and borrower must lender may assign all or part of the serviced in essentially the same manner permit representatives of the Agency to guaranteed portion of the loan to one or as guaranteed loans are processed and inspect and make copies of any records more holders. serviced under the Agency’s B&I of the lender or borrower pertaining to The Agency will not issue the Loan program. The Agency determined that the loan; Note Guarantee until the lender certifies the requirements in the B&I program for iii. Obtaining valid evidence of debt certain conditions have been met (e.g., processing and servicing guaranteed and collateral. Complete, self, contained all required insurance is in effect, the loans under the renewable energy appraisals are required for loans of loan has been properly closed). If the
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Agency determines that it cannot principal balance of the guaranteed loan is being serviced and that the execute the Loan Note Guarantee, the portion according to the conditions set conditions and covenants of the Loan Agency will inform the lender of the forth in the regulations and instruments. Agreement are being enforced; and reasons and give the lender a reasonable Purchase by the Agency does not D. Submitting annual financial period within which to satisfy the change, alter, or modify any of the statements and a written summary of objections. If the lender satisfies the lender’s obligations to the Agency the lender’s analysis and conclusions, objections within the time allowed, the arising from the loan or guarantee nor including trends, strengths, weaknesses, guarantee will be issued. does it waive any of the Agency’s rights extraordinary transactions, and other Any changes in borrower ownership against the lender. The Agency has the indications of the financial condition of or organization prior to the issuance of right to set-off against the lender all the borrower. the Loan Note Guarantee must meet the rights inuring to the Agency as the The lender will not be allowed to eligibility requirements of the program holder of the instrument against the make additional loans to the borrower and be approved by the Agency loan Agency’s obligation to the lender under without first obtaining the prior written approval official. the guarantee. approval of the Agency, even though Upon approval of a loan guarantee, Alternatively to the holder requesting such loans will not be guaranteed. the Agency will issue a Conditional repurchase, if the lender determines that ii. Changes to the loan. This rule Commitment, which contains the repurchase of the guaranteed portion of allows changes in the interest rate, the conditions under which a Loan Note the loan is necessary to adequately release of collateral, subordination of Guarantee will be issued. If certain service the loan, the holder must sell the lien position, alterations of the loan conditions cannot be met, the lender guaranteed portion of the loan to the instrument, and loan transfer and and/or borrower may propose alternate lender for an amount equal to the assumption. conditions and the Agency may unpaid principal and interest on such A. Under certain circumstances, negotiate with the lender and/or portion less the lender’s servicing fee interest rates may be temporarily or borrower regarding any proposed according to the requirements of the permanently reduced or increased, and changes to the Conditional regulations and instruments. fixed rates can be changed to variable Commitment. v. Transfer of lenders. The Agency rates. 4. Additional actions. This rule also may approve the substitution of a new B. All releases of collateral with a provides procedures for actions that eligible lender provided there are no value exceeding $100,000 must be may be made in connection to a changes in the borrower’s ownership or supported by a current appraisal. The guaranteed loan. Actions covered control, loan purposes, or scope of remaining collateral must be sufficient include: project, and loan conditions in the to provide for repayment of the i. Sale or assignment. A lender may Conditional Commitment and the Loan Agency’s guaranteed loan. Sale or sell all or part of the guaranteed portion Agreement remain the same. The release of collateral must be based on an of the loan on the secondary market or Agency will analyze the new lender’s arm’s-length transaction as specified in retain the entire loan, provided the loan servicing capability, eligibility, and the regulations and instruments. is not in default. Sale or assignment experience prior approving the C. The Agency will only consider a cannot be made to the borrower or substitution. parity or junior lien position. After the members of the borrower’s immediate 5. Servicing guaranteed loans. The subordination, collateral must be families, officers, directors, lender is responsible for servicing the adequate to secure the loan. stockholders, other owners, or a parent, entire loan and for taking all servicing D. Agency approval is required before subsidiary or affiliate. actions that a reasonable, prudent the lender can alter or approve changes ii. Participation. The lender may lender would perform in servicing its to any loan instrument. obtain participation in the loan under own portfolio of loans that are not E. All transfers and assumptions must its normal operating procedures. guaranteed. The lender must remain be approved by the Agency, in writing, However, the lender must retain title to mortgagee and secured party of record. and must be to borrowers eligible under the note and retain its interest in the The entire loan must be secured by the this program and any new loan terms collateral. same security with equal lien priority must be within the terms authorized by iii. Minimum retention. The lender for the guaranteed and unguaranteed § 4280.125. Other transfer and must hold in its own portfolio a portions of the loan. assumption conditions include: loan minimum of 5 percent of the total loan i. Servicing. Servicing responsibilities terms can only be changed with Agency amount. The amount required to be include, but are not limited to, the approval and concurrence of any holder maintained must be of the unguaranteed collection of payments, obtaining and the transferor (including portion of the loan and cannot be compliance with the covenants and guarantors); loans to provide additional participated to another. The lender may provisions in the Loan Agreement funds in connection with a transfer and sell the remaining amount of the obtaining and analyzing financial assumption will be considered as a new unguaranteed portion of the loan only statements, checking on payment of loan application under § 4280.128; the through participation. Sale of this part taxes and insurance premiums, and lender must make a complete credit of the unguaranteed portion, while maintaining liens on collateral. Lenders analysis, which is subject to Agency allowable, will not be guaranteed. will be responsible for: review and approval; and document and iv. Repurchase from holder. A holder A. Submitting semiannual reports on ensure that the transaction can be and may submit a written demand for the outstanding principal and interest is properly and legally transferred, and repurchase of the unpaid guaranteed balance on each guaranteed loan using the conveyance instruments will be and portion of the loan to the lender or to Form RD 1980–41, ‘‘Guaranteed Loan are filed, registered, or recorded as the Agency under certain conditions. Status Report.’’ appropriate. The lender has the option to repurchase. B. Notifying the Agency, in writing, of iii. Other servicing requirements. This The lender must notify, in writing, the the loan’s classification or rating under rule also contains requirements for: holder and the Agency of its decision. its regulatory standards. A. Substitution of Lender. Agency If the lender declines, the Agency will C. Attending meetings with the written approval is required. The purchase from the holder the unpaid Agency to ascertain how the guaranteed Agency will not pay any loss or share
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in any costs with a new lender unless construction was completed and Executive Order 12866, the economic a relationship is established through a continuing for 3 full years. Information analysis conducted by USDA in support substitution of lender that has been in this report will include the actual of this rule does not necessarily conform approved by the Agency. The proposed amount of energy produced in BTUs, to OMB Circular A–4, Regulatory substitute lender must be an eligible kilowatts, or similar energy equivalents; Analysis. lender under this program, must be able if applicable, documentation that A. Benefit-Cost Analysis to service the loan in accordance with identified health and/or sanitation the original loan documents, and must problem has been solved; the annual 1. Scope of the Analysis. This analysis agree in writing to acquire and must income and/or energy savings of the looks at the social benefits and costs acquire title to the unguaranteed portion renewable energy system; a summary of from the implementation of the of the loan held by the original lender the cost of operating and maintaining proposed rule. The social benefits and to assume all original loan the facility; a description of any examined are: requirements, including liabilities and maintenance or operational problems i. The value of the energy produced or servicing responsibilities. associated with the facility; and saved, including green tag values. B. Default by Borrower. This rule recommendations for development of ‘‘Green tag’’ refers to the positive outlines options a borrower can use to future similar projects. environmental attributes of renewable resolve a default. These include, but are For energy efficiency improvement energy compared to ‘‘dirtier’’ generation not limited to, deferment of principal, projects, this report will be required power sources. The green tag value reamortization and rescheduling, and beginning the first full calendar year refers to the additional amount an liquidation. following the year in which project electricity service provider will pay to C. Protective Advances. If a borrower construction was completed and ‘‘green’’ their energy supply or to the cannot meet its obligations, the lender continuing for 2 full years. This report additional amount a retail customer is will be required to make protective will specify the actual amount of energy willing to pay to purchase ‘‘green’’ advances for the purpose of preserving saved due to the energy efficiency power. and protecting the collateral as required improvements. ii. The amount of carbon emissions in the regulations and instruments. G. Replacement of Documents. The reduced as the result of electricity Protective advances, however, cannot be Agency may issue a replacement Loan generation being displaced or reduced. made in lieu of additional loans. Note Guarantee or Assignment The social costs examined are the D. Liquidation. Liquidation of the Guarantee Agreement, which has been costs of participating in the proposed loan may be considered by the lender lost, stolen, destroyed, mutilated, or program and the amount of USDA funds under certain circumstances and must defaced, to the lender or holder upon used in the program. be concurred with by the Agency. receipt of an acceptable certificate of Other effects examined included: Conditions and requirements associated loss and an indemnity bond. This rule i. The number of agricultural with many aspects of liquidation are identifies responsibilities for replacing producers and rural small businesses specified in the regulations and documents and the information required that are served by the program. instruments, including, but not limited for their replacement. ii. The number of jobs created. to, those for the decision to liquidate, iii. The amount of electricity liquidation plans, accounting and C. Processing and Servicing Combined generated or saved (energy cost savings). reports, abandonment of collateral, and Funding iv. The amount of energy displaced settlements. The procedures and Where the Agency approves a (e.g., the number of barrels of oil no requirements are the same as those combined funding request, the grant longer needed). associated with the B&I guaranteed loan portion will be processed and serviced program. according to the procedures described 2. Scenarios Analyzed. The analysis E. Bankruptcy. The lender will be in paragraph A for grants. The examines a baseline case and several required to protect the guaranteed loan guaranteed loan portion will be policy alternatives. In addition, the and all collateral securing the loan in processed and serviced according to the analysis varied several of the parameters bankruptcy proceedings. This rule procedures described in paragraph B for to assess the sensitivity of the results. specifies procedures to be followed in guaranteed loans. The basic inputs into the analysis are: reorganization proceedings and in i. The total amount of program liquidation proceeding covering such VI. Economic Analysis funding in FYs 2003 through 2007; items, as applicable, as estimated loss, To support the development of this ii. The amount of program funding interest loss, and final loss payments; rule, a benefit-cost analysis was obligated for grants, guaranteed loans, payment application, overpayments; performed. In addition, an assessment of and direct loans; and protective advances. the potential impacts on small iii. The amount of program funding F. Requirements After Project businesses was made. The following for renewable energy projects and for Construction. Once the project has been paragraphs summarize the benefit-cost energy efficiency improvements; constructed, the lender must provide analysis that was performed and the iv. The subsidy rate; the Agency periodic reports from the results. This summary is then followed v. The discount rate; and borrower. For renewable energy by a brief discussion of the benefit-cost vi. The useful life of projects. systems, this report will be required analysis as it applies to small 3. Results—Baseline Case beginning the first full calendar year businesses. Because this rule is not an Table 1 summarizes the social following the year in which project economically significant rule under benefits and costs of the proposed rule.
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TABLE 1.—SUMMARY OF SOCIAL BENEFITS AND COSTS BY FY FOR BASELINE CASE [Million dollars]
FY Item 2003 2004 2005 2006 2007
Social Costs: Participation ...... 2.4 2.4 2.4 2.4 2.4 USDA Funds ...... 19.8 15.7 20.0 20.0 20.0 Social Benefits: Green Tag Value ...... 1.2 3.5 6.8 6.9 7.1 Carbon Emission Reduction (million tons per year) ...... 0.055 0.22 0.44 0.44 0.44
As seen in Table 1, the annual tons in FY 2003 up to 440,000 tons in producers and rural small businesses estimated social cost (in year 2000 the last three FYs. are estimated to participate in the dollars) for each of the five FYs ranges In addition to the social benefits, the program. The projects that these from $18 to $22.4 million. In return, the proposed program is also projected to participants would implement are annual estimated social benefits (in year provide other benefits, as noted earlier. estimated to create approximately 1,800 2000 dollars) of the green tag values for These other benefits are summarized in jobs per year, provide energy cost each of the five FYs ranges from $1 Table 2 for each of the five FYs. Once savings up to $131 million in FY 2007, million to $7 million, while carbon the program is fully implemented, and save approximately 3 million emission reductions range from 55,000 approximately 300 agricultural barrels of oil each year.
TABLE 2.—OTHER BENEFITS—BASELINE CASE
FY Item Units 2003 2004 2005 2006 2007
Agricultural producers and rural small Number ...... 113 238 300 300 300 businesses served. Jobs Created ...... Number of full time equivalents ...... 243 887 1,770 1,830 1,890 Energy Cost Savings ...... Million dollars ...... 8.4 35.6 78.4 108.6 131.7 Energy Displaced...... Million barrels...... 0.5 1.7 3.3 3.1 3.1
4. Results—Other Scenarios. As noted by about 16 percent over the five year rule. Rural Development is committed earlier, several alternative policy period and by over 55 percent over the to compliance with the Government scenarios and sensitivity analysis useful life of the projects. Paperwork Elimination Act, which scenarios were examined to evaluate the requires Government agencies, in B. Small Businesses effect of variations in several of the general, to provide the public the option parameters. The following paragraphs This program is targeted to of submitting information or transacting summarize the effects of three of these agricultural producers and rural small business electronically to the maximum other scenarios on green tag values. For businesses. Based on data compiled by extent possible. more details, please refer to the the USDA Economic Research Service The following estimates are based on complete analysis document. and the Small Business Administration, the average over the first three years the i. Grants Only. Under this alternative over 3 million entities would be eligible program is in place. policy scenario, the Agency would only for this program. The vast majority of Estimate of Burden: Public reporting provide grants in FY 2004 through FY agricultural producers also fit the burden for this collection of information 2007; no guaranteed or direct loans definition of small businesses. is estimated to average 6 hours per would be made. The effect under this Excluding the small percentage of response. scenario is estimated to be a reduction agricultural producers that do not Respondents: Agricultural producers in green tag benefits of over 75 percent qualify as small entities, the almost 3 and rural small businesses. for both the five year period and the million entities would qualify as small Estimated Number of Respondents: useful life of the projects. businesses under this program. Given 388. ii. Change in Subsidy Rate. A 1 this situation, the benefit-cost analysis Estimated Number of Responses per percent drop in the subsidy rate (from discussed above can be considered as Respondent: 14. 5.18 percent to 4.18 percent) in FY 2005 the relevant analysis for analyzing the Estimated Number of Responses: through FY 2007 is estimated to impacts of the proposed program on 5,335. increase green tag benefits by over 30 small businesses. Estimated Total Annual Burden on percent. On the other hand, a 1 percent VII. Administrative Requirements Respondents: 32,149. increase in the subsidy rate (to 6.18 Type of Request: New collection. percent) is estimated to result in a 10 A. Paperwork Reduction Act Abstract: The Farm Security and percent decrease in green tag benefits. In accordance with the Paperwork Rural Investment Act of 2002 (2002 Act) iii. Change in Discount Rate. A Reduction Act of 1995, Rural established the Renewable Energy decrease in the discount rate from 7 Development will seek OMB approval of Systems and Energy Efficiency percent to 3 percent increases the the reporting and recordkeeping Improvements Program under Title IX, present value of the green tag benefits requirements contained in this proposed Section 9006. The 2002 Act requires the
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Secretary of Agriculture to create a B. Intergovernmental Review small entities. The benefit-cost analysis program to make grants, loan The Rural Development Grant, and the IRFA (referred to as the Unified guarantees, and direct loans to Guaranteed Loan, and Direct Loan Analysis) are available for review in the agricultural producers and rural small Program is subject to the provisions of docket and the results are summarized businesses to purchase renewable Executive Order 12372, which requires below. The program targets rural small energy systems and make energy intergovernmental consultation with businesses plus agricultural producers. efficiency improvements. The program State and local officials. Rural The vast majority of these agricultural will help agricultural producers and Development will conduct producers qualify as small businesses rural small businesses to reduce energy intergovernmental consultation in the too. Based on data compiled by the costs and consumption and help meet manner delineated in RD Instruction USDA Economic Research Service and the nation’s energy needs. 1940–J, ‘‘Intergovernmental Review of the SBA, there are approximately 3 The information requirements Rural Development Programs and million of the entities who would contained in this proposed rule require Activities,’’ and in the notice related to qualify under this program. information from grant, guaranteed loan, 7 CFR part 3015, subpart V. and direct loan applicants and The benefit-cost analysis reflects a borrowers. The information is vital for C. Regulatory Flexibility Act large net beneficial impact. The expenditure of slightly less than $100 Rural Development to make wise The Regulatory Flexibility Act (RFA) million in nominal USDA funds over decisions regarding the eligibility of requires Federal agencies to prepare a five years (approximately $20 million applicants and borrowers, establish regulatory flexibility analysis of any rule per year) from FY 2003 through FY 2007 selection priorities among competing subject to notice and comment represents a present value cost in applicants, ensure compliance with rulemaking requirements under the constant year 2000 dollars of applicable Rural Development Administrative Procedures Act or any approximately $71 million. This sum in regulations, and effectively monitor the other statute unless the Agency certifies turn supports total program funding grantees and borrowers activities to that the rule will not have a significant (USDA funds and private funds) of over protect the Government’s financial economic impact on a substantial $1 billion. The cumulative cash flow interest and ensure that funds obtained number of small entities. Small entities benefits through 2007 are $360 million from the Government are use include small businesses, small in comparison to the $71 million cost. appropriately. This collection of organizations, and small governments. The cash flow benefits based upon life information is necessary in order to The major purpose of the RFA is to keep cycle analysis are $1.5 billion, again implement the grant, guaranteed loan, paperwork and regulatory requirements based upon this $71 million cost. and direct loan program for Renewable from getting out of proportion to the Energy Systems and Energy Efficiency Given that almost the entire program scale of the entities being regulated, is directed at small businesses, the Improvements established under the without compromising the objectives of 2002 Act. burden analysis is a representative the Act. measure for small businesses of the Copies of this information collection For purposes of assessing the impacts reporting, recordkeeping, and other can be obtained from Cheryl Thompson, of today’s proposed rule on small compliance costs. The burden analysis Regulations and Paperwork entities, small entity is defined as: (1) A estimated an annual (three-year average) Management Burden at (202) 692–0043. small business according to the Small cost of $1.9 million for an estimated 388 Comments are invited on (1) whether Business Administration (SBA) size applicants per year. the proposed collection of information standards by NAICS code ranging from As noted above, the proposed rule is is necessary for the proper performance 500 to 1,000 employees; (2) a small directed almost entirely at small of the functions of Rural Development, governmental jurisdiction that is a businesses. Therefore, the benefit-cost including whether the information will government of a city, county, town, analysis represents the results as it have practical utility; (2) the accuracy of school district or special district with a affects small businesses. the new Rural Development estimate of population of less than 50,000; and (3) the burden of the proposed collection of a small organization that is any not-for- D. Civil Justice Reform information, including the validity of profit enterprise that is independently This proposed rule has been reviewed the methodology and assumptions used; owned and operated and is not under Executive Order 12988, Civil (3) ways to enhance the quality, utility, dominant in its field. Justice Reform. In accordance with this and clarity of the information to be In compliance with the Regulatory rule: (1) All State and local laws and collected; and (4) ways to minimize the Flexibility Act (5 U.S.C. 601–602), the regulations that are in conflict with this burden of the collection of information undersigned has determined and proposed rule will be preempted, (2) no on those who are to respond, including certified by signature of this document retroactive effect will be given to this through the use of appropriate that this proposed rule would not have rule, and (3) administrative proceedings automated, electronic, mechanical, or a significant economic impact on a in accordance with 7 CFR part 11 must other technological collection substantial number of small entities. be exhausted before bringing suit in techniques or other forms of information This action impacts those who choose to court challenging action taken under technology. Comments may be sent to: participate in the grant, guaranteed loan, this rule, unless those regulations Cheryl Thompson, Regulations and and direct loan program and requires specifically allow bringing suit at an Paperwork Management Branch, U.S. only minimum information/paperwork earlier time. Department of Agriculture, Rural to evaluate an application. Therefore, a Development, STOP 0742, 1400 regulatory flexibility analysis was not E. National Environmental Policy Act Independence Ave., SW., Washington, performed. This document has been reviewed in DC 20250. All responses to this notice Although a regulatory flexibility accordance with 7 CFR part 1940, will be summarized and included in the analysis was not performed, the Agency subpart G. Rural Development has request for OMB approval. All conducted a benefit-cost analysis and an determined that this action does not comments will also become a matter of initial regulatory flexibility analysis constitute a major Federal action public record. (IRFA) that examines the impact on significantly affecting the quality of the
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human environment, and, in accordance (2) Create a serious inconsistency or 4280.130 Eligible lenders. with the National Environmental Policy otherwise interfere with an action taken 4280.131 Lender’s functions and Act of 1969, Pub.L 91–190, an or planned by another agency; responsibilities. Environmental Impact Statement is not (3) Materially alter the budgetary 4280.132 Access to records. 4280.133 Conditions of guarantee. required. impact of entitlements, grants, user fees 4280.134 Sale or assignment of guaranteed or loan programs or the rights and F. Unfunded Mandates Reform Act loan. obligations of recipients thereof; or 4280.135 Participation. Title II of the Unfunded Mandates (4) Raise novel legal or policy issues 4280.136 Minimum retention. Reform Act of 1995 (UMRA), Pub. L. arising out of legal mandates, the 4280.137 Repurchase from holder. 104–4, establishes requirements for President’s priorities, or the principles 4280.138 Replacement of document. Federal agencies to assess the effects of set forth in the Executive Order. 4280.139 Credit quality. their regulatory actions on State, local, 4280.140 Financial statements. and tribal governments and the private List of Subjects in 7 CFR Part 4280 4280.141 Appraisals. sector. Under section 202 of the UMRA, Business and industry, Direct loan 4280.142 Personal and corporate guarantees. Rural Development must prepare a programs, Economic development, 4280.143 Loan approval and obligation of written statement, including a benefit- Energy, Energy efficiency funds. cost analysis, for proposed and final improvements, Grant programs, 4280.144 Transfer of lenders. rules with ‘‘Federal mandates’’ that may Guaranteed loan programs, Renewable 4280.145 Changes in borrower. result in expenditures to State, local or energy systems, Rural areas. 4280.146 Conditions precedent to issuance tribal governments, in the aggregate, or For the reasons stated in the of Loan Note Guarantee. to the private sector of $100 million or preamble, title 7, chapter XLII of the 4280.147 Issuance of the guarantee. more in any 1 year. When such a 4280.148 Refusal to execute Loan Note Code of Federal Regulations is amended Guarantee. statement is needed for a rule, section as follows: 4280.149 Requirements after project 205 of UMRA generally requires Rural CHAPTER XLII—RURAL BUSINESS— construction. Development to identify and consider a COOPERATIVE SERVICE AND RURAL 4280.150 Insurance requirements. reasonable number of regulatory UTILITIES SERVICE, DEPARTMENT OF 4280.151 Laws that contain other alternatives and adopt the least costly, AGRICULTURE compliance requirements. more cost-effective, or least burdensome 1. Part 4280 is added to read as 4280.152 Servicing guaranteed loans. 4280.153 Substitution of lender. alternative that achieves the objectives follows: of the rule. 4280.154 Default by borrower. 4280.155 Protective advances. This proposed rule contains no PART 4280—LOANS AND GRANTS Federal mandates (under the regulatory 4280.156 Liquidation. Subpart A—[Reserved] 4280.157 Determination of loss and provisions of title II of the UMRA) for payment. State, local, and tribal governments or Subpart B—Renewable Energy Systems 4280.158 Future recovery. the private sector. Thus, this rule is not and Energy Efficiency Improvements Grant, 4280.159 Bankruptcy. subject to the requirements of sections Guaranteed Loan, and Direct Loan Program 4280.160 Termination of guarantee. 202 and 205 of UMRA. Sec. Direct Loans G. Executive Order 13132, Federalism 4280.101 Purpose. 4280.102 General. 4280.161 Direct Loan Process It has been determined under 4280.103 Definitions. 4280.162–.192 [Reserved] Executive Order 13132, Federalism, that 4280.104 Exception authority. Combined Funding 4280.105 Appeals. this proposed rule does not have 4280.193 Combined funding. 4280.106 Conflict of interest. sufficient federalism implications to 4280.194–.199 [Reserved] warrant the preparation of a Federalism Grants 4280.200 OMB control number. [Reserved] assessment. The provisions contained in 4280.107 Applicant eligibility. Authority: 7 U.S.C. 8106. this proposed rule will not have a 4280.108 Project eligibility. substantial direct effect on States or 4280.109 Grant funding. Subpart A—[Reserved] their political subdivisions or on the 4280.110 [Reserved] distribution of power and 4280.111 Application and documentation. Subpart B—Renewable Energy responsibilities among the various 4280.112 Evaluation of grant applications. Systems and Energy Efficiency levels of government. 4280.113 Insurance requirements. Improvements Grant, Guaranteed 4280.114 Laws that contain other H. Executive Order 12866, Regulatory compliance requirements. Loan, and Direct Loan Program Planning and Review 4280.115 Construction planning and § 4280.101 Purpose. Under Executive Order 12866, this performing development. 4280.116 Grantee requirements. This subpart contains a program of proposed rule has been determined to 4280.117 Servicing grants. procedures and requirements for making be ‘‘significant’’ and, therefore, has been 4280.118–.120 [Reserved] grants and guaranteed loans, or a reviewed by the Office of Management combination thereof, to agricultural Guaranteed Loans and Budget (OMB). The Order defines producers and rural small businesses for ‘‘significant’’ regulatory action as one 4280.121 Borrower eligibility. the purchase of renewable energy that is likely to result in a rule that may: 4280.122 Project eligibility. systems and energy efficiency (1) Have an annual effect on the 4280.123 Guaranteed loan funding. 4280.124 Interest rates. improvements in rural areas. This economy of $100 million or more or subpart also presents the process that adversely affect in a material way the 4280.125 Terms of loan. 4280.126 Guarantee/annual renewal fee will be used to provide funds for direct economy, a sector of the economy, percentages. loans. productivity, competition, jobs, the 4280.127 [Reserved] environment, public health or safety in 4280.128 Application and documentation. § 4280.102 General. State, local or tribal governments or 4280.129 Evaluation of guaranteed loan Sections 4280.103 through 4280.105 communities; applications. contain definitions, exception authority,
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and appeals, which are applicable to all Biogas. Biomass converted to gaseous Existing business. A business that has of the funding programs under this fuels. completed at least one full business subpart. Sections 4280.107 through Biomass. Any organic material that is cycle. 4280.117 contain the procedures and available on a renewable or recurring Existing lender debt. A debt not requirements for obtaining a grant, and basis including agricultural crops; trees guaranteed by the Agency, but owed by processing and servicing of grants by the grown for energy production; wood a borrower to the same lender that is Agency. Sections 4280.121 through waste and wood residues; plants, applying for or has received the Agency 4280.151 contain the procedures and including aquatic plants and grasses; guarantee. requirements for making and processing fibers; animal waste and other waste Fair market value. The price that loans guaranteed by the Agency. materials; and fats, oils, and greases, could reasonably be expected for an Sections 4280.152 through 4280.160 including recycled fats, oils, and asset in an arm’s-length transaction contain the requirements for servicing greases. It does not include paper that between a willing buyer and a willing loans guaranteed by the Agency. These is commonly recycled or unsegregated seller under ordinary economic and requirements apply to lenders, holders, solid waste. business conditions. and other parties involved in making, Borrower. All parties liable for the Fair market value of equity in real guaranteeing, holding, servicing, or loan except for guarantors. property. Fair market value of real liquidating such loans. Section 4280.161 Capacity. The load that a power property as established by appraisal; presents the process the Agency will use generation unit or other electrical less the outstanding balance of any to make direct loans available. Section apparatus or heating unit is rated by the mortgages, liens, or enhancements. 4280.193 contains the requirements for manufacturer to be able to meet or Financial feasibility. The ability of the obtaining and servicing a combined supply. business to achieve the projected grant and guaranteed loan. Commercially available. Systems that income and cash flow. The concept have a proven operating history and an includes assessments of the cost- § 4280.103 Definitions. established design, installation, accounting system, the availability of The following definitions are equipment, and service industry. short-term credit for seasonal business, applicable to this subpart. Conditional commitment (Form 4279– and the adequacy of raw materials and Agency. Rural Development or 3). The Agency’s notice to the lender supplies, where necessary. successor Agency assigned by the that the loan guarantee it has requested Grant close-out. When all required Secretary of Agriculture to administer is approved subject to the completion of work is completed, administrative the program. all conditions and requirements. actions relating to the completion of Default. The condition where a Agricultural producer. An individual work and expenditures of funds have borrower is not in compliance with one or entity directly engaged in the been accomplished, and the Agency or more loan covenants as stipulated in production of agricultural products, accepts final expenditure information. the Letter of Conditions, Conditional including crops (including farming); Holder. A person or entity, other than Commitment, or Loan Agreement. livestock (including ranching); forestry the lender, who owns all or part of the products; hydroponics; nursery stock; or Deficiency balance. The balance remaining on a loan after all collateral guaranteed portion of the loan, with no aquaculture, whereby 50 percent or servicing responsibilities. greater of their gross income is derived has been liquidated. Deficiency judgment. A monetary In-kind contributions. Applicant or from the operations. judgment rendered by a court of third-party real or personal property or Annual receipts. The total income or competent jurisdiction after foreclosure services benefiting the Federally gross income (sole proprietorship) plus and liquidation of all collateral securing assisted project or program that are cost of goods sold. the loan. contributed by the applicant or a third Applicant. For grant programs, the Delinquent loan. A loan where a party. The identifiable value of goods applicant is the agricultural producer or scheduled loan payment has not been and services must directly benefit the rural small business that is seeking a received within the due date and any project. grant under this subpart. For guaranteed grace period as stipulated in the Interconnection agreement. The terms loan programs, the applicant is the promissory note and loan agreement. and conditions governing the lender that is seeking a loan guarantee Demonstrated financial need. The interconnection and parallel operation under this subpart. demonstration by an applicant that the of the grantee’s or borrower’s electric Arm’s-length transaction. The sale, applicant is unable to finance the generation equipment and the utility’s release, or disposition of assets in which project from its own resources or other electric power system. the title to the property passes to a funding sources without grant Interim financing. A temporary or ready, willing, and able disinterested assistance. short-term loan made with the clear third party that is not affiliated with or Eligible project cost. The total project intent that it will be repaid through related to and has no security, monetary costs that are eligible to be paid with another loan. Interim financing is or stockholder interest in the borrower grant and/or guaranteed loan funds. frequently used to pay construction and or transferor at the time of the Energy audit. A written report by an other costs associated with a planned transaction. independent, qualified entity or project, with permanent financing to be Assignment guarantee agreement. individual that documents current obtained after project completion. Form 4279–6. The signed agreement energy usage, recommended Lender. The organization making, among the Agency, the lender, and the improvements and their costs, energy servicing, and collecting the loan that is holder containing the terms and savings from these improvements, guaranteed under the provisions of this conditions of an assignment of a dollars saved per year, and the subpart. guaranteed portion of a loan. weighted-average payback period in Lender’s agreement, Form 4279–4. Assumption of debt. The signed years. Agreement between the Agency and the agreement by one party to legally bind Energy efficiency improvement. lender setting forth the lender’s loan itself to pay the debt incurred by Improvements to a facility or process responsibilities when the Loan Note another. that reduce energy consumption. Guaranteed is issued.
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Loan agreement. For guaranteed promising to pay a specific amount of § 4280.104 Exception authority. loans, the agreement between the money at a stated time or on demand. The Administrator may, in individual borrower and lender containing the Renewable energy. Energy derived cases, make an exception to any terms and conditions of the guaranteed from a wind, solar, biomass, or requirement or provision of this subpart loan and the responsibilities of the geothermal source; or hydrogen derived that is not inconsistent with any borrower and lender. from biomass or water using wind, authorizing statute or applicable law if Loan Note Guarantee, Form 4279–5. solar, or geothermal energy sources. the Administrator determines that The terms and conditions of the Renewable energy system. A process application of the requirement or guarantee issued and executed by the that produces energy from a renewable provision would adversely affect the Agency. energy source. USDA’s interest. Loan-to-value. The ratio of the dollar amount of a loan to the dollar value of Rural. Any area other than a city or § 4280.105 Appeals. the discounted collateral pledged as town that has a population of greater Only the grantee, borrower, lender, or security for the loan. than 50,000 inhabitants and the holder can appeal an Agency decision Matching funds. The funds needed to urbanized area contiguous and adjacent made under this subpart. In cases where pay for the portion of the eligible project to such a city or town according to the the Agency has denied or reduced the costs not funded or guaranteed by the latest decennial census of the United amount of final loss payment to the Agency through a grant or guaranteed States. lender, the adverse decision may be loan under this program. Matching Small business. A private entity appealed by the lender only. An adverse funds can not include grants from any including a sole proprietorship, decision that only impacts the holder Federal grant program. partnership, corporation, and a may be appealed by the holder only. A Negligent servicing. The failure to cooperative (including a cooperative decision by a lender adverse to the perform those services which a qualified under section 501(c)(12) of the interest of the borrower is not a decision reasonable, prudent lender would Internal Revenue Code) but excluding by the Agency, whether or not perform in servicing (including any private entity formed solely for a concurred in by the Agency. Appeals liquidation of) its own portfolio of loans charitable purpose, and which private will be handled in accordance with 7 that are not guaranteed. The term entity is considered a small business CFR part 11. Any party adversely includes not only the concept of a concern in accordance with the Small affected by an Agency decision under failure to act, but also not acting in a Business Administration’s (SBA) Small this subpart may request a timely manner, or acting in a manner Business Size Standards by North determination of appealability from the contrary to the manner in which a American Industry Classification Director, National Appeals Division, reasonable, prudent lender would act. System (NAICS) Industry found in 13 USDA, within 30 days of the adverse Nonprogram (NP) loan. An NP loan CFR part 121; provided the entity has decision. exists when credit is extended to an 500 or fewer employees and $20 million ineligible applicant and/or transferee in or less in total annual receipts including § 4280.106 Conflict of interest. connection with a loan assumption or all parent, affiliate, or subsidiary entities No conflict of interest or appearance sale of inventory property; in cases of at other locations. of conflict of interest will be allowed. unauthorized assistance; or a borrower Spreadsheet. A table containing data For purposes of this subpart, conflict of whose legal organization has changed, from a series of financial statements of interest includes, but is not limited to, resulting in the borrower being a business over a period of time. distribution or payment to an individual ineligible for program benefits. Financial statement analysis normally owner, partner, stockholder, or Other waste materials. Inorganic or contains spreadsheets for balance sheet beneficiary of the applicant or borrower organic materials that are used as inputs items and income statements and may or a close relative of such an individual for energy production or are by-products include funds flow statement data and when such individual will retain any of the energy production process. commonly used ratios. The spreadsheets portion of the ownership of the Parity. A lien position whereby two or enable a reviewer to easily scan the applicant or borrower. more lenders share a security interest of data, spot trends, and make Grants equal priority in collateral. In the event comparisons. § 4280.107 Applicant eligibility. of default, each lender will be affected State. Any of the 50 States, the on a pro rata basis. Commonwealth of Puerto Rico, the To receive a grant under this subpart, Participation. Sale of an interest in a Virgin Islands of the United States, an applicant must meet each of the loan by the lender wherein the lender Guam, American Samoa, the criteria, as applicable, as set forth in retains the note, collateral securing the Commonwealth of the Northern Mariana paragraphs (a) through (f) of this section. note, and all responsibility for loan (a) The applicant or borrower must be Islands, the Republic of Palau, the servicing and liquidation. an agricultural producer or rural small Federated States of Micronesia, and the Power purchase arrangement. The business. Republic of the Marshall Islands. terms and conditions governing the sale (b) Individuals must be citizens of the and transportation of electricity Subordination. An agreement United States (U.S.) or reside in the U.S. produced by the grantee or borrower to whereby lien priorities on certain assets after being legally admitted for another party. pledged to secure payment of a loan will permanent residence. Pre-commercial technology. be reduced to a position junior to, or on (c) Entities must be at least 51 percent Technologies that have emerged through parity with, the lien position of another owned, directly or indirectly, by the research and development process loan in order for the borrower to obtain individuals who are either citizens of and have technical and economic additional financing, not guaranteed by the U.S. or reside in the U.S. after being potential for application in commercial the Agency, from the lender or a third legally admitted for permanent energy markets but are not yet party. residence. commercially available. Total project cost. The sum of all costs (d) If the applicant or borrower or an Promissory Note. Evidence of debt. A associated with a completed, owner has an outstanding judgment note that a loan recipient signs operational project. obtained by the United States in a
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Federal Court (other than in the United (iii) Energy audits or assessments; responsible for conducting and States Tax Court), is delinquent in the (iv) Permit fees; completing the tasks, and the expected payment of Federal income taxes, or is (v) Professional service fees, except timeframes for completing all tasks, delinquent on a Federal debt, the for application preparation; including an operational date. The applicant or borrower is not eligible to (vi) Feasibility studies; applicant must also clearly state receive a grant or guaranteed loan until (vii) Business plans; whether the application is for the the judgment is paid in full or otherwise (viii) Retrofitting; and purchase of a renewable energy system satisfied or the delinquency is resolved. (ix) Construction of a new facility or to make energy efficiency (e) In the case of an applicant or only when the facility is used for the improvements. borrower that is applying as a rural same purpose, is approximately the (3) Eligibility. Each applicant must small business, the business same size, and based on the energy describe how the grantee or borrower headquarters must be in a rural area and audit will provide more energy savings meets the requirements of § 4280.107. the project to be funded also must be in than improving an existing facility. (4) Agricultural producer/rural small a rural area. Only costs identified in the energy audit business information. All applications (f) The applicant must have for energy efficiency projects are must contain the following information demonstrated financial need. allowed. on the agricultural producer or rural (2) The applicant must provide at small business seeking funds under this § 4280.108 Project eligibility. least 75 percent of eligible project costs program: For a project to be eligible to receive to complete the project. Applicant in- (i) Business/farm/ranch operation. a grant under this subpart, the proposed kind and other Federal grant awards (A) A description of the ownership, project must meet each of the criteria, as cannot be used to meet the matching including a list of individuals and/or applicable, in paragraphs (a) through (f) fund requirement. However, the Agency entities with ownership interest, names of this section. will allow third-party, in-kind of any corporate parents, affiliates, and (a) The project must be for the contributions to be used in meeting the subsidiaries, as well as a description of purchase of a renewable energy system matching fund requirement. Third- the relationship, including products, or to make energy efficiency party, in-kind contributions will be between these entities. improvements. limited to 10 percent of the matching (B) A description of the operation. (b) The project must be for a pre- fund requirement of the grantee. The (ii) Management. The resume of key commercial or commercially available Agency will advise if the third-party, in- managers focusing on relevant business and replicable technology. kind contributions are acceptable in experience. If a third-party operator is (c) The project must be technically accordance with 7 CFR part 3015. used to monitor and manage the project, feasible, as determined using the (b) The maximum amount of grant provide a discussion on the benefits and procedures specified in § 4280.112(c). assistance to one individual or entity burdens of such monitoring and (d) The project must be located in a will not exceed $750,000. management as well as the rural area. (c) Applications for renewable energy qualifications of the third party. (e) The applicant (for grants) or systems must be for a minimum grant (iii) Financial Information. (A) Explanation of demonstrated borrower (for guaranteed loans) must be request of $2,500, but no more than financial need. the owner of the system and control the $500,000. operation and maintenance of the (B) For rural small businesses, a (d) Applications for energy efficiency current balance sheet and income proposed project. A qualified third- improvements must be for a minimum party operator may be used to manage statement prepared in accordance with grant request of $2,500, but no more generally accepted accounting the operation and/or maintenance of the than $250,000. proposed project. principles (GAAP) and dated within 90 (f) All projects financed under this § 4280.110 [Reserved] days of the application. Agricultural subpart must be based on satisfactory producers should present financial sources of revenues in an amount § 4280.111 Application and information in the format that is documentation. sufficient to provide for the operation generally required by commercial and maintenance of the system or The following requirements apply to agriculture lenders. Financial project. all grant applications under this information is required on the total subpart. operations of the agricultural producer/ § 4280.109 Grant funding. (a) Application. Separate applications rural small business and its parent, (a) The amount of grant funds that must be submitted for renewable energy subsidiary, or affiliates at other will be made available to an eligible system and energy efficiency locations. project under this subpart will not improvement projects. For each type of (C) Rural small businesses must exceed 25 percent of eligible project project, only one application may be provide sufficient information to costs. submitted. determine total annual receipts of the (1) The only eligible project costs are (1) Table of Contents. The first item in business and any parent, subsidiary, or those costs associated with the items each application will be a detailed Table affiliates at other locations. Voluntarily identified in paragraphs (a)(1)(i) through of Contents in the order presented providing tax returns is one means of (ix) of this section, as long as the items below. Include page numbers for each satisfying this requirement. Information are an integral and necessary part of the component of the proposal. Begin provided must be sufficient for the total project: pagination immediately following the Agency to make a determination of total (i) Post-application purchase and Table of Contents. income and cost of goods sold by the installation of equipment, except (2) Project Summary. A summary of business. agricultural tillage equipment and the project proposal, not to exceed one (D) If available, historical financial vehicles; page, must include the following: Title statements prepared in accordance with (ii) Post-application construction or of the project, description of the project GAAP for the past 3 years, including project improvements, except including goals and tasks to be income statements and balance sheets. If residential; accomplished, names of the individuals agricultural producers are unable to
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present this information in accordance Construction Programs.’’ All project study prepared by a qualified with GAAP, they may instead present costs must be categorized as either independent consultant. The feasibility financial information for the past 3 allowable or not allowable. study must include an analysis of the years in the format that is generally (3) Form SF–424D, ‘‘Assurances— market, financial, economic, technical, required by commercial agriculture Construction Programs.’’ and management feasibility of the lenders. (4) AD–1049, ‘‘Certification Regarding proposed project. The feasibility study (E) Pro forma balance sheet at startup Drug-Free Workplace Requirements.’’ must also include an opinion and a of the agricultural producer’s/rural (5) AD–1048, ‘‘Certification Regarding recommendation by the independent small business’ business that reflects the Debarment, Suspension, Ineligibility consultant. use of the loan proceeds or grant award; and Voluntary Exclusion—Lower Tiered (d) Technical requirements reports. and 3 additional years, indicating the Covered Transactions.’’ The technical report must demonstrate necessary start-up capital, operating (6) A copy of a bank statement or a that the project design, procurement, capital, and short-term credit; and copy of the confirmed funding installation, startup, operation and projected cash flow and income commitment from the funding source. maintenance of the renewable energy statements for 3 years supported by a Matching funds must be included on the system or energy efficiency list of assumptions showing the basis for Application for Federal Assistance (SF improvement will operate or perform as the projections. 424) and Budget Information— specified over its design life in a reliable (F) For agricultural producers, Construction Programs (SF 424C). and a cost effective manner. The identify the gross market value of your (7) Exhibit A–1 of RD Instruction technical report must also identify all agricultural products for the calendar 1940–Q, ‘‘Certification for Contracts, necessary project agreements, year preceding the year in which you Grants and Loans,’’ required by Section demonstrate that those agreements will submit your application. 319 of Public Law 101–121 if the grant be in place, and that necessary project (iv) Production information for exceeds $100,000 or Exhibit A–2 of RD equipment and services are available renewable energy system projects. Instruction 1940–Q, ‘‘Statement for over the design life. All technical (A) Provide a statement as to whether Loan Guarantees,’’ required by Section information provided must follow the the technology to be employed by the 319 of Public Law 101–121 if the format specified in paragraphs (d)(1) facility is commercially or pre- guaranteed loan exceeds $150,000. through (10) of this section. Supporting (8) If the applicant or borrower has commercially available and replicable. information may be submitted in other made or agreed to make payment using Provide information to support this formats. Design drawings and process funds other than Federal appropriated position. flow charts are encouraged as exhibits. funds to influence or attempt to (B) Describe the availability of A discussion of each topic identified in influence a decision in connection with materials, labor, and equipment for the paragraphs (d)(1) through (10) of this the application, Form SF–LLL, facility. section is not necessary if the topic is (v) Business market information for ‘‘Disclosure of Lobbying Activities,’’ not applicable to the specific project. renewable energy system projects. must be completed. Questions identified in the Agency’s (A) Demand. Identify the demand (9) AD–1047, ‘‘Certification Regarding technical review of the project must be (past, present, and future) for the Debarment, Suspension, and Other answered to the Agency’s satisfaction product and/or service and who will Responsibility Matters—Primary before the application will be approved. buy the product and/or service. Covered Transactions.’’ (B) Supply. Identify the supply (past, (10) Form RD 400–1, ‘‘Equal The applicant must submit the original present, and future) of the product and/ Opportunity Agreement.’’ technical requirements report plus one or service and your competitors. (11) Form RD 400–4, ‘‘Assurance copy to the State Rural Development (C) Market niche. Given the trends in Agreement.’’ Office. For small solar and small wind demand and supply, describe how the (12) If the project involves projects, the narrative portion of business will be able to sell enough of interconnection to an electric utility, a technical requirements portion of the its product/service to be profitable. copy of a letter of intent to purchase proposals, excluding supporting (vi) A Dun and Bradstreet Universal power, a power purchase agreement, a documentation and drawings, should be Numbering System (DUNS) number. copy of a letter of intent for an less than ten pages. Projects costing (b) Forms, certifications, and interconnection agreement, or an more than $100,000 require the services agreements. Each application submitted interconnection agreement will be of a professional engineer (PE). under paragraph (a) of this section must required from your utility company or Depending on the level of engineering contain, as applicable, the items other purchaser for renewable energy required for the specific project or if identified in paragraphs (b)(1) through systems. necessary to ensure public safety, the (15) of this section. (13) If applicable, intergovernmental services of a PE may be required for (1) Form SF–424, ‘‘Application for consultation comments in accordance smaller projects. Federal Assistance.’’ with Executive Order 12372. (1) Biomass, bioenergy. The technical (2) Form SF–424C, ‘‘Budget (14) Applicants and borrowers must requirements specified in paragraphs Information—Construction Programs.’’ provide a certification indicating (d)(1)(i) through (x) of this section apply Each cost classification category listed whether or not there is a known to renewable energy projects that on the form must be filled out if it relationship or association with an produce fuel, thermal energy, or electric applies to your project. Any cost Agency employee. power from a lignocellulosic biomass category item not listed on the form that (15) Each applicant must prepare an source, including wood, agricultural applies to your project can be put under environmental impact analysis as residue excluding animal wastes, or the miscellaneous category. Attach a specified in § 4280.114(d). other energy crops considered biomass separate sheet if you are using the (c) Feasibility study for renewable or bioenergy projects. The major miscellaneous category and list each energy systems. Each application for a components of bioenergy systems will miscellaneous cost by not allowable and renewable energy system project, except vary significantly depending on the type allowable costs in the same format as on for requests of $100,000 or less, must of feedstock, product, type of process, Form 424C, ‘‘Budget Information— include a project-specific feasibility and size of the process but in general
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includes components around which the project and the status and schedule for matched components. The engineering balance of the system is designed. securing those agreements and permits, must be comprehensive including site (i) Qualifications of project team. The including the items specified in selection, system and component biomass project team will vary paragraphs (d)(1)(ii)(A) through (G) of selection, and system monitoring according to the complexity and scale of this section. equipment. Systems must be the project. For engineered systems, the (A) Biomass systems must be installed constructed by a qualified entity. project team should consist of a system in accordance with applicable local, (A) The application must include a designer, a project manager, an State, and national codes and concise but complete description of the equipment supplier, a project engineer, regulations. Identify zoning and code biomass project including location of a construction contractor or system issues, and required permits and the the project, resource characteristics, installer, and a system operator and schedule for meeting those requirements system specifications, electric power maintainer. One individual or entity and securing those permits. system interconnection, and monitoring may serve more than one role. The (B) Identify licenses where required equipment. Identify possible vendors project team must have demonstrated and the schedule for obtaining those and models of major system expertise in similar biomass systems licenses. components. Describe the expected development, engineering, installation, (C) Identify land use agreements electric power, fuel production, or and maintenance. The applicant must required for the project and the thermal energy production of the provide authoritative evidence that schedule for securing the agreements proposed system as rated and as project team service providers have the and the term of those agreements. expected in actual field conditions. For necessary professional credentials or (D) Identify any permits or agreements systems with a capacity more than 20 relevant experience to perform the required for solid, liquid, and gaseous tons per day of biomass, address required services. The applicant must emissions or effluents and the schedule performance on a monthly and annual also provide authoritative evidence that for securing those permits and basis. For small projects such as a vendors of proprietary components can agreements. commercial biomass furnace or provide necessary equipment and spare (E) Identify available component pelletizer of up to 5 tons daily capacity, parts for the system to operate over its warranties for the specific project proven, commercially available devices design life. The application must: location and size. need not be addressed in detail. (A) Discuss the proposed project (F) Systems interconnected to the Describe the uses of or the market for delivery method. Such methods include electric power system will need electricity, heat, or fuel produced by the a design, bid, build where a separate arrangements to interconnect with the system. Discuss the impact of reduced engineering firm may design the project utility. Identify utility system or interrupted biomass availability on and prepare a request for bids and the interconnection requirements, power the system process. successful bidder constructs the project purchase arrangements, or licenses (B) The application must include a at the applicant’s risk, and a design where required and the schedule for description of the project site and build method, often referred to as turn meeting those requirements and address issues such as site access, key, where the applicant establishes the obtaining those agreements. This is foundations, backup equipment when specifications for the project and required even if the system is installed applicable, and environmental concerns secures the services of a developer who on the customer side of the utility with emphasis on visibility, odor, noise, will design and build the project at the meter. For systems planning to utilize a construction, and installation issues. developer’s risk; local net metering program, describe the Identify any unique construction and (B) Discuss the biomass system applicable local net metering program. installation issues. equipment manufacturers of major (G) Identify all environmental issues, (C) Sites must be controlled by the components being considered in terms including environmental compliance agricultural producer or rural small of the length of time in business and the issues, associated with the project. business for the proposed project life or number of units installed at the capacity (iii) Resource assessment. The for the financing term of any associated and scale being considered; applicant must provide adequate and federal loans or loan guarantees. (C) Discuss the project manager, appropriate evidence of the availability (v) Project development schedule. The equipment supplier, system designer, of the renewable resource required for applicant must identify each significant project engineer, and construction the system to operate as designed. task, its beginning and end, and its contractor qualifications for Indicate the type, quantity, quality, and relationship to the time needed to engineering, designing, and installing seasonality of the biomass resource initiate and carry the project through biomass energy systems including any including harvest and storage, where startup and shakedown. Provide a relevant certifications by recognized applicable. Where applicable, also detailed description of the project organizations or bodies. Provide a list of indicate shipping or receiving method timeline including resource assessment, the same or similar projects designed, and required infrastructure for shipping. system and site design, permits and installed, or supplied and currently For proposed projects with an agreements, equipment procurement, operating and with references if established resource, provide a and system installation from excavation available; and summary of the resource. through startup and shakedown. (D) Describe the system operator’s (iv) Design and engineering. The (vi) Financial feasibility. The qualifications and experience for applicant must provide authoritative applicant must provide a study that servicing, operating, and maintaining evidence that the system will be describes costs and revenues of the biomass renewable energy equipment or designed and engineered so as to meet proposed project to demonstrate the projects. Provide a list of the same or its intended purpose, will ensure public financial performance of the project. similar projects designed, installed, or safety, and will comply with applicable Provide a detailed analysis and supplied and currently operating and laws, regulations, agreements, permits, description of project costs including with references if available. codes, and standards. Projects shall be project management, resource (ii) Agreements and permits. The engineered by a qualified entity. assessment, project design, project applicant must identify all necessary Systems must be engineered as a permitting, land agreements, equipment, agreements and permits required for the complete, integrated system with site preparation, system installation,
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startup and shakedown, warranties, project operations and maintenance by major components being considered in insurance, financing, professional a local entity or owner/operator; and terms of the length of time in business services, and operations and (C) Provide and discuss the risk and the number of units installed at the maintenance costs. Provide a detailed management plan for handling large, capacity and scale being considered; analysis and description of annual unanticipated failures or major (C) Discuss the project manager, project revenues and expenses. Provide components. Include in the discussion, equipment supplier, system designer, a detailed description of applicable costs and labor associated with project engineer, and construction investment incentives, productivity operations and maintenance of system contractor qualifications for incentives, loans, and grants. and plans for in-sourcing or out- engineering, designing, and installing (vii) Equipment procurement. The sourcing. anaerobic digester systems including applicant must demonstrate that (x) Decommissioning. When any relevant certifications by recognized equipment required by the system is uninstalling or removing the project, organizations or bodies. Provide a list of available and can be procured and describe the decommissioning process. the same or similar projects designed, delivered within the proposed project Describe any issues, requirements, and installed, or supplied and currently development schedule. Biomass systems costs for removal and disposal of the operating consistent with the substrate may be constructed of components system. material and with references if manufactured in more than one (2) Anaerobic digester projects. The available; and location. Provide a description of any technical requirements specified in (D) For regional or centralized unique equipment procurement issues paragraphs (d)(2)(i) through (x) of this digester plants, describe the system such as scheduling and timing of section apply to renewable energy operator’s qualifications and experience component manufacture and delivery, projects, called anaerobic digester for servicing, operating, and projects, that use animal waste and ordering, warranties, shipping, maintaining similar projects. Farm scale other organic substrates to produce receiving, and on-site storage or systems may not require operator thermal or electrical energy via inventory. Procurement must be made experience as the developer is typically anaerobic digestion. The major in accordance with the requirements of required to provide operational training components of an anaerobic digester 7 CFR part 1924, subpart A. during system startup and shakedown. system include the digester, the gas (viii) Equipment installation. The Provide a list of the same or similar handling and transmission systems, and projects designed, installed, or supplied applicant must fully describe the the gas use system. management of and plan for site and currently operating consistent with (i) Qualifications of project team. The the substrate material and with development and system installation, anaerobic digester project team should provide details regarding the scheduling references if available. consist of a system designer, a project (ii) Agreements and permits. The of major installation equipment needed manager, an equipment supplier, a for project construction, and provide a applicant must identify all necessary project engineer, a construction agreements and permits required for the description of the startup and contractor, and a system operator or shakedown specification and process project and the status and schedule for maintainer. One individual or entity securing those agreements and permits, and the conditions required for startup may serve more than one role. The and shakedown for each equipment including the items specified in project team must have demonstrated paragraphs (d)(2)(ii)(A) through (G) of item individually and for the system as commercial-scale expertise in anaerobic a whole. this section. digester systems development, (A) Anaerobic digester systems must (ix) Operations and maintenance. The engineering, installation, and be installed in accordance with applicant must identify the operations maintenance as related to the organic applicable local, State, and national and maintenance requirements of the materials and operating mode of the codes and regulations. Anaerobic system necessary for the system to system. The applicant must provide digesters must also be designed and operate as designed over the design life. authoritative evidence that project team constructed in accordance with USDA The applicant must: service providers have the necessary anaerobic digester standards. Identify (A) Provide information regarding professional credentials or relevant zoning and code issues, and required available system and component experience to perform the required permits and the schedule for meeting warranties and availability of spare services. The applicant must also those requirements and securing those parts; provide authoritative evidence that permits. (B) For systems having a biomass vendors of proprietary components can (B) Identify licenses where required input capacity exceeding 10 tons of provide necessary equipment and spare and the schedule for obtaining those biomass per day, parts for the system to operate over its licenses. (1) Describe the routine operations design life. The applicant must: (C) For regional or centralized digester and maintenance requirements of the (A) Discuss the proposed project plants, identify feedstock access proposed system, including delivery method. Such methods include agreements required for the project and maintenance schedule for the a design, bid, build where a separate the schedule for securing those mechanical, piping, and electrical engineering firm may design the project agreements and the term of those systems and system monitoring and and prepare a request for bids and the agreements. control requirements. Provide successful bidder constructs the project (D) Identify any permits or agreements information that supports expected at the applicant’s risk, and a design required for transport and ultimate design life of the system and timing of build method, often referred to as turn waste disposal and the schedule for major component replacement or key, where the applicant establishes the securing those agreements and permits. rebuilds; and specifications for the project and (E) Identify available component (2) Discuss the costs and labor secures the services of a developer who warranties for the specific project associated with operations and will design and build the project at the location and size. maintenance of system and plans for in developer’s risk; (F) Systems interconnected to the or outsourcing. Describe opportunities (B) Discuss the anaerobic digester electric power system will need for technology transfer for long term system equipment manufacturers of arrangements to interconnect with the
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utility. Identify utility system applicable, and environmental concerns description of the startup and interconnection requirements, power with emphasis on visibility, odor, noise, shakedown specification and process purchase arrangements, or licenses construction and installation issues. and the conditions required for startup where required and the schedule for Identify any unique construction and and shakedown for each equipment meeting those requirements and installation issues. item individually and for the system as obtaining those agreements. This is (C) Sites must be controlled by the a whole. required even if the system is installed agricultural producer or rural small (ix) Operations and maintenance. The on the customer side of the utility business for the proposed project life or applicant must identify the operations meter. For systems planning to utilize a for the financing term of any associated and maintenance requirements of the local net metering program, describe the federal loans or loan guarantees. system necessary for the system to applicable local net metering program. (v) Project development schedule. The operate as designed over the design life. (G) Identify all environmental issues, applicant must identify each significant The applicant must: including environmental compliance task, its beginning and end, and its (A) Ensure that systems must have at issues, associated with the project. relationship to the time needed to least a 3-year warranty for equipment (iii) Resource assessment. The initiate and carry the project through and a 10-year warranty on design. applicant must provide adequate and startup and shakedown. Provide a Provide information regarding system appropriate evidence of the availability detailed description of the project warranties and availability of spare of the renewable resource required for timeline including feedstock parts; the system to operate as designed. assessment, system and site design, (B) Describe the routine operations Indicate the substrates used as digester permits and agreements, equipment and maintenance requirements of the inputs including animal wastes, food procurement, system installation from proposed project, including processing wastes, or other organic excavation through startup and maintenance for the digester, the gas wastes in terms of type, quantity, shakedown, and operator training. handling equipment, and the gas use seasonality, and frequency of collection. (vi) Financial feasibility. The systems. Describe any maintenance Describe any special handling of applicant must provide a study that requirements for system monitoring and feedstock that may be necessary. describes costs and revenues of the control equipment; Describe the process for determining the proposed project to demonstrate the (C) Provide information that supports feedstock resource. Provide either financial performance of the project. expected design life of the system and tabular values or laboratory analysis of Provide a detailed analysis and the timing of major component representative samples that include description of project costs including replacement or rebuilds; biodegradability studies to produce gas project management, feedstock (D) Provide and discuss the risk production estimates for the project on assessment, project design, project management plan for handling large, daily, monthly, and seasonal basis. permitting, land agreements, equipment, unanticipated failures of major (iv) Design and engineering. The site preparation, system installation, components. Include in the discussion, applicant must provide authoritative startup and shakedown, warranties, costs and labor associated with evidence that the system will be insurance, financing, professional operations and maintenance of system designed and engineered so as to meet services, training and operations, and and plans for insourcing or outsourcing; its intended purpose, will ensure public maintenance costs of both the digester and safety, and will comply with applicable and the gas use systems. Provide a (E) Describe opportunities for laws, regulations, agreements, permits, detailed analysis and description of technology transfer for long-term project codes, and standards. Projects shall be annual project revenues and expenses. operations and maintenance by a local engineered by a qualified entity. Provide a detailed description of entity or owner/operator. Systems must be engineered as a applicable investment incentives, (x) Decommissioning. When complete, integrated system with productivity incentives, loans, and uninstalling or removing the project, matched components. The engineering grants. describe the decommissioning process. must be comprehensive including site (vii) Equipment procurement. The Describe any issues, requirements, and selection, digester component selection, applicant must demonstrate that costs for removal and disposal of the gas handling component selection, and equipment required by the system is system. gas use component selection. Systems available and can be procured and (3) Geothermal, electric generation. must be constructed by a qualified delivered within the proposed project The technical requirements specified in entity. development schedule. Anaerobic paragraphs (d)(3)(i) through (x) of this (A) The application must include a digester systems may be constructed of section apply to geothermal projects that concise but complete description of the components manufactured in more than produce electric power from the thermal anaerobic digester project including one location. Provide a description of potential of a geothermal source. The location of the project, farm description, any unique equipment procurement major components of an electric feedstock characteristics, a step-by-step issues such as scheduling and timing of generating geothermal system include flowchart of unit operations, electric component manufacture and delivery, the production well, the separator or power system interconnection ordering, warranties, shipping, heat exchanger, the turbine, the equipment, and any required receiving, and on-site storage or generator, condenser, and the balance of monitoring equipment. Identify possible inventory. Procurement must be made station elements including the field vendors and models of major system in accordance with the requirements of piping, roads, fencing and grading, plant components. Provide the expected 7 CFR part 1924, subpart A. buildings, transformers and other system energy production, heat (viii) Equipment installation. The electrical infrastructure such as balances, material balances as part of applicant must fully describe the interconnection equipment. the unit operations flowchart. management of and plan for site (i) Qualifications of project team. The (B) The application must include a development and system installation, electric generating geothermal plant description of the project site and provide details regarding the scheduling project team should consist of a system address issues such as site access, of major installation equipment needed designer, a project manager, an foundations, backup equipment when for project construction, and provide a equipment supplier, a project engineer,
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a construction contractor, and a system zoning and code issues, and required (A) The application must include a operator and maintainer. One individual permits and the schedule for meeting concise but complete description of the or entity may serve more than one role. those requirements and securing those geothermal project including location of The project team must have permits. the project, resource characteristics, demonstrated expertise in geothermal (B) Identify any permits or agreements thermal system specifications, electric electric generation systems required for well construction and for power system interconnection development, engineering, installation, disposal or re-injection of cooled equipment and project monitoring and maintenance. The applicant must geothermal waters and the schedule for equipment. Identify possible vendors provide authoritative evidence that securing those agreements and permits. and models of major system project team service providers have the (C) Identify land use or access to the components. Provide the expected necessary professional credentials or resource agreements required for the system energy production on a monthly relevant experience to perform the project and the schedule for securing and annual basis. required services. The applicant must the agreements and the term of those (B) The application must include a also provide authoritative evidence that agreements. description of the project site and vendors of proprietary components can (D) Identify available component address issues such as site access, provide necessary equipment and spare warranties for the specific project proximity to the electrical grid, parts for the system to operate over its location and size. environmental concerns with emphasis design life. The applicant must: (E) Systems interconnected to the on visibility, noise, construction, and (A) Discuss the proposed project electric power system will need installation issues. Identify any unique delivery method. Such methods include arrangements to interconnect with the construction and installation issues. (C) Sites must be controlled by the a design, bid, build where a separate utility. Identify utility system agricultural producer or rural small engineering firm may design the project interconnection requirements, power business for the proposed project life or and prepare a request for bids and the purchase arrangements, or licenses for the financing term of any associated successful bidder constructs the project where required and the schedule for at the applicant’s risk, and a design federal loans or loan guarantees. meeting those requirements and (v) Project development schedule. The build method, often referred to as turn obtaining those agreements. key, where the applicant establishes the applicant must identify each significant (F) Identify all environmental issues, specifications for the project and task, its beginning and end, and its including environmental compliance secures the services of a developer who relationship to the time needed to issues, associated with the project. will design and build the project at the initiate and carry the project through (iii) Resource assessment. The developer’s risk; startup and shakedown. Provide a (B) Discuss the geothermal plant applicant must provide adequate and detailed description of the project equipment manufacturers of major appropriate evidence of the availability timeline including resource assessment, components being considered in terms of the renewable resource required for system and site design, permits and of the length of time in business and the the system to operate as designed. agreements, equipment procurement, number of units installed at the capacity Indicate the quality of the geothermal and system installation from excavation and scale being considered; resource including temperature, flow, through startup and shakedown. (C) Discuss the project manager, and sustainability and what conversion (vi) Financial feasibility. The equipment supplier, system designer, system is to be installed. Describe any applicant must provide a study that project engineer, and construction special handling of cooled geothermal describes costs and revenues of the contractor qualifications for waters that may be necessary. Describe proposed project to demonstrate the engineering, designing, and installing the process for determining the financial performance of the project. geothermal electric generation systems geothermal resource including Provide a detailed analysis and including any relevant certifications by measurement setup for the collection of description of project costs including recognized organizations or bodies. the geothermal resource data. For project management, resource Provide a list of the same or similar proposed projects with an established assessment, project design, project projects designed, installed, or supplied resource, provide a summary of the permitting, land agreements, equipment, and currently operating and with resource and the specifications of the site preparation, system installation, references if available; and measurement setup. startup and shakedown, warranties, (D) Describe system operator’s (iv) Design and engineering. The insurance, financing, professional qualifications and experience for applicant must provide authoritative services, and operations and servicing, operating, and maintaining evidence that the system will be maintenance costs. Provide a detailed electric generating geothermal projects. designed and engineered so as to meet analysis and description of annual Provide a list of the same or similar its intended purpose, will ensure public project revenues including electricity projects designed, installed, or supplied safety, and will comply with applicable sales, production tax credits, revenues and currently operating and with laws, regulations, agreements, permits, from green tags, and any other references if available. codes, and standards. Projects shall be production incentive programs (ii) Agreements and permits. The engineered by a qualified entity. throughout the life of the project. applicant must identify all necessary Systems must be engineered as a Provide a detailed description of agreements and permits required for the complete, integrated system with applicable investment incentives, project and the status and schedule for matched components. The engineering productivity incentives, loans, and securing those agreements and permits, must be comprehensive including site grants. including the items specified in selection, system and component (vii) Equipment procurement. The paragraphs (d)(3)(ii)(A) through (F) of selection, conversion system component applicant must demonstrate that this section. and selection, design of the local equipment required by the system is (A) Electric generating geothermal collection grid, interconnection available and can be procured and systems must be installed in accordance equipment selection, and system delivered within the proposed project with applicable local, State, and monitoring equipment. Systems must be development schedule. Geothermal national codes and regulations. Identify constructed by a qualified entity. systems may be constructed of
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components manufactured in more than system include the production well, the (ii) Agreements and permits. The one location. Provide a description of heat exchanger, pumps, and the balance applicant must identify all necessary any unique equipment procurement of station elements including the, field agreements and permits required for the issues such as scheduling and timing of piping, re-injection wells or other project and the status and schedule for component manufacture and delivery, disposal equipment as required, and securing those agreements and permits, ordering, warranties, shipping, final point-of-use heat exchangers and including the items specified in receiving, and on-site storage or control systems. paragraphs (d)(4)(ii)(A) through (F) of inventory. Procurement must be made (i) Qualifications of project team. The this section. in accordance with the requirements of geothermal project team should consist (A) Direct use geothermal systems 7 CFR part 1924, subpart A. of a system designer, a project manager, must be installed in accordance with (viii) Equipment installation. The an equipment supplier, a project applicable local, State, and national applicant must fully describe the engineer, a construction contractor, and codes and regulations. Identify zoning management of and plan for site a system operator and maintainer. One and code issues, and required permits development and system installation, individual or entity may serve more and the schedule for meeting those provide details regarding the scheduling than one role. The project team must requirements and securing those of major installation equipment needed have demonstrated expertise in permits. for project construction, and provide a geothermal heating systems (B) Identify licenses where required description of the startup and development, engineering, installation, and the schedule for obtaining those shakedown specification and process and maintenance. The applicant must licenses. and the conditions required for startup provide authoritative evidence that (C) Identify land use or access to the or shakedown for each equipment item project team service providers have the resource agreements required for the individually and for the system as a necessary professional credentials or project and the schedule for securing whole. relevant experience to perform the the agreements and the term of those (ix) Operations and maintenance. The required services. The applicant must agreements. (D) Identify any permits or agreements applicant must identify the operations also provide authoritative evidence that required for well construction and for and maintenance requirements of the vendors of proprietary components can disposal or re-injection of cooled system necessary for the system to provide necessary equipment and spare geothermal waters and the schedule for operate as designed over the design life. parts for the system to operate over its The applicant must: securing those permits and agreements. design life. The applicant must: (E) Identify available component (A) Ensure that systems must have at (A) Discuss the proposed project least a 3-year warranty for equipment. warranties for the specific project delivery method. Such method include location and size. Provide information regarding turbine a design, bid, build where a separate warranties and availability of spare (F) Identify all environmental issues, engineering firm may design the project including environmental compliance parts; and prepare a request for bids and the (B) Describe the routine operations issues, associated with the project. successful bidder constructs the project and maintenance requirements of the (iii) Resource assessment. The at the applicant’s risk, and a design proposed project, including applicant must provide adequate and build method, often referred to as turn maintenance for the mechanical and appropriate evidence of the availability key, where the applicant establishes the electrical systems and system of the renewable resource required for specifications for the project and monitoring and control requirements; the system to operate as designed. (C) Provide information that supports secures the services of a developer who Indicate the quality of the geothermal expected design life of the system and will design and build the project at the resource including temperature, flow, timing of major component replacement developer’s risk; and sustainability and what direct use or rebuilds; (B) Discuss the geothermal system system is to be installed. Describe any (D) Provide and discuss the risk equipment manufacturers of major special handling of cooled geothermal management plan for handling large, components being considered in terms waters that may be necessary. Describe unanticipated failures of major of the length of time in business and the the process for determining the components such as the turbine. Include number of units installed at the capacity geothermal resource including in the discussion, costs and labor and scale being considered; measurement setup for the collection of associated with operations and (C) Discuss the project manager, the geothermal resource data. For maintenance of system and plans for equipment supplier, system designer, proposed projects with an established insourcing or outsourcing; and project engineer, and construction resource, provide a summary of the (E) Describe opportunities for contractor qualifications for resource and the specifications of the technology transfer for long term project engineering, designing, and installing measurement setup. operations and maintenance by a local direct use geothermal systems including (iv) Design and engineering. The entity or owner/operator. any relevant certifications by recognized applicant must provide authoritative (x) Decommissioning. When organizations or bodies. Provide a list of evidence that the system will be uninstalling or removing the project, the same or similar projects designed, designed and engineered so as to meet describe the decommissioning process. installed, or supplied and currently its intended purpose, will ensure public Describe any issues, requirements, and operating and with references if safety, and will comply with applicable costs for removal and disposal of the available; and laws, regulations, agreements, permits, system. (D) Describe system operator’s codes, and standards. Projects shall be (4) Geothermal, direct use. The qualifications and experience for engineered by a qualified entity. technical requirements specified in servicing, operating, and maintaining Systems must be engineered as a paragraphs (d)(4)(i) through (x) of this direct use generating geothermal complete, integrated system with section apply to geothermal projects that projects. Provide a list of the same or matched components. The engineering directly use thermal energy from a similar projects designed, installed, or must be comprehensive including site geothermal source. The major supplied and currently operating and selection, system and component components of a direct use geothermal with references if available. selection, thermal system component
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selection, and system monitoring component manufacture and delivery, hydrogen compression and storage equipment. Systems must be ordering, warranties, shipping, components, and fuel cells. constructed by a qualified entity. receiving, and on-site storage or (i) Qualifications of project team. The (A) The application must include a inventory. Procurement must be made hydrogen project team will vary concise but complete description of the in accordance with the requirements of according to the complexity and scale of geothermal project including location of 7 CFR part 1924, subpart A. the project. For engineered systems, the the project, resource characteristics, (viii) Equipment installation. The project team should consist of a system thermal system specifications, and applicant must fully describe the designer, a project manager, an monitoring equipment. Identify possible management of and plan for site equipment supplier, a project engineer, vendors and models of major system development and system installation, a construction contractor or system components. Provide the expected provide details regarding the scheduling installer, and a system operator and system energy production on a monthly of major installation equipment needed maintainer. One individual or entity and annual basis. for project construction, and provide a may serve more than one role. The (B) The application must include a description of the startup and project team must have demonstrated description of the project site and shakedown specification and process expertise in similar hydrogen systems address issues such as, site access, and the conditions required for startup development, engineering, installation, thermal backup equipment, and shakedown for each equipment and maintenance. The applicant must environmental concerns with emphasis item individually and for the system as provide authoritative evidence that on visibility, noise, construction, and a whole. project team service providers have the installation issues. Identify any unique (ix) Operations and maintenance. The necessary professional credentials or construction and installation issues. applicant must identify the operations relevant experience to perform the (C) Sites must be controlled by the and maintenance requirements of the required services. The applicant must agricultural producer or rural small system necessary for the system to also provide authoritative evidence that business for the proposed project life or operate as designed over the design life. vendors of proprietary components can for the financing term of any associated The applicant must: provide necessary equipment and spare federal loans or loan guarantees. (A) Ensure that systems must have at parts for the system to operate over its (v) Project development schedule. The least a 3-year warranty for equipment. design life. The applicant must: applicant must identify each significant Provide information regarding system (A) Discuss the proposed project task, its beginning and end, and its warranties and availability of spare delivery method. Such methods include relationship to the time needed to parts; a design, bid, build where a separate initiate and carry the project through (B) Describe the routine operations engineering firm may design the project startup and shakedown. Provide a and maintenance requirements of the and prepare a request for bids and the detailed description of the project proposed project, including successful bidder constructs the project timeline including resource assessment, maintenance for the mechanical and at the applicant’s risk, and a design system and site design, permits and electrical systems and system build method, often referred to as turn agreements, equipment procurement, monitoring and control requirements; key, where the applicant establishes the and system installation from excavation (C) Provide information that supports specifications for the project and through startup and shakedown. expected design life of the system and secures the services of a developer who (vi) Financial feasibility. The timing of major component replacement will design and build the project at the applicant must provide a study that or rebuilds; developer’s risk; describes costs and revenues of the (D) Provide and discuss the risk (B) Discuss the hydrogen system proposed project to demonstrate the management plan for handling large, equipment manufacturers of major financial performance of the project. unanticipated failures of major components for the hydrogen system Provide a detailed analysis and components. Include in the discussion, being considered in terms of the length description of project costs including costs and labor associated with of time in the business and the number project management, resource operations and maintenance of system of units installed at the capacity and assessment, project design, project and plans for insourcing or outsourcing; scale being considered; permitting, land agreements, equipment, and (C) Discuss the project manager, site preparation, system installation, (E) Describe opportunities for equipment supplier, system designer, startup and shakedown, warranties, technology transfer for long term project project engineer, and construction insurance, financing, professional operations and maintenance by a local contractor qualifications for services, and operations and entity or owner/operator. engineering, designing, and installing maintenance costs. Provide a detailed (x) Decommissioning. When hydrogen systems including any analysis and description of annual uninstalling or removing the project, relevant certifications by recognized project revenues and expenses. Provide describe the decommissioning process. organizations or bodies. Provide a list of a detailed description of applicable Describe any issues, requirements, and the same or similar projects designed, investment incentives, productivity costs for removal and disposal of the installed, or supplied and currently incentives, loans, and grants. system. operating and with references if (vii) Equipment procurement. The (5) Hydrogen. The technical available; and applicant must demonstrate that requirements specified in paragraphs (D) Describe the system operator’s equipment required by the system is (d)(5)(i) through (x) of this section apply qualifications and experience for available and can be procured and to renewable energy projects that servicing, operating, and maintaining delivered within the proposed project produce hydrogen and renewable hydrogen system equipment or projects. development schedule. Geothermal energy projects that use mechanical or Provide a list of the same or similar systems may be constructed of electric power or thermal energy from a projects designed, installed, or supplied components manufactured in more than renewable resource using hydrogen as and currently operating and with one location. Provide a description of an energy transport medium. The major references if available. any unique equipment procurement components of hydrogen systems (ii) Agreements and permits. The issues such as scheduling and timing of include reformers, electrolyzers, applicant must identify all necessary
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agreements and permits required for the safety, and will comply with applicable Provide a detailed analysis and project and the status and schedule for laws, regulations, agreements, permits, description of annual project revenues securing those agreements and permits, codes, and standards. Projects shall be and expenses. Provide a detailed including the items specified in engineered by a qualified entity. description of applicable investment paragraphs (d)(5)(ii)(A) through (G) of Systems must be engineered as a incentives, productivity incentives, this section. complete, integrated system with loans, and grants. (A) Hydrogen systems must be matched components. The engineering (vii) Equipment procurement. The installed in accordance with applicable must be comprehensive including site applicant must demonstrate that local, State, and national codes and selection, system and component equipment required by the system is regulations. Identify zoning and selection, and system monitoring available and can be procured and building code issues, and required equipment. Systems must be delivered within the proposed project permits and the schedule for meeting constructed by a qualified entity. development schedule. Hydrogen those requirements and securing those (A) The application must include a systems may be constructed of permits. concise but complete description of the components manufactured in more than (B) Identify licenses where required hydrogen project including location of one location. Provide a description of and the schedule for obtaining those the project, resource characteristics, any unique equipment procurement licenses. system specifications, electric power issues, such as scheduling and timing of (C) Identify land use agreements system interconnection equipment, and component manufacture and delivery, required for the project and the monitoring equipment. Identify possible ordering, warranties, shipping, and schedule for securing the agreements vendors and models of major system receiving, and on-site storage or and the term of those agreements. components. Describe the expected inventory. Procurement must be made (D) Identify any permits or agreements electric power, fuel production, or in accordance with the requirements of required for solid, liquid, and gaseous thermal energy production of the 7 CFR part 1924, subpart A. emissions or effluents and the schedule proposed system. Address performance (viii) Equipment installation. The for securing those permits and on a monthly and annual basis. Describe applicant must fully describe the agreements. the uses of or the market for electricity, management of and plan for site (E) Identify available component heat, or fuel produced by the system. development and system installation, warranties for the specific project Discuss the impact of reduced or provide details regarding the scheduling location and size. interrupted resource availability on the (F) Systems interconnected to the of major installation equipment needed system process. for project construction, and provide a electric power system will need (B) The application must include a description of the startup and arrangements to interconnect with the description of the project site and shakedown specification and process utility. Identify utility system address issues such as site access, and the conditions required for startup interconnection requirements, power foundations, backup equipment when and shakedown for each equipment purchase arrangements, or licenses applicable, and any environmental and item individually and for the system as where required and the schedule for safety concerns. Identify any unique meeting those requirements and construction and installation issues. a whole. obtaining those agreements. This is (C) Sites must be controlled by the (ix) Operations and maintenance. The required even if the system is installed agricultural producer or rural small applicant must identify the operations on the customer side of the utility business for the proposed project life or and maintenance requirements of the meter. For systems planning to utilize a for the financing term of any associated system necessary for the system to local net metering program, provide a federal loans or loan guarantees. operate as designed over the design life. description of the applicable local net (v) Project development schedule. The The applicant must: metering program. applicant must identify each significant (A) Provide information regarding (G) Identify all environmental issues, task, its beginning and end, and its system warranties and availability of including environmental compliance relationship to the time needed to spare parts; issues, associated with the project. initiate and carry the project through (B) Describe the routine operations (iii) Resource assessment. The startup and shakedown. Provide a and maintenance requirements of the applicant must provide adequate and detailed description of the project proposed project, including appropriate evidence of the availability timeline including resource assessment, maintenance of the reformer, of the renewable resource required for system and site design, permits and electrolyzer, or fuel cell as appropriate, the system to operate as designed. agreements, equipment procurement, and other mechanical, piping, and Indicate the type, quantity, quality, and and system installation from excavation electrical systems and system seasonality of the biomass resource. For through startup and shakedown. monitoring and control requirements; solar, wind, or geothermal sources of (vi) Financial feasibility. The (C) Provide information that supports energy used to generate hydrogen, applicant must provide a study that expected design life of the system and indicate the local renewable resource describes costs and revenues of the timing of major component replacement where the hydrogen system is to be proposed project to demonstrate the or rebuilds; installed. Local resource maps may be financial performance of the project. (D) Provide and discuss the risk used as an acceptable preliminary Provide a detailed analysis and management plan for handling large, source of renewable resource data. For description of project costs including unanticipated failures of major proposed projects with an established project management, resource components. Include in the discussion, renewable resource, provide a summary assessment, project design and costs and labor associated with of the resource. engineering, project permitting, land operations and maintenance of system (iv) Design and engineering. The agreements, equipment, site and plans for in or outsourcing; and applicant must provide authoritative preparation, system installation, startup (E) Describe opportunities for evidence that the system will be and shakedown, warranties, insurance, technology transfer for long term project designed and engineered so as to meet financing, professional services, and operations and maintenance by a local its intended purpose, will ensure public operations and maintenance costs. entity or owner/operator.
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(x) Decommissioning. When installed by the design and installation energy storage requirements as uninstalling or removing the project, team and currently operating and with applicable, and selection of cabling, describe the decommissioning process. references if available. disconnects and interconnection Describe any issues, requirements, and (ii) Agreements and permits. The equipment. For small solar thermal costs for removal and disposal of the applicant must identify all necessary systems, the engineering must be system. agreements and permits required for the comprehensive, including solar (6) Solar, small. The technical project and the status and schedule for collector design and selection, support requirements specified in paragraphs securing those agreements and permits, structure design and selection, pump (d)(6)(i) through (x) of this section apply including the items specified in and piping design and selection, and to small solar electric projects and small paragraphs (d)(6)(ii)(A) through (D) of energy storage design and selection. solar thermal projects. Small solar this section. (A) The application must include a electric projects are those for which the (A) Small solar systems must be concise but complete description of the rated power of the system is 10kW or installed in accordance with local, State, small solar system including location of smaller. The major components of a and national building and electrical the project and proposed equipment small solar electric system are the solar codes and regulations. Identify zoning, specifications. Identify possible vendors panels, the support structure, the building and electrical code issues, and and models of major system foundation, the power conditioning required permits and the schedule for components. Provide the expected equipment, the interconnection meeting those requirements and system energy production based on equipment, surface or submersible water securing those permits. available solar resource data on a pumps, energy storage equipment and (B) Identify available component monthly (when possible) and annual supporting documentation including warranties for the specific project basis and how the energy produced by operations and maintenance manuals. location and size. the system will be used. Small solar electric projects are either (C) Small solar electric systems (B) The application must include a stand-alone (off grid) or interconnected interconnected to the electric power description of the project site and to the grid at less than 600 volts (on system will need arrangements to address issues such as solar access, grid). Small solar thermal projects are interconnect with the utility. Identify orientation, proximity to the load or the those for which the rated storage utility system interconnection electrical grid, environmental concerns, volume of the system is 240 gallons, or requirements, power purchase unique safety concerns, construction, smaller. The major components of a arrangements, or licenses where and installation issues, and whether small solar thermal system are the solar required and the schedule for meeting special circumstances exist. collector(s), the support structure, the those requirements and obtaining those (C) Sites and application load must be foundation, the circulation pump(s) and agreements. This is required even if the controlled by the agricultural producer piping, heat exchanger (if required), system is installed on the customer side or rural small business for the proposed energy storage equipment and support of the utility meter. For systems project life or for the financing term of (i) Qualifications of project team. The planning to utilize a local net metering any associated federal loans or loan small solar project team should consist program, describe the applicable local guarantees. of a system designer, a project manager net metering program. (v) Project development schedule. The or general contractor, an equipment (D) Identify all environmental issues, applicant must identify each significant supplier of major components, a system including environmental compliance task, its beginning and end, and its installer, a system maintainer, and, in issues, associated with the project. relationship to the time needed to some cases, the owner of the application (iii) Resource assessment. The initiate and carry the project through or load served by the system. One applicant must provide adequate and startup and shakedown. Provide a individual or entity may serve more appropriate evidence of the availability detailed description of the project than one role. The applicant must of the renewable resource required for timeline including system and site provide authoritative evidence that the system to operate as designed. design, permits and agreements, project team service providers have the Describe the local solar resource where equipment procurement, and system necessary professional credentials or the solar system is to be installed. installation from excavation through relevant experience to perform the Acceptable sources of solar resource startup and shakedown. required services. The applicant must data include state solar maps and (vi) Financial feasibility. The also provide authoritative evidence that nearby weather station data. Incorporate applicant must provide a study that vendors of proprietary components can information from state solar resource describes costs and revenues of the provide necessary equipment and spare maps when possible. Indicate the source proposed project to demonstrate the parts for the system to operate over its of the solar data and assumptions made financial performance of the project. design life. The applicant must: when applying nearby solar data to the Provide a detailed analysis and (A) Discuss the qualifications of the site. description of project costs including suppliers of major components being (iv) Design and engineering. The design, permitting, equipment, site considered; applicant must provide authoritative preparation, system installation, system (B) Describe the knowledge, skills, evidence that the system will be startup and shakedown, warranties, and abilities needed to service, operate, designed and engineered so as to meet insurance, financing, professional and maintain the system for the its intended purpose, will ensure public services, and operations and proposed application; and safety, and will comply with applicable maintenance costs. Provide a detailed (C) Discuss the project manager, laws, regulations, agreements, permits, description of applicable investment system designer, and system installer codes, and standards. For small solar incentives, productivity incentives, qualifications for engineering, electric systems, the engineering must loans, and grants. Provide a detailed designing, and installing small solar be comprehensive, including solar description of historic or expected systems including any relevant collector design and selection, support energy use and expected energy offsets certifications by recognized structure design and selection, power or sales on monthly and annual bases. organizations or bodies. Provide a list of conditioning design and selection, (vii) Equipment procurement. The the same or similar systems designed or surface or submersible water pumps and applicant must demonstrate that
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equipment required by the system is rated power of the system is larger than operating and with references if available and can be procured and 10kW. The major components of a large available; and delivered within the proposed project solar electric system are the solar (D) Describe the system operator’s development schedule. Small solar panels, the support structure, the qualifications and experience for systems may be constructed of foundation, the power conditioning servicing, operating, and maintaining components manufactured in more than equipment, the interconnection the system for the proposed application. one location. Provide a description of equipment, surface or submersible water Provide a list of the same or similar any unique equipment procurement pumps and energy storage equipment systems designed or installed by the issues such as scheduling and timing of and supporting documentation design, engineering, and installation component manufacture and delivery, including operations and maintenance team and currently operating and with ordering, warranties, shipping, manuals. Large solar electric systems are references if available. receiving, and on-site storage or either stand-alone (off grid) or (ii) Agreements and permits. The inventory. Provide a detailed interconnected to the grid (on grid.) applicant must identify all necessary description of equipment certification. Large solar thermal systems are those for agreements and permits required for the Procurement must be made in which the rated storage volume of the project and the status and schedule for accordance with the requirements of 7 system is greater than 240 gallons. The securing those agreements and permits, CFR part 1924, subpart A. major components of a small solar including the items specified in (viii) Equipment installation. The thermal system are the solar collector(s), paragraphs (d)(7)(ii)(A) through (D) of applicant must fully describe the the support structure, the foundation, this section. management of and plan for site the circulation pump(s) and piping, heat (A) Large solar systems must be development and system installation, exchanger (if required), energy storage installed in accordance with local, State, provide details regarding the scheduling equipment and supporting and national building and electrical of major installation equipment needed documentation including operations codes and regulations. Identify zoning, for project construction, and provide a and maintenance manuals. building and electrical code issues, and required permits and the schedule for description of the startup and (i) Qualifications of project team. The meeting those requirements and shakedown specification and process large solar project team should consist securing those permits. and the conditions required for startup of an equipment supplier of major (B) Identify available component and shakedown for each equipment components, a project manager, general warranties for the specific project item individually and for the system as contractor, a system engineer, a system location and size. a whole. installer, and system maintainer. One (ix) Operations and maintenance. The (C) Large solar electric systems individual or entity may serve more interconnected to the electric power applicant must identify the operations than one role. The applicant must and maintenance requirements of the system will need arrangements to provide authoritative evidence that interconnect with the utility. Identify system necessary for the system to project team service providers have the operate as designed over the design life. utility system interconnection necessary professional credentials or requirements, power purchase The applicant must: relevant experience to perform the (A) Ensure that systems must have at arrangements, or licenses where required services. The applicant must required and the schedule for meeting least a 5-year warranty for equipment. also provide authoritative evidence that Provide information regarding system those requirements and obtaining those vendors of proprietary components can agreements. This is required even if the warranty and availability of spare parts; provide necessary equipment and spare (B) Describe the routine operations system is installed on the customer side parts for the system to operate over its and maintenance requirements of the of the utility meter. For systems design life. The applicant must: proposed system, including planning to utilize a local net metering maintenance schedules for the (A) Discuss the proposed project program, describe the applicable local mechanical and electrical and software delivery method. Such methods include net metering program. systems; a design, bid, build where a separate (D) Identify all environmental issues, (C) For owner maintained portions of engineering firm may design the project including environmental compliance the system, describe any unique and prepare a request for bids and the issues, associated with the project. knowledge, skills, or abilities needed for successful bidder constructs the project (iii) Resource assessment. The service operations or maintenance; and at the applicant’s risk, and a design applicant must provide adequate and (D) Provide information regarding build method, often referred to as turn appropriate evidence of the availability expected system design life and timing key, where the applicant establishes the of the renewable resource required for of major component replacement or specifications for the project and the system to operate as designed. rebuilds. Include in the discussion, secures the services of a developer who Describe the local solar resource where costs and labor associated with will design and build the project at the the solar system is to be installed. operations and maintenance of system developer’s risk; Acceptable sources of solar resource and plans for in or outsourcing. (B) Discuss the qualifications of the data include state solar maps and (x) Decommissioning. When suppliers of major components being nearby weather station data. Incorporate uninstalling or removing the project, considered; information from state solar resource describe the decommissioning process. (C) Discuss the project manager, maps when possible. Indicate the source Describe any issues, requirements, and general contractor, system engineer, and of the solar data and assumptions made costs for removal and disposal of the system installer qualifications for when applying nearby solar data to the system. engineering, designing, and installing site. (7) Solar, large. The technical large solar systems including any (iv) Design and engineering. The requirements specified in paragraphs relevant certifications by recognized applicant must provide authoritative (d)(7)(i) through (x) of this section apply organizations or bodies. Provide a list of evidence that the system will be to large solar electric projects and large the same or similar systems designed or designed and engineered so as to meet solar thermal projects. Large solar installed by the design, engineering, and its intended purpose, will ensure public electric systems are those for which the installation team and currently safety, and will comply with applicable
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laws, regulations, agreements, permits, equipment, site preparation, system costs and labor associated with codes, and standards. installation, system startup and operations and maintenance of system (A) For large solar electric systems, shakedown, warranties, insurance, and plans for insourcing or outsourcing. the engineering must be comprehensive, financing, professional services, and (x) Decommissioning. When including solar collector design and operations and maintenance costs. uninstalling or removing the project, selection, support structure design and Provide a detailed description of describe the decommissioning process. selection, power conditioning design applicable investment incentives, Describe any issues, requirements, and and selection, surface or submersible productivity incentives, loans, and costs for removal and disposal of the water pumps and energy storage grants. Provide a detailed description of system. requirements as applicable, and historic or expected energy use and (8) Wind, small. The technical selection of cabling, disconnects and expected energy offsets or sales on a requirements specified in paragraphs interconnection equipment. A complete monthly and annual basis. (d)(8)(i) through (x) apply to wind set of engineering drawings, stamped by (vii) Equipment procurement. The energy systems for which the rated a professional engineer must be applicant must demonstrate that power of the wind turbine is 100kW or provided. equipment required by the system is smaller and with a generator hub height (B) For large solar thermal systems, available and can be procured and of 120 ft or less. Such systems are the engineering must be comprehensive, delivered within the proposed project considered small wind systems. The including solar collector design and development schedule. Large solar major components of a small wind selection, support structure design and systems may be constructed of system are the wind turbine, the tower, selection, pump and piping design and components manufactured in more than the foundation, the inverter, the selection, and energy storage design and one location. Provide a description of interconnection equipment and energy selection. Provide a complete set of any unique equipment procurement storage when applicable. A small wind engineering drawings, stamped by a issues such as scheduling and timing of system is either stand-alone or professional engineer. component manufacture and delivery, connected to the local electrical system (C) For either type of system, provide ordering, warranties, shipping, at less than 600 volts. a concise but complete description of receiving, and on-site storage or (i) Qualifications of project team. The the large solar system including location inventory. Provide a detailed small wind project team should consist of the project and proposed equipment description of equipment certification. of a system designer, a project manager and system specifications. Identify Procurement must be made in or general contractor, an equipment possible vendors and models of major accordance with the requirements of 7 supplier of major components, a system system components. Provide the CFR part 1924, subpart A. installer, a system maintainer, and, in expected system energy production (viii) Equipment installation. The some cases, the owner of the application based on available solar resource data applicant must fully describe the or load served by the system. One on a monthly (when possible) and management of and plan for site individual or entity may serve more annual basis and how the energy development and system installation, than one role. The applicant must produced by the system will be used. provide details regarding the scheduling provide authoritative evidence that (D) For either type of system, provide of major installation equipment, project team service providers have the a description of the project site and including cranes and other devices, necessary professional credentials or address issues such as, solar access, needed for project construction, and relevant experience to perform the orientation, proximity to the load or the provide a description of the startup and required services. The applicant must electrical grid, environmental concerns, shakedown specification and process also provide authoritative evidence that unique safety concerns, construction, and the conditions required for startup vendors of proprietary components can and installation issues and whether and shakedown for each equipment provide necessary equipment and spare special circumstances exist. item individually and for the system as parts for the system to operate over its (E) Sites must be controlled by the a whole. design life. The applicant must: agricultural producer or rural small (ix) Operations and maintenance. The (A) Discuss the small wind turbine business for the proposed project life or applicant must identify the operations manufacturers and other equipment for the financing term of any associated and maintenance requirements of the suppliers of major components being federal loans or loan guarantees. system necessary for the system to considered in terms of the length of time (v) Project development schedule. The operate as designed over the design life. in business and the number of units applicant must identify each significant The applicant must: installed at the capacity and scale being task, its beginning and end, and its (A) Ensure that systems must have at considered; relationship to the time needed to least a 5-year warranty for equipment. (B) Describe the knowledge, skills, initiate and carry the project through Provide information regarding system and abilities needed to service, operate, startup and shakedown. Provide a warranty and availability of spare parts; and maintain the system for the detailed description of the project (B) Describe the routine operations proposed application; and timeline including system and site and maintenance requirements of the (C) Discuss the project manager, design, permits and agreements, proposed system, including system designer, and system installer equipment procurement, and system maintenance schedules for the qualifications for engineering, installation from excavation through mechanical and electrical and software designing, and installing small wind startup and shakedown. systems; systems including any relevant (vi) Financial feasibility. The (C) For owner maintained portions of certifications by recognized applicant must provide a study that the system, describe any unique organizations or bodies. Provide a list of describes costs and revenues of the knowledge, skills, or abilities needed for the same or similar systems designed, proposed project to demonstrate the service operations or maintenance; and installed, or supplied and currently financial performance of the project. (D) Provide information regarding operating and with references if Provide a detailed analysis and expected system design life and timing available. description of project costs including of major component replacement or (ii) Agreements and permits. The design and engineering, permitting, rebuilds. Include in the discussion, applicant must identify all necessary
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agreements and permits required for the energy storage requirements as services, and operations and project and the status and schedule for applicable, and selection of cabling, maintenance costs. Provide a detailed securing those agreements and permits, disconnects and interconnection description of applicable investment including the items specified in equipment as well as the engineering incentives, productivity incentives, paragraphs (d)(8)(ii)(A) through (D) of data needed to match the wind system loans, and grants. Provide a detailed this section. output to the application load, if description of historic or expected (A) Small wind systems must be applicable. energy use and expected energy offsets installed in accordance with applicable (A) The application must include a or sales on a monthly and annual basis. local, State, and national building and concise but complete description of the (vii) Equipment procurement. The electrical codes and regulations. Identify small wind system including location of applicant must demonstrate that zoning, building and electrical code the project, proposed turbine equipment required by the system is issues, and required permits and the specifications, tower height and type of available and can be procured and schedule for meeting those requirements tower, type of energy storage and delivered within the proposed project and securing those permits. location of storage if applicable, development schedule. Small wind (B) Identify available component proposed inverter manufacturer and systems may be constructed of warranties for the specific project model, electric power system components manufactured in more than location and size. interconnection equipment, and one location. Provide a description of (C) Small wind systems application load and load any unique equipment procurement interconnected to the electric power interconnection equipment as issues such as scheduling and timing of system will need arrangements to applicable. Identify possible vendors component manufacture and delivery, interconnect with the utility. Identify and models of major system ordering, warranties, shipping, utility system interconnection components. Provide the expected receiving, and on-site storage or requirements, power purchase system energy production based on inventory. Provide a detailed arrangements, or licenses where available wind resource data on description of equipment certification. required and the schedule for meeting monthly (when possible) and annual Procurement must be made in those requirements and obtaining those basis and how the energy produced by accordance with the requirements of 7 agreements. This is required even if the the system will be used. CFR part 1924, subpart A. system is installed on the customer side (B) The application must include a (viii) Equipment installation. The of the utility meter. For systems description of the project site and applicant must fully describe the planning to utilize a local net metering address issues such as access to the management of and plan for site program, describe the applicable local wind resource, proximity to the development and system installation, net metering program. electrical gird or application load, provide details regarding the scheduling (D) Identify all environmental issues, environmental concerns with emphasis of major installation equipment, including environmental compliance on visibility, noise, and avian impacts, including cranes and other devices, issues, associated with the project. construction, and installation issues and needed for project construction, and (iii) Resource assessment. The whether special circumstances such as provide a description of the startup and applicant must provide adequate and proximity to airports exist. Provide a shakedown specification and process appropriate evidence of the availability 360-degree panoramic photograph of the and the conditions required for startup of the renewable resource required for proposed site including indication of and shakedown for each equipment the system to operate as designed. prevailing winds when possible. item individually and for the system as Indicate the local wind resource where (C) Sites and application loads must a whole. the small wind turbine is to be installed. be controlled by the agricultural (ix) Operations and maintenance. The Acceptable sources of wind resource producer or rural small business for the applicant must identify the operations data include state wind maps and proposed project life or for the financing and maintenance requirements of the nearby weather station data. Incorporate term of any associated federal loans or system necessary for the system to information from state wind resource loan guarantees. operate as designed over the design life. maps when possible. Indicate the source (v) Project development schedule. The The applicant must: of the wind data and the conditions of applicant must identify each significant (A) Ensure that systems must have at the wind monitoring when collected at task, its beginning and end, and its least a 5-year warranty for equipment the site or assumptions made when relationship to the time needed to and a commitment from the supplier to applying nearby wind data to the site. initiate and carry the project through have spare parts available. Provide (iv) Design and engineering. The startup and shakedown. Provide a information regarding system warranty applicant must provide authoritative detailed description of the project and availability of spare parts; evidence that the system will be timeline including system and site (B) Describe the routine operations designed and engineered so as to meet design, permits and agreements, and maintenance requirements of the its intended purpose, will ensure public equipment procurement, and system proposed system, including safety, and will comply with applicable installation from excavation through maintenance schedules for the laws, regulations, agreements, permits, startup and shakedown. mechanical and electrical and software codes, and standards. Small wind (vi) Financial feasibility. The systems; systems must be engineered by either applicant must provide a study that (C) Provide historical or engineering the wind turbine manufacturer or other describes costs and revenues of the information that supports expected qualified party. Systems must be offered proposed project to demonstrate the design life of the system and timing of as a complete, integrated system with financial performance of the project. major component replacement or matched components. The engineering Provide a detailed analysis and rebuilds. Include in the discussion, must be comprehensive including description of project costs including costs and labor associated with turbine design and selection, tower design, permitting, equipment, site operations and maintenance of system design and selection, specification of preparation, system installation, system and plans for in or outsourcing; and guy wire anchors and tower foundation, startup and shakedown, warranties, (D) For owner maintained portions of inverter/controller design and selection, insurance, financing, professional the system, describe any unique
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knowledge, skills, or abilities needed for organizations or bodies. Provide a list of with an established wind resource, service operations or maintenance. the same or similar projects designed, provide a summary of the wind resource (x) Decommissioning. When installed, or supplied and currently and the specifications of the uninstalling or removing the project, operating and with references if measurement setup. Large wind systems describe the decommissioning process. available; larger than 500kW in size will typically Describe any issues, requirements, and (D) Discuss the qualifications of the require at least one year of on-site costs for removal and disposal of the meteorologist, including references; and monitoring. If less than one year of data system. (E) Describe system operator’s is used, the qualified meteorological (9) Wind, large. The technical qualifications and experience for consultant must provide a detailed requirements specified in paragraphs servicing, operating, and maintaining analysis of correlation between the site (d)(9)(i) through (x) of this section apply the system for the proposed application. data and a near-by long-term to wind energy systems for which the Provide a list of the same or similar measurement site. rated power of the individual wind projects designed, installed, or supplied (iv) Design and engineering. The turbine(s) is larger than 100kW. Such and currently operating and with applicant must provide authoritative systems are considered large wind references if available. evidence that the system will be systems. The major components of a (ii) Agreements and permits. The designed and engineered so as to meet large wind system are the wind turbine applicant must identify all necessary its intended purpose, will ensure public rotor, the gearbox, the generator, the agreements and permits required for the safety, and will comply with applicable tower, the power electronics, the local project and the status and schedule for laws, regulations, agreements, permits, collection grid, and the interconnection securing those agreements and permits, codes, and standards. Large wind equipment. including the items specified in systems must be engineered by a (i) Qualifications of project team. The paragraphs (d)(9)(ii)(A) through (E) of qualified entity. Systems must be large wind project team should consist this section. engineered as a complete, integrated of a project manager, a meteorologist, an (A) Large wind systems must be system with matched components. The equipment supplier, a project engineer, installed in accordance with local, State, engineering must be comprehensive a primary or general contractor, and national building and electrical including site selection, turbine construction contractor, and a system codes and regulations. Identify zoning, selection, tower selection, tower operator and maintainer and in some building and electrical code issues, and foundation, design of the local cases the owner of the application or required permits and the schedule for collection grid, interconnection load served by the system. One meeting those requirements and equipment selection, and system individual or entity may serve more securing those permits. monitoring equipment. For stand alone, than one role. The applicant must (B) Identify land use agreements non-grid applications, engineering provide authoritative evidence that required for the project and the information must be provided that project team service providers have the schedule for securing the agreements demonstrates appropriate matching of necessary professional credentials or and the term of those agreements. wind turbine and load. relevant experience to perform the (C) Identify available component (A) The application must include a required services. The applicant must warranties for the specific project concise but complete description of the also provide authoritative evidence that location and size. large wind project including location of vendors of proprietary components can (D) Large wind systems the project, proposed turbine provide necessary equipment and spare interconnected to the electric power specifications, tower height and type of parts for the system to operate over its system will need arrangements to tower, the collection grid, design life. The applicant must: interconnect with the utility. Large interconnection equipment, and (A) Discuss the proposed project wind systems interconnected to the monitoring equipment. Identify possible delivery method. Such methods include electric power system will need vendors and models of major system a design, bid, build where a separate arrangements to interconnect with the components. Provide the expected engineering firm may design the project utility. Identify utility system system energy production based on and prepare a request for bids and the interconnection requirements, power available wind resource data on successful bidder constructs the project purchase arrangements, or licenses monthly and annual bases. For wind at the applicant’s risk, and a design where required and the schedule for projects larger than 500kW in size, build method, often referred to as turn meeting those requirements and provide the expected system energy key, where the applicant establishes the obtaining those agreements. production over the life of the project specifications for the project and (E) Identify all environmental issues, including a discussion on inter-annual secures the services of a developer who including environmental compliance variation using a comparison of the on- will design and build the project at the issues, associated with the project. site monitoring data with long-term developers risk; (iii) Resource assessment. The meteorological data from a nearby (B) Discuss the large wind turbine applicant must provide adequate and monitored site. manufacturers and other equipment appropriate evidence of the availability (B) The application must include a suppliers of major components being of the renewable resource required for description of the project site and considered in terms of the length of time the system to operate as designed. address issues such as site access, in business and the number of units Indicate the local wind resource where proximity to the electrical grid or installed at the capacity and scale being the wind turbine is to be installed. Wind application load, environmental considered; resource maps may be used as an concerns with emphasis on visibility, (C) Discuss the project manager, acceptable preliminary source of wind noise, and avian impacts, construction, equipment supplier, project engineer, resource data. Projects greater than and installation issues and whether and construction contractor 500kW must obtain wind data from the special circumstances such as proximity qualifications for engineering, proposed project site. For such projects, to airports exist. designing, and installing large wind describe the proposed measurement (C) Sites must be controlled by the systems including any relevant setup for the collection of the wind agricultural producer or rural small certifications by recognized resource data. For proposed projects business for the proposed project life or
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for the financing term of any associated including cranes or other devices, (i) Qualifications of project team. The federal loans or loan guarantees. needed for project construction, and energy efficiency project team is (v) Project development schedule. The provide a description of the startup and expected to consist of an energy auditor, applicant must identify each significant shakedown specification and process a project manager, an equipment task, its beginning and end, and its and the conditions required for startup supplier of major components, a project relationship to the time needed to and shakedown for each equipment engineer, and a construction contractor initiate and carry the project through item individually and for the system as or system installer. One individual or startup and shakedown. Provide a a whole. entity may serve more than one role. detailed description of the project (ix) Operations and maintenance. The The applicant must provide timeline including resource assessment, applicant must identify the operations authoritative evidence that project team system and site design, permits and and maintenance requirements of the service providers have the necessary agreements, equipment procurement, system necessary for the system to professional credentials or relevant and system installation from excavation operate as designed over the design life. experience to perform the required through startup and shakedown. The applicant must: services. The applicant must also (vi) Financial feasibility. The (A) Ensure that systems must have at provide authoritative evidence that applicant must provide a study that least a 3-year warranty for equipment. vendors of proprietary components can describes costs and revenues of the Provide information regarding turbine provide necessary equipment and spare proposed energy efficiency warranties and availability of spare parts for the system to operate over its improvement(s) to demonstrate the parts; design life. The applicant must: financial performance of the energy (B) Describe the routine operations (A) Discuss the qualifications of the efficiency improvement(s). Provide a and maintenance requirements of the various project team members including detailed analysis and description of proposed project, including any relevant certifications by recognized project costs including project maintenance schedules for the organizations or bodies; management, resource assessment, mechanical and electrical systems and (B) Describe qualifications or project design, project permitting, land system monitoring and control experience of the team as related to agreements, equipment, site requirements; installation, service, operation and preparation, system installation, startup (C) Provide information that supports maintenance of the project; and shakedown, warranties, insurance, expected design life of the system and (C) Provide a list of the same or financing, professional services, and timing of major component replacement similarly engineered projects designed, operations and maintenance costs. or rebuilds; installed, or supplied by the team or by Provide a detailed description of (D) Provide and discuss the risk team members and currently operating. applicable investment incentives, management plan for handling large, Provide references if available; and productivity incentives, loans, and unanticipated failures of major (D) Discuss the manufacturers of grants. Provide a detailed analysis and components such as the turbine gearbox major energy efficiency equipment description of annual project revenues or rotor. Include in the discussion, costs being considered including length of including electricity sales, production and labor associated with operations time in business. tax credits, revenues from green tags, and maintenance of system and plans (ii) Agreements and permits. The and any other production incentive for insourcing or outsourcing; applicant must identify all necessary programs throughout the life of the (E) Describe opportunities for agreements and permits required for the project. Provide a description of technology transfer for long term project energy efficiency improvement(s) and planned contingency fees or reserve operations and maintenance by a local the status and schedule for securing funds to be used for unexpected large entity or owner/operator; and those agreements and permits, including component replacement or repairs and (F) For owner maintained portions of the items specified in paragraphs for low productivity periods. the system, describe any unique (d)(10)(ii)(A) through (C) of this section. (vii) Equipment procurement. The knowledge, skills, or abilities needed for (A) Energy efficiency improvements applicant must demonstrate that service operations or maintenance. must be installed in accordance with equipment required by the system is (x) Decommissioning. When local, State, and national building and available and can be procured and uninstalling or removing the project, electrical codes and regulations. Identify delivered within the proposed project describe the decommissioning process. building code, electrical code, and development schedule. Large wind Describe any issues, requirements, and zoning issues and required permits, and turbines may be constructed of costs for removal and disposal of the the schedule for meeting those components manufactured in more than system. requirements and securing those one location. Provide a description of (10) Energy efficiency improvements. permits. any unique equipment procurement The technical requirements specified in (B) Identify available component issues such as scheduling and timing of paragraphs (d)(10)(i) through (ix) of this warranties for the specific project component manufacture and delivery, section apply to projects that involve location and size. ordering, warranties, shipping, improvements to a facility, building or (C) Identify all environmental issues, receiving, and on-site storage or process resulting in reduced energy including environmental compliance inventory. Provide a detailed consumption or reduced amount of issues, associated with the project. description of equipment certification. energy required per unit of production (iii) Energy assessment. The applicant Procurement must be made in are regarded as energy efficiency must provide adequate and appropriate accordance with the requirements of 7 projects. Projects in excess of $100,000 evidence of energy savings expected CFR part 1924, subpart A. require a full energy audit as specified when the system is operated as (viii) Equipment installation. The in paragraph (d)(10)(iii)(B) of this designed. applicant must fully describe the section. The system engineering for (A) The application must include management of and plan for site such projects must be performed by a information on baseline energy usage development and system installation, qualified entity certified Professional (preferably including energy bills for at provide details regarding the scheduling Engineer as specified in paragraph least one year), expected energy savings of major installation equipment, (d)(10)(iv)(A) of this section. based on manufacturers specifications
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or other estimates, estimated dollars sources/fuel types affected by this within the proposed project saved per year, and payback period in project. Also submit utility rate development schedule. Energy years (total investment cost equal to schedules, if appropriate. efficiency improvements may be cumulative total dollars of energy (iv) Identify significant changes in constructed of components savings). Calculation of energy savings future related operations and manufactured in more than one should follow accepted methodology maintenance costs. location. Provide a description of any and practices. System interactions (v) Describe explicitly how outcomes unique equipment procurement issues should be considered and discussed. will be measured. such as scheduling and timing of (B) For energy efficiency (iv) Design and engineering. The component manufacture and delivery, improvement projects in excess of applicant must provide authoritative ordering, warranties, shipping, $100,000, an energy audit is required. evidence that the energy efficiency receiving, and on-site storage or An energy audit is a written report by improvement(s) will be designed and inventory. Provide a detailed an independent, qualified entity that engineered so as to meet its intended description of equipment certification. documents current energy usage, purpose, will ensure public safety, and Procurement must be made in recommended potential improvements will comply with applicable laws, accordance with the requirements of 7 and their costs, energy savings from regulations, agreements, permits, codes, CFR part 1924, subpart A. these improvements, dollars saved per and standards. (vii) Equipment installation. The year, and simple payback period in (A) Energy efficiency improvement applicant must fully describe the years (total costs divided by annual projects in excess of $100,000 must be management of and plan for installation dollars of energy savings). The engineered by a qualified entity. of the energy efficiency improvement(s), methodology of the energy audit must Systems must be engineered as a identify specific issues associated with meet professional and industry complete, integrated system with installation, provide details regarding standards. The energy audit must cover matched components. the scheduling of major installation (B) For all energy efficiency the following: equipment needed for project (1) Situation report. Provide a improvement projects, identify and discussion, and provide a description of narrative description of the facility or itemize major energy efficiency the startup and shakedown specification process, its energy system(s) and usage, improvements including associated and process and the conditions required and activity profile. Also include price project costs. Specifically delineate for startup and shakedown for each per unit of energy (electricity, natural which costs of the project are directly equipment item individually and for the gas, propane, fuel oil, renewable energy, associated with energy efficiency system as a whole. Include in this etc.) paid by the customer on the date improvements. Describe the discussion any unique concerns, such as of the audit. Any energy conversion components, materials or systems to be the effects of energy efficiency should be based on use rather than installed and how they improve the improvements on system power quality. source. energy efficiency of the process or (viii) Operations and maintenance. (2) Potential improvements. List facility being modified. Discuss passive The applicant must identify the specific information on all potential improvements that reduce energy loads, operations and maintenance energy-saving opportunities and their such as improving the thermal requirements of the energy efficiency costs. efficiency of a storage facility, and improvement(s) necessary for the energy (3) Technical analysis. Give active improvements that directly efficiency improvement(s) to operate as consideration to the interactions among reduce energy consumption, such as designed over the design life. The the potential improvements and other replacing existing energy consuming applicant must: energy systems: equipment with high efficiency (A) Provide information regarding (i) Estimate the annual energy and equipment, as separate topics. Discuss component warranties and the energy costs savings expected from each any anticipated synergy between active availability of spare parts; improvement identified in the potential and passive improvements or other (B) Describe the routine operations project. energy systems. Include in the and maintenance requirements of the (ii) Calculate all direct and attendant discussion any change in on-site proposed project, including indirect costs of each improvement. effluents, pollutants, or other by- maintenance schedules for the (iii) Rank potential improvements products. mechanical and electrical systems and measures by cost-effectiveness. (C) Identify possible suppliers and system monitoring and control (4) Potential improvement model of major pieces of equipment. requirements; description. Provide a narrative (v) Project development schedule. The (C) Provide information that supports summary of the potential improvement applicant must identify each significant expected design life of the system and and its ability to provide needed task, its beginning and end, and its timing of major component replacement benefits, including a discussion of non- relationship to the time needed to or rebuilds; energy benefits such as project initiate and carry the project through (D) Provide and discuss the risk reliability and durability. startup and shakedown. Provide a management plan for handling large, (i) Provide preliminary specifications detailed description of the project unanticipated failures of major for critical components. timeline including energy audit (if components. Include in the discussion, (ii) Provide preliminary drawings of applicable), system and site design, costs and labor associated with project layout, including any related permits and agreements, equipment operations and maintenance of system structural changes. procurement, and system installation and plans for in or outsourcing; and (iii) Document baseline data from site preparation through startup (E) For owner maintained portions of compared to projected consumption, and shakedown. the system, describe any unique together with any explanatory notes. (vi) Equipment procurement. The knowledge, skills, or abilities needed for When appropriate, show before-and- applicant must demonstrate that service operations or maintenance. after data in terms of consumption per equipment required for the energy (ix) Decommissioning. Where unit of production, time or area. Include efficiency improvement(s) is available appropriate, describe the at least 1 year’s bills for those energy and can be procured and delivered decommissioning process. Describe the
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decommissioning budget and any determined by dividing the estimated (2) Criteria for applications for energy unique concerns to the quantity of energy to be generated by at efficiency improvements. Criteria for decommissioning process. least the past 12 months’ energy profile applications for energy efficiency of the agricultural producer or rural improvements are: § 4280.112 Evaluation of grant small business or anticipated energy (i) Energy savings. If the estimated applications. use. The estimated quantity of energy energy expected to be saved by the (a) General review. The Agency will may be described in Btu’s, kilowatts, or installation of the energy efficiency evaluate each application and make a similar energy equivalents. Energy improvements will be 35 percent or determination whether the applicant is profiles can be obtained from the utility greater, 20 points will be awarded; 30 eligible, the proposed grant is for an company; and up to but not including 35 percent, eligible project, and the proposed grant (B) Energy generation. If the proposed 15 points will be awarded; 25 and up to complies with all applicable statutes renewable energy system is intended but not including 30 percent, 10 points and regulations. primarily for production of energy for will be awarded; or 20 and up to but not (b) Ineligible or incomplete sale, 20 points will be awarded; including 25 percent, 5 points will be applications. If either the applicant or (ii) Environmental benefits. If the awarded. Energy savings will be the project is ineligible, the Agency will purpose of the proposed renewable determined by the projections in an inform the applicant in writing of the energy system is to upgrade an existing energy assessment or audit; decision, reasons therefore, and any facility or construct a new facility (ii) Cost effectiveness. If the proposed appeal rights, and no further evaluation required to meet applicable health or energy efficiency improvements will of the application will occur. If the sanitary standards, 10 points will be return the cost of the investment in 2 application is incomplete, the Agency awarded. Documentation must be years or less, 25 points will be awarded; will return it to the applicant to provide obtained by the applicant from the greater than 2 and up to and including the applicant the opportunity to appropriate regulatory agency with 5 years, 20 points will be awarded; resubmit the application. The Agency jurisdiction to establish the standard, to greater than 5 and up to and including will identify those parts of the verify that a bona fide standard exists, 9 years, 15 points will be awarded; or application that are incomplete. Upon what that standard is, and that the greater than 9 and up to and including receipt of a complete application, the proposed project is needed and required 11 years, 10 points will be awarded. The Agency will complete its evaluation of to meet the standard; estimated return on investment is the application. calculated by dividing the total project (c) Technical feasibility (iii) Commercial availability. If the renewable energy system is currently cost by the project net annual energy determination. The Agency’s savings of the energy efficiency determination of a project’s technical commercially available and replicable, an additional 10 points will be awarded; improvements; feasibility will be based on the (iii) Matching funds. If the information provided by the applicant (iv) Cost effectiveness. If the proposed renewable energy system will return the agricultural producer or rural small and on other sources of information, business has provided eligible matching such as recognized industry experts in cost of the investment in 5 years or less, 25 points will be awarded; up to 10 funds of over 90 percent, 15 points will the applicable technology field, as be awarded; 85–90 percent, 10 points necessary, to determine technical years, 20 points will be awarded; up to 15 years, 15 points will be awarded; or will be awarded; or 80 and up to but not feasibility of the proposed project. including 85 percent, 5 points will be (d) Evaluation criteria. Agency up to 20 years, 10 points will be awarded; and personnel will score and fund each awarded. The estimated return on investment is calculated by dividing the (iv) Small agricultural producer. If the application based on the evaluation applicant (for grants) or borrower (for criteria specified in paragraph (d)(1) of total project cost by the estimated projected net annual income and/or guaranteed loans) is an agricultural this section for renewable energy producer producing agricultural systems and in paragraph (d)(2) of this energy savings of the renewable energy system; products with a gross market value of section for energy efficiency less than $1 million in the preceding improvements. These criteria must be (v) Matching funds. If the agricultural producer or rural small business has year, an additional 10 points will be individually addressed in narrative form awarded. on a separate sheet of paper. provided eligible matching funds of (1) Criteria for applications for over 90 percent, 15 points will be § 4280.113 Insurance requirements. awarded; 85–90 percent, 10 points will renewable energy systems. Criteria for Insurance is required to protect the be awarded; or at least 80 and up to but applications for renewable energy interest of the recipient of funds under not including 85 percent, 5 points will systems are: this subpart and the Agency. The be awarded; (i) Quantity of energy produced. coverage must be maintained for the life Points may only be awarded for either (vi) Management. If the renewable of the grant unless this requirement is energy replacement or energy energy system will be monitored and waived or modified by the Agency in generation, but not for both; managed by a qualified third-party writing. (A) Energy replacement. If the operator, such as pursuant to a service (a) Worker compensation insurance is proposed renewable energy system is contract, maintenance contract, or required in accordance with State law. intended primarily for self use by the remote telemetry, an additional 10 (b) National flood insurance is farm, ranch, or rural small business and points will be awarded; and required in accordance with 7 CFR part will provide energy replacement of (vii) Small agricultural producer. If 1806, subpart B (RD Instructions 426.2). greater than 75 percent, 20 points will the applicant (for grants) or borrower (c) Business interruption insurance be awarded; greater than 50 percent, but (for guaranteed loans) is an agricultural will be required. equal to or less than 75 percent, 15 producer producing agricultural points will be awarded; or greater than products with a gross market value of § 4280.114 Laws that contain other 25 percent, but equal to or less than 50 less than $1 million in the preceding compliance requirements. percent, 10 points will be awarded. The year, an additional 10 points will be (a) Equal employment opportunity. energy replacement should be awarded. For all construction contracts and grants
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in excess of $10,000, the contractor loans are proposed, Rural Development conditions that must be understood and must comply with Executive Order employees are to conduct a Civil Rights agreed to by the applicant before any 11246, as amended by Executive Order Impact Analysis in regard to obligation of funds can occur. The 11375, and as supplemented by environmental justice. The CIRA must applicant must sign Letter of Intent to applicable Department of Labor be conducted and the analysis Meet Conditions and Form 1940–1, regulations (41 CFR part 60). The documented utilizing Form RD 2006– ‘‘Request for Obligation of Funds,’’ if applicant and borrower are responsible 38, Civil Rights Impact Analysis they accept the conditions of the grant. for ensuring that the contractor Certification. This must be done prior to These forms will be enclosed with the complies with these requirements. loan approval, obligation of funds, or Letter of Conditions. The grant will be (b) Americans with Disabilities Act other commitments of agency resources, obligated when the Agency receives an (ADA). Loans and grants that involve including issuance of a Letter of executed Letter of Intent and Request for the construction of or addition to Conditions or a Conditional Obligation of Funds from the applicant facilities that accommodate the public Commitment (Form 4279–3) of agreeing to all provisions in the Letter and commercial facilities, as defined by guarantee, whichever occurs first. of Conditions. the ADA, must comply with the ADA. (b) The grantee must sign and abide The applicant and borrower are § 4280.115 Construction planning and performing development. by all requirements contained in Form responsible for compliance. 4280–2, ‘‘Grant Agreement,’’ and this The requirements of 7 CFR part 1924, (c) Civil rights compliance. Recipients subpart. of grants must comply with the except as identified in paragraph (a) of Americans with Disabilities Act of 1990, this section, apply for construction of § 4280.117 Servicing grants. Title VI of the Civil Rights Act of 1964, renewable energy systems and energy Grants will be serviced in accordance and Section 504 of the Rehabilitation efficiency improvement projects as with 7 CFR part 1951, subpart E and the Act of 1973. This may include applicable. Grant Agreement. collection and maintenance of data on (a) The following sections and the race, sex, and national origin on the paragraphs either do not apply to this §§ 4280.118–4280.120 [Reserved] subpart or are modified for the purposes recipient’s membership/ownership and Guaranteed Loans employees. These data should be of this subpart as described: available to conduct compliance (1) Under § 1924.4, § 4280.121 Borrower eligibility. (i) For the purposes of this subpart, reviews in accordance with 7 CFR part To receive a guaranteed loan under ‘‘County Supervisor,’’ ‘‘Assistant County 1901, subpart E, § 1901.204, Compliance this subpart, a borrower must meet each Review. Initial reviews will be Supervisor,’’ ‘‘District Director,’’ and ‘‘Assistant District Director’’ means the of the criteria, as applicable, identified conducted after Form RD 400–4, in § 4280.107(a) through (e). ‘‘Assurance Agreement,’’ is signed and Agency. Wherever those terms are used all subsequent reviews every three years in 7 CFR part 1924, subpart A, read ‘‘the § 4280.122 Project eligibility. thereafter. The Agency should be Agency.’’ For a project to be eligible to receive (ii) The definition for ‘‘manufactured contacted to provide further guidance a guaranteed loan under this subpart, housing’’ does not apply; and the project must meet each of the on collection of information and (iii) The definition for ‘‘modular/ criteria, as applicable, in § 4280.108. compliance with Civil Rights laws. panelized housing’’ does not apply; (d) Environmental analysis. Each (2) § 1924.5(c) does not apply; § 4280.123 Guaranteed loan funding. applicant must prepare an (3) § 1924.5(d)(1)(i), (ii), and (vi) do (a) The amount of guaranteed loan environmental impact analysis using not apply; Form 1940–20, ‘‘Request for (4) § 1924.5(d)(2) does not apply; funds that will be made available to an Environmental Information,’’ pursuant (5) § 1924.5(d)(4)(i) and (iv) do not eligible project under this subpart will to Rural Development environmental apply; not exceed 50 percent of eligible project regulations found at 7 CFR part 1940, (6) § 1924.5(f)(1)(i), (ii), (iii)(A), costs. Eligible project costs are only subpart G. The applicant will contact (iii)(B), (iii)(D), and (iii)(F) do not apply; those costs associated with the items the appropriate State Agency office (7) § 1924.5(f)(2) does not apply; listed in paragraphs (a)(1) through (11) located in the applicant’s State for (8) § 1924.5(i) does not apply; of this section, as long as the items are assistance in completing this form. A (9) § 1924.6(a)(1), (2), and (3) do not an integral and necessary part of the site visit by the Agency will be apply; total project. scheduled, if necessary, to determine (10) § 1924.6(b) does not apply; (1) Post-application purchase and the scope of the review. The applicant (11) § 1924.6(c) does not apply; installation of equipment, except will be notified of all specific (12) § 1924.6(d) does not apply; agricultural tillage equipment and compliance requirements, such as the (13) § 1924.8 does not apply; vehicles; publication of public notices. Any (14) § 1924.10(c)(1) does not apply; (2) Post-application construction or (15) § 1924.12 does not apply; required environmental review must be project improvements, except (16) § 1924.13(c) does not apply; completed by the Agency prior to the (17) § 1924.13(e)(1) does not apply; residential; Agency obligating any grant or loan and (3) Energy audits or assessments; funds. The taking of any actions or (18) § 1924, Exhibits A through E and (4) Permit fees; incurring any obligations during the I through M do not apply. (5) Professional service fees, except time of application or application (b) Recipients of grants under this for application preparation; review and processing that would either subpart are not authorized to construct (6) Feasibility studies; limit the range of alternatives to be the facility, project, or improvement in (7) Business plans; considered or that would have an total, or in part, or utilize their own (8) Retrofitting; adverse effect on the environment, such personnel and/or equipment. (9) Construction of a new facility only as the initiation of construction, will when the facility is used for the same result in project ineligibility. § 4280.116 Grantee requirements. purpose, is approximately the same size, (e) Executive Order 12898, (a) Letter of Conditions, which is and, based on the energy audit, will Environmental Justice. When grant and prepared by the Agency, establishes provide more energy savings than
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improving an existing facility. Only amendment to the Conditional (a) Applications. Applications must costs identified in the energy audit for Commitment. be filed with the Agency by submitting energy efficiency projects are allowed; (d) A combination of fixed and the application information required in (10) Working capital; and variable rates will be allowed. § 4280.111(a) (except for §§ 4280.111(a)(4)(iii)(A) and (11) Land acquisition. § 4280.125 Terms of loan. (b) The minimum amount of a 4280.111(a)(4)(vi)). (a) The maximum loan term limits guaranteed loan made to a borrower is (b) Forms, certifications, and will be utilized only when the loan $2,500. The maximum amount of a agreements. Each application submitted cannot reasonably be repaid over a guaranteed loan made to a borrower is under paragraph (a) of this section must shorter term. The repayment term for a $10 million. contain, as applicable, the items loan for: described in § 4280.111(b)(7) through (c) The percentage of guarantee, up to (1) Real estate must not exceed 30 the maximum allowed by this section, (15) and in paragraphs (b)(1) through (8) years. of this section. will be negotiated between the lender (2) Machinery and equipment must and the Agency. The maximum (1) A completed Form 4279–1, not exceed 15 years, or the useful life, ‘‘Application for Loan Guarantee.’’ percentage of guarantee is 85 percent for whichever is less. loans of $600,000 or less; 80 percent for (2) A personal credit report for the (3) Repayment for combined loans on borrower, a proprietor (owner), each loans greater than $600,000 but up to $5 real estate and equipment must occur million; 70 percent for loans greater partner, officer, director, key employee, before 20 years. and stockholder owning 20 percent or than $5 million but up to $10 million. (4) Working capital must not exceed (d) The total amount of Agency loans more interest in the borrower’s business 7 years. from a credit reporting company under this program to one borrower, (b) The first installment of principal including the guaranteed and acceptable to the Agency. and interest will, if possible, be (3) Appraisals completed in unguaranteed portions, the outstanding scheduled for payment after the project accordance with § 4280.141. Completed principal and interest balance of any is operational and has begun to generate appraisals should be submitted when existing Agency guaranteed loans, and income. the application is filed. If the appraisal new loan request, must not exceed $10 (c) Only loans that require a periodic has not been completed when the million. payment schedule that will fully retire application is filed, the applicant must § 4280.124 Interest rates. the debt over the term of the loan submit an estimated appraisal. In all without a balloon payment will be (a) The interest rate for the guaranteed cases, a completed appraisal must be guaranteed. submitted prior to the loan being closed. loan will be negotiated between the (d) A loan’s maturity will take into lender and the borrower and may be (4) Lender’s complete comprehensive consideration the use of proceeds, the written analysis in accordance with either fixed or variable as long as it is useful life of assets being financed, and a legal rate. The variable rate will be § 4280.139. the borrower’s ability to repay the loan. (5) Commercial credit reports based on published indices, such as (e) All loans guaranteed through this money market indices. In no case, obtained by the lender on the borrower program must be sound, with and any parent, affiliate, and subsidiary however, shall the rate be more than the reasonably assured repayment. rate customarily charged borrowers in firms. similar circumstances in the ordinary § 4280.126 Guarantee/annual renewal fee (6) Current personal and corporate course of business. The interest rate percentages. financial statements of any guarantors. (7) A proposed Loan Agreement or a charged is subject to Agency review and (a) Fee ceilings. The maximum sample Loan Agreement with an approval. guarantee fee that may be charged is 1 attached list of the proposed Loan (b) A variable interest rate agreed to percent. The maximum annual renewal Agreement provisions. The following by the lender and borrower must be a fee that may be charged is 0.5 percent. requirements must be addressed in the rate that is tied to a base rate agreed to The Agency will establish each year the guarantee fee and annual renewal fee proposed or sample Loan Agreement: by the lender and the Agency. The (i) Prohibition against assuming and a notice will be published in the variable interest rate may be adjusted at liabilities or obligations of others. Federal Register. different intervals during the term of the (ii) Restriction on dividend payments. (b) Guarantee fee. The guarantee fee loan, but the adjustments may not be (iii) Limitation on the purchase or sale will be paid to the Agency by the lender more often than quarterly and must be of equipment and fixed assets. and is nonrefundable. The guarantee fee specified in the Loan Agreement. The (iv) Limitation on compensation of may be passed on to the borrower. The lender must incorporate, within the officers and owners. variable rate Promissory Note at loan guarantee fee must be paid at the time (v) Minimum working capital or closing, the provision for adjustment of the Loan Note Guarantee is issued. current ratio requirement. payment installments coincident with (c) Annual renewal fee. The annual (vi) Maximum debt-to-net worth ratio. an interest-rate adjustment. The lender renewal fee will be calculated on the (vii) Restrictions concerning must ensure that the outstanding unpaid principal balance and billed to consolidations, mergers, or other principal balance is properly amortized the lender in accordance with the circumstances. within the prescribed loan maturity to Federal Register publication. The (viii) Limitations on selling the eliminate the possibility of a balloon annual renewal fee may not be passed business without the concurrence of the payment at the end of the loan. on to the borrower. lender. (c) Any change in the interest rate § 4280.127 [Reserved] (ix) Repayment and amortization of between the date of issuance of the the loan. Conditional Commitment and before the § 4280.128 Application and (x) List of collateral and lien priority issuance of the Loan Note Guarantee documentation. for the loan including a list of persons must be approved in writing by the The following requirements apply to and corporations guaranteeing the loan Agency approval official. Approval of all guaranteed loan applications under with a schedule for providing the lender such a change will be shown as an this subpart. with personal and corporate financial
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statements. Financial statements on the application is incomplete, the Agency (2) Develop and maintain adequately corporate and personal guarantors must will return it to the lender to provide documented loan files; be updated at least annually. the lender the opportunity to resubmit (3) Recommend only loan proposals (xi) Type and frequency of financial the application. The Agency will that are eligible and financially feasible; statements to be required for the identify those parts of the application (4) Obtain valid evidence of debt and duration of the loan. that are incomplete. Upon receipt of a collateral in accordance with sound (xii) The final Loan Agreement complete application, the Agency will lending practices; between the lender and borrower must complete its evaluation of the (5) Supervise construction; contain any additional requirements application. (6) Distribute loan funds; A lender imposed by the Agency in its (c) Evaluation criteria. Agency that is considering advancing an interim Conditional Commitment (Form 4279– personnel will score each application loan is advised that the Agency assumes 3). based on the evaluation criteria no responsibility or obligation to take (xiii) When submitting the proposed specified in § 4280.112(d) (except for out an interim loan advanced prior to Loan Agreement, a section within the the criteria specified in the Conditional Commitment being loan agreement reserved for the later § 4280.112(d)(1)(v) and (d)(2)(iii)) and in issued; (7) Service guaranteed loans in a insertion of any necessary measures by paragraphs (c)(1) and (2) of this section: the borrower to avoid or reduce adverse reasonable and prudent manner; (1) If the rate of the loan is below the including liquidation, if necessary; environmental impacts from this Prime Rate (as published in The Wall proposal’s construction or operation. (8) Follow Agency regulations; and Street Journal) plus 1.75 percent (5 (9) Obtain Agency approvals or Such measures, if necessary, will be points); and determined by the Agency through the concurrence as required. (2) If the rate of the loan is below the completion of the environmental review (b) Credit evaluation. The lender must Prime Rate (as published in The Wall process. analyze all credit factors associated with Street Journal) plus 1 percent (an (xiv) Allow the Agency access to the each proposed loan and apply its additional 5 points). project and its performance information professional judgment to determine that during its useful life and permit (d) Technical feasibility the credit factors, considered in periodic inspection of the project by a determination. The Agency’s combination, ensure loan repayment. representative of the Agency. determination of a project’s technical The lender must have an adequate (8) A certification by the lender that feasibility will be based on the underwriting process to ensure that it has completed a comprehensive information provided by the applicant loans are reviewed by someone other written analysis of the proposal, the and on other sources of information, than the originating officer. There must borrower is eligible, the loan is for such as recognized industry experts in be good credit documentation authorized purposes, and there is the applicable technology field, as procedures. reasonable assurance of repayment necessary, to determine technical (c) Environmental information. ability based on the borrower’s history, feasibility of the proposed project. Lenders must ensure that borrowers furnish all environmental information projections and equity, and the § 4280.130 Eligible lenders. collateral to be obtained. required under 7 CFR part 1940, subpart (c) Feasibility study for renewable An eligible lender is any Federal or G. Lenders have a responsibility to energy systems. Each applicant must State chartered bank, Farm Credit Bank, become familiar with Federal submit the information required under other Farm Credit System institution environmental requirements; to § 4280.111(c), as applicable. with direct lending authority, Bank for consider, in consultation with the (d) Technical requirements reports. Cooperatives, or Savings and Loan prospective borrower, the potential Each applicant must submit the Association. These entities must be environmental impacts of their information required under subject to credit examination and proposals at the earliest planning stages; § 4280.111(d), as applicable. supervision by either an agency of the and to develop proposals that minimize United States or a State. Eligible lenders the potential to adversely impact the § 4280.129 Evaluation of guaranteed loan will also include credit unions, environment. Lenders must alert the applications. provided they are subject to credit Agency to any controversial (a) General review. The Agency will examination and supervision by either environmental issues related to a evaluate each application and make a the National Credit Union proposed project or items that may determination whether the borrower is Administration or a State agency, and require extensive environmental review. eligible, the proposed loan is for an insurance companies, provided they are Lenders must help the borrower prepare eligible project, there is reasonable regulated by a State or National Form RD 1940–20 (when required by 7 assurance of repayment ability, there is insurance regulatory agency. Eligible CFR part 1940, subpart G); assist in the sufficient collateral and equity, and the lenders include the National Rural collection of additional data when the proposed loan complies with all Utilities Cooperative Finance Agency needs such data to complete its applicable statutes and regulations. If Corporation. environmental review of the proposal; the Agency determines it is unable to and assist in the resolution of guarantee the loan, the lender will be § 4280.131 Lenders’ functions and responsibilities. environmental problems. Lenders must informed in writing. Such notification alert the Agency to any controversial will include the reasons for denial of the (a) General. Lenders are responsible environmental issues related to a guarantee. for implementing the guaranteed loan proposed project or items that may (b) Ineligible or incomplete program under this subpart. All lenders require extensive environmental review. applications. If either the borrower or requesting or obtaining a loan guarantee (d) Construction planning and the project is ineligible, the Agency will must perform the requirements performing development. inform the lender in writing of the specified in paragraphs (a)(1) through (1) Design policy. The lender must decision, reasons therefore, and any (9) in this section: ensure that all project facilities are appeal rights, and no further evaluation (1) Process applications for designed utilizing accepted of the application will occur. If the guaranteed loans; architectural and engineering practices
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and must conform to applicable Federal, required security regardless of the time subsidiary or affiliate. If the lender state, and local codes and requirements at which the Agency acquires desires to market all or part of the as well as all requirements of this knowledge thereof. Any losses guaranteed portion of the loan at or regulation. The lender must also ensure occasioned will be unenforceable to the subsequent to loan closing, such loan that the project will be completed with extent that loan funds are used for must not be in default. Loans made with available funds and, once completed, purposes other than those specifically the proceeds of any obligation, the will be used for its intended purpose approved by the Agency in its interest on which is excludable from and produce products in the quality and Conditional Commitment. The Agency income under 26 U.S.C. § 103 (interest quantity proposed in the completed will guarantee payment as follows: on State and local banks) or any application approved by the Agency. (1) To any holder, 100 percent of any successor section, will not be (2) Project control. The lender must loss sustained by the holder on the guaranteed. monitor the progress of construction guaranteed portion of the loan and on (b) The entire loan must be evidenced and undertake the reviews and interest due on such portion. by one note, and only one Loan Note inspections necessary to ensure that (2) To the lender, the lesser of: Guarantee will be issued. The lender construction conforms with applicable (i) Any loss sustained by the lender may assign all or part of the guaranteed Federal, state, and local code on the guaranteed portion, including portion of the loan to one or more requirements; proceeds are used in principal and interest evidenced by the holders only by using the Agency’s accordance with the approved plans, notes or assumption agreements and Assignment Guarantee Agreement. The specifications, and contract documents; secured advances for protection and holder, upon written notice to the and that funds are used for eligible preservation of collateral made with the lender and the Agency, may reassign the project costs. Agency’s authorization; or unpaid guaranteed portion of the loan (e) Loan closing. The lender must (ii) The guaranteed principal sold under the Assignment Guarantee conduct loan closings. advanced to or assumed by the borrower Agreement. Upon notification and and any interest due thereon. completion of the assignment, the § 4280.132 Access to records. (b) Rights and liabilities. When a assignee will succeed to all rights and Both the lender and borrower must guaranteed portion of a loan is sold to obligations of the holder thereunder. permit representatives of the Agency (or a holder, the holder will succeed to all (c) The lender’s servicing fee will stop other agencies of the United States) to rights of the lender under the Loan Note when the Agency purchases the inspect and make copies of any records Guarantee to the extent of the portion guaranteed portion of the loan from the of the lender or borrower pertaining to purchased. The lender must remain secondary market. No such servicing fee the Agency guaranteed loans during bound to all obligations under the Loan may be charged to the Agency and all regular office hours of the lender or Note Guarantee, Lender’s Agreement, loan payments and collateral proceeds borrower or at any other time upon and the Agency program regulations. A received will be applied first to the agreement between the lender, the guarantee and right to require purchase guaranteed loan and, when applied to borrower, and the Agency, as will be directly enforceable by a holder the guaranteed loan, will be applied on appropriate. notwithstanding any fraud or a pro rata basis. misrepresentation by the lender or any § 4280.133 Conditions of guarantee. unenforceability of the guarantee by the § 4280.135 Participation. A loan guarantee under this subpart lender, except for fraud or The lender may obtain participation will be evidenced by a Loan Note misrepresentation of which the holder in the loan under its normal operating Guarantee issued by the Agency. Each had actual knowledge at the time it procedures; however, the lender must lender must execute a Lender’s became the holder or in which the retain title to the note and retain its Agreement (Form 4279–4). If a valid holder participates or condones. In the interest in the collateral. Lender’s Agreement already exists, it is event of material fraud, negligence or not necessary to execute a new Lender’s misrepresentation by the lender or the § 4280.136 Minimum retention. Agreement with each loan guarantee. lender’s participation in or condoning of The lender must hold in its own The provisions of this subpart apply to such material fraud, negligence or portfolio a minimum of 5 percent of the all outstanding guarantees. In the event misrepresentation, the lender will be total loan amount. The amount required of a conflict between the guarantee liable for payments made by the Agency to be maintained must be of the documents and this subpart as they to any holder. unguaranteed portion of the loan and exist at the time the documents are (c) Payments. A lender will receive all cannot be participated to another. The executed, this subpart will control. payments of principal and interest on lender may sell the remaining amount of (a) Full faith and credit. A guarantee account of the entire loan and will the unguaranteed portion of the loan under this subpart constitutes an promptly remit to the holder its pro rata only through participation. obligation supported by the full faith share thereof, determined according to § 4280.137 Repurchase from holder. and credit of the United States and is its respective interest in the loan, less incontestable except for fraud or only the lender’s servicing fee. (a) Repurchase by lender. A lender misrepresentation of which a lender or has the option to repurchase the unpaid holder has actual knowledge at the time § 4280.134 Sale or assignment of guaranteed portion of the loan from a it becomes such lender or holder or guaranteed loan. holder within 30 days of written which a lender or holder participates in (a) The lender may sell all or part of demand by the holder when the or condones. The guarantee will be the guaranteed portion of the loan on borrower is in default not less than 60 unenforceable to the extent that any loss the secondary market or retain the entire days on principal or interest due on the is occasioned by a provision for interest loan. The lender must not sell or assign loan; or the lender has failed to remit to on interest. In addition, the guarantee any amount of the guaranteed or the holder its pro rata share of any will be unenforceable by the lender to unguaranteed portion of the loan to the payment made by the borrower within the extent any loss is occasioned by the borrower or members of the borrower’s 30 days of the lender’s receipt thereof. violation of usury laws, negligent immediate families, officers, directors, The repurchase by the lender will be for servicing, or failure to obtain the stockholders, other owners, or a parent, an amount equal to the unpaid
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guaranteed portion of principal and discrepancy between the amount (ii) Name and address of the lender of accrued interest less the lender’s claimed by the holder and the record; servicing fee. The holder must information submitted by the lender (iii) Capacity of person certifying; concurrently send a copy of the demand must be resolved between the lender letter to the Agency. The guarantee will and the holder before payment will be (iv) Full identification of the Loan not cover the note interest to the holder approved. Such conflict will suspend Note Guarantee or Assignment on the guaranteed loan accruing after 90 the running of the 30-day payment Guarantee Agreement including the days from the date of the demand letter requirement. name of the borrower, the Agency’s case to the lender requesting the repurchase. (4) Purchase by the Agency neither number, date of the Loan Note The lender will accept an assignment changes, alters, nor modifies any of the Guarantee or Assignment Guarantee without recourse from the holder upon lender’s obligations to the Agency Agreement, face amount of the evidence repurchase. The lender is encouraged to arising from the loan or guarantee nor of debt purchased, date of evidence of repurchase the loan to facilitate the does it waive any of the Agency’s rights debt, present balance of the loan, accounting of funds, resolve the against the lender. The Agency has the percentage of guarantee, and, if an problem, and prevent default, where right to set-off against the lender all Assignment Guarantee Agreement, the and when reasonable. The lender must rights inuring to the Agency as the original named holder and the notify, in writing, the holder and the holder of the instrument against the percentage of the guaranteed portion of Agency of its decision. Agency’s obligation to the lender under the loan assigned to that holder. Any (b) Agency repurchase. the guarantee. existing parts of the document to be (1) If the lender does not repurchase (c) Repurchase for servicing. If, in the replaced must be attached to the the unpaid guaranteed portion of the opinion of the lender, repurchase of the certificate; loan as provided in paragraph (a) of this guaranteed portion of the loan is (v) A full statement of circumstances section, the Agency will purchase from necessary to adequately service the loan, of the loss, theft, mutilation, the holder the unpaid principal balance the holder must sell the guaranteed defacement, or destruction of the Loan of the guaranteed portion together with portion of the loan to the lender for an Note Guarantee or Assignment accrued interest to date of repurchase, amount equal to the unpaid principal less the lender’s servicing fee, within 30 Guarantee Agreement; and and interest on such portion less the days after written demand to the Agency (vi) For the holder, evidence from the holder. (This is in addition to lender’s servicing fee. The guarantee demonstrating current ownership of the the copy of the written demand on the will not cover the note interest to the Loan Note Guarantee and Note or the lender.) The guarantee will not cover holder on the guaranteed loan accruing Assignment Guarantee Agreement. If the the note interest to the holder on the after 90 days from the date of the present holder is not the same as the guaranteed loan accruing after 90 days demand letter of the lender or the original holder, a copy of the from the date of the original demand Agency to the holder requesting the endorsement of each successive holder letter of the holder to the lender holder to tender its guaranteed portion. in the chain of transfer from the initial requesting the repurchase. The lender must not repurchase from holder to present holder must be (2) The holder’s demand to the the holder for arbitrage or other included if in existence. If copies of the Agency must include a copy of the purposes to further its own financial endorsement cannot be obtained, best written demand made upon the lender. gain. Any repurchase must be made available records of transfer must be The holder must also include evidence only after the lender obtains the submitted to the Agency (e.g., order of its right to require payment from the Agency’s written approval. If the lender confirmation, canceled checks, etc.). Agency. Such evidence must consist of does not repurchase the portion from (2) An indemnity bond acceptable to either the original of the Loan Note the holder, the Agency may, at its the Agency must accompany the request Guarantee properly endorsed to the option, purchase such guaranteed for replacement except when the holder Agency or the original of the portion for servicing purposes. is the United States, a Federal Reserve Assignment Guarantee Agreement § 4280.138 Replacement of document. Bank, a Federal corporation, a State or properly assigned to the Agency without recourse including all rights, title, and (a) The Agency may issue a territory, or the District of Columbia. interest in the loan. The holder must replacement Loan Note Guarantee or The bond must be with surety except include in its demand the amount due Assignment Guarantee Agreement when the outstanding principal balance including unpaid principal, unpaid which was lost, stolen, destroyed, and accrued interest due the present interest to date of demand, and interest mutilated, or defaced to the lender or holder is less than $1 million, verified subsequently accruing from date of holder upon receipt of an acceptable by the lender in writing in a letter of demand to proposed payment date. The certificate of loss and an indemnity certification of balance due. The surety Agency will be subrogated to all rights bond. must be a qualified surety company of the holder. (b) When a Loan Note Guarantee or holding a certificate of authority from (3) The Agency will notify, in writing, Assignment Guarantee Agreement is the Secretary of the Treasury and listed the lender of its receipt of the holder’s lost, stolen, destroyed, mutilated, or in Treasury Department Circular 570. demand for payment. The lender must defaced while in the custody of the (3) All indemnity bonds must be promptly provide the Agency with the lender or holder, the lender must issued and payable to the United States information necessary for the Agency to coordinate the activities of the party of America acting through the USDA. determine the appropriate amount due who seeks the replacement documents The bond must be in an amount not less the holder. Upon request by the Agency, and will submit the required documents than the unpaid principal and interest. the lender will furnish a current to the Agency for processing. The The bond must hold USDA harmless statement certified by an appropriate, requirements for replacement are as against any claim or demand which authorized officer of the lender of the follows: might arise or against any damage, loss, unpaid principal and interest then owed (1) A certificate of loss, notarized and costs, or expenses which might be by the borrower on the loan and the containing a jurat, which includes: sustained or incurred by reasons of the amount then owed to any holder. Any (i) Name and address of owner; loss or replacement of the instruments.
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§ 4280.139 Credit quality. required in § 4280.111(a)(4)(iii) is (b) Unconditional personal and The lender must determine credit required for the guaranteed loan corporate guarantees for those owning quality and must address all of the program. or having a beneficial interest greater elements of credit quality in a written (b) If the proposed guaranteed loan than 20 percent of the borrower will be credit analysis including adequacy of exceeds $3 million, the Agency will required where legally permissible. equity, cash flow, collateral, history, require annual audited financial § 4280.143 Loan approval and obligation management, and the current status of statements. of funds. the industry for which credit is to be extended. § 4280.141 Appraisals. (a) Upon approval of a loan guarantee, the Agency will issue a Conditional (a) Cash flow. All efforts will be made (a) Loans of $600,000 or more. A to structure debt so that the business has Commitment to the lender containing complete self-contained appraisal must conditions under which a Loan Note adequate debt coverage and the ability be conducted. Lenders will be to accommodate expansion. Guarantee will be issued responsible for ensuring that appraisal (b) If certain conditions of the (b) Collateral. Collateral must have values adequately reflect the actual documented value sufficient to protect Conditional Commitment cannot be value of the collateral. All real property met, the lender and/or borrower may the interest of the lender and the appraisals associated with Agency Agency and the discounted collateral propose alternate conditions. Within the guaranteed loanmaking and servicing requirements of the applicable value will normally be at least equal to transactions must meet the requirements the loan amount. Lenders will discount regulations and instructions and contained in the Financial Institutions reasonable and prudent lending collateral consistent with sound loan-to- Reform, Recovery and Enforcement Act value policy. practices, the Agency may negotiate (FIRREA) of 1989 and the appropriate with the lender and/or borrower (c) Equity. In determining the guidelines contained in Standards 1 and adequacy of equity, the lender must regarding any proposed changes to the 2 of the Uniform Standards of Conditional Commitment. meet the criteria specified in paragraph Professional Appraisal Practices (c)(1) of this section for loans over (USPAP). All appraisals will include § 4280.144 Transfer of lenders. $600,000 and the criteria in paragraph consideration of the potential effects (a) The Agency may approve the (c)(2) of this section for loans of from a release of hazardous substances substitution of a new eligible lender in $600,000 or less. or petroleum products or other place of a former lender who holds an (1) For loans over $600,000, borrowers environmental hazards on the market outstanding Conditional Commitment shall demonstrate evidence of cash value of the collateral. Lenders must when the Loan Note Guarantee has not equity injection in the project of not less complete at least a Transaction Screen yet been issued provided, that there are than 25 percent of eligible project costs. Questionnaire environmental site no changes in the borrower’s ownership The fair market value of equity in real assessment for any new sites and a or control, loan purposes, or scope of property that is to be pledged as Phase I environmental site assessment project, and loan conditions in the collateral for the loan may be on existing business sites, which should Conditional Commitment and the Loan substituted in whole or in part to meet be provided to the appraiser for Agreement remain the same. the cash equity requirement. However, completion of the self-contained (b) The new lender’s servicing the appraisal completed to establish the appraisal. Chattels will be evaluated in capability, eligibility, and experience fair market value of the real property accordance with normal banking will be analyzed by the Agency prior to must not be more than one year old and practices and generally accepted approval of the substitution. The must meet the Agency appraisal methods of determining value. original lender will provide the Agency standards. with a letter stating the reasons it no (2) For loans of $600,000 or less, (b) Loans for less than $600,000. A longer desires to be a lender for the borrowers shall demonstrate evidence of complete summary appraisal may be project. The substituted lender must cash equity injection in the project of conducted in lieu of a complete self- execute a new part B of Form 4279–1, not less than 15 percent of eligible contained appraisal as required under ‘‘Application for Loan Guarantee.’’ project costs. However, the appraisal paragraph (a) of this section. Summary completed to establish the fair market appraisals must be conducted in § 4280.145 Changes in borrower. accordance with USPAP. value of the real property must not be Any changes in borrower ownership more than one year old and must meet (c) Specialized appraisers. or organization prior to the issuance of the Agency appraisal standards. Specialized appraisers will be required the Loan Note Guarantee must meet the (d) Lien priorities. The entire loan to complete appraisals in accordance eligibility requirements of the program must be secured by the same security with paragraphs (a) and (b) of this and be approved by the Agency loan with equal lien priority for the section. The Agency may approve a approval official. guaranteed and unguaranteed portions waiver of this requirement only if a of the loan. The unguaranteed portion of specialized appraiser does not exist in a § 4280.146 Conditions precedent to the loan will neither be paid first nor specific industry or hiring one would issuance of Loan Note Guarantee. given any preference or priority over the cause an undue financial burden to the The Loan Note Guarantee will not be guaranteed portion. A parity or junior borrower. issued until the lender certifies to the position may be considered by the following: § 4280.142 Personal and corporate (a) No major changes have been made Agency provided discounted collateral guarantees. values are adequate to secure the loan in the lender’s loan conditions and in accordance with paragraph (b) of this (a) Personal and corporate guarantees, requirements since the issuance of the section after considering prior liens. when obtained, are part of the collateral Conditional Commitment, unless such for the loan. However, the value of such changes have been approved by the § 4280.140 Financial statements. guarantee is not considered in Agency. (a) Except for the requirement to determining whether a loan is (b) All planned property acquisition demonstrate financial need for the adequately secured for loanmaking has been completed, all development funding, the financial information purposes. has been completed in accordance with
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plans and specifications, conforms with parent, affiliate, or subsidiary of the § 4280.148 Refusal to execute Loan Note applicable Federal, state, and local borrower, and guarantors. Guarantee. codes, performed at a steady state (n) None of the lender’s officers, If the Agency determines that it operating level in accordance with the directors, stockholders, or other owners cannot execute the Loan Note technical requirements, and costs have (except stockholders in an institution Guarantee, the Agency will promptly not exceeded the amount approved by that has normal stockshare requirements inform the lender of the reasons and the lender and the Agency. for participation) has a substantial give the lender a reasonable period (c) Hazard, flood, liability, worker financial interest in the borrower and within which to satisfy the objections. If compensation, and personal life neither the borrower nor its officers, the lender requests additional time in insurance, when required, are in effect. directors, stockholders, or other owners writing and within the period allowed, (d) Truth-in-lending requirements has a substantial financial interest in the the Agency may grant the request. If the have been met. lender. If the borrower is a member of lender satisfies the objections within the (e) All equal credit opportunity the board of directors or an officer of a time allowed, the guarantee will be requirements have been met. Farm Credit System (FCS) institution issued. (f) The loan has been properly closed, that is the lender, the lender will certify § 4280.149 Requirements after project and the required security instruments that an FCS institution on the next construction. have been obtained. highest level will independently process Once the project has been (g) The borrower has marketable title the loan request and act as the lender’s constructed, the lender must provide to the collateral then owned by the agent in servicing the account. the Agency periodic reports from the borrower, subject to the instrument (o) The Loan Agreement includes all borrower. The borrower’s reports will securing the loan to be guaranteed and measures identified in the Agency’s include, but not be limited to, the to any other exceptions approved in environmental impact analysis for this information specified in paragraphs (a) writing by the Agency. proposal (measures with which the and (b) of this section, as applicable. (h) When required, the entire amount borrower must comply) for the purpose (a) For renewable energy systems, of the loan for working capital has been of avoiding or reducing adverse commencing the first full calendar year disbursed except in cases where the environmental impacts of the proposal’s following the year in which project Agency has approved disbursement over construction or operation. construction was completed and an extended period of time. continuing for 3 full years, provide a (i) When required, personal, § 4280.147 Issuance of the guarantee. report detailing the following will be partnership, or corporate guarantees (a) When loan closing plans are provided: have been obtained. established, the lender must notify the (1) Report the actual amount of energy (j) All other requirements of the Agency in writing. At the same time, or produced in BTUs, kilowatts, or similar Conditional Commitment have been immediately after loan closing, the energy equivalents. met. lender must provide the following to the (2) If applicable, provide (k) Lien priorities are consistent with Agency: documentation that identified health the requirements of the Conditional (1) Lender’s certifications as required and/or sanitation problem has been Commitment. No claims or liens of by § 4280.146, solved. laborers, subcontractors, suppliers of (3) Provide the annual income and/or machinery and equipment, or other (2) Executed Form 4279–4, ‘‘Lender’s Agreement,’’ and energy savings of the renewable energy parties have been or will be filed against system. the collateral, and no suits are pending (3) Executed Form RD 1980–19, (4) Summarize the cost of operating or threatened that would adversely ‘‘Guaranteed Loan Closing Report’’ and and maintaining the facility. affect the collateral when the security appropriate guarantee fee. (5) Description of any maintenance or instruments are filed. (b) When the Agency is satisfied that operational problems associated with (l) The loan proceeds have been or all conditions for the guarantee have the facility. will be disbursed for purposes and in been met, the Loan Note Guarantee and (6) Recommendations for amounts consistent with the the following documents, as development of future similar projects. Conditional Commitment and the appropriate, will be issued: (b) For energy efficiency improvement Application for Loan Guarantee (Form (1) Assignment Guarantee Agreement. projects, commencing the first full 4279–1). A copy of the detailed loan If the lender assigns the guaranteed calendar year following the year in settlement of the lender must be portion of the loan to a holder, the which project construction was attached to support this certification. lender, holder, and the Agency must completed and continuing for 2 full (m) There has been neither any execute the Assignment Guarantee years, report the actual amount of material adverse change in the Agreement; energy saved due to the energy borrower’s financial condition nor any efficiency improvements. other material adverse change in the (2) Certificate of Incumbency. If borrower, for any reason, during the requested by the lender, the Agency will § 4280.150 Insurance requirements. period of time from the Agency’s provide the lender with a copy of Form (a) Each borrower must obtain the issuance of the Conditional 4279–7, ‘‘Certificate of Incumbency and insurance required in § 4280.113(a) Commitment to issuance of the Loan Signature,’’ with the signature and title through (c) and in paragraphs (b) and (c) Note Guarantee, regardless of the cause of the Agency official who signs the in this section. The coverage required by or causes of the change and whether or Loan Note Guarantee, Lender’s this section must be maintained for the not the change or causes of the change Agreement, and Assignment Guarantee life of the loan unless this requirement were within the lender’s or borrower’s Agreement; is waived or modified by the Agency in control. The lender must address any (3) Copies of legal loan documents; writing. assumptions or reservations in the and (b) Hazard insurance with a standard requirement and must address all (4) Disbursement plan if working mortgage clause naming the lender as adverse changes of the borrower, any capital is a purpose of the project. beneficiary will be required on every
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loan in an amount that is at least the a reasonable, prudent lender would (1) Reductions. The borrower, lender, lesser of the depreciated replacement perform in servicing its own portfolio of and holder (if any) may collectively value of the collateral or the amount of loans that are not guaranteed. The Loan initiate a permanent or temporary the loan. Hazard insurance includes fire, Note Guarantee is unenforceable by the reduction in the interest rate of the windstorm, lightning, hail, explosion, lender to the extent any loss is guaranteed loan at any time during the riot, civil commotion, aircraft, vehicle, occasioned by violation of usury laws, life of the loan upon written agreement marine, smoke, builder’s risk during use of loan funds for unauthorized among these parties. The lender must construction by the business, and purposes, negligent servicing, or failure notify the Agency, in writing, within 10 property damage. to obtain the required security interest calendar days of the change. If any of (c) The lender may require life regardless of the time at which the the guaranteed portion has been insurance on every loan to insure Agency acquires knowledge of the purchased by the Agency, then the against the risk of death of persons foregoing. This responsibility includes Agency will affirm or reject interest rate critical to the success of the business. but is not limited to the collection of change proposals in writing. The When required, coverage will be in payments, obtaining compliance with Agency will concur in such interest-rate amounts necessary to provide for the covenants and provisions in the changes only when it is demonstrated to management succession or to protect the Loan Agreement, obtaining and the Agency that the change is a more business. The cost of insurance and its analyzing financial statements, checking viable alternative than initiating or effect on the borrower’s working capital on payment of taxes and insurance proceeding with liquidation of the loan must be considered as well as the premiums, and maintaining liens on or continuing with the loan in its amount of existing insurance which collateral. present state. could be assigned without requiring (1) Lender reports. The lender must (i) Fixed rates can be changed to additional expense. report the outstanding principal and variable rates to reduce the borrower’s interest balance on each guaranteed loan interest rate only when the variable rate § 4280.151 Laws that contain other compliance requirements. semiannually using Form RD 1980–41, has a ceiling which is less than or equal ‘‘Guaranteed Loan Status Report.’’ to the original fixed rate. (a) Each applicant and borrower must (2) Loan classification. Within 90 (ii) Variable rates can be changed to comply with the requirements specified days of receipt of the Loan Note a fixed rate which is at or below the in § 4280.114(a), (b), and (d), as Guarantee, the lender must notify the current variable rate. applicable, and with paragraph (b) of Agency, in writing, of the loan’s (iii) The interest rates, after this section. (b) Equal Credit Opportunity Act. In classification or rating under its adjustments, must comply with the accordance with the Equal Credit regulatory standards. Should the requirements for interest rates on new Opportunity Act (Title V of Pub. L. 90– classification be changed at a future loans as established by § 4280.124. 321, as amended), with respect to any time, the lender must notify, in writing, (iv) The lender is responsible for the aspect of a credit transaction, neither the Agency immediately. legal documentation of interest-rate the lender nor the Agency will (3) Agency and lender conference. At changes by an endorsement or any other discriminate against any borrower on the Agency’s request, the lender must legally effective amendment to the the basis of race, color, religion, national meet with the Agency to ascertain how promissory note; however, no new notes origin, sex, marital status or age the guaranteed loan is being serviced may be issued. Copies of all legal (providing the borrower has the capacity and that the conditions and covenants documents must be provided to the to contract), or because all or part of the of the Loan Agreement are being Agency. borrower’s income derives from a public enforced. (2) Increases. No increases in interest assistance program, or because the (4) Financial reports. The lender must rates will be permitted except the borrower has, in good faith, exercised obtain and forward to the Agency the normal fluctuations in approved any right under the Consumer financial statements required by the variable interest rates unless a Protection Act. The lender will comply Loan Agreement. The lender must temporary interest-rate reduction with the requirements of the Equal submit annual financial statements to occurred. Credit Opportunity Act as contained in the Agency within 120 days of the end (c) Release of collateral. The lender the Federal Reserve Board’s Regulation of the borrower’s fiscal year. The lender must use the procedures described in implementing that Act (see 12 CFR part must analyze the financial statements paragraphs (c)(1) through (3) of this 202). Such compliance will be and provide the Agency with a written section in order to release collateral accomplished prior to loan closing. summary of the lender’s analysis and associated with the guaranteed loan. conclusions, including trends, strengths, (1) All releases of collateral with a § 4280.152 Servicing guaranteed loans. weaknesses, extraordinary transactions, value exceeding $100,000 must be The lender must service the entire and other indications of the financial supported by a current appraisal on the loan and must remain mortgagee and condition of the borrower. Spreadsheets collateral released. The appraisal will be secured party of record notwithstanding of the new financial statements must at the expense of the borrower and must the fact that another party may hold a also be included. meet the requirements of § 4280.141. portion of the loan. The entire loan must (5) Additional expenditures. The The remaining collateral must be be secured by the same security with lender must not make additional loans sufficient to provide for repayment of equal lien priority for the guaranteed to the borrower without first obtaining the Agency’s guaranteed loan. The and unguaranteed portions of the loan. the prior written approval of the Agency may, at its discretion, require an The unguaranteed portion of a loan will Agency, even though such loans will appraisal of the remaining collateral in neither be paid first nor given any not be guaranteed. cases where it is determined that the preference or priority over the (b) Interest rate adjustments. The Agency may be adversely affected by the guaranteed portion of the loan. lender must use the procedures release of collateral. Sale or release of (a) Servicing. The lender is described in paragraphs (b)(1) and (2) of collateral must be based on an arm’s- responsible for servicing the entire loan this section when adjusting the interest length transaction and adequate and for taking all servicing actions that rate on a guaranteed loan. consideration.
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(2) Within the parameters of have not been or will not be released of a complete transfer and assumption paragraph (c)(1) of this section, lenders from liability. Any new loan terms must for less than the full amount of the debt may, over the life of the loan, release be within the terms authorized by and the transferor (including personal collateral (other than personal and § 4280.125. The lender’s request for guarantors) is released from liability, the corporate guarantees) with a cumulative approval of new loan terms will be lender, if it holds the guaranteed value of up to 20 percent of the original supported by an explanation of the portion, may file an estimated report of loan amount without Agency reasons for the proposed change in loan loss, using Form RD 449–30, ‘‘Loan Note concurrence, if the proceeds generated terms. Guaranteed Loss Report,’’ to recover its are used to reduce the guaranteed loan (3) Release of liability. The transferor, pro rata share of the actual loss. If a or to buy replacement collateral or buy including any guarantor, may be holder owns any of the guaranteed real estate equal to or greater than the released from liability only with prior portion, such portion must be collateral being replaced. Agency written concurrence and only repurchased by the lender or the Agency (3) Within the parameters of when the value of the collateral being in accordance with § 4280.137(c). In paragraph (c)(1) of this section, release transferred is at least equal to the completing the report of loss, the of collateral with a cumulative value in amount of the loan being assumed and amount of the debt assumed will be excess of 20 percent of the original loan is supported by a current appraisal and entered as net collateral (recovery). or when the proceeds will not be used a current financial statement. The Approved protective advances and to reduce the guaranteed loan or to buy Agency will not pay for the appraisal. If accrued interest thereon made during replacement collateral must be the transfer is for less than the debt, the the arrangement of a transfer and requested in writing by the lender and lender must demonstrate to the Agency assumption must be included in the concurred in by the Agency in writing that the transferor and guarantors have calculations. in advance of the release. A written no reasonable debt-paying ability (9) Related party. If the transferor and evaluation will be completed by the considering their assets and income in transferee are affiliated or related lender to justify the release. the foreseeable future. parties, any transfer and assumption (d) Subordination of lien position. A (4) Proceeds. Any proceeds received must be for the full amount of the debt. subordination of the lender’s lien from the sale of collateral before a (10) Payment requests. Requests for a position must be requested in writing by transfer and assumption will be credited loan guarantee to provide equity for a the lender and concurred by the Agency to the transferor’s guaranteed loan debt transfer and assumption must be in writing in advance of the in inverse order of maturity before the considered as a new loan under this subordination. The Agency will only transfer and assumption are closed. subpart. consider a parity or junior lien position. (5) Additional loans. Loans to provide (11) Cash down payment. When the After the subordination, collateral must additional funds in connection with a transferee will be making a cash down be adequate to secure the loan. The lien transfer and assumption must be payment as part of the transfer and to which the guaranteed loan is considered as a new loan application assumption: subordinated must be for a fixed dollar under § 4280.128. (i) The lender must have an limit. The subordination must be for a (6) Credit quality. The lender must appropriate appraiser, acceptable to fixed period of time, after which the make a complete credit analysis which both the transferee and transferor and guaranteed loan lien priority will be is subject to Agency review and currently authorized to perform restored. Subordination to a revolving approval. appraisals to determine the value of the line of credit will not exceed 1 year. (7) Documents. Prior to Agency collateral securing the loan. The Agency There must be adequate consideration approval, the lender must advise the will not pay the appraisal fee or any for the subordination. Agency, in writing, that the transaction other costs. (e) Alterations of loan instruments. can be properly and legally transferred, (ii) The market value of the collateral, The lender must not alter or approve and the conveyance instruments will be plus any additional property the any alterations of any loan instrument filed, registered, or recorded as transferee proposes to offer as collateral, without the prior written approval of appropriate. must be adequate to secure the balance the Agency. (i) The assumption will be done on of the guaranteed loans. (f) Loan transfer and assumption. the lender’s assumption agreement and (iii) Cash down payments may be paid When a loan is transferred and assumed, will contain the Agency case number of directly to the transferor provided: the procedures described in paragraphs the transferor and transferee. The lender (A) The lender recommends that the (f)(1) through (11) of this section must must provide the Agency with a copy of cash be released, and the Agency be followed. the transfer and assumption agreement. concurs prior to the transaction being (1) Documentation of request. All The lender must ensure that the transfer completed. The lender may wish to transfers and assumptions must be and assumption is noted on the original require that an amount be retained for approved in writing by the Agency and Loan Note Guarantee. a defined period of time as a reserve must be to eligible borrowers in (ii) A new Loan Agreement, consistent against future defaults. Interest on such accordance with § 4280.121. An in principle with the original Loan account may be paid periodically to the individual credit report must be Agreement, must be executed to transferor or transferee as agreed; provided for transferee proprietors, establish the terms and conditions of the (B) The lender determines that the partners, officers, directors, and loan being assumed. An assumption transferee has the repayment ability to stockholders with 20 percent or more agreement can be used to establish the meet the obligations of the assumed interest in the business, along with such loan covenants. guaranteed loan as well as any other other documentation as the Agency may (iii) The lender must provide to the indebtedness; request to determine eligibility. Agency a written certification that the (C) Any payments by the transferee to (2) Terms. Loan terms must not be transfer and assumption is valid, the transferor will not suspend the changed unless the change is approved enforceable, and complies with all transferee’s obligations to continue to in writing by the Agency with the Agency regulations. meet the guaranteed loan payments as concurrence of any holder and the (8) Loss resulting from transfer. If a they come due under the terms of the transferor (including guarantors) if they loss should occur upon consummation assumption; and
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(D) The transferor agrees not to take to the Agency and the lender is the it must request the Agency’s any action against the transferee in paramount objective. concurrence. The lender will liquidate connection with the assumption (1) Curative actions include but are the loan unless the Agency, at its without prior written approval of the not limited to: option, carries out liquidation. When lender and the Agency. (i) Deferment of principal (subject to the decision to liquidate is made, if the rights of any holder); loan has not already been repurchased, § 4280.153 Substitution of lender. (ii) An additional unguaranteed provisions will be made for repurchase After the issuance of a Loan Note temporary loan by the lender to bring in accordance with § 4280.137. Guarantee, the lender must not sell or the account current; (a) Decision to liquidate. A decision to transfer the entire loan without the prior (iii) Reamortization of or rescheduling liquidate must be made when it is written approval of the Agency. The the payments on the loan (subject to determined that the default cannot be Agency will not pay any loss or share rights of any holder); cured through actions contained in in any costs (i.e., appraisal fees, (iv) Transfer and assumption of the § 4280.154 or it has been determined environmental studies, or other costs loan in accordance with § 4280.152(f); that it is in the best interest of the associated with servicing or liquidating (v) Reorganization; Agency and the lender to liquidate. The the loan) with a new lender unless a (vi) Liquidation; decision to liquidate or continue with relationship is established through a (vii) Subsequent loan guarantees; and the borrower must be made as soon as substitution of lender in accordance (viii) Changes in interest rates with possible when any of the following with paragraph (a) of this section. This the Agency’s, the lender’s, and the exist: includes cases where the lender has holder’s approval, provided that the (1) A loan has been delinquent 90 failed and been taken over by a interest rate is adjusted proportionately days and the lender and borrower have regulatory agency such as the Federal between the guaranteed and not been able to cure the delinquency Deposit Insurance Corporation (FDIC) unguaranteed portion of the loan and through one of the actions contained in and the loan is subsequently sold to the type of rate remains the same. § 4280.154; another lender. (2) In the event a deferment, (2) It has been determined that (a) The Agency may approve the rescheduling, reamortization, or delaying liquidation will jeopardize full substitution of a new lender if: moratorium is accomplished, it will be recovery on the loan; and (1) The proposed substitute lender: limited to the remaining life of the (3) The borrower or lender has been (i) Is an eligible lender in accordance collateral or loan terms, whichever is uncooperative in resolving the problem with § 4280.130; less. and the Agency or the lender has reason (ii) Is able to service the loan in to believe the borrower is not acting in § 4280.155 Protective advances. good faith, and it would enhance the accordance with the original loan Protective advances are advances documents; and position of the guarantee to liquidate made by the lender for the purpose of immediately. (iii) Agrees in writing to acquire and preserving and protecting the collateral (b) Liquidation by the Agency. The must acquire title to the unguaranteed where the debtor has failed to, will not, Agency may require the lender to assign portion of the loan held by the original or cannot meet its obligations. Sound the security instruments to the Agency lender and assumes all original loan judgment must be exercised in if the Agency, at its option, decides to requirements, including liabilities and determining that the protective advance liquidate the loan. When the Agency servicing responsibilities. preserves collateral and recovery is liquidates, reasonable liquidation (2) The substitution of the lender is actually enhanced by making the expenses will be assessed against the requested in writing by the borrower, advance. Protective advances will not be proceeds derived from the sale of the the proposed substitute lender, and the made in lieu of additional loans. collateral. original lender if still in existence. (a) The maximum loss to be paid by (c) Submission of liquidation plan. (b) Where the lender has failed and the Agency will never exceed the The lender must, within 30 days after a been taken over by FDIC and the original principal plus accrued interest decision to liquidate, submit to the guaranteed loan is liquidated by FDIC regardless of any protective advances Agency in writing its proposed detailed rather than being sold to another lender, made. method of liquidation. Upon approval the Agency will pay losses and share in (b) Protective advances and interest by the Agency of the liquidation plan, costs as if FDIC were an approved thereon at the note rate will be the lender will commence liquidation. substitute lender. guaranteed at the same percentage of (d) Lender’s liquidation plan. The § 4280.154 Default by borrower. loss as provided in the Loan Note liquidation plan must include, but is not Guarantee. limited to, the following: (a) The lender must notify the (c) Protective advances must (1) Such proof as the Agency requires Agency, in writing, when a borrower is constitute an indebtedness of the to establish the lender’s ownership of 30 days past due on a payment or is borrower to the lender and be secured the guaranteed loan promissory note otherwise in default of the Loan by the security instruments. Agency and related security instruments and a Agreement. Form RD 1980–44, written authorization is required when copy of the payment ledger, if available, ‘‘Guaranteed Loan Borrower Default cumulative protective advances exceed which reflects the current loan balance Status’’ must be used and the lender $5,000. and accrued interest to date and the must continue to submit this form bi- method of computing the interest; monthly until such time as the loan is § 4280.156 Liquidation. (2) A full and complete list of all no longer in default. If a monetary In the event of one or more incidents collateral including any personal and default exceeds 60 days, the lender must of default or third party actions that the corporate guarantees; arrange a meeting with the Agency and borrower cannot or will not cure or (3) The recommended liquidation the borrower to resolve the problem. eliminate within a reasonable period of methods for making the maximum (b) In considering options, the time, liquidation of the loan may be collection possible on the indebtedness prospects for providing a permanent considered by the lender. If the lender and the justification for such methods, cure without adversely affecting the risk concludes that liquidation is necessary, including recommended action:
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(i) For acquiring and disposing of all conveyed title to the lender, no transfer (j) Abandonment of collateral. There collateral; and and assumption is permitted. may be instances when the cost of (ii) To collect from guarantors; (2) A protective bid may be made by liquidation would exceed the potential (4) Necessary steps for preservation of the lender, with prior Agency written recovery value of the collection. The the collateral; approval, at a foreclosure sale to protect lender, with proper documentation and (5) Copies of the borrower’s latest the lender’s and the Agency’s interest. concurrence of the Agency, may available financial statements; The protective bid must not exceed the abandon the collateral in lieu of (6) Copies of the guarantor’s latest amount of the loan, including expenses liquidation. A proposed abandonment available financial statements; of foreclosure, and should be based on will be considered a servicing action (7) An itemized list of estimated the liquidation value considering requiring an environmental review by liquidation expenses expected to be estimated expenses for holding and the Agency. Examples where incurred along with justification for reselling the property. These expenses abandonment may be considered each expense; include, but are not limited to, expenses include, but are not limited to: (8) A schedule to periodically report for resale, interest accrual, length of (1) The cost of liquidation is increased to the Agency on the progress of time necessary for resale, maintenance, or the value of the collateral is liquidation; guard service, weatherization, and prior decreased by environmental issues; (9) Estimated protective advance liens. (2) The collateral is functionally or amounts with justification; (f) Acceleration. The lender, or the economically obsolete; (10) Proposed protective bid amounts (3) There are superior liens held by on collateral to be sold at auction and Agency if it liquidates, will proceed to accelerate the indebtedness as other parties in excess of the value of a breakdown to show how the amounts the collateral; were determined; expeditiously as possible when acceleration is necessary including (4) The collateral has deteriorated; or (11) A voluntary conveyance, if one is (5) The collateral is specialized and considered, including the proposed giving any notices and taking any other legal actions required. A copy of the there is little or no demand for it. amount to be credited to the guaranteed (k) Disposition of personal or debt; acceleration notice or other acceleration document will be sent to the Agency (or corporate guarantees. The lender must (12) Legal opinions, if needed; and take action to maximize recovery from (13) If the outstanding balance of lender if the Agency liquidates). The guaranteed loan will be considered in all collateral, including personal and principal and accrued interest is less corporate guarantees. The lender must than $100,000, the lender will obtain an liquidation once the loan has been accelerated and a demand for payment seek a deficiency judgment when there estimate of fair market and potential is a reasonable chance of future liquidation value of the collateral. If the has been made upon the borrower. (g) Filing an estimated loss claim. collection of the judgment. The lender outstanding balance of principal and must make a decision whether or not to accrued interest is $100,000 or more, the When the lender is conducting the liquidation and owns any or all of the seek a deficiency judgment when: lender will obtain an independent (1) A borrower voluntarily liquidates guaranteed portion of the loan, the appraisal report meeting the the collateral, but the sale fails to pay lender must file an estimated loss claim requirements of § 4280.141 on all the guaranteed indebtedness; once a decision has been made to collateral securing the loan that will (2) The collateral is voluntarily liquidate if the liquidation will exceed reflect the fair market value and conveyed to the lender, but the 90 days. The estimated loss payment potential liquidation value. In order to borrower and personal and corporate will be based on the liquidation value formulate a liquidation plan which guarantors are not released from of the collateral. For the purpose of maximizes recovery, collateral must be liability; or evaluated for the release of hazardous reporting and loss claim computation, (3) A liquidation plan is being substances, petroleum products, or the lender will discontinue interest developed for forced liquidation. other environmental hazards which may accrual on the defaulted loan in (l) Compromise settlement. A adversely impact the market value of the accordance with Agency procedures, compromise settlement may be collateral. Both the estimate and the and the loss claim will be promptly considered at any time. appraisal must consider this aspect. The processed in accordance with applicable (1) The lender and the Agency must independent appraiser’s fee, including Agency regulations. receive complete financial information the cost of the environmental site (h) Accounting and reports. When the on all parties obligated for the loan and assessment, will be shared equally by lender conducts liquidation, it must must be satisfied that the statements the Agency and the lender. account for funds during the period of reflect the true and correct financial (e) Approval of liquidation plan. The liquidation and must provide the position of the debtor including all Agency will inform the lender in Agency with reports at least quarterly assets. Adequate consideration must be writing whether it concurs in the on the progress of liquidation including received before a release from liability is lender’s liquidation plan. Should the disposition of collateral, resulting costs, issued. Adequate consideration includes Agency and the lender not agree on the and additional procedures necessary for money, additional security, or other liquidation plan, negotiations will take successful completion of the benefit to the goals and objectives of the place between the Agency and the liquidation. Agency. lender to resolve the disagreement. (i) Transmitting payments and (2) Before a personal guarantor can be When the liquidation plan is approved proceeds to the Agency. When the released from liability, the following by the Agency, the lender must proceed Agency is the holder of a portion of the factors must be considered. expeditiously with liquidation. guaranteed loan, the lender must (i) Cash, either lump sum or over a (1) A transfer and assumption of the transmit to the Agency its pro rata share period of time, or other consideration borrower’s operation can be of any payments received from the offered by the guarantor; accomplished before or after the loan borrower, liquidation payments, or (ii) Age and health of the guarantor; goes into liquidation. However, if the payments of other proceeds, using Form (iii) Potential income of the guarantor; collateral has been purchased through RD 1980–43, ‘‘Lender’s Guaranteed (iv) Inheritance prospects of the foreclosure or the borrower has Loan Payment to USDA.’’ guarantor;
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(v) Availability of the guarantor’s Agency of any final loss report, the of the final loss report and accounting assets. lender must account for all funds during of the collateral. (vi) Possibility that the guarantor’s the period of liquidation, disposition of (d) Loss limit. The amount payable by assets have been concealed or the collateral, all costs incurred, and the Agency to the lender cannot exceed improperly transferred; and any other information necessary for the the limits set forth in the Loan Note (vii) Effect of other guarantors on the successful completion of liquidation. Guarantee. loan. Upon receipt of the final accounting and (e) Rent. Any net rental or other (3) Once the Agency and the lender report of loss, the Agency may audit all income that has been received by the agree on a reasonable amount that is fair applicable documentation to determine lender from the collateral will be and adequate, the lender can proceed to the final loss. The lender must make its applied on the guaranteed loan debt. effect the settlement compromise. records available and otherwise assist (f) Liquidation costs. Liquidation costs (4) A compromise will only be the Agency in making any investigation. must be deducted from the proceeds of accepted if it is in the best interest of the The documentation accompanying the the disposition of collateral. If changed Agency. report of loss must support the amounts circumstances after submission of the shown on the Loan Note Guarantee liquidation plan require a substantial § 4280.157 Determination of loss and revision of liquidation costs, the lender payment. Report of Loss. (1) A determination must be made will procure the Agency’s written In all liquidation cases, final regarding the collectibility of unsecured concurrence prior to proceeding with settlement will be made with the lender personal and corporate guarantees. If the proposed changes. No in-house after the collateral is liquidated, unless reasonably possible, such guarantees expenses of the lender will be allowed. otherwise designated as a future should be promptly collected or In-house expenses include, but are not recovery or after settlement and otherwise disposed of in accordance limited to, employee’s salaries, staff compromise of all parties has been with § 4280.156(k) prior to completion lawyers, travel, and overhead. completed. The Agency will have the of the final loss report. However, in the (g) Payment. When the Agency finds right to recover losses paid under the event that collection from the guarantors the final report of loss to be proper in guarantee from any party that may be appears unlikely or will require a all respects, it will approve Form RD liable. prolonged period of time, the report of 449–30, ‘‘Loan Note Guaranteed Report (a) Report of loss form. Loan Note loss will be filed when all other of Loss,’’ and proceeds as follows: Guarantee Report of Loss will be used collateral has been liquidated, and (1) If the loss is greater than any for calculations of all estimated and unsecured personal or corporate estimated loss payment, the Agency will final loss determinations. Estimated loss guarantees will be treated as a future pay the additional amount owed by the payments may only be approved by the recovery with the net proceeds to be Agency to the lender. Agency after the Agency has approved shared on a pro rata basis by the lender (2) If the loss is less than the a liquidation plan. and the Agency. estimated loss payment, the lender must (b) Estimated loss. In accordance with (2) The lender must document that all reimburse the Agency for the the requirements of § 4280.156(g), an of the collateral has been accounted for overpayment plus interest at the note estimated loss claim based on and properly liquidated and that rate from the date of payment. liquidation appraisal value may be liquidation proceeds have been properly (3) If the Agency has conducted the prepared and submitted by the lender. accounted for and applied correctly to liquidation, it will pay the lender in (1) The estimated loss payment must the loan. accordance with the Loan Note be applied as of the date of such (3) The lender must show a Guarantee. payment. The total amount of the loss breakdown of any protective advance § 4280.158 Future recovery. payment remitted by the Agency will be amount as to the payee, purpose of the After a loan has been liquidated and applied by the lender on the guaranteed expenditure, date paid, and evidence a final loss has been paid by the Agency, portion of the loan debt. Such that the amount expended was proper any future funds which may be application does not release the and that payment was actually made. recovered by the lender must be pro borrower from liability. (4) The lender will show a breakdown rated between the Agency and the (2) An estimated loss will be applied of liquidation expenses as to the payee, lender based on the original percentage first to reduce the principal balance on purpose of the expenditure, date paid, of guarantee. the guaranteed loan and the balance, if and evidence that the amount expended any, to accrued interest. Interest accrual was proper and that payment was § 4280.159 Bankruptcy. on the defaulted loan will be actually made. Liquidation expenses are The lender must protect the discontinued. recoverable only from collateral guaranteed loan and all collateral (3) A protective advance claim will be proceeds. Attorney fees may be securing the loan in bankruptcy paid only at the time of the final report approved as liquidation expenses proceedings. of loss payment except in certain provided the fees are reasonable and (a) Lender’s responsibilities. It is the transfer and assumption situations as cover legal issues pertaining to the lender’s responsibility to protect the specified in § 4280.152(f). liquidation that could not be properly guaranteed loan debt and all of the (c) Final loss. Within 30 days after handled by the lender and its in-house collateral securing it in bankruptcy liquidation of all collateral, except for counsel. proceedings. These responsibilities certain unsecured personal or corporate (5) Accrued interest must be include, but are not limited to the guarantees as provided for in this supported by documentation as to how following: section, is completed, a final report of the amount was accrued. If the interest (1) The lender must file a proof of loss must be prepared and submitted by rate was a variable rate, the lender must claim where necessary and all the the lender to the Agency. The Agency include documentation of changes in necessary papers and pleadings will not guarantee interest beyond this both the selected base rate and the loan concerning the case; 30-day period other than for the period rate. (2) The lender must attend and, where of time it takes the Agency to process (6) Loss payments will be paid by the necessary, participate in meetings of the the loss claim. Before approval by the Agency within 60 days after the review creditors and all court proceedings;
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(3) When permitted by the processed annually when the lender liquidation expenses unless the Bankruptcy Code, the lender must sustains a loss as a result of a permanent proceeding becomes a Chapter 11 request modification of any plan of interest rate reduction which extends liquidation. If the proceeding should reorganization whenever it appears that beyond the period of the reorganization become a liquidating Chapter 11, additional recoveries are likely; plan. reasonable and customary liquidation (4) The Agency must be kept informed (iii) If an estimated loss claim is paid expenses may be deducted from on a regular basis in writing of all during the operation of the Chapter 11 proceeds of collateral as provided in aspects of the proceedings; and reorganization plan and the borrower Form 4279–4, ‘‘Lender’s Agreement.’’ (5) In a Chapter 11 reorganization, if repays in full the remaining balance Chapter 7 pertains to a liquidation of the an independent appraisal of collateral is without an additional loss sustained by borrower’s assets. If, and when, necessary in the Agency’s opinion, the the lender, a final report of loss is not liquidation of the borrower’s assets Agency and the lender will share such necessary. under Chapter 7 is conducted by the appraisal fee equally. (3) Final loss payments. Final loss bankruptcy trustee, then the lender (b) Reports of loss during bankruptcy. payments will be processed when the cannot claim expenses. When the loan is involved in loan is liquidated. reorganization proceedings, payment of (4) Payment application. The lender § 4280.160 Termination of guarantee. loss claims may be made as provided in must apply estimated loss payments A guarantee under this part will this section. For a liquidation first to the unsecured principal of the terminate automatically when any of the proceeding, only paragraphs (b)(3) and guaranteed portion of the debt and then circumstances specified in paragraphs (5) of this section are applicable. to the unsecured interest of the (a) through (c) of this section occurs. (1) Estimated loss payments. guaranteed portion of the debt. In the (a) Upon full payment of the (i) If a borrower has filed for event a bankruptcy court attempts to guaranteed loan; protection under Chapter 11 of Title 11 direct the payments to be applied in a (b) Upon full payment of any loss of the United States Code for a different manner, the lender will obligation; or reorganization (but not Chapter 13) and immediately notify the Agency servicing (c) Upon written notice from the all or a portion of the debt has been office in writing. lender to the Agency that the guarantee discharged, the lender must request an (5) Overpayments. Upon completion will terminate 30 days after the date of estimated loss payment of the of the reorganization plan, the lender notice, provided that the lender holds guaranteed portion of the accrued will provide the Agency with the all of the guaranteed portion and the interest and principal discharged by the documentation necessary to determine Loan Note Guarantee is returned to the court. Only one estimated loss payment whether the estimated loss paid equals Agency to be canceled. is allowed during the reorganization. All the actual loss sustained. If the actual Direct Loans subsequent claims of the lender during loss sustained as a result of the reorganization will be considered reorganization is less than the estimated § 4280.161 Direct loan process. revisions to the initial estimated loss. A loss, the lender must reimburse the (a) The Agency will determine each revised estimated loss payment may be Agency for the overpayment plus year whether or not direct loan funds processed by the Agency, at its option, interest at the note rate from the date of are available. For each year in which in accordance with any court-approved payment of the estimated loss. If the direct loan funds are available, the changes in the reorganization plan. actual loss is greater than the estimated Agency will publish a Notice of Funds Once the reorganization plan has been loss payment, the lender must submit a Availability (NOFA) in the Federal completed, the lender is responsible for revised estimated loss in order to obtain Register. submitting the documentation necessary payment of the additional amount owed (b) In each direct loan NOFA, the for the Agency to review and adjust the by the Agency to the lender. Agency will identify the following: estimated loss claim to reflect any actual (6) Protective advances. If approved (1) the amount of funds available for discharge of principal and interest and protective advances were made prior to direct loans; to reimburse the lender for any court- the borrower having filed bankruptcy, (2) applicant and project eligibility ordered interest-rate reduction under these protective advances and accrued criteria; the terms of then reorganization plan. interest will be considered in the loss (3) minimum and maximum loan (ii) The lender must use the Loan calculations. amounts; Note of Guarantee Report of Loss to (c) Legal expenses during bankruptcy (4) interest rates; request an estimated loss payment and proceedings. The lender must follow the (5) terms of loan; to revise any estimated loss payments procedures described in paragraphs (6) application and documentation during the course of the reorganization (c)(1) and (2) of this section for handling requirements; plan. The estimated loss claim, as well legal expenses during bankruptcy (7) evaluation of applications; as any revisions to this claim, will be proceedings. (8) actions required of the applicant/ accompanied by documentation to (1) When a bankruptcy proceeding borrower (e.g., appraisals, land and support the claim. results in a liquidation of the borrower property acquisition); (iii) Upon completion of a by a trustee, legal expenses will be (9) insurance requirements; reorganization plan, the lender must handled as directed by the court. (10) laws that contain other complete and forward Form RD 1980– (2) Chapter 11 generally pertains to a compliance requirements; 44, ‘‘Guaranteed Loan Borrower Default reorganization of a business (11) construction planning and Status,’’ to the Agency. contemplating an ongoing business, performing development; (2) Interest loss payments. rather than a termination and (12) requirements after project (i) Interest losses sustained during the dissolution of the business, where legal construction; period of the reorganization plan will be protection is afforded to the business as (13) letter of conditions, loan processed in accordance with paragraph defined under Chapter 11 of the agreement, and loan closing process; (b)(1) of this section. Bankruptcy Code. Consequently, (14) processing and servicing of direct (ii) Interest losses sustained after the expenses incurred by the lender in a loans by the Agency; and reorganization plan is completed will be Chapter 11 reorganization can never be (15) any applicable definitions.
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§ 4280.162—4280.192 [Reserved] (c) Application and documentation. §§ 4280.124 and 4280.125 for Combined Funding When applying for a combined funding guaranteed loans. request, the applicant must submit (f) Other provisions. In addition to the § 4280.193 Combined funding. applications as specified in paragraph requirements specified in paragraphs (a) This section identifies the (c)(1) of this section and documentation through (e) of this section, the combined requirements for a project for which an as specified in paragraph (c)(2) of this funding request shall be subject to the applicant is seeking a combined grant section. other requirements specified in this (1) Separate applications for both and guaranteed loan. subpart, including, but not limited to, types of assistance (grant and (a) Eligibility. Applicants must meet the processing and servicing guaranteed loan) are required. Each the applicability requirements specified requirements, as applicable and as application must meet the requirements in §§ 4280.107 and 4280.121. Projects described in paragraphs (f)(1) and (2) of specified in §§ 4280.111 and 4280.128. must meet the applicability this section. requirements specified in §§ 4280.108 The separate applications must be and 4280.122. submitted simultaneously. (1) All other provisions of Section A (b) Funding. Funding provided under (2) The documentation required for of this subpart shall apply to the grant this section is subject to the limits grants and guaranteed loans, as portion of the combined funding described in paragraphs (b)(1) and (2) of specified in §§ 4280.111 and 4280.128, request. this section. respectively, must be submitted, as (2) All other provisions of Section B (1) The amount of any combined grant applicable, with the applications of this subpart shall apply to the and guaranteed loan must not exceed 50 specified in paragraph (c) of this guaranteed loan portion of the percent of eligible project costs. For section. The applicant must submit at combined funding request. purposes of combined funding requests, least one set of documentation. total eligible project costs are based on (d) Evaluation of combined funding §§ 4280.194—4280.199 [Reserved] the total costs associated with those requests. The Agency will evaluate each items specified in §§ 4280.109(a) and application according to applicable § 4280.200 OMB control number. 4280.123(a). The applicant must provide procedures specified in §§ 4280.112 and [Reserved] the remaining total funds needed to 4280.129. Dated: September 23, 2004. complete the project. (e) Interest rates and terms of loan. (2) Third-party, in-kind contributions The interest rate and terms of loan for Gilbert G. Gonzalez, Jr., will be limited to 10 percent of the the loan portion of the combined Acting Under Secretary. matching fund requirement of the funding request will be determined [FR Doc. 04–22093 Filed 10–4–04; 8:45 am] grantee/borrower. based on the procedures specified in BILLING CODE 3410–XY–P
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Part III
Department of Defense General Services Administration National Aeronautics and Space Administration 48 CFR Chapter 1 et al. Federal Acquisition Circular 2001–25; Introduction; Final and Interim Rules
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DEPARTMENT OF DEFENSE ACTION: Summary presentation of final DATES: For effective dates and comment and interim rules, and technical dates, see separate documents which GENERAL SERVICES amendments and corrections. follow. ADMINISTRATION SUMMARY: This document summarizes FOR FURTHER INFORMATION CONTACT: The NATIONAL AERONAUTICS AND the Federal Acquisition regulation FAR Secretariat, at (202) 501–4755, for SPACE ADMINISTRATION (FAR) rules agreed to by the Civilian information pertaining to status or Agency Acquisition Council and the publication schedules. For clarification 48 CFR Chapter 1 Defense Acquisition Regulations of content, contact the analyst whose Council in this Federal Acquisition name appears in the table below in Federal Acquisition Circular 2001–25; relation to each FAR case or subject Introduction Circular (FAC) 2001–25. A companion document, the Small Entity Compliance area. Please cite FAC 2001–25 and AGENCIES: Department of Defense (DoD), Guide (SECG), follows this FAC. The specific FAR case number(s). Interested General Services Administration (GSA), FAC, including the SECG, is available parties may also visit our Web site at and National Aeronautics and Space via the Internet at http:// http://www.acqnet.gov/far. Administration (NASA). www.acqnet.gov/far.
Item Subject FAR case Analyst
I ...... Elimination of the Standard Form 1417 ...... 2002–017 Davis. II ...... Free Trade Agreements—Chile and Singapore, and Trade Agreements Thresholds ...... 2003–016 Davis. III ...... Telecommuting for Federal Contractors (Interim) ...... 2003–035 Zaffos. IV ...... Section 508 Micropurchase Exemption (Interim) ...... 2004–020 Nelson. V ...... Technical Amendments.
SUPPLEMENTARY INFORMATION: request of the Department of Justice, the special interest to contracting officers Summaries for each FAR rule follow. final rule relocates this statement into a who purchase electronic and For the actual revisions and/or separate clause to be included in all information technology. amendments to these FAR cases, refer to contracts. All contracting officers must Item V—Technical Amendments the specific item number and subject set be aware of this new requirement. forth in the documents following these Editorial changes are made at FAR Item III—Telecommuting for Federal 14.403(c), 52.212–5(b)(34)(ii), 52.215– item summaries. Contractors (FAR Case 2003–025) FAC 2001–25 amends the FAR as 15(b)(2), 52.217–5, and 52.219–4(d)(3) to (Interim) specified below: update various references. This interim rule addresses Dated: September 28, 2004. Item I—Elimination of the Standard telecommuting by employees of Federal Ralph J. De Stefano, Form 1417 (FAR Case 2002–017) contractors. This rule implements This final rule eliminates the use of Section 1428 of the Services Acquisition Acting Director, Contract Policy Division. the Standard Form 1417, Pre- Reform Act of 2003 (Title XIV of Public Federal Acquisition Circular Solicitation Notice (Construction Law 108–136), which prohibits agencies Federal Acquisition Circular (FAC) Contract), in contracts for construction, from including a requirement in a 2001–25 is issued under the authority of alteration or repair, dismantling, solicitation that precludes an offeror the Secretary of Defense, the demolition, or removal of from permitting its employees to Administrator of General Services, and improvements. The use of this form has telecommute or, when telecommuting is the Administrator for the National become unnecessary because not precluded, from unfavorably Aeronautics and Space Administration. contracting officers provide access to evaluating an offeror’s proposal that Unless otherwise specified, all presolicitation notices through the includes telecommuting unless it would Federal Acquisition Regulation (FAR) Governmentwide point of entry (GPE) adversely affect agency requirements, and other directive material contained via the Internet at http:// such as security. Contracting officers in FAC 2001–25 is effective October 5, www.fedbizopps.gov pursuant to FAR awarding service contracts should 2004, except for Item I, which is 5.204. Elimination of the form increases familiarize themselves with this rule. effective November 4, 2004. reliance on electronic business practices Item IV—Section 508 Micropurchase and reduces the estimated information Dated: September 22, 2004. Exemption (FAR Case 2004–020) collection requirement burden hours Vincent J. Feck, (Interim) imposed on offerors. Lt Col USAF, Acting Director, Defense This interim rule extends from Procurement and Acquisition Policy. Item II—Free Trade Agreements—Chile October 1, 2004, to April 1, 2005, the and Singapore, and Trade Agreements Dated: September 8, 2004. micropurchase exception from the David A. Drabkin, Thresholds (FAR Case 2003–016) requirement to purchase electronic and Senior Procurement Executive, Office of the The interim rule to implement new information technology that provides Chief Acquisition Officer, General Services Free Trade Agreements with Chile and individuals with disabilities better Administration. Singapore, published in the Federal access to and use of information and Register at 69 FR 1050, January 7, 2004, data, as required by Section 508 of the Dated: September 7, 2004. is converted to a final rule with changes. Rehabilitation Act of 1973. The Tom Luedtke, The interim rule included in each Trade extension will provide agencies time to Deputy Chief Acquisition Officer, National Agreements clause the statement that update their purchase card training Aeronautics and Space Administration. United States law will apply to resolve modules on the 508 requirements and [FR Doc. 04–22243 Filed 10–4–04; 8:45 am] any claim of breach of contract. At the train their personnel. This rule is of BILLING CODE 6820–EP–M
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DEPARTMENT OF DEFENSE Federal Register at 68 FR 54294, Dated: September 28, 2004. September 16, 2003. No public Ralph J. De Stefano, GENERAL SERVICES comments were received. The Councils Acting Director, Contract Policy Division. ADMINISTRATION agree to convert this proposed rule to a I Therefore, DoD, GSA, and NASA final rule with technical editorial amend 48 CFR parts 1, 13, 19, 36, and 53 NATIONAL AERONAUTICS AND changes. as set forth below: SPACE ADMINISTRATION This is not a significant regulatory I 1. The authority citation for 48 CFR action and, therefore, was not subject to parts 1, 13, 19, 36, and 53 is revised to 48 CFR Parts 1, 13, 19, 36 and 53 review under Section 6(b) of Executive read as follows: [FAC 2001–25; FAR Case 2002–017; Item Order 12866, Regulatory Planning and Authority: 40 U.S.C. 121(c); 10 U.S.C. I] Review, dated September 30, 1993. This chapter 137; and 42 U.S.C. 2473(c). rule is not a major rule under 5 U.S.C. RIN 9000–AJ73 804. PART 1—FEDERAL ACQUISITION Federal Acquisition Regulation; B. Regulatory Flexibility Act REGULATIONS SYSTEM Elimination of Standard Form 1417 1.106 [Amended] The Department of Defense, the AGENCIES: Department of Defense (DoD), General Services Administration, and I 2. Amend section 1.106 in the table General Services Administration (GSA), the National Aeronautics and Space following the introductory paragraph by and National Aeronautics and Space Administration certify that this final removing FAR segment ‘‘36.701’’ and its Administration (NASA). rule will not have a significant corresponding OMB Control Number ‘‘9000–0037’’ removing FAR segment ACTION: Final rule. economic impact on a substantial number of small entities within the ‘‘53.236–1(a)’’ and its corresponding SUMMARY: The Civilian Agency meaning of the Regulatory Flexibility OMB Control Number ‘‘9000–0037’’; and Acquisition Council and the Defense Act, 5 U.S.C. 601, et seq., because the removing FAR segment ‘‘SF 1417’’ and Acquisition Regulations Council changes are not imposing any additional its corresponding OMB Control Number (Councils) have agreed on a final rule burden on small business. Small ‘‘9000–0037’’. amending the Federal Acquisition businesses are already aware of the PART 13—SIMPLIFIED ACQUISITION Regulation (FAR) to eliminate the use of publicizing medium the Government PROCEDURES the Standard Form (SF) 1417, Pre– uses via the Internet and have made the Solicitation Notice (Construction necessary adaptation to keep abreast of 13.003 [Amended] Contract). business opportunities disseminated I 3. Amend section 13.003 in paragraph DATES: Effective Date: November 4, therein. (g)(1) by removing ‘‘36.701(b)’’ and 2004. C. Paperwork Reduction Act adding ‘‘36.701(a)’’ in its place. FOR FURTHER INFORMATION CONTACT: The The Paperwork Reduction Act does PART 19—SMALL BUSINESS FAR Secretariat at (202) 501–4755 for apply; however, these changes to the PROGRAMS information pertaining to status or FAR do not impose additional publication schedules. For clarification information collection requirements to 19.811–1 [Amended] of content, contact Ms. Cecelia Davis, the paperwork burden previously I 4. Amend section 19.811–1 in the last Procurement Analyst, at (202) 219– approved under OMB Control Number sentence of paragraph (a) by removing 0202. Please cite FAC 2001–25, FAR 9000–0037. This change has reduced the ‘‘36.701(b)’’ and adding ‘‘36.701(a)’’ in case 2002–017. paperwork burden and no additional its place. SUPPLEMENTARY INFORMATION: approval from OMB is required. The PART 36—CONSTRUCTION AND collection will be revised to reflect this A. Background ARCHITECT ENGINEER CONTRACTS reduction. This final rule amends FAR parts 1, 36.213–2 [Amended] 13, 19, 36, and 53, deleting the This final rule eliminates the use of prescription for the use of the SF 1417. Standard Form 1417 in contracts for I 5. Amend section 36.213–2— I This final rule eliminates the use of this construction, alteration or repair, a. In the first sentence of paragraph (a) form in contracts for construction, dismantling, demolition, or removal of by removing ‘‘send’’ and adding ‘‘issue’’ alteration or repair, dismantling, improvements but not the requirement in its place; and removing ‘‘to demolition, or removal of for contracting officers to provide access prospective bidders’’; I improvements. The use of the form has to presolicitation notices through the b. By removing paragraph (b)(6) and become unnecessary because Governmentwide point of entry via the redesignating paragraphs (b)(7), (b)(8), contracting officers are required to Internet at http://www.fedbizopps.gov. and (b)(9) as (b)(6), (b)(7), and (b)(8), provide access to presolicitation notices Requester may obtain a copy of the respectively. through the Governmentwide point of information collection from the General 36.701 [Amended] entry (GPE) via the Internet at http:// Services Administration, FAR I Secretariat (V), Room 4035, Washington, 6. Amend section 36.701 by removing www.fedbizopps.gov pursuant to FAR paragraph (a) and redesignating 5.204. This FAR change to eliminate the DC 20405, telephone (202) 501–4755. Please cite OMB Control Number 9000– paragraphs (b), (c), (d), and (e) as (a), (b), SF 1417 complements the efforts to (c), and (d), respectively. increase reliance on electronic business 0037, Presolicitation Notice and practices in procurement in furtherance Response, Standard Form 1417, in all PART 53—FORMS of the Administration’s commitment to correspondence. 53.213 [Amended] create a citizen–centric E–Government, List of Subjects in 48 CFR Parts 1, 13, I as outlined in the President’s 19, 36 and 53 7. Amend section 53.213 in paragraph Management Agenda. DOD, GSA, and (f)(4) by removing ‘‘36.701(c)’’ and NASA published a proposed rule in the Government procurement. adding ‘‘36.701(b)’’ in its place.
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53.236–1 [Amended] Procurement Analyst, at (202) 219– $100,000 that are set aside for small I 8. Amend section 53.236–1 by 0202. Please cite FAC 2001–25, FAR businesses are exempt. We did not removing paragraph (a) and case 2003–016. receive any comments on this issue redesignating paragraphs (b), (c), (d), (e), SUPPLEMENTARY INFORMATION: from small business concerns or other (f), and (g) as (a), (b), (c), (d), (e), and (f), interested parties. A. Background respectively; in newly redesignated C. Paperwork Reduction Act paragraph (a) by removing ‘‘36.701(e)’’ The Free Trade Agreements with and adding ‘‘36.701(d)’’ in its place; in Chile and Singapore waive the The Paperwork Reduction Act does newly redesignated paragraph (d)(2) by applicability of the Buy American Act apply; however, these changes to the removing ‘‘36.701(b)’’ and adding for some foreign supplies and FAR do not impose additional ‘‘36.701(a)’’ in its place; in newly construction materials from Chile and information collection requirements to redesignated paragraph (e)(2) by Singapore, and specify procurement the paperwork burden previously removing ‘‘36.701(c)’’ and adding procedures designed to ensure fairness, approved under OMB Control Numbers ‘‘36.701(b)’’ in its place; and in newly applicable to the acquisition of supplies 9000–0130, 9000–0025, and 9000–0141, redesignated paragraph (f) by removing and services (see the Government respectively. Procurement provisions at Chapters 9 ‘‘36.701(d)’’ and adding ‘‘36.701(c)’’ in List of Subjects in 48 CFR Parts 5, 12, and 13, respectively, of the trade its place. 13, 14, 17, 19, 22, 25, 33, and 52 agreements). The interim rule was 53.301–1417 [Removed] published in the Federal Register at 69 Government procurement. I 9. Remove section 53.301–1417. FR 1050, January 7, 2004. One public Dated: September 28, 2004. [FR Doc. 04–22244 Filed 10–4–04; 8:45 am] comment was received. To implement Ralph J. De Stefano, BILLING CODE 6820–EP–S Section 106 of the authorizing acts, the Acting Director,Contract Policy Division. interim rule added the statement ‘‘United States law will apply to resolve Interim Rule Adopted as Final with DEPARTMENT OF DEFENSE any claim of breach of contract.’’ to the Changes Buy American Act/Trade Agreements I Accordingly, DoD, GSA, and NASA GENERAL SERVICES clauses at FAR 52.225–3, 52.225–5, and adopt the interim rule amending 48 CFR ADMINISTRATION 52.225–11. The Department of Justice parts 5, 12, 13, 14, 17, 19, 22, 25, and 52, noted that Section 106 of each which was published in the Federal NATIONAL AERONAUTICS AND authorizing act applies to all contracts Register at 69 FR 1050, January 7, 2004, SPACE ADMINISTRATION entered into by any agency of the United as a final rule with the following States. Therefore, the Department of changes: 48 CFR Parts 5, 12, 13, 14, 17, 19, 22, Justice recommended that the statement I 1. The authority citation for 48 CFR 25, 33, and 52 be a separate clause, included in every parts 5, 12, 13, 14, 17, 19, 22, 25, 33, and contract. The Councils concur. The final [FAC 2001–25; FAR Case 2003–016; Item 52 is revised to read as follows: II] rule removes the statement of applicability of U.S. law from FAR Authority: 40 U.S.C. 121(c); 10 U.S.C. RIN 9000–AJ87 clauses 52.225–3, 52.225–5, and 52.225– chapter 137; and 42 U.S.C. 2473(c). 11, and creates a new clause at FAR Federal Acquisition Regulation; Free PART 33—PROTESTS, DISPUTES, 52.233–4, Applicable Law for Breach of AND APPEALS Trade Agreements-Chile and Contract Claim, to include the statement Singapore, and Trade Agreements of applicability of U.S. law in every I 2. Revise the section heading and text Thresholds contract subject to the FAR. of section 33.215 to read as follows: This is not a significant regulatory AGENCIES: Department of Defense (DoD), 33.215 Contract clauses. General Services Administration (GSA), action and, therefore, was not subject to review under Section 6(b) of Executive (a) Insert the clause at 52.233–1, and National Aeronautics and Space Disputes, in solicitations and contracts, Administration (NASA). Order 12866, Regulatory Planning and Review, dated September 30, 1993. This unless the conditions in 33.203(b) ACTION: Final rule. rule is not a major rule under 5 U.S.C. apply. If it is determined under agency 804. procedures that continued performance SUMMARY: The Civilian Agency is necessary pending resolution of any Acquisition Council and the Defense B. Regulatory Flexibility Act claim arising under or relating to the Acquisition Regulations Council The Department of Defense, the contract, the contracting officer shall (Councils) have agreed to convert to a General Services Administration, and use the clause with its Alternate I. final rule, with changes, an interim rule the National Aeronautics and Space (b) Insert the clause at 52.233–4 in all amending the Federal Acquisition Administration certify that this final solicitations and contracts. Regulation (FAR). The interim rule rule will not have a significant implemented new Free Trade economic impact on a substantial PART 52—SOLICITATION PROVISIONS Agreements with Chile and Singapore, number of small entities within the AND CONTRACT CLAUSES as approved by Congress (Public Laws meaning of the Regulatory Flexibility I 108–77 and 108–78). The interim rule 3. Amend section 52.212–5 by- Act, 5 U.S.C. 601, et seq. Although the I a. Revising the date of the clause and also implemented new dollar thresholds interim rule opened up Government paragraph (a); and for application of trade agreements. procurement to the products of Chile, I b. Removing ‘‘(Jan 2004)’’ from DATES: Effective Date: October 5, 2004. there will not be any significant paragraph (b)(23)(i) of the clause and FOR FURTHER INFORMATION CONTACT: The economic impact on U.S. small adding ‘‘(OCT 2004)’’ in its place; and FAR Secretariat at (202) 501–4755 for businesses. The Department of Defense removing ‘‘(June 2004)’’ from paragraph information pertaining to status or only applies the trade agreements to the (b)(24) of the clause and adding ‘‘(OCT publication schedules. For clarification non-defense items listed at DFARS 2004)’’ in its place. The revised text reads of content, contact Ms. Cecelia Davis, 225.401–70, and acquisitions under as follows:
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52.212–5 Contract Terms and Conditions DEPARTMENT OF DEFENSE FOR FURTHER INFORMATION CONTACT: The Required to Implement Statutes or FAR Secretariat at (202) 501–4755, for Executive Orders-Commercial Items. GENERAL SERVICES information pertaining to status or * * * * * ADMINISTRATION publication schedules. For clarification CONTRACT TERMS AND CONDITIONS of content, contact Mr. Gerald Zaffos, REQUIRED TO IMPLEMENT STATUTES OR NATIONAL AERONAUTICS AND Procurement Analyst, at (202) 208– EXECUTIVE ORDERS-COMMERCIAL ITEMS SPACE ADMINISTRATION 6091. Please cite FAC 2001–25, FAR (OCT 2004) case 2003–025. (a) The Contractor shall comply with the 48 CFR Parts 7, 11, 13, 15 SUPPLEMENTARY INFORMATION: following Federal Acquisition Regulation [FAC 2001–25; FAR Case 2003–025; Item A. Background (FAR) clauses, which are incorporated in this III] contract by reference, to implement This interim rule implements Section provisions of law or Executive orders RIN 9000—AK03 1428 of the Services Acquisition Reform applicable to acquisitions of commercial Act of 2003 (Title XIV of Public Law Federal Acquisition Regulation; items: 108–136). Section 1428 requires the (1) 52.233–3, Protest After Award (AUG Telecommuting for Federal amendment of the FAR to permit 1996) (31 U.S.C. 3553). Contractors (2) 52.233–4, Applicable Law for Breach of telecommuting by employees of Federal Contract Claim (OCT 2004) (Pub. L. 108–77, AGENCIES: Department of Defense (DoD), Government contractors in the 108–78). General Services Administration (GSA), performance of contracts entered into * * * * * and National Aeronautics and Space with executive agencies. Specifically, I 4. Amend section 52.213–4 by revising Administration (NASA). Section 1428 states that solicitations for the date of the clause; and by adding ACTION: Interim rule with request for the acquisition of property or services paragraph (a)(1)(vi) to read as follows: comments. may not include any requirement or evaluation criteria that would render an 52.213–4 Terms and Conditions-Simplified SUMMARY: The Civilian Agency offeror ineligible to enter into a contract Acquisitions (Other Than Commercial Acquisition Council and the Defense because it proposes to permit its Items). Acquisition Regulations Council employees to telecommute, unless the * * * * * (Councils) have agreed on an interim contracting officer determines that the TERMS AND CONDITIONS-SIMPLIFIED rule amending the Federal Acquisition requirements of the agency, including ACQUISITIONS (OTHER THAN Regulation (FAR) to implement Section security requirements, cannot be met if COMMERCIAL ITEMS) (OCT 2004) 1428 of the Services Acquisition Reform telecommuting is permitted. The (a) * * * Act of 2003, Title XIV of Public Law contracting officer must document in (1) * * * 108–136, Authorization of writing the basis for the determination. (vi) 52.233–4, Applicable Law for Breach of Telecommuting for Federal Contractors. Also, the solicitation cannot contain any Contract Claim (OCT 2004) (Pub. L. 108–77, DATES: Effective Date: October 5, 2004. evaluation criteria that would reduce 108–78). Comment Date: Interested parties the scoring of an offer because the * * * * * should submit comments to the FAR offeror proposes to permit its employees Secretariat at the address shown below to telecommute, unless the contracting 52.225–3 [Amended] on or before December 6, 2004 to be officer determines that the requirements I 5. Amend section 52.225–3 by revising considered in the formulation of a final of the agency, including security the date of the clause to read ‘‘(OCT rule. requirements, would be adversely 2004)’’; and removing paragraph (d) of ADDRESSES: Submit comments impacted if telecommuting is allowed. the clause. identified by FAC 2001–25, FAR case The contracting officer must document in writing the basis for this 52.225–5 [Amended] 2003–025, by any of the following determination as well. I methods: 6. Amend section 52.225–5 by revising • Federal eRulemaking Portal: http:/ This is not a significant regulatory the date of the clause to read ‘‘(OCT /www.regulations.gov. Follow the action and, therefore, was not subject to 2004)’’; and removing paragraph (c) of instructions for submitting comments. review under Section 6(b) of Executive the clause. • Agency Web Site: http:// Order 12866, Regulatory Planning and 52.225–11 [Amended] www.acqnet.gov/far/ProposedRules/ Review, dated September 30, 1993. This rule is not a major rule under 5 U.S.C. I 7. Amend section 52.225–11 by proposed.htm. Click on the FAR Case 804. revising the date of the clause to read number to submit comments. • E-mail: farcase.2003–[email protected]. ‘‘(OCT 2004)’’; and removing paragraph B. Regulatory Flexibility Act Include FAC 2001–25, FAR case 2003– (e) of the clause. The interim rule is not expected to I 8. Add section 52.233–4 to read as 025, in the subject line of the message. • Fax: 202–501–4067. have a significant economic impact on follows: • Mail: General Services a substantial number of small entities 52.233–4 Applicable Law for Breach of Administration, Regulatory Secretariat within the meaning of the Regulatory Contract Claim. (V), 1800 F Street, NW, Room 4035, Flexibility Act, 5 U.S.C. 601, et seq., As prescribed in 33.215(b), insert the ATTN: Laurie Duarte, Washington, DC because by not automatically following clause: 20405. prohibiting telecommuting, the Instructions: Please submit comments Government will be making it easier for APPLICABLE LAW FOR BREACH OF CONTRACT CLAIM (OCT 2004) only and cite FAC 2001–25, FAR case small businesses to recruit and maintain 2003–025, in all correspondence related employees for work on Government United States law will apply to resolve any to this case. All comments received will contracts. Until now, there has been no claim of breach of this contract. (End of clause) be posted without change to http:// Governmentwide policy or practice www.acqnet.gov/far/ProposedRules/ concerning contractor employee [FR Doc. 04–22245 Filed 10–4–04; 8:45 am] proposed.htm, including any personal telecommuting. This rule will not be a BILLING CODE 6820–EP–S information provided. major change, but instead a small
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positive benefit to small businesses. telecommute in the performance of 15.304 Evaluation factors and significant Therefore, an Initial Regulatory Government contracts. Therefore, subfactors. Flexibility Analysis has not been agencies shall not— * * * * * performed. The Councils will consider (a) Include in a solicitation a (c) * * * comments from small entities requirement that prohibits an offeror (6) If telecommuting is not prohibited, concerning the affected FAR Parts 7, 11, from permitting its employees to agencies shall not unfavorably evaluate 13, and 15 in accordance with 5 U.S.C. telecommute unless the contracting an offer that includes telecommuting 610. Interested parties must submit such officer first determines that the unless the contracting officer executes a comments separately and should cite 5 requirements of the agency, including written determination in accordance U.S.C 601, et seq. (FAC 2001–25, FAR security requirements, cannot be met if with FAR 7.108(b). case 2003–025), in correspondence. telecommuting is permitted. The * * * * * C. Paperwork Reduction Act contracting officer shall document the [FR Doc. 04–22246 Filed 10–4–04; 8:45 am] basis for the determination in writing BILLING CODE 6820–EP–S The Paperwork Reduction Act does and specify the prohibition in the not apply because the changes to the solicitation; or FAR do not impose information (b) When telecommuting is not DEPARTMENT OF DEFENSE collection requirements that require the prohibited, unfavorably evaluate an approval of the Office of Management offer because it includes telecommuting, GENERAL SERVICES and Budget under 44 U.S.C. 3501, et unless the contracting officer first ADMINISTRATION seq. determines that the requirements of the D. Determination to Issue an Interim agency, including security NATIONAL AERONAUTICS AND Rule requirements, would be adversely SPACE ADMINISTRATION impacted if telecommuting is permitted. A determination has been made under 48 CFR Part 39 the authority of the Secretary of Defense The contracting officer shall document (DoD), the Administrator of General the basis for the determination in Services (GSA), and the Administrator writing and address the evaluation [FAC 2001–25; FAR Case 2004–020; Item of the National Aeronautics and Space procedures in the solicitation. IV] Administration (NASA) that urgent and PART 11—DESCRIBING AGENCY RIN 9000–AK05 compelling reasons exist to promulgate NEEDS this interim rule without prior opportunity for public comment. This Federal Acquisition Regulations; I 3. Amend section 11.002 by adding Section 508 Micropurchase Exemption action is necessary because this statute paragraph (g) to read as follows: requires that the FAR be amended no AGENCIES: Department of Defense (DoD), later than 180 days after enactment. The 11.002 Policy. General Services Administration (GSA), statute was enacted on November 24, * * * * * and National Aeronautics and Space 2003, which required amending the (g) Agencies shall not include in a Administration (NASA). FAR by May 22, 2004. However, solicitation a requirement that prohibits ACTION: Interim rule with request for pursuant to Public Law 98–577 and FAR an offeror from permitting its employees comments. 1.501, the Councils will consider public to telecommute unless the contracting comments received in response to this officer executes a written determination SUMMARY: The Civilian Agency interim rule in the formation of the final in accordance with FAR 7.108(a). Acquisition Council and the Defense rule. Acquisition Regulations Council PART 13—SIMPLIFIED ACQUISITION List of Subjects in 48 CFR Parts 7, 11, (Councils) have agreed on an interim PROCEDURES 13, and 15 rule amending the Federal Acquisition Regulation (FAR) to extend the micro- I Government procurement. 4. Amend section 13.106–2 by purchase exemption for purchasing Dated: September 28, 2004. redesignating paragraphs (b)(2) and electronic and information technology Ralph J. De Stefano, (b)(3) as (b)(3) and (b)(4), respectively, (EIT) that conforms to the requirements Acting Director, Contract Policy Division. and adding a new paragraph (b)(2) to of Section 508 of the Rehabilitation Act read as follows: I Therefore, DoD, GSA, and NASA of 1973 from October 1, 2004, to April amend 48 CFR parts 7, 11, 13, and 15 as 13.106–2 Evaluation of quotations or 1, 2005. No further extensions will be set forth below: offers. granted. The extension until April 1, I 1. The authority citation for 48 CFR * * * * * 2005, will provide agencies time to update their purchase card training parts 7, 11, 13, and 15 is revised to read (b) * * * modules on the 508 requirements and as follows: (2) If telecommuting is not prohibited, train their personnel. Authority: 40 U.S.C. 121(c); 10 U.S.C. agencies shall not unfavorably evaluate chapter 137; and 42 U.S.C. 2473(c). an offer because it includes DATES: Effective Date: October 5, 2004. telecommuting unless the contracting Comment Date: Interested parties PART 7—ACQUISITION PLANNING officer executes a written determination should submit comments to the FAR Secretariat at the address shown below I in accordance with FAR 7.108(b). 2. Add section 7.108 to read as follows: on or before December 6, 2004 to be * * * * * 7.108 Additional requirements for considered in the formulation of a final telecommuting. PART 15—CONTRACTING BY rule. In accordance with section 1428 of NEGOTIATION ADDRESSES: Submit comments Public Law 108–136, an agency shall identified by FAC 2001–25, FAR case generally not discourage a contractor I 5. Amend section 15.304 by adding 2004–020 by any of the following from allowing its employees to paragraph (c)(6) to read as follows: methods:
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• Federal eRulemaking Portal: http:// industry continues to make investments of the National Aeronautics and Space www.regulations.gov. Follow the in accessible technology to support the Administration (NASA) that urgent and instructions for submitting comments. requirements. The extension until April compelling reasons exist to promulgate • Agency Web Site: http:// 1, 2005, will provide agencies time to this interim rule without prior www.acqnet.gov/far/ProposedRules/ update their purchase card training opportunity for public comment. This proposed.htm. Click on the FAR case modules on the 508 requirements and action is necessary because the rule number to submit comments. train their personnel. Free, online extends an exception that would • E-mail: farcase.2004–[email protected]. training developed by GSA, in otherwise impose training burdens that Include FAC 2001–25, FAR case 2004– collaboration with the Section 508 the acquisition community may be 020 in the subject line of the message. Executive Steering Committee, is challenged to meet by October 1, 2004. • Fax: 202–501–4067. available at http://www.section508.gov. The extension until April 1, 2005, will • Mail: General Services The FAR Council received public provide agencies time to update their Administration, Regulatory Secretariat comments on the first extension to purchase card training modules on the (V), 1800 F Street, NW, Room 4035, October 1, 2004. None of the comments 508 requirements and train their ATTN: Laurie Duarte, Washington, DC received took issue with extending the personnel. However, pursuant to Public 20405. micropurchase exception. Extending the Law 98–577 and FAR 1.501, the Instructions: Please submit comments micropurchase exemption will not Councils will consider public comments only and cite FAC 2001–25, FAR case cause a significant impact on the received in response to this interim rule 2004–020, in all correspondence related disability community or industry. in the formation of the final rule. to this case. All comments received will This is not a significant regulatory List of Subjects in 48 CFR Part 39 be posted without change to http:// action and, therefore, was not subject to www.acqnet.gov/far/ProposedRules/ review under Section 6(b) of Executive Government procurement. proposed.htm, including any personal Order 12866, Regulatory Planning and Dated: September 28, 2004. information provided. Review, dated September 30, 1993. This Ralph J. De Stefano, rule is not a major rule under 5 U.S.C. FOR FURTHER INFORMATION CONTACT: The Acting Director, Contract Policy Division. 804. FAR Secretariat at (202) 501–4755, for I Therefore, DoD, GSA, and NASA information pertaining to status or B. Regulatory Flexibility Act amend 48 CFR part 39 as set forth below: publication schedules. For clarification The interim rule is not expected to of content, contact Ms. Linda Nelson, have a significant economic impact on PART 39—ACQUISTION OF Procurement Analyst, at (202) 501– a substantial number of small entities INFORMATION TECHNOLOGY 1900. Please cite FAC 2001–25, FAR within the meaning of the Regulatory I case 2004–020. 1. The authority citation for 48 CFR Flexibility Act, 5 U.S.C. 601, et seq., part 39 is revised to read as follows: SUPPLEMENTARY INFORMATION: because the proposed rule continues the Authority: 40 U.S.C. 121(c); 10 U.S.C. A. Background status quo for another six months. When chapter 137; and 42 U.S.C. 2473(c). the FAR Council last extended the Section 508 of the Rehabilitation Act exception through October 1, 2004, 39.204 [Amended] of 1973 requires that the Electronic and none of the comments received took I 2. Amend section 39.204 in the first Information Technology (EIT) issue with extending the micropurchase developed, procured, maintained, or sentence of paragraph (a) by removing exception. Also, extending the ‘‘October 1, 2004’’ and adding ‘‘April 1, used by the Federal Government micropurchase exception will not cause provide individuals with disabilities 2005 ’’in its place. a significant impact on the disability [FR Doc. 04–22247 Filed 10–4–04; 8:45 am] access to and use of information and community or industry. data that is comparable to the access Therefore, an Initial Regulatory BILLING CODE 6820–EP–S and use of information and data by Flexibility Analysis has not been individuals without disabilities. The performed. The Councils will consider DEPARTMENT OF DEFENSE law was implemented first through comments from small entities standards developed by the concerning the affected FAR Part 39 in GENERAL SERVICES Architectural and Transportation accordance with 5 U.S.C. 610. Interested ADMINISTRATION Barriers Compliance Board, (‘‘Access parties must submit such comments Board’’) and then incorporated into the separately and should cite 5 U.S.C 601, NATIONAL AERONAUTICS AND FAR. et seq. (FAC 2001–25, FAR case 2004– SPACE ADMINISTRATION Initially, the FAR exempted 020), in correspondence. micropurchases from the 508 48 CFR Parts 14 and 52 requirements until January 1, 2003. (See C. Paperwork Reduction Act FAR Case 1999–607, 66 FR 20894, April The Paperwork Reduction Act does [FAC 2001-25; Item V] 25, 2001.) The rule’s preamble gave not apply because the changes to the Federal Acquisition Regulation; notice that the Government would FAR do not impose information Technical Amendments revisit the issue prior to the sunset date. collection requirements that require the This deadline was extended (FAR Case approval of the Office of Management AGENCIES: Department of Defense (DoD), 2002–012, 67 FR 80321, December 31, and Budget under 44 U.S.C. 3501, et General Services Administration (GSA), 2002 and 68 FR 43872, July 24, 2003) seq. and National Aeronautics and Space and is due to expire October 1, 2004. D. Determination to Issue an Interim Administration (NASA). The FAR Council is extending the ACTION: Final rule. micropurchase exception from October Rule 1, 2004, to April 1, 2005, and no A determination has been made under SUMMARY: This document makes additional extensions will be granted. the authority of the Secretary of Defense amendments to the Federal Acquisition Agencies have had three years of (DoD), the Administrator of General Regulation (FAR) in order to make experience with Section 508, and Services (GSA), and the Administrator editorial changes.
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DATES: Effective Date: October 5, 2004. PART 52—SOLICITATION PROVISIONS and National Aeronautics and Space AND CONTRACT CLAUSES Administration (NASA). FOR FURTHER INFORMATION CONTACT: The FAR Secretariat, Room 4035, GS 52.212-5 [Amended] ACTION: Small Entity Compliance Guide. Building, Washington, DC, 20405, (202) I 3. Amend section 52.212-5 in 501-4755, for information pertaining to paragraph (b)(34)(ii) by removing ‘‘(Apr SUMMARY: This document is issued status or publication schedules. Please 1984)’’ and adding ‘‘(Apr 2003)’’ in its under the joint authority of the cite FAC 2001-25, Technical place. Secretary of Defense, the Administrator Amendments. of General Services and the 52.215-15 [Amended] Administrator for the National List of Subjects in 48 CFR Parts 14 and I 4. Amend section 52.215-15 by Aeronautics and Space Administration. 52 revising the date of the clause to read This Small Entity Compliance Guide ‘‘(OCT 2004)’’. Government procurement. has been prepared in accordance with 52.217-5 [Amended] Section 212 of the Small Business Dated: September 28, 2004. I 5. Amend section 52.217-5 in the Regulatory Enforcement Fairness Act of Ralph J. De Stefano, introductory paragraph by removing 1996. It consists of a summary of rules Acting Director, Acquisition Policy Division. ‘‘17.208(c)(1)’’ and adding ‘‘17.208(c)’’ in appearing in Federal Acquisition I Therefore, DoD, GSA, and NASA its place. Circular (FAC) 2001–25 which amend the FAR. An asterisk (*) next to a rule amend 48 CFR parts 14 and 52 as set 52.219-4 [Amended] indicates that a regulatory flexibility forth below: I 6. Amend section 52.219-4 by revising analysis has been prepared. Interested I 1. The authority citations for 48 CFR the date of the clause to read ‘‘(OCT parties may obtain further information parts 14 and 52 are revised to read as 2004)’’; and removing ‘‘will be will be’’ regarding these rules by referring to FAC follows: from paragraph (d)(3) of the clause and adding ‘‘will be’’ in its place. 2001–25 which precedes this document. Authority: 40 U.S.C. 121(c); 10 U.S.C. These documents are also available via [FR Doc. 04–22248 Filed 10–4–04; 8:45 am] chapter 137; and 42 U.S.C. 2473(c). the Internet at http://www.acqnet.gov/ BILLING CODE 6820–EP–S far. PART 14—SEALED BIDDING FOR FURTHER INFORMATION CONTACT: DEPARTMENT OF DEFENSE I 2. In section 14.403, revise paragraph Laurie Duarte, FAR Secretariat, (202) (c) to read as follows: GENERAL SERVICES 501–4225. For clarification of content, 14.403 Recording of Bids. ADMINISTRATION contact the analyst whose name appears in the table below. * * * * * NATIONAL AERONAUTICS AND (c) The forms identified in paragraph SPACE ADMINISTRATION (a) of this section need not be used by the Defense Energy Support Center for 48 CFR Chapter 1 acquisitions of coal or petroleum products or by the Defense Supply Federal Acquisition Regulation; Small Center Philadelphia for perishable Entity Compliance Guide subsistence items. AGENCIES: Department of Defense (DoD), * * * * * General Services Administration (GSA),
LIST OF RULES IN FAC 2001–25
Item Subject FAR case Analyst
I ...... Elimination of the Standard Form 1417 ...... 2002–017 Davis. II ...... Free Trade Agreements—Chile and Singapore, and Trade Agreements Thresholds ...... 2003–016 Davis. III ...... Telecommuting for Federal Contractors (Interim) ...... 2003–025 Zaffos. IV ...... Section 508 Micropurchase Exemption (Interim) ...... 2004–020 Nelson. V ...... Technical Amendments.
Item I—Elimination of the Standard via the Internet at http:// Register at 69 FR 1050, January 7, 2004, Form 1417 (FAR Case 2002–017) www.fedbizopps.gov pursuant to FAR is converted to a final rule with changes. 5.204. Elimination of the form increases The interim rule included in each Trade This final rule eliminates the use of reliance on electronic business practices Agreements clause the statement that the Standard Form 1417, Pre- and reduces the estimated information United States law will apply to resolve Solicitation Notice (Construction collection requirement burden hours any claim of breach of contract. At the Contract), in contracts for construction, imposed on offerors. request of the Department of Justice, the alteration or repair, dismantling, final rule relocates this statement into a demolition, or removal of Item II—Free Trade Agreements—Chile and Singapore, and Trade Agreements separate clause to be included in all improvements. The use of this form has Thresholds (FAR Case 2003–016) contracts. All contracting officers must become unnecessary because be aware of this new requirement. contracting officers provide access to The interim rule to implement new presolicitation notices through the Free Trade Agreements with Chile and Governmentwide point of entry (GPE) Singapore, published in the Federal
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Item III—Telecommuting for Federal such as security. Contracting officers modules on the 508 requirements and Contractors (FAR Case 2003–025) awarding service contracts should train their personnel. This rule is of (Interim) familiarize themselves with this rule. special interest to contracting officers who purchase electronic and This interim rule addresses Item IV—Section 508 Micropurchase information technology. telecommuting by employees of Federal Exemption (FAR Case 2004–020) contractors. This rule implements (Interim) Item V—Technical Amendments Section 1428 of the Services Acquisition This interim rule extends from Reform Act of 2003 (Title XIV of Public October 1, 2004, to April 1, 2005, the Editorial changes are made at FAR Law 108–136), which prohibits agencies micropurchase exception from the 14.403(c), 52.212–5(b)(34)(ii), 52.215– from including a requirement in a requirement to purchase electronic and 15(b)(2), 52.217–5, and 52.219–4(d)(3) to solicitation that precludes an offeror information technology that provides update various references. from permitting its employees to individuals with disabilities better Dated: September 28, 2004. telecommute or, when telecommuting is access to and use of information and Ralph J. De Stefano, not precluded, from unfavorably data, as required by Section 508 of the evaluating an offeror’s proposal that Rehabilitation Act of 1973. The Acting Director, Contract Policy Division. includes telecommuting unless it would extension will provide agencies time to [FR Doc. 04–22249 Filed 10–4–04; 8:45 am] adversely affect agency requirements, update their purchase card training BILLING CODE 6820–EP–S
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Part IV
Department of Agriculture Agricultural Marketing Service
7 CFR Part 60 Mandatory Country of Origin Labeling of Fish and Shellfish; Interim Rule
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DEPARTMENT OF AGRICULTURE Washington, DC 20250–0249, or by 206) delayed the applicability of facsimile to (202) 720–3499, or by e- mandatory COOL for all covered Agricultural Marketing Service mail to [email protected]. State that your commodities except wild and farm- comments refer to Docket No. LS–03– raised fish and shellfish until September 7 CFR Part 60 04. Comments may also be submitted 30, 2006. The law defines the terms [No. LS–03–04] electronically through http:// ‘‘retailer’’ and ‘‘perishable agricultural www.regulations.gov. All comments commodity’’ as having the meanings RIN 0581–AC26 received will be posted to the AMS Web given those terms in section 1(b) of the site at: http://www.ams.usda.gov/cool/. Perishable Agricultural Commodities Mandatory Country of Origin Labeling Comments may also be inspected at the Act of 1930 (PACA)(7 U.S.C. 499 et of Fish and Shellfish above location between 8 a.m. and 4:30 seq.). Food service establishments are AGENCY: Agricultural Marketing Service, p.m., Monday through Friday, except specifically excluded as are covered USDA. holidays. Comments sent to the above commodities that are ingredients in a ACTION: Interim final rule with request location that specifically pertain to the processed food item. In addition, the for comments. information collection and law specifically outlines the criteria a recordkeeping requirements of this covered commodity must meet to bear a SUMMARY: The Farm Security and Rural action should also be sent to the Desk ‘‘United States country of origin’’ label. Investment Act of 2002 (Farm Bill) and Officer for Agriculture, Office of How Do I Find Out if My Product Is the 2002 Supplemental Appropriations Information and Regulatory Affairs, Considered a Covered Commodity or if Act (2002 Appropriations) amended the Office of Management and Budget It Is Labeled Accurately Under the Agricultural Marketing Act of 1946 (Act) (OMB), New Executive Office Building, COOL Law? to direct the Secretary of Agriculture to 725 17th Street, NW., Room 725, promulgate regulations by September Washington, DC 20503. Questions regarding whether a 30, 2004, requiring retailers to notify FOR FURTHER INFORMATION CONTACT: product is considered a covered their customers of the country of origin William Sessions, Associate Deputy commodity or is labeled accurately of covered commodities. Covered Administrator, Livestock and Seed under this regulation may be e-mailed to commodities include muscle cuts of Program, AMS, USDA, by telephone on [email protected]. beef (including veal), lamb, and pork; 202/720–5705, or via e-mail at: What Is the Definition of a Processed ground beef, ground lamb, and ground [email protected]. pork; farm-raised fish and shellfish; Food Item and What Types of Products wild fish and shellfish; perishable SUPPLEMENTARY INFORMATION: The Are Considered Processed Food Items? agricultural commodities; and peanuts. information that follows has been divided into three sections. The first Fish and shellfish covered The FY 2004 Consolidated commodities are exempt from COOL Appropriations Act (2004 section provides background information including questions and under this rule if they are an ingredient Appropriations) (Public Law 108–199) in a processed food item. An ingredient delayed the applicability of mandatory answers about this interim final rule, a summary of the history of this is a component either in part or in full country of origin labeling (COOL) for all of a finished retail food product. A covered commodities except wild and rulemaking, and a general overview of the law. The second section provides a processed food item is a retail item farm-raised fish and shellfish until derived from fish or shellfish that has September 30, 2006. After issuance of a discussion of the rule’s requirements, including a summary of the comments undergone specific processing resulting proposed rule, the Department has in a change in the character of the decided to provide further opportunity received in response to the proposed rule published in the October 30, 2003, covered commodity, or that has been to comment due to the changes made as combined with at least one other a result of comments received and the Federal Register (68 FR 61944) and the Agency’s responses to these comments. covered commodity or other substantive costs associated with this rule. This food components (e.g., breading, tomato interim final rule contains definitions, The last section provides for the required impact analyses including the sauce), except that the addition of a the requirements for consumer component (such as water, salt, or notification and product marking, and Regulatory Flexibility Act, the Paperwork Reduction Act, Civil Rights sugar) that enhances or represents a the recordkeeping responsibilities of further step in the preparation of the both retailers and suppliers for fish and Analysis, and the relevant Executive Orders. product for consumption, would not in shellfish covered commodities. itself result in a processed food item. Regulatory provisions for the other I. Background Specific processing that results in a covered commodities will be provided change in the character of the covered in a separate regulatory action as Questions and Answers Concerning This Interim Final Rule commodity includes cooking (e.g., appropriate. frying, broiling, grilling, boiling, DATES: This interim final rule is What Are the General Requirements of steaming, baking, roasting), curing (e.g., effective April 4, 2005. The Country of Origin Labeling? salt curing, sugar curing, drying), requirements of this rule do not apply The Farm Bill (Public Law 107–171) smoking (cold or hot), and restructuring to frozen fish or shellfish caught or amended the Act (7 U.S.C. 1621 et seq.) (e.g., emulsifying and extruding, harvested before December 6, 2004. to direct the Secretary of Agriculture to compressing into blocks and cutting Comments must be submitted on or issue regulations by September 30, into portions). Examples of fish and before January 3, 2005, to be assured of 2004, to require retailers to notify their shellfish combined with different consideration. customers of the country of origin of covered commodities or other ADDRESSES: Send written comments to: beef (including veal), lamb, pork, fish, substantive food components include Country of Origin Labeling Program, shellfish, perishable agricultural scallops and shrimp in a seafood Room 2092–S; Agricultural Marketing commodities, and peanuts beginning medley, breaded shrimp, breaded fish Service (AMS), USDA; STOP 0249; 1400 September 30, 2004. The 2004 fillets, coated shrimp, and marinated Independence Avenue, SW., Appropriations Act (Public Law 107– fish fillets.
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What Requirements Must Be Met for a throughout the process, and ultimately and outreach. After a careful review of Retailer To Label a Covered Commodity into each individual retail package, the all its implications, AMS has as Being of U.S. Origin? country source of the commodities that determined that its allocation of The law prescribes specific criteria are found within each individual retail enforcement resources will ensure that that must be met for a covered package. Rather, the declaration of the the rule is effectively and rationally retail product can indicate the several implemented. This AMS plan of commodity to bear a ‘‘United States countries of origin that are represented outreach and education, conducted over country of origin’’ declaration. The in the overall blending process, without a period of one year, should specific requirements for fish and being required to verify which specific significantly aid the industry in shellfish covered commodities are as countries of origin are found within achieving compliance with the follows: Farm-raised fish and shellfish— each individual retail package. requirements of this rule. covered commodities must be derived exclusively from fish or shellfish Why Can’t the Department of How Will the Requirements of This hatched, raised, harvested, and Agriculture (USDA) Track Only Regulation Be Enforced? processed in the United States, and that Imported Products and Consider All USDA will seek to enter into has not undergone a substantial Other Products To Be of ‘‘U.S. Origin?’’ partnerships with States having existing transformation (as established by U.S. The COOL provision of the Farm Bill enforcement infrastructure to assist in Customs and Border Protection) outside applies to all covered commodities. the administration of this law. USDA of the United States; wild fish and Moreover, the law specifically identifies will determine the scheduling and shellfish—covered commodities must be the criteria that products of U.S. origin procedures for the compliance reviews. derived exclusively from fish or must meet. The law further states that Only USDA will be able to initiate shellfish either harvested in the waters ‘‘Any person engaged in the business of enforcement actions against a person of the United States or by a U.S. flagged supplying a covered commodity to a found to be in violation of the law. vessel and processed in the United retailer shall provide information to the USDA may also conduct investigations States or aboard a U.S. flagged vessel, retailer indicating the country of origin of complaints made by any person and that has not undergone a substantial of the covered commodity.’’ And, the alleging violations of these regulations transformation (as established by U.S. law does not provide authority to when the Secretary determines that Customs and Border Protection) outside control the movement of product. In reasonable grounds for such of the United States. fact, the use of a mandatory investigation exist. In addition, the How Should I Label a Retail Product identification system that would be Agency plans to publish a compliance That Contains a Covered Commodity required to track controlled product guide that will provide the industry (Such as a Bag of Shrimp) Commingled through the entire chain of commerce is with information on compliance and the From More Than One Country of specifically prohibited. phasing in of active enforcement. Origin? When Will the Requirements of This What Are the Recordkeeping For imported covered commodities Regulation Be Enforced? Requirements of This Regulation? that have not subsequently been The effective date of this regulation is Any person engaged in the business of substantially transformed in the United six months following the date of supplying a covered commodity to a States that are commingled with other publication of this interim final rule. retailer, whether directly or indirectly, imported and/or U.S. origin The requirements of this rule do not must maintain records to establish and commodities, the declaration shall apply to frozen fish or shellfish caught identify the immediate previous source indicate the countries of origin for all or harvested before December 6, 2004. (if applicable) and immediate covered commodities in accordance The country of origin statute provides subsequent recipient of a covered with existing Federal legal that ‘‘not later than September 30, 2004, commodity, in such a way that requirements. For imported covered the Secretary shall promulgate such identifies the product unique to that commodities that have subsequently regulations as are necessary to transaction by means of a lot number or undergone substantial transformation in implement this subtitle.’’ Many of the other unique identifier, for a period of the United States that are commingled covered commodities sold at retail are 1 year from the date of the transaction. with other imported covered in a frozen or otherwise preserved state For retailers, records and other commodities that have subsequently (i.e., not sold as ‘‘fresh’’). Thus, many of documentary evidence relied upon at undergone substantial transformation in these products would already be in the the point of sale by the retailer to the United States (either prior to or chain of commerce prior to September establish a product’s country(ies) of following substantial transformation in 30, 2004, and the origin/production origin and method(s) of production the United States) and/or U.S. origin information may not be known. (wild and/or farm-raised) must be covered commodities, the declaration Therefore, it is reasonable to delay the available during normal business hours shall indicate the countries of origin effective date of this interim final rule to any duly authorized representatives contained therein or that may be for six months to allow existing of USDA for as long as the product is contained therein. inventories to clear through the on hand. For pre-labeled products, the channels of commerce and to allow label itself is sufficient evidence on What Are the Requirements for affected industry members to conform which the retailer may rely to establish Maintaining Country of Origin their operations to the requirements of a product’s origin and method(s) of Information for Blended Covered this rule. During this time period, AMS production (wild and/or farm-raised). Commodities That Contain Products will conduct an industry education and Records that identify the supplier, the From More Than One Country of outreach program concerning the product unique to that transaction by Origin? provisions and requirements of this means of a lot number or other unique The labeling requirements are rule. AMS also will focus its resources identifier, and for products that are not consistent with other Federal legal for the six months immediately pre-labeled, the country of origin and requirements under which facilities are following the effective date of this method of production (wild and/or not required to separately track interim final rule on industry education farm-raised) information must be
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maintained for a period of 1 year from The intent of this law is to provide required to be licensed when the the date the origin and production consumers with additional information invoice cost of all purchases of produce designations are made at retail. on which to base their purchasing exceeds $230,000 during a calendar decisions. COOL is a retail labeling year. Since fish markets and similar How Does This Regulation Impact program and as such does not provide specialty shops do not generally sell Existing State Country of Origin a basis for addressing food safety. fruits and vegetables, they do not meet Labeling Programs? Seafood products, both imported and the PACA definition of a retailer and To the extent that State country of domestic, must meet the food safety therefore are not covered by this rule. origin labeling programs encompass standards of the Food and Drug The law requires any person engaged commodities which are not governed by Administration (FDA). The law defines in the business of supplying a covered this regulation, the States may continue the term ‘‘covered commodity’’ as commodity to a retailer to provide the to operate them. For those State country muscle cuts of beef (including veal), retailer with the product’s country of of origin labeling programs that lamb, and pork; ground beef, ground origin information. In addition, the law encompass commodities that are lamb, and ground pork; farm-raised fish states the Secretary of Agriculture may governed by this regulation, these and shellfish; wild fish and shellfish; require that any person that prepares, programs are preempted. perishable agricultural commodities; stores, handles, or distributes a covered and peanuts. The law excludes items commodity for retail sale maintain a Can Food Products That Are Not from needing to bear a country of origin verifiable recordkeeping audit trail. The Covered by This Regulation Be declaration when a covered commodity law prohibits the Secretary from using Voluntarily Labeled With COOL is an ‘‘ingredient in a processed food a mandatory identification system to Information? item.’’ The law defines the terms verify the country of origin of a covered Yes. Such voluntary claims must be ‘‘retailer’’ and ‘‘perishable agricultural commodity and provides examples of truthful and accurate and adhere to commodity’’ as having the meanings existing certification programs that may existing Federal labeling regulations. given those terms in PACA. The law be used to certify the country of origin defines the term ‘‘wild fish’’ as of a covered commodity. The law Prior Documents in This Proceeding naturally-born or hatchery-raised fish contains enforcement provisions for This interim final rule is issued and shellfish harvested in the wild and both retailers and suppliers that include pursuant to the Farm Bill, the 2002 excludes net-pen aquacultural or other civil penalties of up to $10,000 for each Appropriations, and the 2004 farm-raised fish. violation. The law also encourages the Appropriations, which amended the The law specifically outlines the Secretary to enter into partnerships with Act. criteria a covered commodity must meet States with enforcement infrastructure On October 11, 2002, AMS published in order to bear a ‘‘United States country to the extent possible to assist in the of origin’’ declaration. In the case of Guidelines for the Interim Voluntary program’s administration. farm-raised fish and shellfish, the Country of Origin Labeling of Beef, covered commodity must be derived II. Highlights of This Interim Final Rule Lamb, Pork, Fish, Perishable from fish or shellfish hatched, raised, Agricultural Commodities, and Peanuts Covered Commodities harvested, and processed in the United (67 FR 63367) providing interested States. In the case of wild fish and The term ‘‘covered commodity’’ parties with 180 days to comment on shellfish, the covered commodity must includes: farm-raised fish and shellfish the utility of the voluntary guidelines. be derived from fish or shellfish (including fillets, steaks, nuggets, and On November 21, 2002, AMS harvested in the waters of the United any other flesh) and wild fish and published a notice requesting States or by a U.S. flagged vessel and shellfish (including fillets, steaks, emergency approval of a new processed in the United States or aboard nuggets, and any other flesh). information collection (67 FR 70205) a U.S. flagged vessel. In addition, the providing interested parties with a 60- Exclusion for Ingredient in a Processed law also requires that fish and shellfish Food Item day period to comment on AMS’ burden covered commodities be labeled to estimates associated with the indicate whether they are wild or farm- Items are excluded from labeling recordkeeping requirements as required raised. under this regulation when a covered by the Paperwork Reduction Act of 1995 To convey the country of origin commodity is an ingredient in a (PRA). On January 22, 2003, AMS information, the law states that retailers processed food item. Under this interim published a notice extending this may use a label, stamp, mark, placard, final rule, a ‘‘processed food item’’ is comment period (68 FR 3006) an or other clear and visible sign on the defined as: a retail item derived from additional 30 days. covered commodity or on the package, fish or shellfish that has undergone On October 30, 2003, AMS published display, holding unit, or bin containing specific processing resulting in a change the proposed rule for the mandatory the commodity at the final point of sale in the character of the covered COOL program (68 FR 61944) with a 60- to consumers. Food service commodity, or that has been combined day comment period. On December 22, establishments, such as restaurants, with at least one other covered 2003, AMS published a notice cafeterias, food stands, and other similar commodity or other substantive food extending the comment period (68 FR facilities are exempt from these labeling component (breading, tomato sauce), 71039) an additional 60 days. requirements. except that the addition of a component The law makes reference to the (such as water, salt, or sugar) that Overview of the Law definition of ‘‘retailer’’ in section 1(b) of enhances or represents a further step in Section 10816 of Public Law 107–171 PACA as the meaning of ‘‘retailer’’ for the preparation of the product for (7 U.S.C. 1638–1638d) amended the Act the application of the labeling consumption, would not in itself result (7 U.S.C. 1621 et seq.) to require requirements under the COOL law. in a processed food item. Specific retailers to inform consumers of the Under this interim final rule, a retailer processing that results in a change in country of origin of covered is any person engaged in the business of the character of the covered commodity commodities beginning September 30, selling any perishable agricultural includes cooking (e.g., frying, broiling, 2004. commodity at retail. Retailers are grilling, boiling, steaming, baking,
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roasting), curing (e.g., salt curing, sugar Labeling Imported Products That Have farm-raised), either on the sales vehicle curing, drying), smoking (cold or hot), Been Substantially Transformed in the or at the time the product is delivered and restructuring (e.g., emulsifying and United States to the consumer. extruding, compressing into blocks and Under this interim final rule, in the Markings cutting into portions). Examples of case of wild fish and shellfish, if a Under this interim final rule, the items excluded include fish sticks, covered commodity was imported from surimi, mussels in tomato sauce, country of origin declaration and country X and substantially transformed method of production (wild and/or seafood medley, coconut shrimp, soups, (as established by U.S. Customs and farm-raised) designation may be stews, and chowders, sauces, pates, Border Protection guidelines and provided to consumers by means of a salmon that has been smoked, policies) in the United States or aboard label, stamp, mark, placard, band, twist marinated fish fillets, canned tuna, a U.S. flagged vessel, the product shall tie, pin tag, or other clear and visible canned sardines, canned salmon, crab be labeled at retail as ‘‘From [country sign on the covered commodity or on salad, shrimp cocktail, gefilte fish, X], processed in the United States.’’ The the package, display, holding unit, or sushi, and breaded shrimp. covered commodity must also be bin containing the commodity at the labeled to indicate that it was derived final point of sale to consumers. The Labeling Covered Commodities of from wild fish or shellfish. United States Origin country of origin declaration and In the case of farm-raised fish, if a method of production (wild and/or The law prescribes specific criteria covered commodity was imported from farm-raised) designation may be that must be met for a covered country X at any stage of production combined or made separately. Except as commodity to bear a ‘‘United States and substantially transformed (as provided in § 60.200(g) and § 60.200 country of origin’’ declaration. The established by U.S. Customs and Border (h)(2) of this regulation, the declaration specific requirements for each Protection guidelines and policies) in of the country(ies) of origin of a product the United States, the product shall be commodity are as follows: shall be listed according to existing labeled at retail as ‘‘From [country X], Federal legal requirements. (a) Farm-raised Fish and Shellfish— processed in the United States.’’ The Abbreviations and variant spellings that covered commodities must be derived covered commodity shall also be labeled unmistakably indicate the country of exclusively from fish or shellfish to indicate that it was derived from origin, such as ‘‘U.K.’’ for ‘‘The United hatched, raised, harvested, and farm-raised fish or shellfish. Kingdom of Great Britain and Northern processed in the United States, and that Ireland’’ are acceptable. The adjectival has not undergone a substantial Defining Country of Origin for Blended Products form of the name of a country may be transformation (as established by U.S. used as proper notification of the Customs and Border Protection) outside Under this interim final rule, the country(ies) of origin of imported of the United States. country of origin declaration of blended commodities provided the adjectival or commingled retail food items (b) Wild Fish and Shellfish—covered form of the name does not appear with comprised of the same covered commodities must be derived other words so as to refer to a kind or commodity (e.g., bag of shrimp) having exclusively from fish or shellfish either species of product. Symbols or flags different origins, shall indicate the harvested in the waters of the United alone may not be used to denote country countries of origin for covered States or by a U.S. flagged vessel and of origin. commodities in accordance with With respect to the production processed in the United States or aboard existing Federal legal requirements designation, various forms of the a U.S. flagged vessel, and that has not when the commingled product contains production designation are acceptable, undergone a substantial transformation imported covered commodities that including ‘‘wild caught,’’ ‘‘wild,’’ ‘‘farm- (as established by U.S. Customs and have not subsequently been raised,’’ ‘‘farmed,’’ or a combination of Border Protection) outside of the United substantially transformed in the United these terms for blended products that States. States. When the retail product contains contain both wild and farm-raised fish Labeling Country of Origin for Imported imported covered commodities that or shellfish provided it can be readily Products That Have Not Been have subsequently undergone understood by the consumer and is in Substantially Transformed in the United substantial transformation in the United conformance with other Federal labeling States States commingled with other imported laws. Designations such as ‘‘ocean covered commodities that have caught,’’ ‘‘caught at sea’’, ‘‘line caught,’’ Under this interim final rule, an subsequently undergone substantial ‘‘cultivated,’’ or ‘‘cultured’’ do not meet imported covered commodity shall transformation in the United States the requirements of this regulation. retain its origin as declared to U.S. (either prior to or following substantial Alternatively, the method of production Customs and Border Protection at the transformation in the United States) (wild and/or farm-raised) designation time the product enters the United and/or U.S. origin covered commodities, may also be in the form of a check box. States, through retail sale, provided it the declaration shall indicate the However, the labeling requirements has not undergone a substantial countries of origin contained therein or under this rule do not supersede any transformation (as established by U.S. that may be contained therein. existing Federal legal requirements, unless otherwise specified, and any Customs and Border Protection) in the Remotely Purchased Products United States. such country of origin and method of For sales of a covered commodity in production (wild and/or farm-raised) Covered commodities imported in which the customer purchases a covered notification must not obscure or consumer-ready packages are currently commodity prior to having an intervene with other labeling required to bear a country of origin opportunity to observe the final package information required by existing declaration on each individual package (e.g., Internet sales, home delivery sales, regulatory requirements. under the Tariff Act of 1930 (Tariff Act). etc.) the retailer may provide the In order to provide the industry with This interim final rule does not change country of origin and method of as much flexibility as possible, this rule these requirements. production information (wild and/or does not contain specific requirements
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as to the exact placement or size of the identifies the product unique to that warehouse, central offices, or other off- country of origin or method of transaction by means of a lot number or site location. production (wild and/or farm-raised) other unique identifier, for a period of Any retailer handling a covered declaration. However, such declarations 1 year from the date of the transaction. commodity that is found to be must be conspicuous and allow In addition, the supplier of a covered designated incorrectly as to country of consumers to determine the country(ies) commodity that is responsible for origin and/or the method of production of origin and method(s) of production initiating a country of origin declaration (wild and/or farm-raised) shall not be (wild and/or farm-raised) when making and method of production (wild and/or held liable by reason of the conduct of their purchases and provided that farm-raised) designation must possess another if the retailer could not have existing Federal labeling requirements records necessary to substantiate the been reasonably expected to have had must be followed. For example, under claim. knowledge of the violation. FDA labeling regulations (21 CFR 101.2) For an imported covered commodity, Enforcement it is not permissible to include the the importer of record as determined by The law encourages the Secretary to method of production (wild and/or CBP, must ensure that records: provide enter into partnerships with States to farm-raised) designation in either the clear product tracking from the U.S. port the extent practicable to assist in the ingredient statement or as part of the of entry to the immediate subsequent administration of this program. As such, common or usual name of a product. recipient and accurately reflect the USDA will seek to enter into country(ies) of origin and method(s) of Recordkeeping Requirements and partnerships with States that have production (wild and/or farm-raised) of Responsibilities enforcement infrastructure to conduct the item as identified in relevant CBP The law states that the Secretary may retail compliance reviews. entry documents and information require any person that prepares, stores, Routine compliance reviews may be systems; and maintain such records for handles, or distributes a covered conducted at retail establishments and a period of 1 year from the date of the commodity for retail sale to maintain a associated administrative offices, and at transaction. verifiable recordkeeping audit trail that supplier establishments subject to these will permit the Secretary to verify Any intermediary supplier (i.e., not regulations. USDA will coordinate the compliance. As such, records and other the supplier responsible for initiating a scheduling and determine the documentary evidence to substantiate country of origin declaration and procedures for compliance reviews. origin declarations and designations of method of production (wild and/or Only USDA will be able to initiate wild and/or farm-raised are necessary in farm-raised) designation) handling a enforcement actions against a person order to provide retailers with credible covered commodity that is found to be found to be in violation of the law. information on which to base origin designated incorrectly for country of USDA may also conduct investigations declarations. origin and/or method of production of complaints made by any person Under this interim final rule, any (wild and/or farm-raised) shall not be alleging violations of these regulations person engaged in the business of held liable for a violation of the Act by when the Secretary determines that supplying a covered commodity to a reason of the conduct of another if the reasonable grounds for such retailer, whether directly or indirectly intermediary supplier could not have investigation exist. (i.e., harvesters, producers, distributors, been reasonably expected to have had Retailers and suppliers, upon being handlers, etc.), must make available knowledge of the violation. notified of the commencement of a information to the subsequent purchaser Under this interim final rule, retailers compliance review, must make all about the country(ies) of origin and also have recordkeeping records or other documentary evidence method(s) of production (wild and/or responsibilities. Records and other material to this review available to farm-raised) of the covered commodity. documentary evidence relied upon at USDA representatives in a timely This information may be provided the point of sale by the retailer to manner during normal hours of business either on the product itself, on the establish a product’s country(ies) of and provide any necessary facilities for master shipping container, or in a origin and method(s) of production such inspections. document that accompanies the product (wild and/or farm-raised), or, if The law contains enforcement through retail sale provided it identifies applicable, date of harvest or capture provisions for both retailers and the product and its country(ies) of origin designation, must be available during suppliers that include civil penalties of and method(s) of production, unique to normal business hours to any duly up to $10,000 for each violation. For that transaction by means of a lot authorized representatives of USDA for retailers, the law states that if the number or other unique identifier. If as long as the product is on hand. For Secretary determines that a retailer is in after October 6, 2005, a frozen fish or pre-labeled products (i.e., labeled by the violation of the Act, the Secretary must shellfish covered commodity caught or manufacturer/first handler) the label notify the retailer of the determination harvested before December 6, 2004, is itself is sufficient evidence on which the and provide the retailer with a 30-day offered for retail sale and for which retailer may rely to establish a product’s period during which the retailer may origin and/or method of production origin and method(s) of production take necessary steps to comply. If upon information is not known, the supplier (wild and/or farm-raised). Records that completion of the 30-day period the must possess records to substantiate the identify the retail supplier, the product Secretary determines the retailer has date of harvest or capture of the fish or unique to that transaction by means of willfully violated the Act, after shellfish. a lot number or other unique identifier, providing notice and an opportunity for Any person engaged in the business of and for products that are not pre- a hearing, the retailer may be fined not supplying a covered commodity to a labeled, the country of origin and more than $10,000 for each violation. retailer, whether directly or indirectly, method of production (wild and/or For suppliers, the law states that must maintain records to establish and farm-raised) information must be section 253 of the Act shall apply to a identify the immediate previous source maintained for a period of 1 year from violation of this subpart. This section (if applicable) and immediate the date the origin declaration is made states in part that in determining the subsequent recipient of a covered at retail. Such records may be located at amount of a civil penalty to be assessed commodity, in such a way that the retailer’s point of distribution, for violations of this subpart, the
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Secretary must consider the gravity of of a processed food item, the repackaging but less than substantial the offense, the size of the business recordkeeping requirements for both transformation to voluntarily be labeled involved, and the effect of the penalty retailers and suppliers, and the as processed in the United States, such on the ability of the person that has enforcement of the program. In addition, labeling would not conform to U.S. committed the violation to continue in over 100 late comments were received Customs and Border Protection business. The Act also states that the which generally reflected the substance requirements. Accordingly, because the Secretary shall consider whether there of the timely comments received. definition of processed has been deleted has been a pattern of errors in the Specific comments are discussed in no changes have been made as a result violation of this subtitle in determining detail below. As this interim final rule of these comments. whether to assess a civil penalty. This contains the requirements for labeling Processed Food Item section also provides that in addition to fish and shellfish covered commodities, or in lieu of a civil penalty, the to the extent practicable, only those Summary of Comments: AMS Secretary may issue a cease and desist comments that pertain to fish and received numerous comments on the order from continuing any violation. In shellfish covered commodities and to definition of a processed food item. addition, section 253 also contains the the general requirements of this Some commenters offered specific administrative process that must be regulation are discussed herein. In some recommendations as to what should be followed in assessing a civil penalty or cases, the summary of comments and considered a processed food item such cease and desist order. As with retailers, Agency response encompass both fish as canned fish, breaded products, all if the Secretary determines that a and shellfish covered commodities and products that have been substantially supplier is in violation of the Act, the other covered commodities. These transformed, and all seafood products Secretary will notify the supplier of the comments and the Agency response are made from block derivatives. Other determination and provide the supplier included in this interim final rule in commenters offered specific with a 30-day period during which the cases where their inclusion facilitates recommendations as to what products supplier may take necessary steps to the reader’s understanding of the should not be considered a processed comply. changes that were made in this rule food item such as smoked fish, cured In addition to the enforcement based on the commenters’ products, and simple mixtures of provisions contained in the Act, recommendations. covered commodities. Several statements regarding a product’s origin commenters recommended that the first must also comply with other existing Definitions alternative definition provided in the proposed rule should be utilized which Federal statutes. For example, the Covered Commodity Federal Food, Drug, and Cosmetic Act would exclude any product that bears prohibits labeling that is false or Summary of Comments: Numerous an ingredient statement. Several other misleading. Thus, inaccurate country of commenters suggested that the commenters recommended that the origin labeling of covered commodities definition of covered commodity should second alternative definition provided may lead to additional penalties under be amended to include poultry. in the proposed rule should be utilized this statute as well. Agency Response: Section 281(2)(A) which would exclude any covered In order to provide regulated parties of the Act defines the term ‘‘covered commodity that has undergone with additional information relative to commodity’’ as ‘‘muscle cuts of beef, processing as defined by other existing the enforcement of this program, AMS lamb, and pork; ground beef, ground Federal regulations. Other commenters will issue a compliance guide. This lamb, ground pork; farm-raised fish; recommended that the third alternative compliance guide will contain wild fish; a perishable agricultural definition provided in the proposed rule additional information about the audit commodity; and peanuts.’’ Accordingly, should be utilized which would only process, the types of records that may be this recommendation is not adopted. exclude a covered commodity if it is useful in verifying compliance with this Processed (for Fish and Shellfish) mixed with other commodities to create regulation, examples of instances that a distinct food item such as a pizza or would be considered violations, as well Summary of Comments: One TV dinner. Another commenter as other information that may be useful commenter recommended that USDA recommended that a processed food in complying with this regulation. adopt a clearer definition of determining item be defined as ‘‘transformation of a a country of origin’s location of covered commodity that results in a Comments and Responses processing if USDA is unable to clearly finished product that has a distinct On October 30, 2003, AMS published articulate what substantial character from the covered commodity the proposed rule for the mandatory transformation means in this rule. Other so that consumers do not use the item COOL program (68 FR 61944) with a 60- commenters recommended that the in the same fashion as they would use day comment period. On December 22, definition of processed be modified so the covered commodity itself.’’ Another 2003, AMS published a notice that imported products subjected to commenter stated his belief that extending the comment period (68 FR processing beyond repackaging but less Congress intended for COOL to cover 71039) an additional 60 days. AMS than substantial transformation should only those products not currently received over 5,600 timely comments be eligible to voluntarily be labeled as covered under existing tariff laws. Other from consumers, retailers, foreign processed in the United States. commenters expressed general concern governments, producers, wholesalers, Agency Response: Because of changes about the proposed definition, but did manufacturers, distributors, members of made by the Agency in the regulatory not offer any alternatives. Some Congress, trade associations and other text in § 60.200(g) to simplify the commenters stated that the definition as interested parties. The majority of the labeling of imported products that have proposed will result in USDA deciding comments received were from been substantially transformed in the on a case by case basis which food consumers expressing support for the United States, the Agency no longer products must be labeled. Other requirement to label the method of believes that a separate definition of commenters expressed concern that the production of fish and shellfish as either processed is necessary. With respect to concept of substantial transformation wild and/or farm-raised. Numerous allowing imported products that have which is the basis for determining origin other comments related to the definition been subjected to processing beyond under both CBP regulations and the
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World Trade Organization’s Rules of Agency Response: The law and has modified § 60.200(d) Origin is being overwritten. specifically defines the term retailer as accordingly. Agency Response: In an effort to make having the meaning given that term in Labeling Covered Commodities When the definition of a processed food item section 1(b) of PACA. Accordingly, fish clearer, the Agency has modified the the Product Has Entered the United markets or any other retail entities that States During the Production Process language in the proposed rule to provide either invoice fruits and vegetables at a specific examples of the types of level below the $230,000 threshold or Summary of Comments: Several processing that would result in a do not sell any fruits and vegetables at commenters recommended alternative product being considered a processed all are not included. Therefore, this methods of labeling products that have food item. In addition, the Agency has recommendation is not adopted. entered the United States during the determined that the application of the production process. Several commenters definition and thus the scope of covered United States Country of Origin recommended that mixed origin commodities should be modified. Summary of comments: One products should be labeled to reflect Accordingly, under this interim final commenter expressed concern that the each country involved in the production rule, all cooked (e.g., canned fish, definition of United States country of process (e.g., capture/farming country, cooked shrimp) and breaded products, origin departs from the relevant processing country). Other commenters which in the case of shrimp can account international standard in which the recommended that the Agency should for up to 50 percent of the finished country of origin is defined as the delete any requirement to display the product, are considered processed food country where substantial origin where processing occurred for items and are excluded from labeling transformation occurred. any of the covered commodities. Several under this regulation. In addition, retail Agency Response: The law other commenters expressed support for items that have been given a distinct specifically defines the criteria a the provisions contained in the flavor (e.g., Cajun marinated catfish) are covered commodity must meet to bear a proposed rule. Another commenter also considered processed food items. United States country of origin recommended that all countries Further, to provide additional guidance declaration. As such, the Agency is involved in the production of a covered to the industry, the Agency has added unable to modify this definition in the commodity be listed alphabetically. In additional examples of the types of manner recommended by the addition, one commenter recommended products that would be excluded in the commenter. However, the Agency has that the words ‘‘by a vessel other than Questions and Answers section of this modified the definition to clarify that a U.S. flagged vessel’’ be inserted after rule. With respect to the issue of products otherwise meeting the the phrase ‘‘was harvested in country substantial transformation, the law definition of U.S. origin that are X’’ in § 60.200(2)(ii). Agency Response: The Agency has specifically defines the criteria for a subsequently substantially transformed made modifications to § 60.200(g) in covered commodity to be labeled as outside of the United States are not order to harmonize the requirements of having a United States country of origin. eligible to bear a U.S. origin declaration. Thus, under this regulation, imported this regulation with current Federal products that have been subsequently Country of Origin Notification legal requirements. No additional changes have been made as a result of substantially transformed in the United General States are not eligible to bear a ‘‘product these comments. of the U.S.’’ declaration. Summary of comments: One commenter recommended that Blended Products Raised § 60.200(a) of the proposed rule should Summary of Comments: Numerous Summary of comments: One be deleted as it could be construed as commenters recommended alternative commenter recommended that the requiring each individual commodity to methods for labeling products definition of raised for farm-raised fish bear a label indicating its country of comprised of the same commodity that and shellfish be modified to include origin. are prepared from raw material sources farm-raised fish and shellfish originally Agency Response: The Agency agrees having different origins. Several obtained from the wild. with the commenter that the language commenters recommended that Agency Response: The Agency could be interpreted as requiring each companies should be allowed to list the defined ‘‘raised’’ in the case of farm- individual covered commodity to bear a countries either alphabetically or by raised fish and shellfish in the context label. However, the Agency does not weight. Numerous other commenters of defining the production steps agree that this section should be recommended that companies be contemplated by the law for this deleted. The Agency has modified the allowed to use labels that indicate what commodity (hatched, raised, harvested, language in this section to clarify that countries may be contained within the and processed). The Agency separately the regulation does not require each package. Several commenters defined the term ‘‘farm-raised fish’’ to covered commodity to be individually recommended that AMS consider using include farm-raised fish and shellfish labeled. general rather than specific labels for originally obtained from the wild. products involving more than one Designation of Wild Fish and Farm- country such as ‘‘mixed origin.’’ However, the Agency has modified the Raised Fish definition of ‘‘raised’’ to clarify that it is Another commenter recommended that defined in context of the production Summary of Comments: Several labels should list all of the countries but steps defined by the law (hatched, commenters recommended the Agency in no particular order. Another raised, harvested, and processed). clarify that the designation of the commenter recommended that the label method of production for fish and should indicate the percentage of each Retailer shellfish as either wild or farm-raised is country contained within the package Summary of comments: Numerous a separate requirement from the (e.g., 65% country Y, 35% country X). commenters recommended that the requirement to provide notice of a Finally, one commenter expressed definition of retailer be modified to covered commodity’s country of origin. concern as to whether listing the include specialty shops such as fish Agency Response: The Agency agrees countries alphabetically is acceptable markets. with the commenters’ recommendation under FDA and CBP regulations.
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Agency Response: The law requires of production (wild and/or farm-raised). be read and understood by a customer all covered commodities to be labeled As such, under this interim final rule, under normal conditions of purchase is with country of origin information. As companies can provide the required sufficient. In addition, the proposed rule such, the use of ‘‘mixed origin’’ labels notification either on the sales vehicle adequately clarified that the country of does not provide consumers with the or at the time the product is delivered origin and method of production (wild required information and are therefore to the consumer. and/or farm-raised) declarations can be unacceptable. However, USDA is made in a multitude of ways (e.g., concerned about the burden imposed by Markings placard, sign, label, sticker, band, twist the rule on facilities that produce a Section 60.300(a) tie, etc.). However, the Agency will add blended retail product. The proposed pin tags as a specific example. Summary of Comments: Several rule would have required such facilities Accordingly, these recommendations commenters recommended that the to document that the origin of a product have been adopted in part. method of production (wild and/or was separately tracked, while in their farm-raised) designation should be Section 60.300(d) control, during production and allowed to be made separately from the packaging. The proposed rule also Summary of Comments: One country of origin declaration. Another would have required that the labeling of commenter recommended that bulk commenter requested flexibility in all blended products specify precisely commodities should be allowed to be labeling commingled similar wild and the countries of origin represented commingled in bins as long as the farm-raised products. Several other within each individually-packaged signage indicates the countries of origin retail product. In this interim final rule, commenters recommended that the of the contents of the bin. Another the provision to separately track the Agency specifically allow the use of commenter requested that the words product has been removed, and the check boxes to convey both the country ‘‘that a substantial amount of’’ be labeling requirements have been made of origin and method of production inserted after the word provided. consistent with other Federal legal (wild and/or farm-raised) information. Another commenter expressed concern requirements. Therefore, this interim Agency Response: The Agency that requiring individual stickering may final rule does not impose any believes that the law provides the same result in the elimination of bulk additional burden with respect to the flexibility in providing the method of displays and in packaged products labeling of blended products for which production (wild and/or farm-raised) displacing fresh displays. labeling is also required under U.S. designation as it does the country of Agency Response: The Agency has Customs and Border Protection legal origin notification. As such, § 60.300(a) modified § 60.300(d) such that a bulk requirements. For imported covered has been modified to clarify that various container used at the retail level may commodities that have not subsequently forms of the method of production (wild contain a covered commodity from more been substantially transformed in the and/or farm-raised) designation are than one origin and/or method of United States that are commingled with permissible and that the country of production provided that all possible other imported or U.S. origin covered origin declaration and method of origins and/or methods of production commodities, the declaration shall production (wild and/or farm-raised) are listed. No additional changes have indicate the countries of origin for all designation can be combined or made been made as a result of these covered commodities in accordance separately. In addition, § 60.300(d) has comments. been modified to clarify that a bulk with existing Federal legal Section 60.300(e) requirements. For imported covered container used at the retail level to commodities that have subsequently present product to consumers may Summary of Comments: Several undergone substantial transformation in contain products comprised of both commenters recommended that the the United States that are commingled wild and farm-raised fish or shellfish Agency define acceptable standard with other imported covered provided all possible origins and/or country abbreviations. One commenter commodities that have subsequently method(s) of production are listed. In recommended that the three letter undergone substantial transformation in addition, § 60.300(a) has been modified format accepted by the International the United States (either prior to or to clarify that products may contain Olympic Committee be used while the following substantial transformation in both wild and farm-fish provided the other commenter expressed concern that the United States) and/or U.S. origin label identifies both methods of if the International Organization for covered commodities, the declaration production. With respect to check Standardization country codes were shall indicate the countries of origin boxes, the Agency has added language utilized, abbreviations for many of the contained therein or that may be in § 60.300(a) to specifically authorize countries exporting to the United States contained therein. the use of check boxes as an acceptable will not be recognized by consumers. method of notification. Another commenter requested Remotely Purchased Products clarification on whether ‘‘Brazilian Summary of Comments: Some Section 60.300(b) product’’ would be accepted as proper commenters recommended that Summary of Comments: Several country of origin notification. Another consumers be notified of a product’s commenters recommended that the commenter recommended that the country of origin prior to the purchase conspicuous location requirement language allowing the use of the being made. Other commenters should include any place on the adjectival form of the name of a country recommended that the country of origin package or product. Another commenter be modified to delete the reference to notification should be allowed to be recommended that the preamble ‘‘region/city’’ since the Agency made either on the sales vehicle or at recognize that conspicuous may be expressly prohibited the use of State or the time the product is delivered to the provided in a broad number of ways, regional label designations in lieu of consumer. including signs adjacent to a bulk country of origin notification. Agency Response: The Agency display, pin tags for seafood, etc. Agency Response: The Agency believes that companies should be Agency Response: The Agency believes that the language regarding allowed flexibility in providing the believes the current explanation of a abbreviations as proposed that allows notice of country of origin and method conspicuous location as being likely to abbreviations and variant spellings that
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unmistakably indicate the country of than the standard set forth in FDA’s identify the retail supplier is the date origin is appropriate. This is the same recordkeeping authority under the that the product is received at the retail language contained in U.S. Customs and Bioterrorism Act and suggested that it store. Another commenter expressed Border Protection laws and regulations, be deleted. concern that it may be impossible for which will minimize the burden on the Agency Response: With regard to retailers to determine when the industry by allowing them to continue identifying records that may be useful in proposed recordkeeping retention to follow existing regulations. With verifying origin and method of requirement of 7 days after retail sale respect to the clarification on the use of production (wild and/or farm-raised) has elapsed. One commenter ‘‘Brazilian product’’ as country of origin claims, the Agency has included some recommended that the regulations notification, the adjectival form of the examples of records in the regulation should expressly recognize that a name of a country is specifically and additional examples will be document that identifies the country of authorized as long as it does not refer to included in the compliance guide. In origin and method of production (wild a kind or species of product (e.g., Brazil addition § 60.400(b)(4) has been and/or farm-raised) of a covered nuts). With respect to the commenter’s modified to clarify the responsibilities commodity provided by the supplier recommendation to delete the reference of importers. With respect to using that accompanies the product from the to ‘‘region/city,’’ the Agency agrees with existing records mandated by the Tariff supplier all the way to the retail store the commenter’s recommendation and Act, PACA, and FDA to verify would serve as an adequate record upon has deleted the reference to ‘‘region/ compliance with this regulation, it is which the retailer could justifiably rely city.’’ Accordingly, these not necessary that additional records be at the point of retail sale to establish a recommendations have been adopted in created to comply with this regulation covered commodity’s origin and method part. to the extent that existing records of production (wild and/or farm-raised). contain the necessary information. With The commenter also recommended that Section 60.300(f) respect to establishing the chain of pre-labeled products should not require Summary of Comments: Numerous custody of a product, the Agency has additional documentation at the retail commenters recommended that the deleted this language from this rule. The level as the label itself is the Agency accept State and regional label requirement in the interim final rule documentary evidence on which the designations in lieu of country of origin that retail suppliers maintain records to retailer is relying. establish and identify the immediate labeling. Agency Response: The Agency Agency Response: The Act previous source and immediate subsequent recipient of a covered believes that a 1-year record retention specifically requires that all covered requirement for suppliers and centrally commodities be labeled with country of commodity, in such a way that identifies the product unique to that located retail records as recommended origin information. Thus, allowing State by many of the commenters is and regional label designations in lieu transaction by means of a lot number or other unique identifier, is sufficient appropriate. This requirement would be of country designations would not meet consistent with the recordkeeping the requirements of the statute. documentation to allow the Agency to track a product back through the retention time proposed by FDA under Accordingly, this recommendation is the Bioterrorism Act and would allow not adopted. marketing chain in order to verify compliance with this regulation. the Agency ample time to conduct Recordkeeping enforcement reviews to verify Recordkeeping Retention compliance with this regulation. With General Summary of Comments: The Agency respect to the recordkeeping retention Summary of Comments: Several received numerous comments regarding requirement for store-level records, the commenters recommended that the the recordkeeping retention Agency agrees with the commenters’ Agency list the specific records that it requirement. The majority of recommendation that records only need will use to determine the validity of commenters recommended a shorter to be available while the product is on origin claims. Other commenters record retention time for both retailers hand. As one commenter pointed out, it recommended that the Agency cite the and suppliers. Specifically, most would be difficult for the retail facility examples of records that can be used to commenters recommended that a one- to determine when the 7 day time substantiate origin and method of year record retention requirement for period after retail sale had elapsed. In production (wild and/or farm-raised) suppliers and for the centrally-located addition, generally retail enforcement claims that the Agency has posted on its retail records. Several other commenters activities would not encompass website in the preamble of the final rule. recommended alternate retention times products that have already been sold. Other commenters recommended that including, for the reasonable life of the With respect to a commenter’s request the Agency require no additional product (and that for most perishable to clarify that the date the origin records beyond those mandated by the items 30 days would be sufficient), six declaration is made at retail is the date Tariff Act, PACA, and FDA. Several months for perishable items, and 90 the product is received at the retail other commenters requested that the days for both retailers and slaughter store, the Agency does not believe such Agency provide guidance on what facilities. Other commenters suggested a clarification is appropriate. In the case records could be used to substantiate various recordkeeping retention of nonperishable products, the retailer method of production (wild and/or requirements at the store level may receive products at the store that farm-raised) claims for imported including, limiting it to the time that the are not actually displayed for sale for products and asked what AMS would products are located at the store, some time. Accordingly, this require of foreign suppliers. Another lengthening it to 30 days, reducing it to recommendation is not adopted. With commenter expressed concern that the 2 days or eliminating it all together. respect to the commenter’s preamble provides no explanation of the Another commenter requested that the recommendation that pre-labeled records that would be necessary to preamble include language specifying products should not require any establish the chain of custody of a that the ‘‘date the origin declaration was additional documentation at the retail product. The commenter further made at retail’’ with respect to retaining level and that a document containing contends that this requirement is higher the centrally located retail records that country of origin and method of
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production (wild and/or farm-raised) seafood products must also separately penalty as to retailers specifically information that accompanies the track and document the method of requires a willful violation and the final product through retail sale should be production (wild and/or farm-raised), regulation contains a safe harbor adequate documentation on which a the Agency has deleted § 60.400(b)(5) as provision, there is no additional retailer can rely, the Agency agrees and it is duplicative and unnecessary given language needed. has modified § 60.400(b)(1) and the requirement in the regulation that Use of Affidavits and Self-Certification § 60.400(c)(1) accordingly. suppliers provide country of origin and method of production information for Summary of Comments: In the Responsibilities of Suppliers and proposed rule, the Agency invited Retailers all covered commodities. No additional changes as a result of these comments comment on the practicality of requiring Summary of Comments: One have been made. With respect to the suppliers to provide an affidavit for commenter recommended that the final recommendation to require importers to each transaction to the immediate rule should clarify that only USDA has maintain adequate records to reconcile subsequent recipient certifying that the the authority to verify, audit, and purchases, inventories, and sales of country of origin claims and, if applicable, designations of wild or farm- administer the labeling program. imported and domestic commodities, Another commenter recommended that raised, being made are truthful and that the law does not provide the Agency the Agency clarify that suppliers of the required records are being with the authority to require such covered seafood products must also maintained. Numerous commenters detailed information nor is such separately track and document the recommended that such affidavits not information necessary to substantiate method of production (wild and/or be required as they believe it would be farm-raised). The commenter also origin and method of production claims. expensive, onerous, unnecessary, and recommended that the preamble should Accordingly, this recommendation is does nothing to alleviate knowing expressly state that suppliers such as not adopted. With respect to the safe violations of the law. Another wholesalers who simply distribute pre- harbor provision, the Agency agrees commenter supported the use of packaged product are not required to with the commenters’ recommendations affidavits as they believe it would document that the product was to extend the safe harbor to provide a level of insurance that the separately tracked. Another commenter misstatements of the method of retailer can rely on the information recommended that importers be production (wild and/or farm-raised) provided by the supplier. One required to maintain adequate records to and has modified § 60.400(b)(2) commenter suggested that providing an reconcile purchase, inventories, and accordingly. With respect to the affidavit with each transaction would be sales of imported and domestic statutory basis for the ‘‘safe harbor’’ helpful, but legal requirements for such commodities. One commenter stated provision, the basis for providing a legally binding document may vary by their belief that the safe harbor regulatory protection for retailers in State. Numerous other commenters provision for retailers and intermediary instances where they receive inaccurate interpreted allowing the use of affidavits suppliers does not have a specific COOL information and/or method of as allowing self-certification. These statutory basis in the Act and expressed production (wild and/or farm-raised) commenters recommended that an interest in understanding the information is based on the language suppliers should be allowed to self- application of the PACA standard to contained in sections 253 and 283 of the certify the origin of their product. claims required under the Act. The Act. Section 283 speaks of specific Agency Response: Self-certification commenter also recommended that the enforcement procedures and penalties documents or affidavits may play a role safe harbor provision for retailers for retailers, while enforcement in assuring that auditable records are should also extend to misstatements of procedures and penalties as to other available throughout the marketing the method of production (wild and/or persons are found in section 253. chain, but the auditable records must farm-raised). The commenter also Because the penalty as to retailers themselves also be available to ensure requested that the preamble should requires a willful violation, where a credibility of country of origin labeling articulate that retailers can accept retailer acting in good faith relies on claims. However, in view of the information provided by suppliers statements or records given by others, marketing practices of the fish and without liability and without we do not believe it was Congress’ shellfish industries and the probable obligations to investigate the intent to hold retailers responsible for cost impacts, the Agency has concluded declarations or systems put in place to violations when they relied upon false that requiring affidavits is not ensure the accuracy of declarations. and/or inaccurate information provided practicable or necessary. Several commenters requested that the by a supplier. However, the Agency ‘‘reasonable knowledge’’ language believes the ‘‘reasonable knowledge’’ Enforcement contained in the safe harbor provision language is necessary as there are Summary of Comments: The Agency be deleted as the commenters contend it instances in which a retailer would received numerous comments on the is difficult to determine what someone likely have had knowledge that the issue of enforcement. Several should have been reasonably expected country of origin information provided commenters recommended that the to be known. to them by the supplier was not correct Agency incorporate a grace period in Agency Response: With respect to and should be held accountable. For which enforcement of this regulation clarifying that only USDA has the example, a retailer that receives fresh would be delayed and implement a authority to verify, audit, and wild salmon from Alaska in January program emphasizing compliance rather administer the labeling program, the labeled as product of the U.S. should than enforcement for the first year. Enforcement section of the preamble have known that such a declaration was Numerous other commenters requested states that only USDA may initiate inaccurate. With respect to the issue of that the Agency clearly define the enforcement actions against a person retailers accepting information provided process of enforcement including found to be in violation of the law. by suppliers without liability and recognizing the circumstances under Thus, the Agency believes no further without requiring third-party which retailers will be considered to clarification is necessary. With respect verification of the information, the have willfully violated the statute. to clarifying that suppliers of covered Agency believes that because the Several commenters suggested that
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retailers should not be found in willful regulations under the Bioterrorism Act mandatory COOL be repealed and violation of the statute unless the of 2002 to provide the industry with replaced with a voluntary program and retailer intentionally removed or further information on compliance and recommended that USDA seek changed the information provided by enforcement. With respect to administrative relief from Congress. the supplier. Another commenter partnerships with States, following Another commenter requested that recommended that willful be defined as publication of the interim final rule, USDA promulgate an interim final any act resulting in misinformation that USDA will seek to enter into regulation instead of a final rule. Other was a deliberate and intentional act for cooperative agreements with States that commenters stated their belief that the purpose of misstating the COOL have existing infrastructure to conduct COOL is a nontariff trade barrier label. Several other commenters audits at the retail level. USDA will intended to discriminate against recommended that the Agency should provide States with a schedule imported products and questioned expressly recognize that if the majority identifying the stores that should be whether this regulation is in of covered commodity items bear a audited and with what frequency, conformance with various WTO label, the retailer has met their identify the products to be audited, and agreements. obligation. Several commenters outline the audit procedures that will be Agency Response: The Agency could requested additional information on the followed. If a noncompliance is not implement a voluntary program process the Agency will employ to identified by the State, the State will without legislative changes. With fulfill the mandate to partner with notify USDA. USDA will then proceed respect to promulgating an interim final States. Other commenters recommended with the appropriate enforcement regulation, the Agency believes that that the Agency expressly prohibit action. With regard to third-party audits, because of the changes made as a result third-party audits from being required of the law does not require third-party of comments received and the costs any party subject to this regulation. audits of any party subject to these associated with this rule, additional Another commenter expressed concern regulations. However, the law does not public input should be obtained and is that the Agency does not define what prohibit any party subject to this issuing this regulation as an interim type of information will be sufficient to regulation from requiring a third-party final rule. However, the Agency is not withstand third-party audits which the audit of another party as part of their making final provisions that concern commenter believes will lead to a lack contractual arrangement if they so other covered commodities at this time. of uniformity exposing all participants choose. With respect to penalties for With respect to the commenters’ to unnecessary legal liability. Another non-retailers, the Farm Bill incorporates concern regarding WTO agreements, the commenter recommended that the final by reference section 253 of the Act as Agency has considered these obligations regulation clearly describe or at least applying to violations of this subpart by throughout the rulemaking process and reiterate the statutory standards for non- non-retailers. This section details the concludes that this regulation is retailers. Another commenter penalties that may be assessed as well consistent with these international recommended that AMS establish a as other enforcement mechanisms (e.g., obligations. sliding scale for penalties. cease and desist orders) and the Preliminary Economic Impact Analysis administrative process that must be Agency Response: Many of the (Executive Order 12866) followed. Therefore, it is not necessary covered commodities sold at retail are to fully restate the penalties for non- Summary of Comments: A commenter in a frozen or otherwise preserved state retailers. However, the Agency has stated that USDA did not consider any (i.e., not sold as ‘‘fresh’’). Thus, many of added additional information regarding of its alternative approaches viable and these products would already be in the enforcement of non-retailers to the that AMS failed to consider an array of chain of commerce prior to September provisions regarding enforcement in the obvious alternatives. The commenter 30, 2004, and the origin/production Highlights of the Interim Final Rule suggested that AMS could reduce the information may not be known. section. With respect to establishing a recordkeeping requirement for retailers Accordingly, the effective date of this sliding scale for penalties, the Agency from 7 days to 2 days at the point of sale regulation is six months following the will determine the appropriate penalty and reduce the overall recordkeeping date of publication of this interim final on a case by case basis depending on the requirement from 2 years to 1 year. The rule. The requirements of this rule do circumstances surrounding the commenter also suggested that AMS not apply to frozen fish or shellfish violation. could consider using general rather than caught or harvested before December 6, specific labels for products involving 2004. Further, AMS will focus its Existing State Programs more than one country (e.g., ‘‘mixed activities on industry education and Summary of Comments: The Agency origin’’). outreach for an additional six months invited comment on the proposed rule Agency Response: The proposed rule from the effective date of this interim as it relates to existing State programs. identified limited discretionary final rule. This will allow a total of 12 One commenter recommended that the authority for alternative regulatory months for AMS to conduct an industry Agency reiterate the conclusion that this approaches, but alternative approaches education and outreach program regulation preempts State law. No were considered. The preliminary concerning the provisions contained comments from States were received on economic impact assessment considered within this rulemaking. With respect to this issue. alternative definitions of the term the issue of acts that will constitute Agency Response: In the discussion ‘‘processed food item,’’ which change ‘‘willful’’ violations of this subpart, on Executive Order 13132, Federalism, the scope of commodities required to be determinations will be made on a case the Agency has added additional labeled with country of origin and by case basis. However, the Agency will language clarifying that State programs method of production (wild and/or take into consideration the facts and that encompass commodities that are farm-raised) information. This interim circumstances regarding the situation subject to this regulation are preempted. final rule includes a revised definition before initiating an enforcement action. of a processed food item that leads to In addition, the Agency will issue a Miscellaneous lower costs of implementation for the compliance guide similar to the guide Summary of Comments: Numerous affected industries. The Agency also published by FDA in promulgating commenters recommended that considered the impacts of the use of
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affidavits to transmit country of origin Agency Response: The Umberger, et that there is ‘‘little evidence that information along the food production al. study was referenced as one of the consumers are willing to pay a price and marketing chain. available studies on consumer response premium for country of origin labeling.’’ The interim final rule reduces the to country of origin labeling. The Agency Response: In the preliminary recordkeeping burden at the retailer’s Agency agrees that there are differences economic impact analysis, the Agency point of sale from 7 days following retail in terms of consumer demand did identify and acknowledge benefits sale of the product to the length of time characteristics for beef versus seafood from the proposed rule. The Agency the product is on hand. The interim products. Therefore, the transfer of noted that surveys show that a majority final rule also reduces the estimates from Umberger, et al. may be of consumers state at least some interest recordkeeping burden for suppliers and a source of uncertainty. Based on the in knowing where their food was retailers of covered commodities from 2 numerous comments received on the produced, and a smaller but significant years to 1 year. issue, the Agency also concludes that number indicate a strong desire to know The Agency disagrees that the law wild capture versus farm-raised is an where their food was produced. The provides discretionary authority to use important distinction for many seafood Agency also cited results of studies that general rather than specific labels for consumers. found substantial degrees of products involving more than one Summary of Comments: A commenter willingness-to-pay for country of origin country. The law requires a retailer of a said that when determining the actual information by consumers. The covered commodity to inform value of COOL regulations, USDA needs comment period did not elicit consumers of the country of origin of a to consider the importance of consumer additional evidence sufficient to change covered commodity. A label such as education, small U.S. based producers the Agency’s conclusion that such ‘‘mixed origin’’ does not fulfill this and their inability to mount extensive professed interest in country of origin requirement because it provides no lobbying campaigns, the importance of labels would result in increased information regarding the country of progressive regulations, and demands or higher prices for U.S.-origin origin of the commodity, other than the discouraging fraudulent information in covered commodities. fact that the origin involves more than the marketplace. The January 2004 poll commissioned one country. Agency Response: The Agency agrees by the National Farmers Union Summary of Comments: A commenter that consumer education will be vital to reconfirms that consumers, when observed that AMS argued in the firms’ abilities to derive benefits from prompted, indicate an interest in proposed rule that if COOL was really mandatory COOL. While the Agency country of origin information for food. desirable to consumers, the marketplace will make available to the public The poll also indicates that respondents would provide the information on a information about the requirements of would be ‘‘willing to pay a few cents voluntary basis. The commenter further this rule, industry will need to more’’ for food products grown and/or noted that some retailers do label undertake any initiatives to educate raised in the U.S. This poll does not seafood as to its source. In addition, the consumers with an eye toward using overcome limitations of previous commenter noted that such labeling is COOL as a promotional tool. The surveys and willingness-to-pay studies, erratic and can be inconsistent, and said Agency also recognizes the importance namely, that there is little basis to that seafood is far less likely to be of discouraging fraudulent information support the notion that these prompted labeled for foreign than domestic origin. in the marketplace, which underlies the responses will carry over into actual On this basis, the commenter concluded rationale for much of this rule. That is, purchasing behavior. No comments that mandatory COOL requirements are this rule is designed to ensure that brought forth evidence that there are essential. mandatory country of origin claims barriers to the voluntary provision of Agency Response: The Agency made at retail are credible and verifiable country of origin information by firms concluded in its preliminary economic back through the supply chain. that produce and market the covered impact assessment that there was no Summary of Comments: A number of commodities. In addition, the Agency compelling market failure argument commenters expressed concern about did not receive any information that regarding the provision of country of USDA’s preliminary analysis of benefits indicated an increased demand for U.S.- origin information. This conclusion for the proposed rule, and many origin products in States that currently stemmed from a lack of evidence of claimed that USDA failed to identify or require country of origin labeling for barriers to private provision of acknowledge any benefits of the COOL some of the covered commodities. voluntary COOL should consumer law. One commenter noted results of a Therefore, the Agency continues to demand support the increased costs of poll of 900 people conducted in January conclude that in the presence of such labeling. The fact that some 2004—82 percent of respondents said demand for U.S.-origin products, food retailers already label seafood as to its that food should be labeled with companies would respond by sourcing source indicates that market country of origin information, 85 such products and providing consumers participants will provide country of percent would be more inclined to buy with the information. origin information in response to market food produced in U.S., and 81 percent Summary of Comments: One demand. said they would be willing to pay a few commenter believes there are a number Summary of Comments: A commenter cents more for food products of U.S. of scenarios where consumer preference stated that the preliminary economic origin. Another commenter reported would shift to U.S. products, creating a impact analysis depended heavily on a results of a survey conducted by Fresh one to five percent shift in consumer study, Umberger, et al., concerning beef Trends in 2002, in which 86 percent of demand, thus recovering labeling. The commenter said that respondents favored the concept of implementation costs of the proposed Umberger et al.’s and other analyses COOL. This commenter also cited a rule. may not apply to seafood, which the study by North Carolina State Agency Response: This commenter commenter noted is far more likely than University, in which 68 percent of did not specify the scenarios under beef to be imported from other respondents indicated willingness to which consumer preference would shift countries—and, unlike beef, comes from pay more for U.S. food products. to U.S. products. Neither this two distinct types of production systems Another commenter said that there is commenter nor other commenters (wild capture and fish farming). little factual support for USDA’s finding provided evidence sufficient to
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conclude that there would be a shift in Summary of Comments: A commenter mandatory COOL. The Agency’s consumer demand for U.S.-origin said that the preliminary economic preliminary cost estimates reflected products of one to five percent. impact assessment is incomplete these existing conditions, which is one Summary of Comments: One because it fails to explain in detail the reason that per-unit costs were commenter stated that USDA needs to components underlying each of the cost estimated generally to be less for address the direct cost of administering estimates. The commenter said that the perishable agricultural commodities this program and where the funds analysis should have included cost than for other covered commodities not would come from (not from user fees). estimate subcategories for each type of covered by PACA, its regulations, and Agency Response: The Agency covered commodity. recordkeeping requirements. intends to use funds that may be Agency Response: As described in the Summary of Comments: A commenter appropriated for administration of this preliminary economic impact noted that the preliminary economic program. The Agency estimates the assessment, the Agency derived its impact assessment does not consider or costs for a minimal level of enforcement direct, incremental cost estimates from discuss similar voluntary State labeling to be $2.8 million per year. About five publicly available sources of data and programs, such as the ‘‘Buy California’’ percent of covered retailers would be studies. These sources are fully or ‘‘Go Texan’’ programs. audited each year under this scenario. referenced in the proposed rule. The Agency Response: Voluntary State Summary of Comments: A commenter Agency presented details about cost labeling programs have limited stated that the preliminary economic components to the extent that such application to the analysis of the impact assessment is inadequate due to information was provided in the impacts of the rule. First and foremost, State labeling programs are voluntary, the broad range of implementation costs available studies. Lack of available while this rule is mandatory. Under presented. information precludes further sub- these types of voluntary State programs, Agency Response: In its preliminary categorization of costs. Summary of Comments: One there is no requirement for any firms to economic impact assessment, the commenter stated that USDA’s participate, and firms will not choose to Agency estimated a range of direct, preliminary cost estimates do not take participate unless it is in their economic incremental costs to reflect uncertainty into account industry infrastructure and interest to do so. Even when firms do about steps that affected entities would current labeling practices and do not participate in these types of voluntary need to take to implement the proposed consider existing regulations such as State programs, they are not required to rule. Comments on the voluntary PACA. Similarly, another commenter label everything that they sell. country of origin labeling guidelines (67 stated that the preliminary regulatory Conversely, this rule is mandatory, and FR 63367) and feedback that the Agency impact assessment fails to net out the retailers and their suppliers must adhere received through its outreach efforts cost of complying with existing to the requirements of the rule for 100 during development of the proposed regulations such as the Tariff Act and percent of the sales of the covered rule painted two very different pictures PACA and does not take into account commodities that must be labeled at of the costs and difficulty of existing signage. retail. Second, these voluntary State implementing mandatory COOL. One Agency Response: The Agency’s programs do not have the same types of viewpoint suggested that preliminary cost estimates did take into requirements for recordkeeping and implementation and operational costs account existing industry infrastructure, tracking as contained in this mandatory would be relatively low and would labeling practices, and statutes such as rule. Third, State labeling programs consist of primarily additional PACA. The Agency sought to estimate such as ‘‘Buy California’’ and ‘‘Go recordkeeping costs. The other the incremental cost of implementing Texan’’ generally involve a more viewpoint suggested that the proposed rule. The Agency assumed comprehensive program of marketing implementation and operational costs that incremental changes would be and promotional tools beyond just would be relatively high and would made to affected firms’ operations and labeling, while this mandatory rule consist of not only additional recordkeeping systems to implement the addresses labeling but does not address recordkeeping, but would entail requirements of the rule. The Agency’s marketing and promotional activities. substantial changes to operations, assumptions recognized the existence of For example, some State programs systems development, and capital existing Federal regulations such as require certain minimum quality expenditures. Thus, the Agency’s those promulgated under PACA. PACA standards for participation in the estimated range of direct costs reflected does not require that retailers provide program. Most State programs also the different viewpoints expressed country of origin information to include promotional and marketing about costs of implementing mandatory consumers, or that producers, activities by the State. Such voluntary COOL. processors, dealers, and other industry quality standards and promotional Taking into account comments participants provide country of origin activities imply different market effects received on the proposed rule, the information to their customers. Instead, compared to this rule, which addresses Agency concludes in its interim final PACA would require records to only labeling requirements. economic impact assessment that substantiate any transaction or product Summary of Comments: A commenter implementation costs will exceed the claim made by entities subject to PACA, said that seafood labeling should not be lower range estimates presented in the such as a claim that a perishable costly because the National Oceanic and preliminary economic impact agricultural commodity had a certain Atmospheric Administration (NOAA) assessment published with the proposed country of origin. already has recordkeeping requirements rule. Affected firms and trade PACA requires maintenance of for fishing vessels that are pertinent to associations noted that implementation records and firms subject to PACA have COOL. costs will involve costs and operational developed recordkeeping systems to Agency Response: The Agency changes beyond recordkeeping practices comply with the requirements of PACA. believes that costs for seafood producers alone. Therefore, in its interim final The existence of such infrastructure and (wild fish harvesters and fish farmers) economic impact assessment, the recordkeeping systems reduces the will be relatively low. The Agency’s Agency no longer presents a range of incremental costs of additional interim final regulatory impact analysis costs. informational requirements, including estimates first-year implementation
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costs for fish producers at $241 per country of origin claims as the product preserved state (i.e., not sold as ‘‘fresh’’). producer. The difficulty, however, lies moves through the production and Thus, many of these products would in passing the relevant information marketing chain. For example, a product already be in the chain of commerce along through the food production and that is sourced from only one country prior to September 30, 2004, and the marketing chain so that credible and would require only one production line origin/production information may not verifiable information is made available along with a sufficient recordkeeping be known. Accordingly, the effective to consumers at retail. The additional trail. A product that is sourced from date of this regulation is six months costs throughout the production and more than one country likely would following the date of publication of this marketing chain are not embodied in require some type of segregation plan, interim final rule. Further, AMS will current NOAA recordkeeping additional storage, and perhaps focus its activities for the six months requirements for fishing vessels. additional production lines along with immediately following the effective date Summary of Comments: A commenter the requisite recordkeeping of this interim final rule on industry noted that potential costs include requirements. The fact that fish must education and outreach. This will allow additional equipment for printing codes, also be labeled as wild caught or farm- a total of 12 months for existing product significant computer programming, and raised represents another piece of to clear through the channels of complete label review and redesign. information that must be maintained commerce and for AMS to conduct an Agency Response: The Agency and transferred throughout the system. industry education and outreach believes that these types of costs will be Summary of Comments: Several program concerning the provisions incurred to implement the rule. Both the commenters noted the anticipated costs contained within this rulemaking. preliminary upper-range cost estimates of the proposed rule for their Additionally, this will permit existing published with the proposed rule and businesses. For example, one grower- inventories of labels and packaging the interim final economic impact cooperative estimated that costs for its materials to be exhausted. assessment reflect these added costs. growers alone would exceed $3.5 Summary of Comments: A commenter Summary of Comments: A commenter million. A grocery store chain noted that observed that the preliminary economic said that USDA’s cost estimates are the proposed rule would cost its impact analysis of costs on the fish and substantially understated because they company $3.5 million per year. seafood sector derive from the findings fail to recognize complexity of the Agency Response: These comments of one study, namely Sparks/CBW. This industry, and that USDA’s upper-range confirm the Agency’s conclusion that commenter stated that in the proposed cost estimates are too low. implementation of this regulation is a rule, USDA argues that the Sparks/CBW Agency Response: The Agency complex matter for the affected estimates are too low without providing disagrees with this comment. The industries and that costs will be detailed rationale. upper-range estimates presented in the substantial for many affected entities. In preliminary economic impact these examples, the retailer estimate Agency Response: For fish and assessment sought to reflect the full appears to be consistent with the upper seafood producers, the Agency estimates range of direct, incremental costs that range cost estimates presented in the costs per pound of $0.0025 per pound affected entities would incur during the preliminary economic impact for a total of $19 million, compared to first year of implementation. Likewise assessment. The grower-cooperative the Sparks/CBW total estimate of $1 in this interim final rule, the Agency’s estimate appears to be lower than the million. Fish harvesters and farmers cost estimates seek to reflect the full Agency’s upper range cost estimate per already maintain many of the types of implementation costs that will be faced pound, although the comment does not records sufficient to substantiate by industry. provide much detail about how the total country of origin and wild caught versus Summary of Comments: One was computed and whether the total farm-raised claims. For example, it is commenter observed that the proposed includes both grower costs and USDA’s expectation that the rule will impact the canned seafood intermediary costs. information contained in records production process by requiring the Summary of Comments: A seafood typically kept by fish and shellfish segregation of both raw materials and processor noted that it already includes harvesters and farmers will provide the frozen stock, requiring multiple lids, country of origin information on all necessary information to substantiate and requiring the processing line to be imported canned crabmeat as required these claims. These records include but shut down to switch to another origin. by U.S. Customs and Border Protection, are not limited to hatching records, site Agency Response: Although canned and said that to indicate whether it is maps, feeding records, vessel records, a seafood is exempt from the interim final wild or farm-raised will impose huge U.S. vessel identification number, rule, the Agency believes that these financial and administrative burden. spawning records, and import permits. types of adjustments to operational This commenter stated that it already Additional examples of the types of procedures will be incurred by affected has a substantial amount of inventory of records that may be used to substantiate firms to comply with the rule. The cans that will be unusable and to make origin and method of production claims estimated implementation costs design changes to the packaging will will appear in the compliance guide. presented in the interim final economic take about 1 year, and that it will not However, the basis for arguing higher impact assessment reflect these types of have time to implement by September costs is that systems need to be costs. 30, 2004. implemented to ensure that this Summary of Comments: A commenter Agency Response: Canned seafood information is transferred from noted that about three-fourths of fish products are exempt from the interim producers to the next buyers of their and shellfish consumed in the U.S. is final rule. Nevertheless, the Agency products, and that the information is imported and about one-fourth is recognizes that labeling of wild versus maintained for the required amount of farmed-raised. farm-raised fish and fish products will time. Currently, this type of information Agency Response: The greater the entail additional costs, even in cases in exchange does not necessarily take potential number of countries of origin which country of origin information is place. The Agency believes that its from which to source a given product, already maintained. In addition, many estimated first-year implementation the more complicated will be the task of of the covered commodities sold at costs of $241 per producer are within making, maintaining, and transferring retail are in a frozen or otherwise reason.
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In the case of fish and seafood Agency Response: The Agency competitive with foreign producers of intermediaries and retailers, the Agency assumes that in the longer run, higher low-priced imports by increasing adopted the upper range of the Sparks/ costs will be passed onto consumers in production costs and complicating the CBW estimated costs per pound. the form of higher prices for the covered production process. The commenter However, the Agency estimated that commodities. In the short run, however, said that plants must regularly use greater total units of fish and seafood increased costs incurred by herring that are caught in both the U.S. production would be affected by intermediaries and retailers may lead to and Canada to provide enough supplies, mandatory COOL. In the case of both lower demand at the farm level. Lower and that the rule will make processing intermediaries and retailers, the market demand may in turn translate sardines in Maine less competitive. Agency’s preliminary estimates for fish into lower farm-level prices for and seafood intermediaries included producers. Agency Response: Because the interim canned product, while the Sparks/CBW Summary of Comments: Several final rule does not require labeling of estimates included only fresh and commenters pointed out potential trade- canned fish and seafood products, these frozen product. The Agency’s revised restricting impacts of the proposed rule, concerns have been addressed. estimates exclude canned product, as especially for ground beef processing. Summary of Comments: A commenter well as fish sticks, fish portions, and One commenter noted that a meat stated that mandatory COOL will add breaded shrimp, due to the change in grinder looking for product of least cost costs and reduce the abilities of U.S. the definition of a processed food item. would tend to seek domestic U.S. industries to compete in international In addition, Sparks/CBW estimated that product at the disadvantage of imported markets. one-third of fish and seafood products product. Another commenter stated that would move through retail, compared to the increased cost of mandatory COOL Agency Response: The Agency agrees the Agency’s estimate that 41.4 percent will cause suppliers to cease selling to that mandatory country of origin of the domestic disappearance of the customers in the U.S, as the cost labeling will add costs to the covered covered commodities would be sold associated with multiple sources will commodities. The Agency assumes that through retailers covered by this rule. force distributors to source from a single producers and processors of the covered The Agency received no comments to country. Another commenter said that commodities will seek to maintain refute its initial estimated share of mandatory COOL will restrict trade by flexibility in marketing decisions. Thus, production that would be sold through restricting flexibility of ground beef the Agency assumes that producers and retailers covered by this rule, but the processors. processors will incur recordkeeping and share estimates are revised to reflect the Agency Response: Both importers and associated operational costs to make and lower proportion of fish and shellfish domestic suppliers will be required to substantiate country of origin claims for consumed at home relative to other food meet the requirements of the rule. In the most, if not all, of their production even products. long run, the Agency believes that firms though most of the product ultimately Summary of Comments: A commenter will find efficient ways to comply with will enter channels of distribution not observed that USDA did not provide a the requirements of the rule. Resulting covered by this rule. Higher costs will cost comparison for development of a small trade impacts as estimated by the be passed forward in the form of higher compliance system with the new FDA Economic Research Service (ERS) prices, with the result that U.S. exports recordkeeping requirement under the computable general equilibrium (CGE) of the covered commodities are model stem from general increases in Bioterrorism Act. expected to decline slightly after 10 Agency Response: There are several production costs for the covered years of adjustment to the rule. reasons that the Agency did not take commodities, rather than any provision into consideration the requirements of of the rule. Summary of Comments: A commenter the FDA rules being promulgated under Summary of Comments: A number of observed that implementation of the Bioterrorism Act. Of the rules commenters stated that mandatory mandatory COOL will add costs and proposed by FDA, only the rule relating COOL will restrict trade. One complexities to all covered commodities to the establishment and maintenance of commenter said that COOL is a nontariff regardless of where they are marketed. records likely would have much, if any, trade barrier intended to discriminate Agency Response: The Agency agrees impact on firms’ initiatives to comply against imported products on the basis that mandatory COOL will add costs with mandatory COOL. FDA’s proposed of nationality. and complexities to the covered rule on records maintenance is not yet Agency Response: As previously commodities regardless of where the final, and the Agency cannot anticipate mentioned, both importers and products ultimately are marketed. First, how the final rule may differ from the domestic suppliers will be required to the Agency expects that producers and proposed rule. Also, the covered meet the requirements of the rule, commodities beef, pork, and lamb are which is meant to provide accurate intermediaries will seek to keep their exempt from the FDA rulemaking as the information to consumers with respect marketing options flexible, and thus FDA rules do not cover food regulated to the country of origin and the method will take the steps necessary to exclusively by USDA. Finally, as with of production of the fish and shellfish implement COOL to allow their PACA’s regulations and similar existing products they purchase. The Agency products to be labeled and sold at retail Federal rules, the FDA rules would not estimates that exports of fish and establishments covered by this rule. require that country of origin shellfish will decline slightly and Second, covered commodities for which information be provided to consumers imports will increase slightly after 10 there is no verifiable country of origin by retailers, or that firms’ in the supply years of adjustment to the rule. This is information will no longer be fully chain provide country of origin a result of increased production costs fungible. That is, these products will not information. for the covered fish and shellfish be able to be sold at retail Summary of Comments: A commenter commodities regardless of origin, rather establishments covered by this rule. said that U.S. farmers will be required than any provision of the rule. These products will need to be to absorb a majority of the costs, Summary of Comments: A commenter segregated in the production and marginalizing any profits attributed to noted that the proposed rule will make marketing chain, resulting in reduced increased demand for U.S. commodities. domestic seafood canners less system wide efficiency and higher costs.
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Preliminary Regulatory Flexibility Summary of Comments: A commenter 38 percent of shellfish are eaten at Analysis said that requiring only PACA-licensed home, and that 65.8 percent of that at- Summary of Comments: A commenter retailers to label may provide economic home consumption of the covered said that recordkeeping and other costs incentive for retailers not to be PACA commodities would be sold by retailers of compliance will fall licensed. Another commenter said that subject to the rule. Hence, most of the disproportionately on smaller, the exclusion of fish markets creates an domestic market (62 percent for fish and independent farmers. Another un-level playing field. 75 percent for shellfish) does not require Agency Response: PACA licensing is commenter noted that the position of country of origin information for the mandatory for retailers that purchase small, independent farmers may be covered commodities, which includes perishable agricultural commodities weakened. retailers not subject to the rule and with an invoice value in excess of Agency Response: In the initial foodservice establishments. In addition, $230,000 in a calendar year at retail. regulatory flexibility analysis, the fish and shellfish defined as ingredients Adoption of this definition will assure Agency noted that costs of in a processed food item and export that the vast majority of covered implementation may be proportionately sales are not subject to the requirements commodities will be subject to this rule higher for smaller versus larger firms of this rule. without unduly burdening small Summary of Comments: A commenter given the potential scale economies businesses. said that the notion is flawed that the associated with the operation of systems Fish markets and other retailers not proposed rule offers flexibility because to comply with the requirements of subject to mandatory COOL may have a it is a performance standard rather than mandatory country of origin labeling. In cost advantage over retailers subject to a design standard. particular, larger firms would have the the rule, but the law defines explicitly Agency Response: The Agency’s ability to spread fixed costs of which retailers are required to provide conclusion is based on the notion that implementation over a greater number country of origin information. each firm will be able to develop its of units of production, thereby incurring Summary of Comments: A commenter own least-cost solution for complying lower average costs per unit. said that the preliminary regulatory with the rule, rather than having to meet Conversely, smaller farmers and other flexibility analysis is inadequate as the a rigid design standard. This continues firms may have some implementation proposed alternatives will not decrease to be the case in this interim final rule, cost advantages over larger firms. the burden on small entities. Another and the Agency continues to conclude Smaller farms and firms likely have commenter said that AMS should that the performance standards of the simpler recordkeeping systems, and further study its economic analysis and rule allow firms to comply in the most thus would incur lower development consider alternatives to minimize cost effective way for their operations. costs relative to larger firms. The rule impacts on small entities. Nonetheless, retailers, processors, and does not prescribe a particular Agency Response: The Agency’s other affected firms may develop recordkeeping system; so for example, a initial regulatory flexibility analysis differing requirements for their small fishing operation likely would be examined potential viable alternatives suppliers. The Agency will issue a able to maintain records in hardcopy for small entities, but found relatively compliance guide to assist market form rather than developing a little discretionary authority to provide participants in complying with the complicated electronic recordkeeping additional regulatory relief. This interim requirements of the rule. system. final rule decreases the length of time Summary of Comments: A commenter Summary of Comments: A commenter that records are required to be kept, questioned the assertion in the stated that USDA’s suggestion that a providing some relief to affected entities preliminary regulatory flexibility supplier could market covered both large and small. The number of analysis that number of affected small commodities to other channels products required to be labeled is entities is significantly reduced by the illustrates that mandatory COOL is an reduced because the definition of a PACA definition of retailer. attempt to affect some supplier market processed food item has been Agency Response: The Agency preference with a discriminatory effect broadened, thus providing additional disagrees with this comment. As against the supermarket industry. regulatory relief. The Agency will detailed in the preliminary regulatory Agency Response: The intent of prepare a compliance guide to assist flexibility analysis, there were 67,916 mandatory COOL is not to discriminate firms, both small and large, to comply food stores, warehouse clubs, and against the retailers subject to the law with the requirements of the rule. superstores operated the entire year and the rule. Nonetheless, some retailers Summary of Comments: A commenter according to the 1997 Economic Census, are required to provide country of origin said that it is not reasonable for market and 66,868 of these firms are small. information for the covered participants to sell their products Based on PACA data, the Agency commodities, while foodservice through other channels not subject to estimates that 4,512 retailers would be establishments and other retailers not the proposed rule. subject to this rule, with 3,464 of these subject to the rule are not required to Agency Response: The Agency being small. Thus, 63,404 smaller provide such information. The Agency’s assumes that most entities will seek to retailers, or 94.8 percent of all small suggestion makes the point that maintain maximum marketing food store retailers would not be producers and intermediaries could flexibility by complying with the affected. These are estimates of the seek regulatory relief by selling their requirements of this rule. Nonetheless, number of firms and not the number of products through alternative marketing the Agency disagrees with the assertion establishments. The Small Business channels. As explained in the economic that it would not be reasonable for some Administration defines size standards impact assessment, however, the market participants to sell their based on the size of the business or firm, Agency assumes that producers and products through channels other than not the size of the establishments intermediaries will seek to provide retailers expressly required to provide operated by the firm. country of origin information for country of origin information. As The Agency recognizes that all virtually all of their production so as to detailed in the economic impact producers and intermediaries choosing maintain maximum marketing assessment, the Agency estimates that to sell through marketing channels flexibility. 58 percent of fresh and frozen fish and supplying the covered retailers would
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need to meet the requirements of the a recordkeeping trail that can be only those retailers handling fresh and rule. The Agency did not assert that the audited. frozen fruits and vegetables with an number of small entities in these sectors Summary of Comments: A commenter invoice value of at least $230,000 would be reduced by the definition of noted that the Small Business annually. Most small food store firms, a retailer. As noted previously, however, Regulatory Enforcement Fairness Act which may keep manual records, have the majority of the sales of the covered requires publication of a compliance been excluded from mandatory COOL commodities are through channels not guide that explains the rule, provides based on the PACA definition of a affected by this rule, which provides compliance scenarios to illustrate and retailer. The Agency believes that most substantial marketing opportunities for clarify any complexities, lessens small wholesalers and retailers covered by product without verifiable country of businesses’ anxiety about complying mandatory COOL already have origin claims. with the rule, and provides suggestions established electronic recordkeeping Summary of Comments: A commenter on how to structure data collection and systems and will only require the questioned the Agency’s conclusion that recordkeeping systems. modification of existing recordkeeping costs for producers will be limited and Agency Response: The Agency will systems rather than the development of will generally include costs involved in develop a compliance guide to assist new systems. Conceptually, the task of establishing and maintaining a firms in complying with the rule. modifying a paper-based recordkeeping recordkeeping system. Preliminary Paperwork Reduction Act system is no different than the task of Agency Response: In its preliminary modifying an electronic recordkeeping Summary of Comments: A commenter system. Therefore, the Agency believes regulatory impact analysis, the Agency stated that wholesalers will have to estimated a range of implementation that its estimation represents a develop new recordkeeping systems and reasonable approximation of the variety costs. The lower-range estimates that substantial labor costs will be reflected the costs of implementing and of solutions that firms will undertake to incurred because wholesalers are comply with the rule. maintaining a recordkeeping system. responsible for tracking the identity of The upper-range costs reflected Summary of Comments: A commenter both the prior seller and the subsequent said that if USDA is using the ‘‘FDA one additional operational costs that would buyer. be incurred to comply with the rule. In pager’’ as a model, USDA should make Agency Response: In the proposed it public and publish it in the Federal the preliminary analysis, the Agency rule, the Agency estimated the initial concluded that direct incremental costs Register. costs associated with recordkeeping, Agency Response: A more complete likely would fall in the middle to upper which includes the costs of maintaining discussion of the Label Cost Model is end of the estimated range. In the country of origin information of the available in the FDA proposed rule on interim final regulatory impact analysis, covered commodities purchased and ‘‘Establishment and Maintenance of the Agency presents a single cost subsequently furnishing that Records Under the Public Health estimate to reflect its conclusion that information to the next participant in Security and Bioterrorism Preparedness costs for affected entities will be higher the supply chain. For products that are and Response Act of 2002’’ (68 FR than the preliminary lower-range costs not pre-labeled, this action would 25187). for recordkeeping activities alone. require adding information to a firm’s Summary of Comments: A commenter Summary of Comments: A commenter bills of lading, invoices, or other records noted that USDA uses contradictory said that the Agency should expand its associated with movement of covered assumptions—on the one hand USDA analysis to take into consideration that commodities from purchase to sale. The says industry will do electronic the rule will likely impact all entities Agency believes that most wholesalers recordkeeping and on the other it bases along the supply chain, not just those already have functioning recordkeeping cost estimates on a paper-based system. PACA licensed retailers. systems and will require only Agency Response: As noted Agency Response: The Agency’s modification of existing recordkeeping previously, the Agency believes that the initial regulatory impact and regulatory systems rather than the development of task of modifying a recordkeeping flexibility analyses considered all new systems. The Label Cost Model system is similar conceptually potentially affected firms, from developed for FDA is used to estimate regardless of whether the system is producer through intermediaries the cost of including additional country electronic or paper based. Therefore, the through retailers subject to this rule. of origin information to an operation’s Agency believes that its approach to Summary of Comments: A commenter records. The costs of labor in estimating costs adequately represents stated that the flexibility provided is not establishing and maintaining these the variety of recordkeeping systems particularly helpful to small entities. records are included in these cost currently in place. Agency Response: The Agency has estimates. The Agency concludes that Summary of Comments: A commenter provided as much regulatory relief for these costs will be substantial and will said that USDA has wrongly decreased small entities as possible, within the involve substantial labor costs. the estimated recordkeeping costs for limits of the discretionary authority Summary of Comments: A commenter intermediaries like wholesalers (from provided by the law. The requirements strongly disagrees with the assumption the recordkeeping burden estimated for of the rule flow from the law that that the recordkeeping for retailers and the voluntary guidelines). requires retailers to inform consumers of others will be accomplished primarily Agency Response: In response to the the country of origin of the covered by electronic means. According to the estimated PRA burden published for the commodities. Information must flow commenter’s survey, 75 percent of voluntary country of origin labeling throughout the supply chain to enable retailers and wholesalers would have to guidelines, the Agency received retailers to provide the required keep manual records. numerous comments on its estimated information to consumers, regardless of Agency Response: The Agency has costs and the number of enterprises the size of the businesses participating made a number of visits to retailer and impacted by the guidelines. As a result, in the supply chain. To ensure wholesaler facilities. Retailers covered the Agency carefully reconsidered its compliance and integrity of the by this rule must meet the definition of estimates in preparing the preliminary program, the Agency has determined a retailer as defined by PACA. The paperwork burden estimate for the that these claims must be supported by PACA definition of a retailer includes proposed rule. As a result of these
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revisions, the Agency has refined its Summary of Comments: A commenter annual effect on the economy of this estimates of the numbers of affected said that USDA has underestimated the interim final rule for fish and shellfish entities and the costs per entity. In number of hours needed for is less than $100 million, it remains an addition, a further improvement from recordkeeping, noting that one hour per economically significant regulatory the voluntary country of origin week for wholesalers is too low because action because it would adversely affect recordkeeping cost estimates is the use it will take more than one hour per day. in a material way a sector of the of Bureau of Labor Statistics wage rates This commenter also stated that one economy and therefore has been for tasks required by producers, hour per day for retailers is also too low. reviewed by the Office of Management distributors, handlers, packers, Agency Response: For fish and and Budget (OMB). Executive Order processors, wholesalers, and retailers for seafood wholesalers, the Agency 12866 requires that a regulatory benefit- recordkeeping. Similarly, a more estimates the maintenance burden for cost analysis be performed on all appropriate estimate is added to the country of origin recordkeeping to be 52 economically significant regulatory wage rate to account for total benefits. hours per year per establishment, or one actions. All of this resulted in the reduction of hour per week. The Agency recognizes This interim final regulatory impact the total estimated recordkeeping costs that some of these wholesalers may assessment reflects revisions to the under mandatory COOL in comparison require more than one hour a week to PRIA (68 FR 61952). Revisions to the to the voluntary guidelines, and the maintain country of origin information. PRIA were made as a result of changes Agency believes this is a more accurate However, a number of smaller to this rule relative to the proposed rule, assessment. wholesalers and those that do not in responses to comments on the PRIA Summary of Comments: A commenter operate continuously throughout the itself, and as a result of narrowing the said that the assumed administrative year will likely require less than an scope of covered commodities affected hourly rate of $16.05 ignores average of one hour per week. by the rule. Specifically, this interim supervisory, professional, and Therefore, the Agency believes an final rule defines covered commodities management time required at the average of one hour per week per as farm-raised and wild fish and wholesale and retail level. This establishment is a reasonable estimate shellfish. The Comments and Responses section commenter further stated that if for these wholesalers. In the case of lists the comments received on the PRIA overhead costs are to equate fringe general line grocery wholesalers, the and provides the Agency’s responses to benefits, the rate should be 30–35 Agency reduced the maintenance the comments. Where substantially percent, not 25 percent. burden from 52 to 12 hours annually per establishment because fish and shellfish unchanged, results of the PRIA are Agency Response: The Agency summarized herein, and revisions are believes that the administrative support represent only a portion of the commodities handled by these described in detail. Interested readers occupations category represents a are referred to the text of the PRIA for reasonable composite of the labor skills establishments. Taking into account Agency reviews a more comprehensive discussion of the that will be involved in recordkeeping assumptions, data, methods, and results. activities for wholesalers and retailers. of retailers’ operations, the Agency The Agency believes these believes that an additional hour of Summary of the Economic Analysis responsibilities would be assumed recordkeeping activities for country of The estimated incremental benefits under the current supervisory and origin information will be incurred associated with this interim final rule management structure. For handlers, daily at each retail establishment. The are difficult to quantify, but current processors, wholesalers, and other Agency’s estimate of one hour per day information indicates that they are not intermediaries as well as retailers the for retailers is only for the maintenance likely to be large. The estimated first- Agency believes the maintenance portion of the recordkeeping of country year incremental costs for fish and activities for recordkeeping will include of origin information. Maintenance shellfish harvesters, producers, inputting, tracking, and storing country activities will include inputting, processors, wholesalers, and retailers of origin information for each covered tracking, and storing country of origin are $89 million. Maintenance costs commodity. While the Agency information for each covered beyond the first year are expected to be acknowledges that supervisory and commodity. lower than the combined start up and management input will be required, the In summary, this interim final rule maintenance costs required in the first Agency also notes that some labor will adopts the fish and shellfish provissions year. The estimated cost to the U.S. be supplied by workers receiving lower of the October 30, 2003 (68 FR 61944), economy in higher food prices and wages. In some of our visits to retailers, proposed rule with the changes reduced food production (deadweight it was indicated that these firms were discussed herein and with other loss) in the tenth year after employing more high school and college changes made for purposes of clarity implementation of the rule is $6.2 students than in the past to reduce their and accuracy. million, or about two cents per person costs. III. Impact Analysis annually based on the current U.S. Bureau of Labor Statistics (BLS) data population. In other words, the U.S. are used for both the wage and for Executive Order 12866—Interim Final economy would be worse off after overhead costs (which include social Regulatory Impact Analysis implementing this rule. security, unemployment insurance, USDA has examined the economic Note that this analysis addresses workers compensation, and other impact of this interim final rule as implementation of labeling benefits). In this interim final rule, the required by Executive Order 12866. In requirements for fish and shellfish wage rates and fringe benefits rate are its Preliminary Regulatory Impact destined for human consumption only. both updated to 2002 BLS figures, Assessment (PRIA), USDA determined Note also that this analysis does not which results in increased wage rates that the regulatory action was quantify certain costs of the interim and benefits. The Agency believes this economically significant, as it was likely final rule such as the cost of the rule is the most accurate and documented to result in a rule that would have an after the first year, or the cost of any estimate of wages and additional annual effect on the economy of $100 supply disruptions or any other ‘‘lead- employer paid benefits. million or more. Although the estimated time’’ issues. Except for the
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recordkeeping requirements, there is the provision of the optimal level of etc.) do not need to identify the country insufficient information to distinguish country of origin information. of origin and method of production between first year start up and (wild and/or farm-raised) of these pre- Alternative Approaches maintenance costs versus ongoing labeled products. For example, if a maintenance costs for this interim final The PRIA noted that many aspects of processor labels the country of origin rule. the mandatory COOL provisions of Pub. and method of production on a package USDA finds little evidence that L. 107–171 are prescriptive and provide of salmon steaks, and the salmon steaks consumers are willing to pay a price little regulatory discretion for this ultimately are sold in that package at premium for country of origin labeling. rulemaking. Some commenters retail, then that label may serve as USDA also finds little evidence that suggested that USDA explore more sufficient evidence on which the retailer consumers are likely to increase their opportunities for less costly regulatory may rely to establish the product’s purchase of food items bearing the U.S. alternatives. Specific suggestions origin and method of production. Thus, origin label as a result of this focused on methods for identifying the retailer’s records would not need to rulemaking. Current evidence does not country of origin, recordkeeping show country of origin and method of suggest that U.S. producers will receive requirements, and the scope of products production information for that package sufficiently higher prices for U.S.- required to be labeled. of salmon, but the retailer’s records A number of comments on the PRIA labeled products to cover the labeling, would need to include information to suggested that USDA adopt a recordkeeping, and other related costs. allow the source of those salmon steaks ‘‘presumption of U.S. origin’’ standard The lack of participation in voluntary to be tracked back through the system to for identifying commodities of U.S. programs for labeling products of U.S. allow the country of origin and method origin. Under this standard, only origin provides evidence that consumers of production claims to be verified at imported covered commodities would currently are unwilling to pay price the point in the system at which the be required to be identified and tracked claims were initiated. Under the premiums sufficient to recoup the costs according to their respective countries of labeling. proposed rule, the retailer would have of origin. Any covered commodity not also have been required to identify the Statement of Need so identified would then be considered country of origin and method of by presumption to be of U.S. origin. A production of the package of salmon Justification for this interim final rule presumption of origin standard would remains unchanged from the PRIA. This within its recordkeeping system; the require mandatory identification of information provided on the package rule is the direct result of statutory products not of U.S. origin. The law, obligations to implement the COOL itself would not have been sufficient. however, specifically prohibits USDA This change in recordkeeping provisions of the Farm Bill, which from using a mandatory identification amended the Act by adding Subtitle D— requirements should lessen the number system to verify the country of origin of of changes that entities in the Country of Origin Labeling. There are no a covered commodity. In addition, as alternatives to Federal regulatory distribution chain need to make to their discussed in the proposed rule (68 FR recordkeeping systems and should intervention for implementing this 61944), the Agency does not believe that statutory directive. lessen the amount of data entry that is a presumption of U.S. origin standard required. The country of origin labeling provides a means of providing country The interim final rule changes the provisions of the Farm Bill change of origin information that is credible definition of a processed food item such current Federal labeling requirements and can be verified. Comments on the that a greater number of products are for muscle cuts of beef, pork, and lamb; proposed rule did not identify how to now exempt from country of origin ground beef, ground pork, and ground overcome these obstacles. Thus, a labeling requirements. The fewer the lamb; farm-raised fish; wild fish; presumption of U.S. origin standard is number of products that must be perishable agricultural commodities; not a viable alternative. labeled, the lower are implementation and peanuts (hereafter, covered A number of commenters suggested and maintenance costs for many commodities). Under current Federal that USDA reduce the recordkeeping affected entities. laws and regulations, COOL is not burden for the rule. In this interim final universally required for covered rule, the recordkeeping retention period Analysis of Benefits and Costs commodities. Provisions concerning for retailers is reduced from 7 days As in the PRIA, the baseline for this labeling requirements for farm-raised following the retail sale of the product analysis is the present state of the and wild fish are provided herein. to the length of time the product is on affected industries absent mandatory Labeling requirements for the remaining hand. In addition, the overall COOL. USDA recognizes that some covered commodities become effective recordkeeping retention period for affected firms have already begun to on September 30, 2006. Therefore, this retailers and suppliers is reduced from implement changes in their operations rule and economic impact analysis 2 years to 1 year. to accommodate the law and the address requirements and impacts for The interim final rule also expected requirements of this interim farm-raised and wild fish and shellfish ‘‘streamlines’’ the required final rule. only. recordkeeping for items that are pre- Benefits: The expected benefits from As described in the PRIA, the labeled (i.e., labeled by the implementation of this rule are difficult conclusion remains that there does not manufacturer/first handler) with the to quantify. The Agency’s conclusion appear to be a compelling market failure required country of origin and method remains unchanged, which is that the argument regarding the provision of of production (wild and/or farm raised) estimated economic benefits will be country of origin information. information. Records that demonstrate small and will accrue mainly to those Comments received on the PRIA elicited the chain of custody (immediate consumers who desire country of origin no evidence of significant barriers to the previous source and/or subsequent and method of production information. provision of this information other than recipient, as applicable) for all covered There clearly is some level of interest by private costs to firms in the supply items must be maintained, but the consumers in the country of origin of chain and low expected returns. Thus, underlying records (e.g., invoices, bills food. In addition, the Agency received market mechanisms likely would lead to of lading, production and sales records, numerous comments expressing an
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interest in labeling of fish and shellfish of incremental cost estimates reflected does not represent the impacts of as wild or farm-raised. The rule will the costs to modify and maintain mandatory COOL requirements for all provide benefits to these consumers. current recordkeeping systems, while covered commodities. However, commenters provided no the upper range of estimates reflected Note that a general equilibrium additional substantive evidence to alter other capital and operational costs to analysis differs from a partial the Agency’s conclusion that the comply with the proposed rule. We equilibrium analysis in that a partial measurable economic benefits of concluded in the PRIA that costs likely equilibrium analysis would examine the mandatory COOL will not be large. would fall in the middle to upper end effects of the mandatory COOL on Additional information and studies of the range of estimated costs. Taking consumers and producers of fish and cited by commenters were of the same into account comments received on the shellfish. The general equilibrium type identified in the PRIA—namely, proposed rule and the PRIA, this approach is a more encompassing consumer surveys and willingness-to- interim final regulatory impact analytic approach. However, the gains pay studies. The Agency does not assessment presents only a single set of and losses to consumers and producers believe that these types of studies estimates for anticipated costs. of fish and shellfish are not identified provide a sufficient basis to estimate the Comments representing affected entities separately from the rest of the economy. quantitative benefits, if any, of COOL. clearly described that compliance with Annual costs to the U.S. economy in A number of commenters pointed to the rule would require changes beyond terms of reduced purchasing power recent food safety incidents, suggesting recordkeeping alone. Thus, the revised resulting from a loss in productivity that mandatory COOL would provide incremental cost estimates reflect not after a 10-year period of adjustment are food safety benefits to consumers. As only additional recordkeeping costs, but estimated at $6.2 million. Domestic discussed in the PRIA, mandatory also additional payments by the directly production of fish and shellfish at the COOL does not address food safety affected firms for capital, labor, and producer and retail levels is estimated issues. Appropriate preventative other expenses that will be incurred as to be lower and prices to be higher. U.S. measures and effective mechanisms to a result of operational changes to exports of fish and shellfish are recall products in the event of comply with the rule. estimated to decrease, while U.S. contamination incidents are more First-year incremental costs for imports of fish and shellfish are comprehensive means of protecting the directly affected firms are estimated at estimated to increase. health of the entire consuming public $89 million. The large change relative to The findings indicate that directly regardless of the form in which a the estimate of $3.9 billion for the affected industries recover the higher product is consumed or where it is proposed rule is attributable to the fact costs imposed by the rule through purchased. In addition, foods imported that this interim final rule covers only slightly higher prices for their products. into the U.S. must meet food safety fish and shellfish. Costs per firm are With higher prices, the quantities of standards equivalent to those required estimated at $241 for fish and shellfish their products demanded also decline. of products produced domestically. harvesters and producers, $1,890 for Consumers pay slightly more for the Costs: To estimate the costs of this intermediaries (such as handlers, products and purchase less fish and rule, we employed a two-pronged importers, processors, and wholesalers), shellfish. Overall, however, the fish and approach. First, we estimated and $12,600 for retailers. shellfish account for a small portion of implementation costs for firms in the To estimate the overall impacts of the the U.S. economy and of consumers’ industries directly affected by the rule. higher costs of production resulting budgets. Thus, the ‘‘deadweight’’ The implementation costs on directly from the interim final rule, we used a economic burden of the rule is affected firms represent increases in model of the entire U.S. economy. We considerably smaller than the capital, labor, and other input costs that adjusted the model by imposing the incremental costs to directly affected firms will incur to comply with the estimated implementation costs on the firms. requirements of the rule. These costs are directly impacted segments of the Estimated impacts of this interim final expenses that these particular firms economy in a computable general rule are subject to uncertainties inherent must incur, but are not necessarily costs equilibrium model developed by the in this type of prospective economic to the U.S. economy as measured by the Economic Research Service (ERS). The analysis. Firms directly affected by this value of goods and services that are model estimates changes in prices, interim final rule differ considerably in produced. We then applied the production, exports, and imports as the size and in their operational implementation cost estimates to a directly impacted industries adjust to characteristics. Actual impacts on general equilibrium model to estimate higher costs of production over the individual firms and on the overall overall impacts on the U.S. economy longer run (namely, 10 years). Because economy resulting from the interim after a 10-year period of economic the model covers the whole U.S. final rule may vary from the average adjustment. The model provides a economy, it also estimates how other estimated impacts presented herein. means to estimate the change in overall segments of the economy adjust to The remainder of this section consumer purchasing power after the changes emanating from the directly describes in greater detail how we economy has adjusted to the affected segments and the resulting developed the estimated direct, requirements of the rule. change in overall productivity of the incremental costs and the overall costs Details of the data, sources, and economy. to the U.S. economy. methods underlying the cost estimates This general equilibrium analysis is Cost assumptions: This interim final are provided in the PRIA. This section developed from the standpoint that only rule directly regulates the activities of provides the interim final cost estimates farm-raised and wild fish and shellfish retailers (as defined by the law) and and describes revisions made to the products will be directly affected by the their suppliers. Retailers are required by PRIA. interim final rule. Implementation and the rule to provide country of origin and In the PRIA, we developed a range of economic costs for the other covered method of production (wild and/or estimated implementation costs to commodities are not included in this farm-raised) information for fish and reflect the likely range of first-year costs analysis. Thus, this analysis illustrates shellfish products that they sell, and for directly affected firms to comply the relative scale of the overall impacts firms that supply these products to with the proposed rule. The lower range of this rule on the U.S. economy, but these retailers must provide them with
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this information. In addition, all other information will need to be maintained that approximately 125,000 firms in the supply chain for the and transferred along the entire supply establishments owned by approximately relevant fish and shellfish products are chain to enable retailers to correctly 91,000 firms would be either directly or potentially affected by the rule because label the products at the point of final indirectly affected by this rule. Table 1 country of origin and method of sale. provides estimates of the affected firms production (wild and/or farm-raised) Number of firms and number of and establishments. establishments affected: We estimate
TABLE 1.—ESTIMATED NUMBER OF AFFECTED ENTITIES
Establish- Type Firms ments
Fish: Farm-Raised Fish and Shellfish ...... 3,540 3,540 Fishing ...... 76,499 76,452
Fresh & Frozen Seafood Processing ...... 582 653 Fish & Seafood Wholesale ...... 2,897 2,980
General Line Grocery Wholesalers ...... 3,183 3,993 Retailers ...... 4,512 37,176
Totals: Producers ...... 80,039 79,992 Intermediaries ...... 6,662 7,626 Retailers ...... 4,512 37,176
Grand Total ...... 91,213 124,794
In contrast to the PRIA, the beef, pork, shellfish exclusively into items that required to inform consumers as to the lamb, perishable agricultural would be exempt from this rule under country of origin and method of commodity and peanut sectors are no the definition of a processed food item. production (wild and/or farm-raised) of longer directly affected by this interim For example, a firm that produces only the covered fish and shellfish products final rule. Thus, entities in these sectors breaded shrimp would not be subject to that they sell. To accomplish this task, are removed from the estimated number the requirements of this interim final individual package labels or other point- of affected entities. In addition, the rule. of-sale materials will be required. If numbers of affected entities in the We assume that all firms and products are not already labeled by seafood processing industry are establishments identified in Table 1 will suppliers, the retailer will be lowered. Canned seafood products be impacted by the rule, although some responsible for labeling the items or would have required labeling under the may not produce or sell products providing the country of origin and proposed rule, but are exempt under the ultimately within the scope of the rule. method of production (wild and/or interim final rule because of the revised While this assumption likely overstates farm-raised) information through other definition of a processed food item. the number of affected firms and point-of-sale materials. This may require While there may be fishing operations establishments, we believe that the additional retail labor and personnel that harvest fish destined exclusively for assumption is reasonable. Detailed data training. A recordkeeping system will be are not available on the number of canning, data on the number of such required to ensure that products are entities categorized by the marketing operations are unavailable. In addition, labeled accurately and to permit channels in which they operate and the fishing vessels that target a particular compliance and enforcement reviews. specific products that they sell. For most retail firms of the size defined species destined for canning often have Source of cost estimates: To develop by the statute (i.e., those retailing fresh a by-catch of other species that would estimates of the cost of implementing and frozen fruits and vegetables with an be destined for fresh or frozen end uses. this rule, we reviewed the comments invoice value of at least $230,000), we Thus, we believe that keeping the received on the voluntary guidelines (67 assume that recordkeeping will be estimated number affected fishing FR 63367), the comments received on accomplished primarily by electronic operations unchanged is a reasonable the proposed rule for mandatory COOL means. Modifications to recordkeeping assumption. In the PRIA, the seafood (68 FR 61944), and available economic systems will require software product preparation and packing studies. No single source of information, programming, but in most cases should industry included fresh and frozen however, provided comprehensive not entail additional computer seafood processing and seafood canning. coverage of all economic benefits and Because the interim final rule exempts costs associated with mandatory COOL. hardware. We expect that retail stores canned seafood products, the number of We applied available information and will also undertake efforts to ensure that affected seafood processing firms is our knowledge about the operation of their operations are in compliance with reduced from 741 to 582 and the the supply chains for the covered the interim final rule. number of establishments from 823 to commodities to synthesize the findings Prior to reaching retailers, most 653. We assume that all of these of the available studies about the rule’s covered fish and shellfish products remaining fresh and frozen seafood potential costs. move through distribution centers or processing firms prepare at least some Cost drivers: This interim final rule is warehouses. Direct store deliveries are covered commodities, although there a retail labeling requirement. Retail an exception. Distribution centers will may be some firms that prepare fish and stores subject to this rule will be be required to provide retailers with
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country of origin and method of efficiency of operations may be affected to source supplies from a single country production (wild and/or farm-raised) if products are segregated in receiving, of origin. Additional procurement costs information. This will require storage, processing, and shipping may include higher transportation costs additional recordkeeping processes to operations. For processors handling due to longer shipping distances and ensure that the information passed from products from multiple origins, there higher acquisition costs due to supply suppliers to retail stores permits may also be a need to separate shifts for and demand conditions for products accurate product labeling and permits processing products from different from a particular country of origin, compliance and enforcement reviews. origins, or to split processing within whether domestic or foreign, and having Additional labor and training may be shifts. In either case, costs are likely to the same method of production, required to accommodate new processes increase. Records will need to be whether wild or farm-raised. and procedures needed to maintain the maintained to ensure that accurate flow of country of origin and method of country of origin and method of At the production level, fish production (wild and/or farm-raised) production (wild and/or farm-raised) producers and harvesters will need to information through the distribution information is retained throughout the create and maintain records to establish system. There may be a need to further process and to permit compliance and country of origin and method of segregate products within the enforcement reviews. production (wild and/or farm raised) warehouse, add storage slots, and alter Processors handling only domestic information for the products they sell. product stocking, sorting, and picking origin products or products from a Country of origin and method of procedures. single country of origin and a single production (wild and/or farm-raised) Processors of covered fish and method of production may have lower information will need to be transferred shellfish products will also need to implementation costs compared with to the first handler of their products, inform retailers and wholesalers as to processors handling products from and records sufficient to allow the the country of origin and method of multiple origins and methods of source and method of production of the production (wild and/or farm-raised) of production. A processor that already product to be traced back will need to the products that they sell. To do so, sources products from a single country be maintained as the products move their suppliers will need to provide would not face additional costs through the supply chains. In general, documentation regarding the country of associated with product segregation and additional producer and harvester costs origin and method of production (wild tracking, provided that the products also include the cost of establishing and and/or farm-raised) of the products that have the same method of production maintaining a recordkeeping system for they sell. Maintaining country of origin (wild or farm-raised). Procurement costs country of origin and method of and method of production (wild and/or also may be unaffected in this case, if production (wild and/or farm-raised) farm-raised) identity through the the processor is able to continue information, product identification, and processing phase is more complex if sourcing products from the same labor and training. products from more than one country or suppliers. Alternatively, a processor that from more than one method of currently sources products from Incremental cost impacts on affected production are involved. For example, multiple countries may choose to limit entities: To estimate direct costs of this the identity of wild shrimp from the its source to a single country to avoid rule, we focus on units of production U.S. and farm-raised shrimp from costs associated with product that are impacted (Table 2). Relative to Thailand entering the same processing segregation and tracking. In this case, the PRIA, estimated quantities are facility would need to be maintained such cost avoidance would be partially reduced for fish and shellfish at the throughout the packing operation. The offset by additional procurement costs intermediary and retailer levels.
TABLE 2.—ESTIMATED ANNUAL UNITS OF FISH AND SHELLFISH PRODUCTION AFFECTED BY MANDATORY COUNTRY OF ORIGIN LABELING
Million pounds
Producer ...... 7,707 Intermediary— Fresh and Frozen Fish: U.S. Food Disappearance ...... 1,617 Adjustments for Fish Sticks & Portions: U.S. Production ...... ¥232 Imports ...... ¥16 Exports ...... 5
Adjusted Subtotal ...... 1,374
Fresh and Frozen Shellfish: U.S. Food Disappearance ...... 1,304 Adjustments for Breaded Shrimp: U.S. Production ...... ¥152 Imports ...... ¥7
Adjusted Subtotal ...... 1,145
Total, Intermediary ...... 2,519
Retailer— At-Home Consumption: Fish ...... 797
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TABLE 2.—ESTIMATED ANNUAL UNITS OF FISH AND SHELLFISH PRODUCTION AFFECTED BY MANDATORY COUNTRY OF ORIGIN LABELING—Continued
Million % pounds
Shellfish ...... 435
Total ...... 1,232
Total, Affected Retailers ...... 811
For fish producers, production is of this rule. Exports of fish sticks (5 based on estimated at-home and away- measured by round weight (live weight) million pounds, Ref. 3) are added back from-home the National Seafood pounds of fish, except mollusks, which to U.S. production to estimate net U.S. Consumption Survey conducted by the excludes the weight of the shell. Wild supplies of these exempt products (i.e., National Marine Fisheries Service (Ref. caught fish and shellfish production is domestic production plus imports 4). Based on these percentages, at-home measured by U.S. domestic landings for minus exports). Similar calculations are consumption is estimated at 797 million fresh and frozen human food. The PRIA applied to fresh and frozen shellfish to pounds for covered fresh and frozen fish estimate inadvertently omitted landings account for breaded shrimp. In the case products and 435 million pounds for of fish for canned human food, which of shellfish, however, U.S. trade data covered shellfish products (Table 2). would have required labeling under the (Ref. 3) do not identify exports of Total at-home consumption of covered proposed rule. Canned fish, however, is breaded shrimp. Accordingly, exports of fresh and frozen shellfish products is exempt from this interim final rule. We breaded shrimp are treated as zero for estimated at 1.2 billion pounds. As in assume that fish harvesters generally purposes of the calculations shown in the PRIA, 65.8 percent of at-home know whether their catch is destined for Table 2. consumption is estimated to be sold by fresh and frozen markets, canning, or PRIA estimates of the volume of affect retailers subject to this rule. As a result, industrial use. Fish production also product at the retail level are revised to the total volume of fresh and frozen fish includes farm-raised fish. Total reflect changes in the definition of a and shellfish products affected by this estimated fish production is unchanged processed food item and to improve the rule is estimated to be 811 million from the PRIA. accuracy of the estimates. First, pounds at retail. Total fish and shellfish We assume that all sales by estimated fish and shellfish retailer volume at retail is thus reduced 891 intermediaries such as handlers, volume is reduced by 493 million million pounds from the PRIA estimate. packers, processors, wholesalers, and pounds from the PRIA estimate to Table 3 summarizes the direct, importers will be impacted by the rule. remove canned fish and shellfish (Ref. incremental costs that we believe firms Although some product is destined 1), which is exempt from the will incur during the first year as a exclusively for foodservice or other requirements of this rule under the result of this interim final rule. These channels of distribution not subject to revised definition of a processed food estimates are derived primarily from the the interim final rule, we assume that item. Second, revised factors are used to available studies that addressed cost these intermediaries will seek to keep estimate the volume of product impacts of mandatory COOL, coupled their marketing options open for requiring labeling at retailers subject to with our estimates of the volume of possible sales to subject retailers. this rule. affected production at each level of the Among other adjustments, fish and In the PRIA, food disappearance supply chain. shellfish production at the intermediary figures were multiplied by 0.414 to level is reduced by 1.2 billion pounds represent the estimated share of TABLE 3.—ESTIMATES OF FIRST-YEAR from the PRIA estimate to account for production sold through retailers IMPLEMENTATION COSTS FOR FISH the removal of canned fish and shellfish covered by the proposed rule. To derive AND SHELLFISH, PER AFFECTED IN- (Ref. 1). this share, the factor of 0.629 was used DUSTRY SEGMENT Further adjustments to intermediary to remove the 37.1 percent food service volume are made to remove other major quantity share of total food in 2002. Million categories of products exempt from This factor was then multiplied by dollars labeling—fish sticks, fish portions, and 0.658, which was the share of sales by breaded shrimp. Fish sticks and supermarkets, warehouse clubs and Producer ...... 19 Intermediary ...... 13 portions are shaped masses of cohering superstores of food for home Retailer ...... 57 fish flesh, and are thus defined as a consumption in 2002. In other words, processed food item. The volume of we assumed supermarkets, warehouse Total ...... 89 affected fish production is computed clubs and superstores represent the separately from shellfish production. As retailers as defined by PACA, and these Assumptions and procedures shown in Table 2, U.S. disappearance of retailers were estimated to account for underlying the cost estimates are fresh and frozen fish is estimated at 65.8 percent of retail sales of the described fully in the discussion of the 1,617 million pounds in 2001 (Ref. 1), covered commodities. upper range estimates presented in the which includes imports but excludes Compared to other food products, PRIA. Changes from the PRIA estimates exports. This figure is reduced by the greater proportions of fish and shellfish are highlighted herein. estimated U.S. production of fish sticks are eaten away from home, and smaller As in the PRIA (68 FR 61952), we and portions (232 million pounds, Ref. proportions are eaten at home. We estimate costs to fish and shellfish 2) and by imports of fish sticks (16 estimate that 58 percent of fresh and producers at $0.0025 per pound. Total million pounds, Ref. 3), as these items frozen fish and 38 percent of shellfish costs for fish and shellfish producers are would be exempt from the requirements are eaten at home. These proportions are thus estimated at $19 million,
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unchanged from the PRIA upper range There are wide differences in average are likely to face different costs. Thus, estimate. As mentioned previously, the estimated implementation costs for the range of costs incurred by individual PRIA estimated of fish landings individual entities in different segments businesses within each segment is inadvertently omitted U.S. domestic of the supply chain (Table 4). With the expected to be large, with some firms landings used for canned human food. exception of a small number of fishing incurring only a fraction of the average Thus, the estimated volume of fish is operations, producer operations are costs and other firms incurring costs unchanged at the producer level even single-establishment firms. Thus, many times larger than the average. though the interim final rule now average estimated costs per firm and per We believe that the major cost drivers exempts canned fish. With the same establishment are the same after for the rule occur when covered estimate of the number of affected rounding to the nearest dollar. In commodities are transferred from one producers, the estimated cost per contrast, retailers subject to the rule firm to another, when covered producer remains unchanged. operate an average of just over eight commodities are commingled in the Consistent with the PRIA (68 FR establishments per firm. As a result, production or marketing process, and 61952), we adopt $0.005 per pound as average estimated costs per retail firm when products are assembled and then an estimate of costs for intermediaries in also are just over eight times larger than redistributed to retail stores. In part, we the fish and shellfish sector. Processors average costs per establishment. believe that some requirements of the will need to collect country of origin rule will be accomplished by firms and method of production (wild and/or TABLE 4.—ESTIMATED FIRST-YEAR IM- using essentially the same processes and farm-raised) information from PLEMENTATION COSTS PER FIRM practices as are currently used, but with information on country of origin and producers, maintain this information, AND ESTABLISHMENT and supply this information to other method of production (wild and/or intermediaries or directly to retailers. In Estab- farm-raised) claims added to the addition, there may need to be Firm lish- processes. This adaptation generally segregation of the product before and ment would require relatively small marginal costs for recordkeeping and after processing to facilitate tracking of Producer ...... $241 $241 country of origin and method of identification systems. In other cases, Intermediary ...... 1,890 1,650 however, firms may need to revamp production (wild and/or farm-raised) Retailer ...... 12,600 1,530 identity. There will also be labeling current operating processes to implement the rule. For example, a costs associated with providing country Average estimated implementation processing plant may need to sort of origin and method of production costs per fish and shellfish producer are (wild and/or farm-raised) information incoming products by country of origin relatively small at $241. Costs per fish and method of production (wild and/or on consumer-ready packs of frozen and operation are lowered slightly from the fresh fish that are labeled by processors. farm-raised) in addition to weight, size, PRIA upper-range estimates due to a color, or other quality factors. This may Total costs for fish and shellfish correction in the number of fishing require adjustments to plant operations, intermediaries are thus estimated at $13 operations used to calculate the average line processing, product handling, and million, a reduction of $8 million from cost per operation (the estimated storage. Ultimately, we anticipate that a the upper range PRIA estimate. The number of operations is unchanged from mix of solutions will be implemented by reduction is attributable to the lowered the PRIA). Estimated costs for industry participants to effectively meet estimate of the volume of production intermediaries are substantially larger, the requirements of the rule. Therefore, affected by the rule. averaging $1,890 per firm and $1,650 we anticipate that direct, incremental As discussed in the PRIA (68 FR per establishment. The average cost per costs for the interim final rule likely 61952), we adopt $0.07 per pound as an firm is much less than the PRIA upper will fall within a reasonable range of the estimate of costs for retailers of fish and range estimated cost, with the lower estimated total of $89 million. shellfish. This estimate results in total cost attributable to the sharp reduction In the PRIA, one regulatory alternative costs of $57 million for retailers of fish in the volume of production subject to considered by AMS would be to narrow and shellfish, a reduction of $62 million this interim final rule. Similarly, the the definition of a processed food item, from the PRIA upper range estimate. As average cost per intermediary thereby increasing the scope of with intermediaries, the reduction stems establishment is considerably less than commodities covered by the rule. This from the lowered estimate of the volume PRIA the upper range estimate. At an alternative is not adopted in this interim of production affected by the rule. average of $12,600 retailers have the final rule. An increase in the number of Total costs for fish and shellfish are highest average estimated costs per firm. commodities that would require COOL estimated at $89 million, $70 million This is much less than the PRIA upper would increase implementation costs of less than the PRIA upper range estimate. range estimate because of the reduction the rule with little expected economic We estimate total incremental costs in the estimated volume of production benefit. Additional labeling resulting for this interim final rule of $19 million subject to the interim final rule. from fewer exempted items may also for fish producers and harvesters, $13 Retailers also have the highest average slow some of the innovation that is million for intermediaries, and $57 estimated costs per establishment, occurring with various types of value- million for retailers for the first year. $1,530. added, further processed products. Total incremental costs for all supply The costs per firm and per A converse regulatory alternative chain participants are estimated at $89 establishment represent industry would be to broaden the definition of a million for the first year. The large averages for aggregated segments of the processed food item, thereby decreasing reduction from the PRIA upper range supply chain. Large firms and the scope of commodities covered by estimate of $3.9 billion is attributable to establishments likely will incur higher the rule. Accordingly, such an the fact that this interim final rule costs relative to small operations due to alternative would decrease covers only wild and farm-raised fish the volume of commodities that they implementation costs for the rule. At the and shellfish products. The proposed handle and the increased complexity of retail level and to a lesser extent at the rule also covered beef, pork, lamb, their operations. In addition, different intermediary level, cost reductions fruits, vegetable, and peanuts. types of businesses within each segment would be at least partly proportional to
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the reduction in the volume of rule to the affected firms in the supply commodities, that consumers will production requiring retail labeling. chains for the covered commodities. maintain their consumption of the Start-up costs for retailers and many While these costs are important to those covered commodities in the face of intermediaries likely would be little directly involved in the production, increased prices. Rather, many or most changed by a narrowing of the scope of distribution, and marketing of covered consumers will likely reduce their commodities requiring labeling because commodities, they do not represent net consumption of the covered firms would still need to modify their costs to the U.S. economy or net costs commodities. The resulting changes in recordkeeping, production, to the affected entities for that matter. consumption patterns will in turn lead warehousing, distribution, and sales With respect to assessing the effect of to changes in production patterns and systems to accommodate the this rule on the economy as a whole, it the allocation of inputs and resources requirements of the rule for those is important to understand that a throughout the economy. The net result, commodities that would require significant portion of the costs directly once all these changes have occurred, is labeling. Ongoing maintenance and incurred by the affected entities take the that the total amount of goods and operational costs, however, likely would form of expenditures for additional services produced by the U.S. economy decrease in some proportion to a production inputs, such as payments to will be less than before. decrease in the number of items covered others whether for increased hours To analyze the effect of the changes by the rule. On the other hand, worked or for products and services resulting from the rule on the total implementation costs for the vast provided. As such, these direct, amount of goods and services produced majority of fish and shellfish harvesters incremental costs to affected entities do throughout the U.S. economy in a global and producers would not be affected by not represent losses to the economy but context, we utilized a computable a change in the definition of a processed rather transfers of money from one general equilibrium (CGE) model food item. This is because we assume economic agent to another. As a result, developed by ERS. In the PRIA, the ERS that virtually all affected producers the direct costs incurred by the CGE model includes all the covered would seek to retain the option of participants in the supply chains for the commodities and the products from selling their products through supply covered commodities do not measure which they are derived, as well as non- channels for retailers subject to the rule. the impact of this rule on the economy covered commodities that would be The definition of a processed food as a whole. Instead, the relevant indirectly affected by the proposed rule, item developed for this interim final measure is the extent to which the such as poultry and feed grains. For rule has taken into account comments interim final rule reduces the amount of purposes of this interim final rule, the from potentially affected entities and goods and services that can be produced same model structure is used, but direct, has resulted in excluding products that throughout the U.S. economy from the incremental cost increases are assumed would be more costly and troublesome available supply of inputs and to occur for fish and shellfish products for retailers and suppliers to provide resources. only. country of origin and method of Even from the perspective of the The ERS CGE model traces the production (wild and/or farm-raised) directly affected entities, the direct, information. Total incremental costs for incremental costs do not present the impacts from an economic ‘‘shock,’’ in this interim final rule are estimated at whole picture. Initially, the affected this case an incremental increase in $70 million less than the upper range entities will have to bear the full cost of operating costs, through the U.S. costs estimated in the PRIA for fish and implementing the interim final rule. agricultural sector and the U.S. shellfish because of the exemption of However, over time as the economy economy to the rest of the world and canned items under the revised adjusts to the requirements of the back through the inter-linking of definition of a processed food item. interim final rule, the burden facing economic sectors. By taking into Another alternative considered by suppliers will be reduced as their account the linkages among the various AMS would be to require that suppliers production level and the prices they sectors of the U.S. and world provide an affidavit for each transaction receive change. What is critical in economies, a comprehensive assessment to the immediate subsequent recipient assessing the effect of this rule on the can be made of the economic impact on certifying that the country of origin and affected entities over the longer run is the U.S. economy of the rule method of production (wild and/or to determine the extent to which the implementing COOL. The model reports farm-raised) claims being made are entities are able to pass these costs on resulting economic changes after a ten- truthful and that the required records to others and consequently how the year period of adjustment. are being maintained. We do not have demand for their commodities is The results of this analysis indicate an estimate of the number of affected. that the interim final rule implementing transactions that would be impacted. Conceptually, suppose that all the COOL after the economy has had a Assuming, however, costs of just $0.001 increases in costs from this rule were period of ten years to adjust will have per pound of product sold by producers passed on to consumers in the form of a more limited impact on the overall and intermediaries, and assuming that higher prices and that consumers U.S. economy than the direct costs for commodities are transferred at least continued to purchase the same the first year, alone, would suggest. twice between intermediaries, costs for quantity of the affected commodities Under the assumption that COOL will fish and shellfish would increase by from the same marketing channels. not change consumers’ preferences for nearly $13 million, or almost 15 Under these conditions, the suppliers of the covered fish and shellfish percent, compared to the alternative of these commodities would not suffer any commodities, we estimate that the having no affidavits. Taking into net loss from the rule even if the overall costs to the U.S. economy of the consideration probable cost impacts, increases in their operating costs were interim final rule, in terms of a comments received on the proposed quite substantial. However, other reduction in consumers’ purchasing rule, and the structure and needs of the industries might face losses as power, will be $6.2 million. This industry, we rejected this alternative. consumers may spend less on other represents the cost to the U.S. economy Effects on the economy: The previous commodities. It is unlikely, however, after all transfers and adjustments in section estimated the direct, absent the rule leading to changes in consumption and production patterns incremental costs of the interim final consumers’ preferences for the covered have occurred.
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Overall costs to the U.S. economy TABLE 5.—ESTIMATED INCREASES IN suppliers with respect to other sectors of after a decade of adjustment are FISH AND SHELLFISH INDUSTRY OP- the U.S. and world economies. significantly smaller than the first-year ERATING COSTS BY SUPPLY CHAIN Table 6 contains the percentage changes in prices, production, exports, implementation costs to directly SEGMENT—Continued affected firms. This result does not and imports for the three main segments imply that the implementation costs for Percent of the marketing chain for fish and directly affected firms have been change shellfish. Results for potential substitute substantially reduced from the initial products are not shown in Table 6 Imported ...... 0.4 because impacts of the interim final rule estimates. While some of the increase in on these products are estimated to be their costs will be offset by reduced 1 Due to the structure of the model, costs in- minimal. Percentage changes in U.S. production and higher prices over the creases for the processing segment are in- cluded in the retail segment. production, prices, exports, and imports longer term, the suppliers of the covered of cattle and sheep, broilers, hogs, beef commodities will still bear direct In addition, we assume that domestic and lamb, chicken, and pork are implementation costs. Prior to full and foreign suppliers of the affected estimated to be 0.001 percent or less. economic adjustment, economic commodities located at the same level Because of the negligible impacts on impacts on directly affected firms in the or segment of the supply chain face the these other commodities, Table 6 shows short term are expected to be larger than same percentage increases in their results for fish and shellfish only. impacts on the economy after operating costs. In reality, imported adjustment has taken place. covered commodities likely would TABLE 6.—ESTIMATED IMPACT OF IN- enjoy some measure of competitive Our estimates of the overall costs to TERIM FINAL RULE ON U.S. PRO- advantage as a portion of those products DUCTION, PRICES AND TRADE OF the U.S. economy are based on our already enter the United States with FISH AND SHELLFISH estimates of the incremental increases in country of origin labels. Labeling and operating costs to the affected firms. The country of origin notification necessary model does not permit supply channels Percent to satisfy existing U.S. Customs and Change for covered commodities that require Border Protection requirements could be Item from the country of origin and method of used to implement the country of origin Base production information to be separated requirements of this rule, but importers Year from supply channels for the same also would need to provide method of Price ...... 0.36 commodities that do not require COOL. production information (wild and/or Production ...... ¥0.46 Thus, the direct cost impacts must be farm-raised) for covered fish and Exports ...... ¥0.56 adjusted to accurately reflect changes in shellfish commodities destined for Imports ...... 0.18 operating costs for all firms supplying retail. covered commodities. Table 5 reports The percentage changes in operating The rule increases operating costs for these adjusted estimates in terms of costs reported in Table 5 differ from the the supply chains for the covered fish their percentage of total operating costs percentage changes in operating costs and shellfish commodities. As shown in for each of the directly impacted sectors. reported for the High Cost scenario as Table 6, the increased costs result in The percentages used are based on our listed in Table 8 in the PRIA. The higher prices for these products. The estimate of the percentage change in differences in percentage changes quantity demanded at these higher prices falls, with the result that the U.S. operating costs for the entire supply reported in the PRIA and those reported production of fish and shellfish channel and are adjusted between the here are attributable to changes in implementation costs of the interim decreases. various segments of the fish and Demand for U.S. fish production is final rule as well as recalibration of our shellfish supply chain (harvesters and particularly sensitive to increases in estimates of total operating costs for the producers, processors, importers, and prices in the model, suggesting that U.S. various segments of the supply channels retailers) based on our estimate of how fish suppliers face a degree of of the directly impacted sectors. the costs of the regulation will be competitive disadvantage relative to distributed among them. As a result, the As discussed above, consumption and their foreign counterparts. As a result, cost changes shown in Table 5 only production patterns will change as the fish imports increase as a result of the approximate the direct cost estimates incremental increases in operating costs estimated cost increases, while U.S. previously described. outlined above are passed on, at least production falls. Evidently, U.S. partially, to consumers in the form of domestic suppliers of fish respond more TABLE 5.—ESTIMATED INCREASES IN higher prices by the affected firms. The to changes in their operating costs than FISH AND SHELLFISH INDUSTRY OP- increases in the prices of the covered do foreign suppliers. The resulting gap fish and shellfish commodities will in ERATING COSTS BY SUPPLY CHAIN between the supply response of U.S. turn cause exports and domestic SEGMENT and foreign producers provides foreign consumption and ultimately domestic suppliers of fish with a competitive production to fall. Percent advantage in U.S. markets that enables change The costs of the interim final rule will them to increase their exports to the not be shared equally by all suppliers of U.S. even though they face similar Farm Supply: the covered commodities. The increases in operating costs. Domestic ...... 0.6 distribution of the costs of the rule will To put these impacts in more Imported ...... 0.6 be determined by several factors in meaningful terms, the percentage Processing: addition to the direct costs of complying changes reported in Table 6 were Domestic ...... (1) with the rule. These are the availability converted into changes in current prices Imported ...... (1) of substitute products not covered by and quantities produced, imported, and Retail: the rule and the relative exported (Table 7). The base values in Domestic ...... 0.4 competitiveness of the affected Table 7 differ from those reported in
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Table 2 above because they are derived while values in Table 2 represent actual Service. Baseline values were used to from projected levels reported in the reported values for 2002 as compiled by accommodate the structure of the USDA Agricultural Baseline for 2003, USDA’s National Agricultural Statistical model.
TABLE 7.—ESTIMATED CHANGES IN U.S. PRODUCTION, PRICES, AND TRADE FOR FISH AND SHELLFISH
Indicator Units Base Change
U.S Production a ...... Mil. Lbs. 10,204 ¥46.94 U.S. Price b ...... $/Lb. 0.41 0.0015 U.S. Exports ...... Mil. Lbs. 2,565 ¥14.36 U.S. Imports ...... Mil. Lbs. 4,102 7.38 Sources: Changes are derived from applying percentage changes obtained from the ERS CGE model to the base values. a Base values for fish come from Fisheries of the United States, 2001. National Marine Fisheries Service, National Oceanic and Atmospheric Administration, U.S. Department of Commerce, 2002. b Fish price derived by dividing total value of commercial and aquaculture production, excluding other, by total commercial and aquaculture production.
U.S. prices for covered fish and to the incremental increase in costs fixes total available resources it shellfish commodities increase by a very (medium run results). In reality, such underestimates the long-run effects of small amount, less than two-tenths of a changes occur over time and the policies on aggregate output. cent per pound. U.S. production economy does not adjust Regulatory Flexibility Analysis declines by 47 million pounds. The instantaneously. estimated changes in prices and The results of this analysis describe This interim final rule has been production cause revenues for the fish and compare the old production and reviewed under the requirements of the industry to fall by $4 million. The consumption patterns to the new ones, Regulatory Flexibility Act (RFA)(5 increase in the price of the affected fish but do not reflect any particular U.S.C. 601 et seq.). The purpose of RFA and shellfish commodities cause exports adjustment process. In addition, these is to consider the economic impact of a to decline by about 14 million pounds. results assume that the only changes rule on small businesses and evaluate Imports of fish and shellfish increase that are occurring in the agriculture alternatives that would accomplish the and as costs imposed on importers are sector or the economy as a whole are objectives of the rule without unduly relatively less than those imposed on those that are driven by COOL. The burdening small entities or erecting domestic producers. purpose of using the ERS CGE model is barriers that would restrict their ability The ERS CGE model assumes that not to forecast what prices and to compete in the marketplace. The firms behave as though they have no production will be over any particular Agency believes that this rule will have influence on either their input or output time frame, but to explore the a significant economic impact on a prices. On the other hand, for example, implications of COOL on the U.S. substantial number of small entities. As a model that assumed that processors economy and capture the direction of such, the Agency has prepared the could influence their input and output the changes. following interim final regulatory prices could find that prices received by The ERS CGE model is global in the analysis of the rule’s likely economic agricultural producers decreased sense that all regions in the world are impact on small entities pursuant to the because processors passed their cost covered. Production and consumption RFA. The Comments and Responses increases down to their suppliers rather decisions in each region are determined section lists the comments received on than increase the price they charged within the model following behavior the preliminary RFA and provides the their customers. that is consistent with economic theory. Agency’s responses to the comments. The estimates of the economic impact Multilateral trade flows and prices are The interim final rule is the direct of the interim final rule on the United determined simultaneously by world result of statutory obligations to States are based on the assumption that market clearing conditions. This permits implement the COOL provisions of the country of origin and method of prices to adjust to ensure that total Farm Bill, which amended the Act by production (wild and/or farm-raised) demand equals total supply for each adding Subtitle D—Country of Origin labeling does not shift consumer commodity in the world. Labeling. The COOL provisions of the demand toward the covered fish and The general equilibrium feature of the Farm Bill require covered fish and shellfish commodities of U.S. origin. model means that all economic shellfish commodities to be labeled This assumption is based on the earlier sectors—agricultural and non- beginning September 30, 2004. The finding that there was no compelling agricultural—are included. Hence, intent of this law is to provide evidence to support the view that resources can move among sectors, consumers with additional information mandatory COOL will increase the thereby ensuring that adjustments in the on which to base their purchasing demand for U.S. products. An increase feed grains and livestock sectors, for decisions. Specifically, the law imposes in the demand for commodities of U.S. example, are consistent with additional Federal labeling origin increase would have to occur to adjustments in the processed sectors. requirements for covered commodities offset the costs imposed on the economy The model is static and this implies sold by retailers subject to the law. by the interim final rule. that gains (or losses) from stimulating Covered commodities included in this As previously mentioned, our (or inhibiting) investment and interim final rule are farm-raised fish estimates of the overall economic effects productivity growth are not captured. and shellfish and wild fish and of the interim final rule are derived from The model allows the existing resources shellfish. a CGE model developed by ERS. The to move among sectors, thereby Under preexisting Federal laws and results from this model show the capturing the effects of re-allocation of regulations, COOL is not universally changes in production and consumption resources that results due to policy required for the commodities covered by patterns after the economy has adjusted changes. However, because the model this rule. In particular, labeling of U.S.
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origin and method of production (wild listing of the number of entities in the interim final rule. In addition, and/or farm-raised) is not mandatory, supply chains for the covered fish and broadening the definition of a processed and labeling of imported products at the shellfish commodities can be found in food item exempts items such as canned consumer level is required only in Table 1 above in the Interim Final fish and shellfish, fish sticks, and certain circumstances. Thus, the Agency Regulatory Impact Analysis (IFRIA). breaded shrimp from the labeling has not identified any Federal rules that Retailers covered by this interim final requirements of the rule. would duplicate or overlap with this rule must meet the definition of a There are two measures used by the interim final rule. retailer as defined by PACA. The PACA Small Business Administration (SBA) to Many aspects of the mandatory COOL definition includes only those retailers identify businesses as small: Sales provisions are prescriptive and provide handling fresh and frozen fruits and receipts or number of employees. In little regulatory discretion in vegetables with an invoice value of at terms of sales, SBA classifies as small rulemaking. The law requires a least $230,000 annually. Therefore, the those grocery stores with less than $23 statutorily defined set of food retailers number of retailers impacted by this million in annual sales and specialty to label the country of origin and rule is considerably smaller than the food stores with less than $6 million in method of production (wild and/or total number of retailers nationwide. In annual sales (13 CFR 121.201). farm-raised) of covered commodities. addition, there is no requirement that Warehouse clubs and superstores with The law also prohibits USDA from using firms in the supply chain must supply less than $23 million in annual sales are a mandatory identification system to their products to retailers subject to the also defined as small. SBA defines as verify the country of origin of covered interim final rule. small those agricultural producers with commodities. However, the interim final Because country of origin and method less than $750,000 in annual sales and rule provides flexibility in allowing of production (wild and/or farm-raised) fishing operations with less than $3.5 market participants to decide how best information will have to be passed along million in annual sales. Of the other to implement mandatory COOL in their the supply chain and made available to businesses potentially impacted by the operations. Market participants other consumers at the retail level, we assume interim final rule, SBA classifies as than those retailers defined by the that each participant in the supply small those manufacturing firms with statute may decide to sell products chain as identified in Table 1 will likely less than 500 employees and through marketing channels not subject encounter recordkeeping costs as well wholesalers with less than 100 to the rule. Taking into account as changes or modifications to their employees. comments received on the proposed business practices. Absent more Retailers: While there are many rule, the interim final rule decreases the detailed information about each of the potential retail outlets for the covered length of time that records are required entities within each of the marketing commodities, food stores, warehouse to be kept, providing some relief to channels, we assume that all such clubs, and superstores are the primary affected entities both large and small. A entities will be affected to some extent retail outlets for food consumed at complete discussion of the information even though some fish and shellfish home. In fact, food stores, warehouse collection and recordkeeping harvesters, producers and suppliers may clubs, and superstores account for 82.5 requirements and associated burdens choose to market their products through percent of all food consumed at home appears in the Paperwork Reduction Act channels not subject to the requirements (Ref. 5). Therefore, the number of these section below. In addition, the number of this interim final rule. Therefore, we stores provides an indicator of the of products required to be labeled is estimate that nearly 125,000 number of entities potentially impacted reduced because the definition of a establishments owned by approximately by this interim final rule. The 1997 processed food item has been 91,000 firms will be either directly or Economic Census (Ref. 6) shows there broadened, thus providing additional indirectly impacted by this rule. were 67,916 food store, warehouse club, regulatory relief. Changes from the PRIA are reductions and superstore firms operated for the The objective of the interim final rule in the numbers of affected firms and entire year. Most of these firms, is to regulate the activities of retailers establishments due to the exclusion of however, would not be subject to the (as defined by the law) and their covered commodities other than wild requirements of this interim final rule. suppliers so that retailers will be able to and farm-raised fish and shellfish in this Retailers covered by this interim final fulfill their statutory obligations. The interim final rule. rule must meet the definition of a interim final rule requires retailers to This interim final rule potentially will retailer as defined by PACA. The provide country of origin and method of have an impact on all participants in the number of such businesses is estimated production (wild and/or farm-raised) supply chain, although the nature and from PACA data (Ref. 7). A PACA information for all of the covered fish extent of the impact will depend on the license is required for all retailers and shellfish commodities that they sell. participant’s function within the having an invoice cost of fresh and It also requires all firms that supply marketing chain. The rule likely will frozen fruits and vegetables exceeding covered commodities to these retailers have the greatest impact on retailers and $230,000 in a calendar year. Licensee to provide the retailers with the intermediaries (handlers, processors, data is entered and maintained in information needed to correctly label wholesalers, and importers), while the USDA’s PACA database. Among other the covered commodities. In addition, impact on individual fish and shellfish required information, the PACA license all other firms in the supply chain for harvesters and producers is likely to be application includes the name of the the covered commodities are potentially relatively small. business and the number of branches affected by the rule because country of As shown in Table 3 and discussed in where the business handles fruits and origin and method of production (wild the Costs section of the IFRIA, we vegetables. In the case of retailers, most and/or farm-raised) information will estimate direct incremental costs for the branch locations represent retail stores. need to be maintained and transferred interim final rule at approximately $89 There is an active USDA compliance along the entire supply chain. In million. The decrease in the direct program to ensure compliance with general, the supply chains for the incremental cost in the interim final licensing requirements, and the industry covered fish and shellfish commodities rule as compared to the proposed rule is monitored to keep the licensing data consist of farms, fishing operations, is the result of excluding commodities current when there are changes in firms’ processors, wholesalers, and retailers. A other than fish and shellfish from this operations (such as the opening of new
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branch locations). Thus, the PACA data country of origin and method of considered as small entities as defined provide a reliable estimate of the production (wild or farm-raised), and by SBA. number of retail firms that would be possibly additional handling costs. As discussed in the Costs section of affected by this regulatory action. These cost increases may result in the IFRIA, we estimate that Because the PACA definition of a changes to retailer business practices, intermediaries (importers and domestic retailer includes only those retailers such as additional time devoted to wholesalers, handlers, and processors) handling fresh and frozen fruits and labeling and signage needed to provide will incur costs under the interim final vegetables with an invoice value of at required information for products sold rule of approximately $13 million least $230,000 annually, the number of from in-store seafood department (Table 3). Costs are estimated at $1,890 retailers impacted by this rule is operations. The interim final rule does per intermediary firm and $1,650 per considerably smaller than the number of not specify the systems that affected establishment (Table 4). These costs are food retailers nationwide. USDA data retailers must put in place to implement lower than the upper range costs indicate that there are 4,512 retail firms mandatory COOL. Instead, retailers will estimated in the PRIA because of the as defined by PACA that would thus be be given flexibility to develop their own omission of commodities other than fish subject to the interim final rule. As systems to comply with this rule. There and shellfish from this interim final rule explained below, most small food store are many ways in which the interim and because of the revised definition of firms have been excluded from final rule’s requirements may be met a processed food item. mandatory COOL based on the PACA and firms will likely choose the least Wholesalers will encounter increased definition of a retailer. cost method in their particular situation costs in complying with this interim The 1997 Economic Census data to comply with the interim final rule. final rule. Wholesalers will likely face provide information on the number of Wholesalers: Any establishment that increased recordkeeping costs, costs food store firms by sales categories. Of supplies retailers with one or more of associated with supplying country of the 67,916 food store, warehouse club, the covered commodities will be origin and method of production (wild and superstore firms, we estimate that required by retailers to provide country and/or farm-raised) information to there are 66,868 firms with annual sales of origin and method of production retailers, costs associated with meeting the SBA definition of a small (wild and/or farm-raised) information so segmenting products by country of firm and 1,048 other firms. USDA has that retailers can accurately supply that origin and method of production (wild no information on the identities of these information to consumers. Of or farm-raised), and possibly additional firms, and the PACA database does not wholesalers potentially impacted by the handling costs. Some of the comments identify firms by North American interim final rule, SBA defines those received from wholesalers and retailers Industry Classification System code that having less than 100 employees as on the proposed rule and voluntary would enable matching with Economic small. Importers of covered guidelines indicated that retailers may Census data. USDA assumes, however, commodities will also be impacted by choose to source covered commodities that all or nearly all of the 1,048 large the interim final rule and are from a single supplier that procures the firms would meet the definition of a categorized as wholesalers in the data. covered commodity from only one PACA retailer because most of these The 2000 Statistics of U.S. Businesses country in an attempt to minimize the larger food retailers likely would handle (Ref. 8) provides information on costs associated with complying with fresh and frozen fruits and vegetables wholesalers by employment size. For mandatory COOL. In the case of fish and with an invoice value of at least fish and seafood wholesalers there are a shellfish, this type of change in $230,000 annually. Thus, we estimate total of 2,897 firms. Of these, 2,837 procurement practices could extend to that 77 percent (3,464 out of 4,512) of firms have less than 100 employees. sourcing products having only one the retailers subject to the interim final Therefore, approximately 98 percent of method of production (wild or farm- rule are small. However, this is only 5.2 the fish and seafood wholesalers could raised). These changes in business percent of the estimated total number of be considered as small firms. practices could lead to the further small food store retailers. In other In addition to specialty wholesalers consolidation of firms in the words, an estimated 94.8 percent of that primarily handle a single covered wholesaling sector. The interim final small food store retailers would not be commodity, there are also general-line rule does not specify the systems that subject to the requirements of this wholesalers that handle a wide range of affected wholesalers must put in place interim final rule. products. For purposes of this analysis, to implement mandatory COOL. Instead, As discussed in the Costs section of we assume that these general-line wholesalers will be given flexibility to the IFRIA, we estimate retailer costs wholesalers handle at least some of the develop their own systems to comply under this interim final rule at covered fish and shellfish commodities. with the interim final rule. There are approximately $57 million (Table 3). Therefore, we include the number of many ways in which the rule’s Costs are estimated at $12,600 per retail general-line wholesale businesses requirements may be met. In addition, firm and $1,530 per retail establishment among entities affected by the interim wholesalers have the option of (Table 4). These estimated costs are final rule. The 2000 Statistics of U.S. supplying covered commodities to lower than the PRIA upper range Businesses provides information on retailers or other suppliers that are not estimates because of the exclusion of general-line grocery wholesalers by covered by the interim final rule. commodities other than fish and employment size. There were 3,183 Manufacturers: Any manufacturer shellfish from this interim final rule and firms in total, and 2,983 firms had less that supplies retailers or wholesalers because of the exemption of additional than 100 employees. This results in with a covered commodity will be products under the revised definition of approximately 94 percent of the general- required to provide country of origin a processed food item. line grocery wholesalers being classified and method of production (wild and/or Retailers will face recordkeeping as small businesses. farm-raised) information to retailers so costs, costs associated with supplying In general, 5,820 of 6,080 or 96 that the information can be accurately country of origin and method of percent of the wholesalers are classified supplied to consumers. Most production (wild and/or farm-raised) as small businesses. This indicates that manufacturers of covered commodities information to consumers, costs most of the wholesalers impacted by will likely print country of origin and associated with segmenting products by this interim final rule may be method of production (wild and/or
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farm-raised) information on retail small. The manner in which the data are processing within shifts. In either case, packages supplied to retailers. Of the reported, however, does not allow the costs are likely to increase. Records will manufacturers potentially impacted by precise number of small producers to be need to be maintained to ensure that the interim final rule, SBA defines those calculated. Similar information on the accurate country of origin and method having less than 500 employees as size of fishing operations is not known of production (wild and/or farm-raised) small. to exist. However, it is assumed that the information is retained throughout the The 2000 Statistics of U.S. Businesses majority of these producers would be process and to permit compliance and (Ref. 8) provides information on considered small businesses. We enforcement reviews. A complete manufacturers by employment size. For estimate that there are 76,499 firms discussion of the recordkeeping burden seafood product preparation and engaged in fishing (Refs. 8 and 10). associated with this rule is contained in packaging there is a total of 741 firms. At the production level, fish and the Paperwork Reduction Act section Of these, 714 have less than 500 shellfish producers and harvesters will below. employees and thus, 96 percent are need to create, if necessary, and Even if only domestic origin products considered to be small firms. This maintain records to establish country of or products from a single country of indicates that most of the manufacturers origin and method of production (wild origin are handled, there may be of covered commodities impacted by the and/or farm-raised) information for the additional procurement costs to source interim final rule would be considered products they sell. This information will supplies from a single country of origin. as small entities as defined by SBA. need to be conveyed as the products In the case of fish and shellfish, such Manufacturers are included as move through the supply chains. In ‘‘single-sourcing’’ of products extends to intermediaries and additional costs for general, additional producer costs method of production (wild or farm- these firms are discussed in the include the cost of establishing and raised) in addition to country of origin. previous section addressing maintaining a recordkeeping system for Additional procurement costs may wholesalers. Manufacturers of covered the country of origin and method of include higher transportation costs due commodities will encounter increased production (wild and/or farm-raised) to longer shipping distances and higher costs in complying with this interim information, product identification, and acquisition costs due to supply and final rule. Like wholesalers, labor and training. Based on our demand conditions for products from a manufacturers will likely face increased knowledge of the affected industries as particular country of origin, whether recordkeeping costs, costs associated well as comments received on the domestic or foreign, and with a with supplying country of origin and proposed rule and the voluntary particular method of production (wild method of production (wild and/or guidelines, we believe that producers or farm-raised). farm-raised) information to retailers, and harvesters already have much of the These additional costs may result in costs associated with segmenting information available that could be used a number of consolidations within the products by country of origin and to substantiate country of origin and processor, manufacturer, and wholesaler method of production, and possibly method of production (wild and/or sectors for these covered fish and additional handling costs. Some of the farm-raised) claims. shellfish commodities. Also, to comply comments received from manufacturers The costs for producers and with the interim final rule, retailers may on the proposed rule and the voluntary harvesters are expected to be relatively seek to limit the number of entities from guidelines indicated that they may limit limited and should not have a larger which they purchase covered the number of sources from which they impact on small producers than large commodities as a means to simplify procure raw products. These changes in producers. As discussed in the Costs recordkeeping and labeling tasks. business practices could lead to section of the IFRIA, producer costs are Additional alternatives considered: decreased operational efficiency and the estimated at $19 million (Table 3), or an As previously mentioned, the COOL further consolidation of firms in the estimated $241 per firm (Table 4). In the provisions of the Farm Bill leave little manufacturing sector. The interim final case of producers, the firm and the regulatory discretion in defining who is rule does not specify the systems that establishment are considered as one and directly covered by this rule. The law affected manufacturers must put in the same, with the exception of a small explicitly identifies those retailers place to implement mandatory COOL. number of fishing operations. Thus, required to provide their customers with Instead, manufacturers will be given costs per firm and per establishment are country of origin and, if applicable, flexibility to develop their own systems the same after rounding to the nearest method of production (wild and/or to comply with the rule. There are many dollar. farm-raised) information for covered ways in which the interim final rule’s Economic impact on small entities: commodities (namely, retailers as requirements may be met. Information on sales or employment is defined by PACA). Producers: Harvesters and producers not available for all firms or The law also requires that any person of the covered fish and shellfish establishments shown in Table 1. supplying a covered commodity to a commodities are directly impacted by However, it is reasonable to expect that retailer provide information to the this interim final rule. These harvesters this interim final rule will have a retailer indicating the country of origin and producers will more than likely be substantial impact on a number of small and, in the case of fish and shellfish required by handlers and wholesalers to businesses. At the wholesale and retail products, method of production (wild create and maintain country of origin levels of the supply chain, the efficiency and/or farm-raised) of the covered and method of production (wild and/or of these operations may be impacted if commodity. Again, the law provides no farm-raised) information and transfer it products are segregated in receiving, discretion regarding this requirement for to them so that they can readily transfer storage, processing, and shipping suppliers of covered commodities to this information to retailers. operations. For processors handling provide information to retailers. SBA defines a small agricultural products sourced from multiple The interim final rule has no producer as having annual receipts less countries and multiple methods of mandatory requirement, however, for than $750,000. Based on 1998 Census of production (wild and/or farm-raised), any firm other than statutorily defined Aquaculture data (Ref. 9), we estimate there may also be a need to operate retailers to make country of origin and that at least 90 percent of the 3,540 fish separate shifts for processing products method of production (wild and/or and shellfish farming operations are from different origins, or to split farm-raised) claims. In other words, no
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harvester, producer, processor, months immediately following the farm-raised) information is provided by wholesaler, or other supplier is required effective date of this interim final rule suppliers to retailers, and in the manner to make and substantiate a country of on industry education and outreach. in which records and information are origin and method of production (wild After a careful review of all its maintained to substantiate country of and/or farm-raised) claim provided that implications, AMS has determined that origin and method of production claims. the commodity is not ultimately sold in its allocation of enforcement resources Thus, the interim final rule provides the the form of a covered commodity at the will ensure that the rule is effectively maximum flexibility practicable to establishment of a retailer subject to the and rationally implemented. This AMS enable small entities to minimize the interim final rule. Thus, for example, a plan of outreach and education, costs of the interim final rule on their processor and its suppliers may elect conducted over a period of one year, operations. should significantly aid the industry in neither to maintain country of origin Paperwork Reduction Act and method of production (wild and/or achieving compliance with the farm-raised) information nor to make requirements of this rule. Pursuant to PRA (44 U.S.C. 3501– country of origin and method of The interim final rule does not dictate 3520) the information collection production (wild and/or farm-raised) systems that firms will need to put in provisions contained in this interim claims, but instead sell products place to implement the requirements of final rule have not yet been approved by through marketing channels not subject the rule. Thus, different segments of the OMB and will not take effect until such to the interim final rule. Such marketing affected industries will be able to approval is received. The Comments alternatives include foodservice, export, develop their own least-cost systems to and Responses section lists the and retailers not subject to the interim implement COOL requirements. For comments received on the preliminary final rule. We estimate that about 38 example, one firm may depend PRA analysis and provides the Agency’s percent of U.S. fresh and frozen fish and primarily on manual identification and responses to the comments. A about 25 percent of fresh and frozen paper recordkeeping systems, while description of these provisions is given shellfish sales occur through retailers another may adopt automated below with an estimate of the annual subject to the interim final rule, with the identification and electronic recordkeeping burden. Title: Recordkeeping and Records remainder sold by retailers not subject recordkeeping systems. Access Requirements for Producers and to the interim final rule or sold as food The interim final rule has no requirements for firms to report to Food Facilities. away from home. Additionally, OMB Number: 0581–new. producers and intermediaries may have USDA. Compliance audits will be conducted at firms’ places of business. Type of Request: New collection. opportunities to market their products Expiration Date: Three years from the to export markets, which are not subject As stated previously, required records may be kept by firms in the manner date of approval. to the provisions of the interim final most suitable to their operations and Abstract: The COOL provision in the rule. The majority of product sales are may be hardcopy documents, electronic Farm Bill requires that specified not subject to the rule, and there are records, or a combination of both. In retailers inform consumers as to the many current examples of companies addition, the interim final rule provides country of origin and, in the case of fish specializing in production of flexibility regarding where records may and shellfish, method of production commodities for foodservice, export be kept. If the product is pre-labeled (wild and/or farm-raised) of covered markets, and other channels of with the necessary country of origin and commodities. This interim final rule distribution that would not be directly method of production (wild and/or requires that records and other affected by the rule. farm-raised) information, records documentary evidence used to The effective date of this regulation is documenting the immediate previous substantiate an origin and method of six months following the date of source and immediate subsequent production (wild and/or farm-raised) publication of this interim final rule. recipient are sufficient as long as the claim must, upon request, be made The country of origin statute provides source of the claim can be tracked and available to USDA representatives in a that ‘‘not later than September 30, 2004, verified. Such flexibility should reduce timely manner during normal business the Secretary shall promulgate such costs for small entities to comply with hours and at a location that is regulations as are necessary to the interim final rule. reasonable in consideration of the implement this subtitle.’’ Many of the In effect, the interim final rule is a products and firm under review. Any covered commodities sold at retail are performance standard rather than a person engaged in the business of in a frozen or otherwise preserved state design standard. The interim final rule supplying a covered commodity to a (i.e., not sold as ‘‘fresh’’). Thus, many of requires that covered fish and shellfish retailer (i.e., including but not limited to these products would already be in the commodities at subject retailers be harvesters, producers, distributors, chain of commerce prior to September labeled with country of origin and handlers, packers, and processors), 30, 2004, and for these products, origin/ method of production (wild and/or whether directly or indirectly, must production information may not be farm-raised) information, that suppliers make country of origin and method of known. Therefore, it is reasonable to of covered commodities provide such production (wild and/or farm-raised) delay the effective date of this interim information to retailers, and that information available to the retailer and final rule for six months to allow retailers and their suppliers maintain must maintain records to establish and existing inventories to clear through the records and information sufficient to identify the immediate previous source channels of commerce and to allow verify all country of origin and method and immediate subsequent recipient of affected industry members to conform of production claims. The interim final a covered commodity, in such a way their operations to the requirements of rule provides flexibility regarding the that identifies the product unique to this rule. During this time period, AMS manner in which the required that transaction by means of a lot will conduct an industry education and information may be provided by number or other unique identifier, for a outreach program concerning the retailers to consumers. The interim final period of one year from the date of the provisions and requirements of this rule provides flexibility in the manner transaction. For an imported covered rule. AMS also plans to focus its in which required country of origin and commodity, the importer of record as enforcement resources for the six method of production (wild and/or determined by CBP must ensure that
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records: provide clear product tracking for products that are not pre-labeled the Burden: We estimate that nearly from the port of entry into the United country of origin and method of 125,000 establishments owned by States to the immediate subsequent production (wild and/or farm-raised) approximately 91,000 firms would be recipient, and accurately reflect the information, must be maintained for a either directly or indirectly impacted by country of origin and method of period of one year from the date the this rule. Changes from the PRIA are production (wild and/or farm-raised) of origin declaration is made at retail. Such reductions in the numbers of affected the item as identified in relevant CBP records may be located at the retailer’s entities due to the omission of entry documents and information point of distribution, or at a warehouse, commodities other than fish and systems; and must maintain such central office or other off-site location. shellfish in this interim final rule. records for a period of 1 year from the Description of Recordkeepers: date of the transaction. Records and Individuals who supply covered fish In general, the supply chain for the other documentary evidence (e.g., and shellfish commodities, whether covered fish and shellfish commodities shipping receipt from central directly to retailers or indirectly through includes fish and shellfish producers warehouse) relied upon at the point of other participants in the marketing and harvesters, processors, wholesalers, sale to establish a product’s country of chain, are required to establish and importers, and retailers. Imported origin and designation of production maintain country of origin and method products may be introduced at any level method (wild and/or farm-raised) must of production (wild and/or farm-raised) of the supply chain. Other be available during normal business information for the covered intermediaries, such as markets, may be hours to any duly authorized commodities and supply this involved in transferring products from representative of USDA at the facility information to retailers. As a result, one stage of production to the next. We for as long as the product is on hand. producers, handlers, manufacturers, estimate that the interim final rule’s In addition, records that identify the wholesalers, importers, and retailers of paperwork burden will be incurred by retail supplier, the product unique to covered fish and shellfish commodities the number and types of firms and that transaction by means of a lot will be impacted by this interim final establishments listed in Table 8. number or other unique identifier, and rule.
TABLE 8.—PAPERWORK BURDEN ESTIMATES
Establish- Maintenance Type Firms Initial costs ments costs Total costs
Producers: Farm-Raised Fish & Shellfish ...... 3,540 245,895 3,540 466,876 712,772 Fishing ...... 76,499 5,313,774 76,452 3,360,983 8,674,756
Intermediaries: Fresh & Frozen Seafood Processing ...... 582 761,838 653 580,571 1,342,409 Fish & Seafood Wholesale ...... 2,897 3,792,173 2,980 2,649,467 6,441,640 General Line Grocery Wholesalers ...... 3,183 4,166,547 3,993 819,256 4,985,80
Retailers: ...... 4,512 5,906,208 37,176 16,526,275 22,432,483
Totals: Producers ...... 80,039 5,559,669 79,992 3,827,859 9,387,528 Handlers, Processors, & Wholesalers ...... 6,662 8,720,558 7,626 4,049,294 12,769,852 Retailers ...... 4,512 5,906,208 37,176 16,526,275 22,432,483
Grand Total ...... 91,213 20,186,435 124,794 24,403,428 44,589,863
The impacted firms and engaged in the business of supplying a representatives of USDA for as long as establishments will broadly incur two covered commodity to a retailer, the product is on hand. Under the types of costs. First, firms will incur whether directly or indirectly, must proposed rule, retailers would have to initial or start-up costs to comply with maintain records to establish and have maintained these records for 7 the interim final rule. We assume that identify the immediate previous source days following the sale of the product. initial costs will be borne by each firm, and immediate subsequent recipient of For pre-labeled products, the interim even though a single firm may operate a covered commodity, in such a way final rule provides that the label itself is more than one establishment. Second, that identifies the product unique to sufficient evidence on which the retailer enterprises will incur additional that transaction by means of a lot may rely to establish a product’s origin recordkeeping costs associated with number of other unique identifier, for a and method of production (wild and/or storing and maintaining records on an period of 1 year from the date of the farm-raised). The proposed rule would ongoing basis. We assume that these transaction. Under the proposed rule, not have provided for this method of activities will take place in each records would have been required to be substantiation. Under the interim final establishment operated by each affected kept for 2 years. For retailers, this rule, records that identify the supplier, business. interim final rule requires records and the product unique to that transaction Compared to the proposed rule, this other documentary evidence relied by means of a lot number or other interim final rule reduces the length of upon at the point of sale by the retailer unique identifier, and for products that time that records must be kept and to establish a product’s country of origin are not pre-labeled, the country of origin revises the recordkeeping requirements and method of production, to be and the method of production (wild for pre-labeled products. Any person available to any duly authorized and/or farm-raised) information must be
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maintained for a period of 1 year from required across all types of harvesters believe that most of these operations the date the origin and production and producers. already maintain many of the types of designations are made at retail. Under In estimating initial recordkeeping necessary records in their existing the proposed rule, these records would costs, we used 2001 wage rates and systems. Thus, we assume that country have been required to be maintained for benefits published by the Bureau of of origin and method of production 2 years. Labor statistics from the National (wild and/or farm-raised) information With respect to initial recordkeeping Compensation Survey. Subsequently, will require only modification of costs, we believe that most fish and the National Compensation Survey has existing recordkeeping systems rather shellfish harvesters and producers been updated and 2002 wage rates and than development of entirely new currently maintain many of the types of benefits are now available. These systems. records that would be needed to updated wage rates and benefits are The Label Cost Model Developed for substantiate country of origin and used in estimating the interim final FDA by RTI International (Refs. 12 and method of production (wild and/or recordkeeping costs and results in an 13) is used to estimate the cost of farm-raised) claims. However, increase in the estimated costs. including additional country of origin harvesters and producers are not For harvesters and producers, we and method of production (wild and/or typically required to pass along country assume that the added work needed to farm-raised) information to an of origin and method of production initially set up a recordkeeping system operation’s records. We assume a (wild or farm-raised) information to for country of origin and method of limited information, one-color redesign subsequent purchasers. Therefore, production (wild or farm-raised) of a paper document will be sufficient harvesters and producers will incur information is primarily a bookkeeping to comply with the interim final rule’s some additional incremental costs to task. This task may be performed by recordkeeping requirements. The independent bookkeepers, or in the case record, maintain, and transfer country of number of hours required to complete of operations that perform their own origin and method of production (wild the redesign is estimated to be 29 with bookkeeping, will require equivalent or farm-raised) information to an estimated cost at $1,309 per firm. skills. The Bureau of Labor Statistics substantiate required claims made at While the cost will be much higher for (BLS) (Ref. 11) publishes wage rates for retail. Because much of the necessary some firms and lower for others, we bookkeepers, accounting, and auditing recordkeeping is already developed believe that $1,309 represents a clerks. We assume that this wage rate during typical fishing and aquaculture reasonable estimate of average cost for represents the cost for producers to hire all firms. We thus estimate that the operations, we estimate that the an independent bookkeeper. In the case initial recordkeeping costs to incremental costs for harvesters and of producers who currently perform intermediaries such as handlers, producers to supplement existing their own bookkeeping, we assume that processors, and wholesalers (importers records with country of origin and this wage rate represents the are included with wholesalers) will be method of production (wild or farm- opportunity cost of the producers’ time approximately $8.7 million, and initial raised) information will be relatively for performing these tasks. The July recordkeeping costs at retail will be small per firm. Examples of initial or 2002 wage rate, the most recent data approximately $5.9 million. The initial start-up costs would be any additional available, is estimated at $13.62 per recordkeeping cost to intermediaries recordkeeping burden needed to record hour. For this analysis, an additional declines from the initial recordkeeping the required country of origin and 27.5 percent is added to the wage rate cost estimate in the proposed rule due method of production (wild or farm- to account for total benefits which to the reduction in the number of raised) information and transfer this includes social security, unemployment affected intermediaries associated with information to handlers, processors, insurance, workers compensation, etc. commodities other than fish and wholesalers, or retailers. The estimate of this additional cost to shellfish. The total initial recordkeeping We estimate that producers will need employers is published by the BLS (Ref. costs for all firms are thus estimated at 4 hours to establish a system for 11). At 4 hours per firm and a cost of approximately $20 million. organizing records to carryout the $17.37 per hour, initial recordkeeping In addition to these one-time costs to purposes of these regulations. This costs to harvesters and producers are establish recordkeeping systems, additional time would be required to estimated at approximately $5.6 million enterprises will incur additional modify existing recordkeeping systems to modify existing recordkeeping recordkeeping costs associated with to incorporate any added information systems in order to substantiate country storing and maintaining records. These needed to substantiate country of origin of origin and method of production costs are referred to as maintenance claims. Although not all fish and (wild or farm-raised) claims. costs in Table 8. Again, the marginal shellfish products ultimately will be The recordkeeping burden on cost for harvesters and producers to sold at retail establishments covered by handlers, processors, wholesalers, and maintain and store any additional this interim final rule, we assume that retailers is expected to be more complex information needed to substantiate virtually all producers will wish to keep than the burden most producers face. country of origin and method of their marketing options as flexible as These operations will need to maintain production (wild or farm-raised) claims possible. Thus, we assume that all country of origin and method of is expected to be relatively small. harvesters and producers of covered fish production (wild and/or farm-raised) For wild fish harvesters, country of and shellfish commodities will establish information on the covered origin and method of production (wild) recordkeeping systems sufficient to commodities purchased and generally is established at the time that substantiate country of origin and subsequently furnish that information to the product is harvested, and thus there method of production claims. We also the next participant in the supply chain. is no need to track country of origin and recognize that some operations will This will require adding additional method of production information require substantially more than 4 hours information to a firm’s bills of lading, throughout the production lifecycle of to establish their recordkeeping systems. invoices, or other records associated the product. This group of producers is Overall, we believe that 4 hours with movement of covered commodities estimated to require an additional 4 represents a reasonable estimate of the from purchase to sale. Similar to hours a year, or 1 hour per quarter, to average additional time that will be harvesters and producers, however, we maintain country of origin and method
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of production information. Maintenance addition, these intermediaries will need recordkeeping costs are estimated for costs for fish harvesters are estimated to to track products both coming into and harvesters and producers at be $3.4 million. going out of their businesses. approximately $9.4 million; for Compared to wild fish harvesters, we We estimate the maintenance burden handlers, processors, and wholesalers at expect that fish farmers will incur hours for country of origin and method approximately $12.8 million; and for higher costs to maintain country of of production (wild and/or farm-raised) retailers at approximately $22.4 million. origin and method of production (farm- recordkeeping to be 52 hours per year We estimate the total recordkeeping cost raised) information. Wild fish are per establishment for fresh and frozen for all participants in the supply chain generally harvested once and then seafood processors and fish and seafood for covered fish and shellfish shipped by the producer to the first wholesalers. For general line grocery commodities at $44.6 million for the handler. In contrast, farm-raised fish wholesalers, we estimate the first year, with subsequent maintenance and shellfish can and often do move maintenance burden hours to be 12 costs of $24.4 million per year. through several geographically hours per year per establishment. The Annual Reporting and Recordkeeping dispersed operations prior to final sale burden estimate for general line grocery Burden for the First Year (Initial): Public for processing. Fish and shellfish may wholesalers is reduced from the 52 reporting burden for this initial be acquired from other countries by U.S. hours estimated in the proposed rule recordkeeping set up is estimated to producers, complicating the task of because fish and shellfish represent average 7.1 hours per year per tracking country of origin and method of only a portion of the commodities individual recordkeeper. production information. Because farmed handled by these establishments. Estimated Number of Firms fish and shellfish may change Maintenance activities will include Recordkeepers: 91,213. ownership several times prior to inputting, tracking, and storing country Estimated Total Annual Burden: harvest, will need to be maintained to of origin and method of production 644,202 hours. substantiate country of origin (wild and/or farm-raised) information Annual Reporting and Recordkeeping information as the animals move for each covered fish and shellfish Burden (Maintenance): through their lifecycle. Thus, we expect commodity. Since this is mostly an Public reporting burden for this that the recordkeeping burden for fish administrative task, we estimate the cost recordkeeping storage and maintenance and shellfish farmers will be higher than using the July 2002 BLS wage rate from is estimated to average 12.4 hours per it will be for harvesters of wild fish and the National Compensation Survey for year per individual recordkeeper. shellfish. We estimate that these administrative support occupations Estimated Number of Establishments producers will require an additional 12 ($13.41 per hour with an additional 27.5 Recordkeepers: 124,794. hours a year, or 1 hour per month, to percent added to cover overhead costs Estimated Total Annual Burden: maintain country of origin and method for a total of $17.10 per hour). This 1,551,696 hours. of production records. Again, this is an occupation category includes stock and AMS is committed to implementation average for all enterprises. Some will inventory clerks and record clerks. of the Government Paperwork require substantially more time, while Coupled with the assumed hours per Elimination Act (GPEA) to provide the others will require little additional time establishment, the resulting total annual public with the option to submit or to maintain country of origin and maintenance costs to handlers, transact business electronically to the method of production information. processors, and wholesalers and other extent practicable. This new We assume that farm labor will intermediaries are estimated at information collection has no forms and primarily be responsible for maintaining approximately $4.0 million. is only for recordkeeping purposes. country of origin information at Retailers will need to supply country Therefore, the provisions of an producers’ enterprises. NASS data (Ref. of origin and method of production electronic submission alternative is not 14) are used to estimate average farm (wild and/or farm-raised) information required by GPEA. wage rates—$8.62 per hour for livestock for each covered fish and shellfish AMS is soliciting comments from all workers. (Wage rates for fish workers commodity sold at each store. interested parties concerning these were unavailable, so the average wage Therefore, additional recordkeeping recordkeeping requirements. Comments rate for livestock workers is used.) maintenance costs are believed to are specifically invited on: (1) Whether Applying the rate of 27.5 percent to impact each establishment. Because fish the recordkeeping is necessary for the account for benefits results in an hourly and shellfish represent only a portion of proper operation of this program, rate of $10.99 for livestock workers. the covered commodities included in including whether the information Assuming 12 hours of labor per year for the proposed rule, estimated would have practical utility; (2) the farmed fish operations results in recordkeeping maintenance burden is accuracy of USDA’s estimate of the estimated annual maintenance costs to lowered from 365 hours to 26 hours per burden of the recordkeeping producers of $467,000 which is slightly year per retail establishment. This requirements, including the validity of higher than the estimated maintenance represents 30 minutes per week. Using the methodology and assumptions used; costs in the proposed rule for this group the BLS wage rate for administrative (3) ways to enhance the quality, utility, of producers. The increase in the support occupations ($13.41 per hour and clarity of the records to be estimated maintenance cost is due to the with an additional 27.5 percent added maintained; and (4) ways to minimize higher estimated benefits. to cover overhead costs for a total of the burden of the recordkeeping on We expect that intermediaries such as $17.10 per hour) results in total those who are to maintain and/or make handlers, processors, and wholesalers estimated annual maintenance costs to the records available, including the use will face higher costs per enterprise to retailers of $16.5 million. of appropriate automated, electronic, maintain country of origin and method The total maintenance recordkeeping mechanical, or other technological of production (wild and/or farm-raised) costs for all producer, intermediary, and recordkeeping techniques or other forms information compared to costs faced by retail enterprises are thus estimated at of information technology. Comments producers. Much of the added cost is approximately $24.4 million. concerning the recordkeeping attributed to the larger average size of The total first-year recordkeeping requirements contained in this interim these enterprises compared to the burden is calculated by summing the final rule should reference the date and average producer enterprise. In initial and maintenance costs. The total page number of this issue of the Federal
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Register and should be sent to Country other Federal statutes, all labeling of origin labeling programs that of Origin Labeling Program, Room claims made in conjunction with this encompass commodities which are 2092–S; Agricultural Marketing Service regulation must be consistent with other governed by this regulation, these (AMS), USDA; STOP 0249; 1400 applicable Federal requirements. There programs are preempted. In most cases, Independence Avenue, SW., are no administrative procedures that the requirements contained within this Washington, DC 20250–0249, or by must be exhausted prior to any judicial rule are more stringent and prescriptive facsimile to (202) 720–3499, or by e- challenge to the provisions of this rule. than the requirements of the State programs. With regard to consultation mail to [email protected]. Civil Rights Review Comments sent to the above location with States, as directed by the law, AMS should also be sent to the Desk Officer AMS considered the potential civil has consulted with the States that have for Agriculture, Office of Information rights implications of this rule on country of origin labeling programs. and Regulatory Affairs, Office of minorities, women, or persons with Further, States were expressly invited to Management and Budget, New disabilities to ensure that no person or comment on the proposed regulation as Executive Office Building, 725 17th group shall be discriminated against on it related to existing State programs. No Street, NW., Room 725, Washington, DC the basis of race, color, national origin, States submitted any comments 20503. All responses to this action will gender, religion, age, disability, sexual pertaining to this issue. be summarized and included in the orientation, marital or family status, This interim final rule contains those request for OMB approval. All political beliefs, parental status, or provisions of the October 30, 2003, (68 comments will become a matter of protected genetic information. This FR 61944) proposed rule that pertain to public record. review included persons that are fish and shellfish covered commodities. employees of the entities that are subject Modifications to these provisions have References to these regulations. This interim final been made as discussed herein. The 1. ERS, USDA. Food Consumption (Per rule does not require affected entities to implementation of mandatory COOL for Capita) Data System, http:// relocate or alter their operations in ways all covered commodities except wild www.ers.usda.gov/data/FoodConsumption/. that could adversely affect such persons and farm-raised fish and shellfish has 2. NMFS, NOAA, U.S. Dept. of Commerce. or groups. Further, this rule will not been delayed until September 30, 2006. Fisheries of the United States 2001. deny any persons or groups the benefits The provisions for the other covered September 2002. of the program or subject any persons or 3. FAS, USDA. U.S. Trade Internet System, commodities, including muscle cuts of http://www.fas.usda.gov/ustrade/. groups to discrimination. beef (including veal), lamb, and pork; 4. NMFS, NOAA, U.S. Dept. of Commerce. Executive Order 13132 ground beef, ground lamb, and ground National Seafood Consumption Survey. pork; perishable agricultural 5. ERS, USDA. Food CPI, Prices and This rule has been reviewed under commodities; and peanuts are not made Expenditures: Sales of Food at Home by Type Executive Order 13132, Federalism. final in this action. In view of the of Outlet, www.ers.usda.gov/Briefing/ This Order directs agencies to construe, changes made in this interim final rule CPIFoodAndExpenditures/Data/table16.htm. in regulations and otherwise, a Federal to fish and shellfish covered 6. U.S. Census Bureau. 1997 Economic statute to preempt State law only where commodities, interested persons should Census. Retail Trade Subject Series. the statute contains an express examine provisions concerning their Establishment and Firm Size. EC97R44S–SZ. preemption provision or there is some Issued October 2000. respective covered commodities in light 7. AMS, USDA. Perishable Agricultural other clear evidence to conclude that of these changes. Assuming that Commodities Act database. the Congress intended preemption of provisions of the interim final rule 8. U.S. Census Bureau. 2000 Statistics of State law, or where the exercise of State would be applied to all covered U.S. Businesses. authority conflicts with the exercise of commodities, the Agency specifically 9. NASS, USDA. 1998 Census of Federal authority under the Federal invites comments on the issues Aquaculture. statute. This rule is required by the described below. 10. U.S. Census Bureau. 2000 Farm Bill. While this statute does not In this regard, particular attention is Nonemployer Statistics. contain an express preemption 11. Bureau of Labor Statistics, Department drawn to the changes made for fish and of Labor, National Compensation Survey, 3rd provision, it is clear from the language shellfish with respect to definition of a quarter 2003, Employer Cost for Employee in the statute that Congress intended processed food item and recordkeeping. Compensation. preemption of State law. Under this interim final rule, all cooked 12. Food and Drug Administration. Several States have implemented products (e.g., canned fish) are ‘‘Establishment and Maintenance of Records mandatory programs for country of considered processed food items and are Under the Public Health Security and origin labeling of certain commodities. excluded from labeling under this Bioterrorism Preparedness and Response Act For example, Alabama, Arkansas, regulation. Cooked products have a of 2002,’’ proposed rule. May 9, 2003. Mississippi, and Louisiana have origin character that is different than that of 13. RTI, International 2000. FDA Labeling labeling requirements for certain Cost Model: Final Report. Revised April the covered commodity and have a 2002. seafood products. Other States somewhat limited functionality. Also 14. NASS, USDA. Farm Labor, August 15, including Wyoming, Idaho, North excluded under this interim final rule 2003. Dakota, South Dakota, Louisiana, are breaded products, which in the case Kansas, and Mississippi have origin of shrimp can account for up to 50 Executive Order 12988 labeling requirements for certain meat percent of the finished product. In The contents of this rule were products. In addition, the State of addition, retail items that have been reviewed under Executive Order 12988, Florida and the State of Maine have given a distinct flavor (e.g., Cajun Civil Justice Reform. This rule is not origin labeling requirements for fresh marinated catfish) are also considered intended to have a retroactive effect. produce items. processed food items. The Agency States and local jurisdictions are To the extent that these State country believes that these exclusions are preempted from creating or operating of origin labeling programs encompass consistent in that these products all country of origin labeling programs for commodities which are not governed by have a limited range of use. the commodities specified in the Act this regulation, the States may continue AMS has reduced the recordkeeping and these regulations. With regard to to operate them. For those State country retention requirement for suppliers and
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centrally-located retail records to one authorized under the Agricultural Subpart A—General Provisions year and reduced the retail level record Marketing Act of 1946, as amended. retention requirement to while the After issuance of a proposed rule, the Definitions product is on hand. In addition, the Department has decided to provide § 60.101 Act. interim final rule clarifies that only further opportunity to comment due to Act means the Agricultural Marketing those suppliers responsible for initiating the changes made as a result of Act of 1946, (7 U.S.C. 1621 et seq.). an origin and method of production comments received and the cost claim would have to possess records to associated with this rule. Further, this § 60.102 AMS. substantiate those claims (e.g., where it rule provides for a 90-day comment AMS means the Agricultural was harvested). Intermediate suppliers period. Marketing Service, United States and retailers would be required to have Department of Agriculture. documentation that identifies the List of Subjects in 7 CFR Part 60 § 60.103 [Reserved] product with either a lot number or Agricultural commodities, Fish, Food other unique identifier and illustrates labeling, Reporting and recordkeeping § 60.104 Consumer package. the immediate previous supplier and requirements. subsequent recipient (as applicable) of Consumer package means any that uniquely identified product. Thus, I For the reasons set forth in the container or wrapping in which a only origin/production identification preamble, 7 CFR chapter I is amended by covered commodity is enclosed for the must travel with the product either on adding part 60 to read as follows: delivery and/or display of such the product itself, on the shipping commodity to retail purchasers. PART 60—COUNTRY OF ORIGIN container, or in some other fashion. In § 60.105 Covered commodity. performing an audit, AMS would be LABELING FOR FISH AND SHELLFISH able to track that product back through (a) Covered commodity means: Subpart A—General Provisions the marketing chain to the supplier (1) [Reserved] responsible for initiating the origin/ Definitions (2) [Reserved] (3) Farm-raised fish and shellfish production designation claims. Sec. With respect to costs, modifications in (including fillets, steaks, nuggets, and 60.101 Act. any other flesh); this interim final rule resulted in lower 60.102 AMS. estimates of first-year implementation (4) Wild fish and shellfish (including 60.103 [Reserved] fillets, steaks, nuggets, and any other costs for affected entities in the fish and 60.104 Consumer package. shellfish sector, relative to the upper flesh); 60.105 Covered commodity. (5) [Reserved] range estimates of first-year 60.106 Farm-raised fish. (6) [Reserved] implementation costs presented in the 60.107 Food service establishment. (b) Covered commodities are excluded proposed rule. If applied to the other 60.108–60.110 [Reserved] covered commodities, corresponding 60.111 Hatched. from this part if the commodity is an changes to the proposed rule would 60.112 Ingredient. ingredient in a processed food item as result in lowered estimates of first-year 60.113 [Reserved] defined in § 60.119. implementation costs for those 60.114 Legibly. § 60.106 Farm-raised fish. commodities relative to the upper-range 60.115 [Reserved] Farm-raised fish means fish or estimates presented in the PRIA. In the 60.116 Person. shellfish that have been harvested in PRIA, upper-range first-year 60.117 [Reserved] controlled environments, including implementation costs for all covered 60.118 [Reserved] ocean-ranched (e.g., penned) fish and commodities (including fish and 60.119 Processed food item. including shellfish harvested from shellfish) were estimated at $3.9 billion. 60.120 [Reserved] leased beds that have been subjected to Preliminary analysis suggests that 60.121 [Reserved] requirements in this interim final rule, 60.122 Production step. production enhancements such as if applied to all covered commodities, 60.123 Raised. providing protection from predators, the would result in a reduction on the order 60.124 Retailer. addition of artificial structures, or of 20 to 30 percent in estimated first- 60.125 Secretary. providing nutrients; and fillets, steaks, year implementation costs relative to 60.126 [Reserved] nuggets, and any other flesh from a the PRIA upper-range estimate. 60.127 United States. farm-raised fish or shellfish. 60.128 United States country of origin. This interim final rule is made § 60.107 Food service establishment. effective 180 days after the date of 60.129 USDA. Food service establishment means a publication in the Federal Register. The 60.130 U.S. flagged vessel. restaurant, cafeteria, lunch room, food requirements of this rule do not apply 60.131 Vessel flag. 60.132 Waters of the United States. stand, saloon, tavern, bar, lounge, or to frozen fish or shellfish caught or 60.133 Wild fish and shellfish. other similar facility operated as an harvested before December 6, 2004. This enterprise engaged in the business of will allow existing product to clear Country of Origin Notification selling food to the public. Similar food through the channels of commerce and 60.200 Country of origin notification. service facilities include salad bars, permit AMS to conduct an industry 60.300 Markings. delicatessens, and other food enterprises education and outreach program located within retail establishments that concerning the provisions contained Recordkeeping provide ready-to-eat foods that are within this rulemaking. 60.400 Recordkeeping requirements. Further, pursuant to 5 U.S.C. 553, it Appendix A to Subpart A—Exclusive consumed either on or outside of the is found and determined upon good Economic Zone and Maritime retailer’s premises. cause that it is impractical, unnecessary, Boundaries; Notice of Limits § 60.108–60.110 [Reserved] and contrary to the public interest to Subpart B—[Reserved] give preliminary notice prior to putting § 60.111 Hatched. this rule into effect. This action is Authority: 7 U.S.C. 1621 et seq. Hatched means emerged from the egg.
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§ 60.112 Ingredient. (a) [Reserved] § 60.132 Waters of the United States. Ingredient means a component either (b) Farm-raised fish and shellfish as it Waters of the United States means in part or in full, of a finished retail food relates to the production steps defined those fresh and ocean waters contained product. in § 60.122: the period of time from within the outer limit of the Exclusive hatched to harvested. Economic Zone (EEZ) of the United § 60.113 [Reserved] § 60.124 Retailer. States as described in Department of § 60.114 Legibly. State Public Notice 2237 published in Retailer means any person licensed as the Federal Register volume 60, No. Legibly means text that can be easily a retailer under the Perishable read by a consumer. 163, August 23, 1995, pages 43825– Agricultural Commodities Act of 1930 43829. The Department of State notice § 60.115 [Reserved] (7 U.S.C. 499a(b)). is republished in appendix A to this subpart. § 60.116 Person. § 60.125 Secretary. Person means any individual, Secretary means the Secretary of § 60.133 Wild fish and shellfish. Agriculture of the United States or any partnership, corporation, association, or Wild fish and shellfish means person to whom the Secretary’s other legal entity. naturally-born or hatchery-originated authority has been delegated. § 60.117 [Reserved] fish or shellfish released in the wild, § 60.126 [Reserved] and caught, taken, or harvested from § 60.118 [Reserved] non-controlled waters or beds; and § 60.127 United States. fillets, steaks, nuggets, and any other § 60.119 Processed food item. United States means the 50 States, the flesh from a wild fish or shellfish. Processed food item means a retail District of Columbia, the item derived from fish or shellfish that Commonwealth of Puerto Rico, the U.S. Country of Origin Notification has undergone specific processing Virgin Islands, American Samoa, Guam, § 60.200 Country of origin notification. resulting in a change in the character of the Northern Mariana Islands, and any In providing notice of the country of the covered commodity, or that has been other Commonwealth, territory, or origin as required by the Act, the combined with at least one other possession of the United States, and the following requirements shall be covered commodity or other substantive waters of the United States as defined in followed by retailers: food component (e.g., breading, tomato § 60.132. (a) General. Labeling of covered sauce), except that the addition of a commodities offered for sale whether component (such as water, salt, or § 60.128 United States country of origin. individually, in a bulk bin, display case, sugar) that enhances or represents a United States country of origin means carton, crate, barrel, cluster, or further step in the preparation of the in the case of: consumer package must contain country product for consumption, would not in (a) [Reserved] of origin and method of production itself result in a processed food item. (b) [Reserved] information (wild and/or farm-raised) as Specific processing that results in a (c) Farm-raised fish and shellfish: set forth in this regulation. change in the character of the covered from fish or shellfish hatched, raised, (b) Exemptions. Food service commodity includes cooking (e.g., harvested, and processed in the United establishments as defined in § 60.107 frying, broiling, grilling, boiling, States, and that has not undergone a are exempt from labeling under this steaming, baking, roasting), curing (e.g., substantial transformation (as subpart. salt curing, sugar curing, drying), established by U.S. Customs and Border (c) Exclusions. A covered commodity smoking (hot or cold), and restructuring Protection) outside of the United States. is excluded from this subpart if it is an (e.g., emulsifying and extruding, (d) Wild-fish and shellfish: from fish ingredient in a processed food item as compressing into blocks and cutting or shellfish harvested in the waters of defined in § 60.119. into portions). Examples of items the United States or by a U.S. flagged (d) Designation of Method of excluded include fish sticks, surimi, vessel and processed in the United Production (Wild and/or Farm-Raised). mussels in tomato sauce, seafood States or aboard a U.S. flagged vessel, Fish and shellfish covered commodities medley, coconut shrimp, soups, stews, and that has not undergone a substantial shall also be labeled to indicate whether and chowders, sauces, pates, salmon transformation (as established by U.S. they are wild and/or farm-raised as that has been smoked, marinated fish Customs and Border Protection) outside those terms are defined in this fillets, canned tuna, canned sardines, of the United States. (e) [Reserved] regulation. canned salmon, crab salad, shrimp (f) [Reserved] (e) Labeling Covered Commodities of cocktail, gefilte fish, sushi, and breaded United States Origin. A covered shrimp. § 60.129 USDA. commodity may only bear the § 60.120 [Reserved] USDA means the United States declaration of ‘‘Product of the U.S.’’ at Department of Agriculture. retail if it meets the definition of United § 60.121 [Reserved] § 60.130 U.S. flagged vessel. States Country of Origin as defined in § 60.122 Production step. U.S. flagged vessel means: § 60.128. Production step means in the case of: (a) Any vessel documented under (f) Labeling Imported Products That (a) [Reserved] chapter 121 of title 46, United States Have Not Undergone Substantial (b) Farm-raised Fish and Shellfish: Code; or Transformation in the United States. An Hatched, raised, harvested, and (b) Any vessel numbered in imported covered commodity shall processed. accordance with chapter 123 of title 46, retain its origin as declared to U.S. (c) Wild Fish and Shellfish: Harvested United States Code. Customs and Border Protection at the and processed. time the product entered the United § 60.131 Vessel flag. States, through retail sale, provided that § 60.123 Raised. Vessel flag means the country of it has not undergone a substantial Raised means in the case of: registry for a vessel, ship, or boat. transformation (as established by U.S.
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Customs and Border Protection) in the farm-raised) designation may be Recordkeeping United States. combined or made separately. Except as (g) Labeling Imported Products That provided in § 60.200(g) and 60.200(h) of § 60.400 Recordkeeping requirements. Have Subsequently Been Substantially this regulation, the declaration of the (a) General. Transformed in the United States. country(ies) of origin of a product shall (1) All records must be legible and (1) [Reserved] be listed according to applicable Federal may be maintained in either electronic (2) Wild and Farm-Raised Fish and legal requirements. Country of origin or hard copy formats. Due to the Shellfish: If a covered commodity was declarations may be in the form of a variation in inventory and accounting imported from country X and check box provided it is in conformance documentary systems, various forms of subsequently substantially transformed with other Federal legal requirements. documentation and records will be (as established by U.S. Customs and Various forms of the production acceptable. Border Protection) in the United States designation are acceptable, including (2) Upon request by USDA or aboard a U.S. flagged vessel, such ‘‘wild caught’’, ‘‘wild’’, ‘‘farm-raised’’, representatives, suppliers and retailers product shall be labeled at retail as ‘‘farmed’’, or a combination of these subject to this subpart shall make ‘‘From [country X], processed in the terms for blended products that contain available to USDA representatives, United States.’’ both wild and farm-raised fish or records and other documentary (h) Blended Products (Commingling of shellfish, provided it can be readily evidence that will permit substantiation the same covered commodity). understood by the consumer and is in of an origin claim and method(s) of (1) For imported covered commodities conformance with other Federal labeling production (wild and/or farm-raised), in that have not subsequently been laws. Designations such as ‘‘ocean a timely manner during normal hours of substantially transformed in the United caught’’, ‘‘caught at sea’’, ‘‘line caught’’, business and at a location that is States that are commingled with other ‘‘cultivated’’, or ‘‘cultured’’ are not reasonable in consideration of the imported covered commodities that acceptable substitutes. Alternatively, products and firm under review. have not been substantially transformed method of production (wild and/or (b) Responsibilities of Suppliers. in the United States, and/or covered farm-raised) designations may be in the (1) Any person engaged in the commodities of U.S. origin and/or form of a check box. business of supplying a covered covered commodities as described in (b) The declaration of the country(ies) commodity to a retailer, whether § 60.200(g), the declaration shall of origin and method(s) of production directly or indirectly, must make indicate the countries of origin for (wild and/or farm-raised) (e.g., placard, available information to the buyer about covered commodities in accordance sign, label, sticker, band, twist tie, pin the country(ies) of origin and method(s) with existing Federal legal tag, or other display) must be placed in of production (wild and/or farm-raised), requirements. a conspicuous location, so as to render of the covered commodity. This (2) For imported covered commodities it likely to be read and understood by information may be provided either on that have subsequently undergone a customer under normal conditions of the product itself, on the master substantial transformation in the United purchase. shipping container, or in a document States that are commingled with other (c) The declaration of the country(ies) that accompanies the product through imported covered commodities that of origin and the method(s) of retail sale provided that it identifies the have subsequently undergone production (wild and/or farm-raised) product and its country(ies) of origin substantial transformation in the United may be typed, printed, or handwritten and method(s) of production, unique to States (either prior to or following provided it is in conformance with other that transaction by means of a lot substantial transformation in the United Federal labeling laws and does not number or other unique identifier. In States) and/or U.S. origin covered obscure other labeling information addition, the supplier of a covered commodities, the declaration shall required by other Federal regulations. commodity that is responsible for indicate the countries of origin (d) A bulk container (e.g., display initiating a country(ies) of origin and contained therein or that may be case, shipper, bin, carton, and barrel), method(s) of production (wild and/or contained therein. used at the retail level to present farm-raised) claim must possess records (i) Remotely Purchased Products. For product to consumers, may contain a that are necessary to substantiate that sales of a covered commodity in which covered commodity from more than one claim. the customer purchases a covered country of origin and/or more than one (2) Any intermediary supplier (i.e., commodity prior to having an method of production (wild and farm- not the supplier responsible for opportunity to observe the final package raised) provided all possible origins initiating a country of origin declaration (e.g., Internet sales, home delivery sales, and/or methods of production are listed. and designation of wild and/or farm- etc.), the retailer may provide the (e) Abbreviations and variant raised) handling a covered commodity country of origin notification and spellings that unmistakably indicate the that is found to be designated method of production (wild and/or country of origin, such as ‘‘U.K.’’ for incorrectly for country of origin and/or farm-raised) designation either on the ‘‘The United Kingdom of Great Britain method of production (wild and/or sales vehicle or at the time the product and Northern Ireland’’ are acceptable. farm-raised), shall not be held liable for is delivered to the consumer. The adjectival form of the name of a a violation of the Act by reason of the country may be used as proper conduct of another if the intermediary § 60.300 Markings. notification of the country(ies) of origin supplier could not have been reasonably (a) Country of origin declarations and of imported commodities provided the expected to have had knowledge of the method of production (wild and/or adjectival form of the name does not violation. farm-raised) designations can either be appear with other words so as to refer (3) Any person engaged in the in the form of a placard, sign, label, to a kind or species of product. Symbols business of supplying a covered sticker, band, twist tie, pin tag, or other or flags alone may not be used to denote commodity to a retailer, whether format that provides country of origin country of origin. directly or indirectly (i.e., including but and method of production information. (f) State or regional label designations not limited to harvesters, producers, The country of origin declaration and are not acceptable in lieu of country of distributors, handlers, and processors), method of production (wild and/or origin labeling. must maintain records to establish and
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identify the immediate previous source Subpart B—[Reserved] Unless otherwise noted, the coordinates in (if applicable) and immediate this notice relate to the Clarke 1866 Ellipsoid subsequent recipient of a covered Appendix A to Subpart A—Exclusive and the North American 1927 Datum (‘‘NAD 27’’). Unless otherwise specified, the term commodity, in such a way that Economic Zone and Maritime Boundaries; Notice of Limits ‘‘straight line’’ in this notice means a identifies the product unique to that geodetic line. transaction by means of a lot number or Note: The following notice was originally U.S. Atlantic Coast and Gulf of Mexico other unique identifier, for a period of published at 60 FR 43825–43829, August 23, 1 year from the date of the transaction. 1995. In the Gulf of Maine area, the limit of the exclusive economic zone is defined by (4) For an imported covered Department of State straight lines connecting the following 1 commodity (as defined in § 60.200(f)), [Public Notice 2237] coordinates: the importer of record as determined by 1. 44 deg. 46′35.346″ N., 66 deg. 54′11.253’’ Exclusive Economic Zone and Maritime W. U.S. Customs and Border Protection, Boundaries; Notice of Limits ′ ″ ′ ″ must ensure that records: Provide clear 2. 44 deg. 44 41 N., 66 deg. 56 17 W. By Presidential Proclamation No. 5030 3. 44 deg. 43′56″ N., 66 deg. 56′26″ W. product tracking from the port of entry made on March 10, 1983, the United States 4. 44 deg. 39′13″ N., 66 deg. 57′29″ W. into the United States to the immediate established an exclusive economic zone, the 5. 44 deg. 36′58″ N., 67 deg. 00′36″ W. subsequent recipient and accurately outer limit of which is a line drawn in such 6. 44 deg. 33′27″ N., 67 deg. 02′57″ W. reflect the country of origin and method a manner that each point on it is 200 nautical 7. 44 deg. 30′38″ N., 67 deg. 02′38″ W. ′ ″ ′ ″ of production (wild and/or farm-raised) miles from the baseline from which the 8. 44 deg. 29 03 N., 67 deg. 03 42 W. 9. 44 deg. 25′27″ N., 67 deg. 02′16″ W. of the item as identified in relevant CBP breadth of the territorial sea is measured. The Government of the United States of 10. 44 deg. 21′43″ N., 67 deg. 02′33″ W. entry documents and information America has been, is, and will be, engaged 11. 44 deg. 14′06″ N., 67 deg. 08′38″ W. systems; and must maintain such in consultations and negotiations with 12. 44 deg. 11′12″ N., 67 deg. 16′46″ W. ′ ″ ′ ″ records for a period of 1 year from the governments of neighboring countries 13. 42 deg. 53 14 N., 67 deg. 44 35 W. ′ ″ ′ ″ concerning the delimitation of areas subject 14. 42 deg. 31 08 N., 67 deg. 28 05 W. date of the transaction. ′ ″ ′ ″ to the respective jurisdiction of the United 15. 40 deg. 27 05 N., 65 deg. 41 59 W. (c) Responsibilities of Retailers. States and of these countries. Between points 15 and 16, the limit of the (1) Records and other documentary The limits of the exclusive economic zone exclusive economic zone is 200 nautical evidence relied upon at the point of sale of the United States as set forth below are miles seaward from the baseline from which to establish a covered commodity’s intended to be without prejudice to any the territorial sea is measured. In the area of the Blake Plateau, the Straits country(ies) of origin and designation of negotiations with these countries or to any positions which may have been or may be of Florida, and Eastern Gulf of Mexico, the wild and/or farm-raised, must be adopted respecting the limits of maritime limit of the exclusive economic zone shall be available during normal business hours jurisdiction in such areas. Further, the limits determined by straight lines connecting the to any duly authorized representative of of the exclusive economic zone set forth following coordinates: 2 USDA at the facility for as long as the below are without prejudice to the outer limit 16. 28 deg. 17′10″ N., 76 deg. 36′45″ W. product is on hand. For pre-labeled of the continental shelf of the United States 17. 28 deg. 17′10″ N., 79 deg. 11′24″ W. ′ ″ ′ ″ products, the label itself is sufficient where that shelf extends beyond 200 nautical 18. 27 deg. 52 54 N., 79 deg. 28 36 W. miles from the baseline in accordance with 19. 27 deg. 26′00″ N., 79 deg. 31′38″ W. evidence on which the retailer may rely international law. 20. 27 deg. 16′12″ N., 79 deg. 34′18″ W. to establish the product’s origin and The following notices have been published 21. 27 deg. 11′53″ N., 79 deg. 34′56″ W. method(s) of production (wild and/or which have defined the United States 22. 27 deg. 05′58″ N., 79 deg. 35′19″ W. farm-raised). maritime boundaries and fishery 23. 27 deg. 00′27″ N., 79 deg. 35′17″ W. 24. 26 deg. 55′15″ N., 79 deg. 34′39″ W. (2) Records that identify the retail conservation zone established March 1, 1977: Public Notice 506, Federal Register, Vol. 41, 25. 26 deg. 53′57″ N., 79 deg. 34′27″ W. supplier, the product unique to that No. 214, November 4, 1976, 48619–20; Public 26. 26 deg. 45′45″ N., 79 deg. 32′41″ W. transaction by means of a lot number or Notice 526, Federal Register, Vol. 42, No. 44, 27. 26 deg. 44′29″ N., 79 deg. 32′23″ W. other unique identifier, and for products March 7, 1977, 12937–40; Public Notice 544, 28. 26 deg. 43′39″ N., 79 deg. 32′20″ W. that are not pre-labeled the country of Federal Register, Vol. 42, No. 92, May 12, 29. 26 deg. 41′11″ N., 79 deg. 32′01″ W. ′ ″ ′ ″ origin information and the method(s) of 1977, 24134; Public Notice 4710–01, Federal 30. 26 deg. 38 12 N., 79 deg. 31 33 W. 31. 26 deg. 36′29″ N., 79 deg. 31′07″ W. production (wild and/or farm-raised) Register, Vol. 43, No. 7, January 11, 1978, 1658; Public Notice 585, Federal Register, 32. 26 deg. 35′20″ N., 79 deg. 30′50″ W. must be maintained for a period of 1 Vol. 43, No. 7, January 11, 1978, 1659; Public 33. 26 deg. 34′50″ N., 79 deg. 30′46″ W. year from the date the declaration is Notice 910, Federal Register, Vol. 49, No. 34. 26 deg. 34′10″ N., 79 deg. 30′38″ W. made at retail. Such records may be 155, August 9, 1984, 31973. 35. 26 deg. 31′11″ N., 79 deg. 30′15″ W. located at the retailer’s point of This Public Notice supersedes all limits distribution, warehouse, central offices defined in the above Public Notices. 1 The limits of the U.S. exclusive economic zone or other off-site location. Therefore, the Department of State on from points 1 to 12 in areas adjacent to Canada do behalf of the Government of the United States not correspond to limits of the Canadian fishery (3) Any retailer handling a covered hereby announces the limits of the exclusive zone as defined in the Canada Gazette of January commodity that is found to be economic zone of the United States of 1, 1977, due to the dispute between the United States and Canada relating to the sovereignty over designated incorrectly as to country of America, within which the United States will Machias Seal Island and North Rock. The line origin and/or the method of production exercise its sovereign rights and jurisdiction defined by points 12 through 15 reflects the (wild and/or farm-raised), or for frozen as permitted under international law, International Court of Justice Award of October 14, pending the establishment of permanent 1984, establishing a United States-Canada maritime fish and shellfish covered commodities maritime boundaries by mutual agreement in boundary, pursuant to t he Treaty between the caught or harvested before December 6, those cases where a boundary is necessary Government of Canada and the Government of the 2004, for the date of harvest, shall not and has not already been agreed. United States of America to Submit to Binding Publication of a notice on this subject Dispute Settlement the Delimitation of the Maritime be held liable for a violation of the Act Boundary in the gulf of Maine Area, TIAS 10204. which is effective immediately upon by reason of the conduct of another if 2 The line defined by points 113 through 139 is the retailer could not have been publication is necessary to effectively that line delimited in the maritime boundary treaty exercise the foreign affairs responsibility of reasonably expected to have had signed with Cuba December 16, 1977, Senate the Department of State. (See Title 5 U.S.C. Executive H, 96th Cong., 1st Sess. The treaty has knowledge of the violation. 553(a)(1)(B).) been applied provisionally since January 1, 1978.
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36. 26 deg. 29′04″ N., 79 deg. 29′53″ W. 111. 24 deg. 02′18″ N., 81 deg. 09′06″ W. Mexico City, November 23, 1970, and entered 37. 26 deg. 25′30″ N., 79 deg. 29′58″ W. 112. 23 deg. 59′58″ N., 81 deg. 11′16″ W. into force April 18, 1972, TIAS No. 7313, 23 38. 26 deg. 23′28″ N., 79 deg. 29′55″ W. 113. 23 deg. 55′30″ N., 81 deg. 12′55″ W. UST 371. 39. 26 deg. 23′20″ N., 79 deg. 29′54″ W. 114. 23 deg. 53′50″ N., 81 deg. 19′44″ W. U.S. Pacific Coast (Washington, Oregon, and 40. 26 deg. 18′56″ N., 79 deg. 31′55″ W. 115. 23 deg. 50′50″ N., 81 deg. 30′00″ W. California) 41. 26 deg. 15′25″ N., 79 deg. 33′17″ W. 116. 23 deg. 50′00″ N., 81 deg. 40′00″ W. 42. 26 deg. 15′12″ N., 79 deg. 33′23″ W. 117. 23 deg. 49′03″ N., 81 deg. 50′00″ W. In the area seaward of the Strait of Juan de 43. 26 deg. 08′08″ N., 79 deg. 35′53″ W. 118. 23 deg. 49′03″ N., 82 deg. 00′12″ W. Fuca, the limit of the exclusive economic 44. 26 deg. 07′46″ N., 79 deg. 36′09″ W. 119. 23 deg. 49′40″ N., 82 deg. 10′00″ W. zone shall be determined by straight lines 45. 26 deg. 06′58″ N., 79 deg. 36′35″ W. 120. 23 deg. 51′12″ N., 82 deg. 25′00″ W. connecting the points with the following 46. 26 deg. 02′51″ N., 79 deg. 38′22″ W. 121. 23 deg. 51′12″ N., 82 deg. 40′00″ W. coordinates: 4 47. 25 deg. 59′29″ N., 79 deg. 40′03″ W. 122. 23 deg. 49′40″ N., 82 deg. 48′54″ W. 1. 48 deg. 29′37.19″ N., 124 deg. 43′33.19″ 48. 25 deg. 59′15″ N., 79 deg. 40′08″ W. 123. 23 deg. 49′30″ N., 82 deg. 51′12″ W. W. 49. 25 deg. 57′47″ N., 79 deg. 40′38″ W. 124. 23 deg. 49′22″ N., 83 deg. 00′00″ W. 2. 48 deg. 30′11″ N., 124 deg. 47′13″ W. 50. 25 deg. 56′17″ N., 79 deg. 41′06″ W. 125. 23 deg. 49′50″ N., 83 deg. 15′00″ W. 3. 48 deg. 30′22″ N., 124 deg. 50′21″ W. 51. 25 deg. 54′03″ N., 79 deg. 41′38″ W. 126. 23 deg. 51′20″ N., 83 deg. 25′50″ W. 4. 48 deg. 30′14″ N., 124 deg. 54′52″ W. 52. 25 deg. 53′23″ N., 79 deg. 41′46″ W. 127. 23 deg. 52′25″ N., 83 deg. 33′02″ W. 5. 48 deg. 29′57″ N., 124 deg. 59′14″ W. 53. 25 deg. 51′53″ N., 79 deg. 41′59″ W. 128. 23 deg. 54′02″ N., 83 deg. 41′36″ W. 6. 48 deg. 29′44″ N., 125 deg. 00′06″ W. 54. 25 deg. 49′32″ N., 79 deg. 42′16″ W. 129. 23 deg. 55′45″ N., 83 deg. 48′12″ W. 7. 48 deg. 28′09″ N., 125 deg. 05′47″ W. 55. 25 deg. 48′23″ N., 79 deg. 42′23″ W. 130. 23 deg. 58′36″ N., 84 deg. 00′00″ W. 8. 48 deg. 27′10″ N., 125 deg. 08′25″ W. 56. 25 deg. 48′19″ N., 79 deg. 42′24″ W. 131. 24 deg. 09′35″ N., 84 deg. 29′28″ W. 9. 48 deg. 26′47″ N., 125 deg. 09′12″ W. 57. 25 deg. 46′25″ N., 79 deg. 42′44″ W. 132. 24 deg. 13′18″ N., 84 deg. 38′40″ W. 10. 48 deg. 20′16″ N., 125 deg. 22′48″ W. 58. 25 deg. 46′15″ N., 79 deg. 42′45″ W. 133. 24 deg. 16′39″ N., 84 deg. 46′08″ W. 11. 48 deg. 18′22″ N., 125 deg. 29′58″ W. 59. 25 deg. 43′39″ N., 79 deg. 42′59″ W. 134. 24 deg. 23′28″ N., 85 deg. 00′00″ W. 12. 48 deg. 11′05″ N., 125 deg. 53′48″ W. 60. 25 deg. 42′30″ N., 79 deg. 42′48″ W. 135. 24 deg. 26′35″ N., 85 deg. 06′20″ W. 13. 47 deg. 49′15″ N., 126 deg. 40′57″ W. 61. 25 deg. 40′36″ N., 79 deg. 42′27″ W. 136. 24 deg. 38′55″ N., 85 deg. 31′55″ W. 14. 47 deg. 36′47″ N., 127 deg. 11′58″ W. 62. 25 deg. 37′23″ N., 79 deg. 42′27″ W. 137. 24 deg. 44′15″ N., 85 deg. 43′12″ W. 15. 47 deg. 22′00″ N., 127 deg. 41′23″ W. 63. 25 deg. 37′07″ N., 79 deg. 42′27″ W. 138. 24 deg. 53′55″ N., 86 deg. 00′00″ W. 16. 46 deg. 42′05″ N., 128 deg. 51′56″ W. 64. 25 deg. 31′02″ N., 79 deg. 42′12″ W. 139. 25 deg. 12′25″ N., 86 deg. 33′12″ W. 17. 46 deg. 31′47″ N., 129 deg. 07′39″ W. 65. 25 deg. 27′58″ N., 79 deg. 42′11″ W. Between points 139 and 140, the limit of Between point 17 and 18, the limit of the 66. 25 deg. 24′03″ N., 79 deg. 42′12″ W. the exclusive economic zone is 200 nautical exclusive economic zone is 200 nautical 67. 25 deg. 22′20″ N., 79 deg. 42′20″ W. miles seaward from the baseline from which miles seaward from the baseline from which 68. 25 deg. 21′28″ N., 79 deg. 42′08″ W. the territorial sea is measured. the breadth of the territorial sea is measured. 69. 25 deg. 16′51″ N., 79 deg. 41′24″ W. In the central Gulf of Mexico, the limit of In the area off the Southern California coast, 70. 25 deg. 15′56″ N., 79 deg. 41′31″ W. the exclusive economic zone is determined the limit of the exclusive economic zone 71. 25 deg. 10′38″ N., 79 deg. 41′31″ W. by straight lines connecting the following shall be determined by straight lines 72. 25 deg. 09′50″ N., 79 deg. 41′36″ W. coordinates: 3 connecting the following points: 5 ′ ″ ′ ″ 73. 25 deg. 09 02 N., 79 deg. 41 45 W. 140. 25 deg. 41′56.52.88″ N., 88 deg. 18. 30 deg. 32′31.20″ N., 121 deg. 51′58.37″ ′ ″ ′ ″ 74. 25 deg. 03 53 N., 79 deg. 42 30 W. 23′05.54″ W. W. ′ ″ ′ ″ 75. 25 deg. 02 58 N., 79 deg. 42 57 W. 141. 25 deg. 46′52.00″ N., 90 deg. 29′41.00″ 19. 31 deg. 07′58.00″ N., 118 deg. 36′18.00″ ′ ″ ′ ″ 76. 25 deg. 00 28 N., 79 deg. 44 06 W. W. W. 77. 24 deg. 59′01″ N., 79 deg. 44′49″ W. 142. 25 deg. 42′13.05″ N., 91 deg. 05′24.89″ 20. 32 deg. 37′37.00″ N., 117 deg. 49′31.00″ 78. 24 deg. 55′26″ N., 79 deg. 45′58″ W. W. W. 79. 24 deg. 44′16″ N., 79 deg. 49′25″ W. 21. 32 deg. 35′22.11″ N., 117 deg. 27′49.42″ ′ ″ ′ ″ Between points 142 and 143, the limit of 80. 24 deg. 43 02 N., 79 deg. 49 39 W. the exclusive economic zone is 200 nautical W. 81. 24 deg. 42′34″ N., 79 deg. 50′51″ W. ′ ″ ′ ″ miles seaward from the baseline from which From point 21 to the coast, the limit of 82. 24 deg. 41 45 N., 79 deg. 52 58 W. the territorial sea is measured. United States jurisdiction is the territorial sea 83. 24 deg. 38′30″ N., 79 deg. 59′59″ W. ′ ″ ′ ″ In the western Gulf of Mexico, the limit of boundary with Mexico established by the 84. 24 deg. 36 25 N., 80 deg. 03 52 W. the exclusive economic zone is determined United States of America and the United 85. 24 deg. 33′16″ N., 80 deg. 12′44″ W. ′ ″ ′ ″ by straight lines connecting the following Mexican States in Article V(B) and annexes 86. 24 deg. 33 03 N., 80 deg. 13 22 W. coordinates: of the Treaty to Resolve Pending Boundary 87. 24 deg. 32′11″ N., 80 deg. 15′17″ W. 143. 25 deg. 59′48.28″ N., 93 deg. 26′42.19″ Differences and Maintain the Rio Grande and 88. 24 deg. 31′25″ N., 80 deg. 16′56″ W. W. Colorado River as the International 89. 24 deg. 30′55″ N., 80 deg. 17′48″ W. 144. 26 deg. 00′30.00″ N., 95 deg. 39′26.00″ Boundary, signed at Mexico City, November 90. 24 deg. 30′12″ N., 80 deg. 19′22″ W. W. 23, 1970, and entered into force April 18, 91. 24 deg. 30′04″ N., 80 deg. 19′45″ W. 145. 26 deg. 00′31.00″ N., 96 deg. 48′29.00″ 1972. 92. 24 deg. 29′36″ N., 80 deg. 21′06″ W. W. 93. 24 deg. 28′16″ N., 80 deg. 24′36″ W. Alaska 146. 25 deg. 58′30.57″ N., 96 deg. 55′27.37″ 94. 24 deg. 28′04″ N., 80 deg. 25′11″ W. W. Off the coast of Alaska, in the area of the 95. 24 deg. 27′21″ N., 80 deg. 27′21″ W. Beaufort Sea, the limit of exclusive economic 96. 24 deg. 26′28″ N., 80 deg. 29′31″ W. From point 146, the limit of United States zone shall be determined by straight lines, jurisdiction is the territorial sea boundary 97. 24 deg. 25′05″ N., 80 deg. 32′23″ W. connecting the following coordinates: 6 98. 24 deg. 23′28″ N., 80 deg. 36′10″ W. with Mexico established by the United States of America and the United Mexican States in 99. 24 deg. 22′31″ N., 80 deg. 38′57″ W. 4 Article V(A) and annexes of the Treaty to The limit of the U.S. exclusive economic zone 100. 24 deg. 22′05″ N., 80 deg. 39′52″ W. from points 1 to 17 adjacent to Canada in the area 101. 24 deg. 19′29″ N., 80 deg. 45′22″ W. Resolve Pending Boundary Differences and seaward of the Strait of Juan de Fuca do not 102. 24 deg. 19′14″ N., 80 deg. 45′48″ W. Maintain the Rio Grande and Colorado River correspond to limits of the Canadian fishery zone 103. 24 deg. 18′36″ N., 80 deg. 46 deg. 50″ as the International Boundary, signed at as defined in the Canada Gazette of January 1, 1977. W. 5 The line defined by points 18 through 21 reflect 104. 24 deg. 18′33″ N., 80 deg. 46′55″ W. 3 The lines defined by points 140–142 and 143– the Exchange of Note Effecting Agreement on the 105. 24 deg. 09′49″ N., 80 deg. 59′48″ W. 146 reflect the exchange of Notes Effecting Provisional Maritime Boundary with Mexico done on November 24, 1976. The U.S.-Mexico Maritime 106. 24 deg. 09′46″ N., 80 deg. 59′52″ W. Agreement on the provisional Maritime Boundary ′ ″ ′ ″ with Mexico done on November 24, 1976, TIAS Boundary Treaty, signed on May 4, 1978, defines 107. 24 deg. 08 56 N., 81 deg. 01 08 W. the boundary using the same turning points. ′ ″ ′ ″ 8805, 29 UST 196. The U.S.-Mexico Maritime 108. 24 deg. 03 28 N., 81 deg. 01 52 W. Boundary Treaty, signed on May 4, 1978, Senate 6 The limit of the U.S. exclusive economic zone 109. 24 deg. 08′24″ N., 81 deg. 01′58″ W. Executive F, 96th Congress, 1st Sess., defines in areas adjacent to Canada in the Beaufort Sea do 110. 24 deg. 07′26″ N., 81 deg. 03′07″ W. boundary using the same turning points. Continued
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1. 69 deg. 38′48.88″ N., 140 deg. 59′52.7″ 57. 60 deg. 15′14″ N., 179 deg. 40′30″ W. 104. 54 deg. 27′07″ N., 132 deg. 49′35″ W. W. 58. 60 deg. 11′39″ N., 179 deg. 46′49″ W. 105. 54 deg. 26′00″ N., 132 deg. 44′12″ W. ′ ″ ′ ″ 2. 69 deg. 38 52 N., 140 deg. 59 51 W. Between points 58 and 59 the limit of the 106. 54 deg. 24′54″ N., 132 deg. 39′46″ W. ′ ″ ′ ″ 3. 69 deg. 39 37 N., 140 deg. 59 01 W exclusive economic zone is 200 nautical 107. 54 deg. 24′34″ N., 132 deg. 38′16″ W. ′ ″ ′ ″ 4. 69 deg. 40 10 N., 140 deg. 58 34 W. miles seaward from the baseline from which 108. 54 deg. 24′39″ N., 132 deg. 26′51″ W. ′ ″ ′ ″ 5. 69 deg. 41 30 N., 140 deg. 57 00 W. the territorial sea is measured. In the 109. 54 deg. 24′41″ N., 132 deg. 24′35″ W. ′ ″ ′ ″ 6. 69 deg. 46 25 N., 140 deg. 49 45 W. southern Bering Sea and north Pacific Ocean, 110. 54 deg. 24′41″ N., 132 deg. 24′29″ W. ′ ″ ′ ″ 7. 69 deg. 47 54 N., 140 deg. 47 07 W. the limit of the exclusive economic zone 111. 54 deg. 24′52″ N., 132 deg. 23′39″ W. ′ ″ ′ ″ 8. 69 deg. 51 40 N., 140 deg. 42 37 W. shall be determined the straight lines 112. 54 deg. 21′51″ N., 132 deg. 02′54″ W. ′ ″ ′ ″ 9. 70 deg. 09 26 N., 140 deg. 19 22 W. connecting the following coordinates: 113. 54 deg. 26′41″ N., 131 deg. 49′28″ W. ′ ″ ′ ″ 10. 70 deg. 11 30 N., 140 deg. 18 09 W. ′ ″ ′ ″ 114. 54 deg. 28′18″ N., 131 deg. 45′20″ W. ′ ″ ′ ″ 59. 56 deg. 16 31 N., 174 deg. 00 19 E. 11. 70 deg. 29 07 N., 140 deg. 09 51 W. ′ ″ ′ ″ 115. 54 deg. 30′32″ N., 131 deg. 38′01″ W. 12. 70 deg. 29′19″ N., 140 deg. 09′45″ W. 60. 56 deg. 15 07 N., 173 deg. 56 56 E. ′ ″ ′ ″ 61. 56 deg. 04′34″ N., 173 deg. 41′08″ E. 116. 54 deg. 29 53 N., 131 deg. 33 48 W. 13. 70 deg. 37′31″ N., 140 deg. 02′47″ W. 117. 54 deg. 36′53″ N., 131 deg. 19′22″ W. ′ ″ ′ ″ 62. 55 deg. 53′59″ N., 173 deg. 25′22″ E. 14. 70 deg. 48 25 N., 139 deg. 52 32 W. ′ ″ ′ ″ 118. 54 deg. 39′09″ N., 131 deg. 16′17″ W. 15. 70 deg. 58′02″ N., 139 deg. 47′16″ W. 63. 55 deg. 43 22 N., 173 deg. 09 37 E. ′ ″ ′ ″ 64. 55 deg. 32′42″ N., 172 deg. 53′55″ E. 119. 54 deg. 40 52 N., 131 deg. 13 54 W. 16. 71 deg. 01′15″ N., 139 deg. 44′24″ W. 120. 54 deg. 42′11″ N., 131 deg. 13′00″ W. ′ ″ ′ ″ 65. 55 deg. 21′59″ N., 172 deg. 38′14″ E. 17. 71 deg. 11 58 N., 139 deg. 33 58 W. ′ ″ ′ ″ 121. 54 deg. 46′16″ N., 131 deg. 04′43″ W. 18. 71 deg. 23′10″ N., 139 deg. 21′46″ W. 66. 55 deg. 11 14 N., 172 deg. 22 36 E. ′ ″ ′ ″ 67. 55 deg. 00′26″ N., 172 deg. 06′59″ E. 122. 54 deg. 45 39 N., 131 deg. 03 06 W. 19. 72 deg. 12′18″ N., 138 deg. 26′19″ W. 123. 54 deg. 44′12″ N., 130 deg. 59′44″ W. ′ ″ ′ ″ 68. 54 deg. 49′36″ N., 171 deg. 51′24″ E. 20. 72 deg. 46 39 N., 137 deg. 30 02 W. ′ ″ ′ ″ 124. 54 deg. 43′46″ N., 130 deg. 58′55″ W. 21. 72 deg. 56′49″ N., 137 deg. 34′08″ W. 69. 54 deg. 38 43 N., 171 deg. 35 51 E. ′ ″ ′ ″ 70. 54 deg. 27′48″ N., 171 deg. 20′20″ E. 125. 54 deg. 43 00 N., 130 deg. 57 41 W. Between point 21 and point 22, the limit ′ ″ ′ ″ 126. 54 deg. 42′34″ N., 130 deg. 57′09″ W. 71. 54 deg. 16 50 N., 171 deg. 04 50 E. ′ ″ ′ ″ of the exclusive economic zone is 200 72. 54 deg. 05′50″ N., 170 deg. 49′22″ E. 127. 54 deg. 42 27 N., 130 deg. 56 18 W. nautical miles seaward from the baseline ′ ″ ′ ″ 128. 54 deg. 41′26″ N., 130 deg. 53′39″ W. 73. 53 deg. 54 47 N., 170 deg. 33 56 E. ′ ″ ′ ″ from which the territorial sea is measured. In 74. 53 deg. 43′42″ N., 170 deg. 18′31″ E. 129. 54 deg. 41 21 N., 130 deg. 53 18 W. the Chukchi Sea, Bering Strait, and northern ′ ″ ′ ″ 130. 54 deg. 41′05″ N., 130 deg. 49′17″ W. 75. 53 deg. 32 46 N., 170 deg. 05 29 E. ′ ″ ′ ″ Bering Sea, the limit of the exclusive 76. 53 deg. 21′48″ N., 169 deg. 52′32″ E. 131. 54 deg. 41 06 N., 130 deg. 48 31 W. economic zone shall be determined by ′ ″ ′ ″ 132. 54 deg. 40′46″ N., 130 deg. 45′51″ W. 77. 53 deg. 10 49 N., 169 deg. 39 40 E. ′ ″ ′ ″ straight lines connecting the following 78. 52 deg. 59′48″ N., 169 deg. 26′53″ E. 133. 54 deg. 40 41 N., 130 deg. 44 59 W. coordinates: 7 ′ ″ ′ ″ 134. 54 deg. 40′42″ N., 130 deg. 44′43″ W. 79. 52 deg. 48 46 N., 169 deg. 14 12 E. ′ ″ ′ ″ 22. 72 deg. 46′29″ N., 168 deg. 58′37″ W. ′ ″ ′ ″ 135. 54 deg. 40 03 N., 130 deg. 42 22 W. 80. 52 deg. 37 43 N., 169 deg. 01 36 E. ′ ″ ′ ″ 23. 65 deg. 30′00″ N., 168 deg. 58′37″ W. ′ ″ ′ ″ 136. 54 deg. 39 48 N., 130 deg. 41 35 W. 81. 52 deg. 26 38 N., 168 deg. 49 05 E. ′ ″ ′ ″ 24. 65 deg. 19′58″ N., 168 deg. 21′38″ W. ′ ″ ′ ″ 137. 54 deg. 39 14 N., 130 deg. 39 18 W. 82. 52 deg. 15 31 N., 168 deg. 36 39 E. ′ ″ ′ ″ 25. 65 deg. 09′51″ N., 169 deg. 44′34″ W. ′ ″ ′ ″ 138. 54 deg. 39 54 N., 130 deg. 38 58 W. 83. 52 deg. 04 23 N., 168 deg. 24 17 E. ′ ″ ′ ″ 26. 64 deg. 59′41″ N., 170 deg. 07′23″ W. ′ ″ ′ ″ 139. 54 deg. 41 09 N., 130 deg. 38 58 W. 84. 51 deg. 53 14 N., 168 deg. 12 01 E. ′ ″ ′ ″ 27. 64 deg. 49′26″ N., 170 deg. 30′06″ W. ′ ″ ′ ″ 140. 54 deg. 42 22 N., 130 deg. 38 26 W. 85. 51 deg. 42 03 N., 167 deg. 59 49 E. ′ ″ ′ ″ 28. 64 deg. 39′08″ N., 170 deg. 52′43″ W. ′ ″ ′ ″ 141. 54 deg. 42 47 N., 130 deg. 38 06 W. 86. 51 deg. 30 51 N., 167 deg. 47 42 E. ′ ″ ′ ″ 29. 64 deg. 28′46″ N., 171 deg. 15′14″ W. ′ ″ ′ ″ 142. 54 deg. 42 58 N., 130 deg. 37 57 W. 87. 51 deg. 22 15 N., 167 deg. 38 28 E. ′ ″ ′ ″ 30. 64 deg. 18′20″ N., 171 deg. 37′40″ W. 143. 54 deg. 43 00 N., 130 deg. 37 55 W. From point 87 to point 88, the limit of the ′ ″ ′ ″ 31. 64 deg. 07′50″ N., 172 deg. 00′00″ W. 144. 54 deg. 43 15 N., 130 deg. 37 44 W. exclusive economic zone is 200 nautical ′ ″ ′ ″ 32. 63 deg. 59′27″ N., 172 deg. 18′39″ W. 145. 54 deg. 43 24 N., 130 deg. 37 39 W. miles from the baseline from which the ′ ″ 33. 63 deg. 51′01″ N., 172 deg. 38′13″ W. 146. 54 deg. 43 30.15 N., 130 deg. ′ ″ ′ ″ territorial sea is measured. From point 88, the 37′37.01″ W. 34. 63 deg. 42 33 N., 172 deg. 55 42 W. southern limit of the exclusive economic 35. 63 deg. 34′01″ N., 173 deg. 14′07″ W. ′ ″ ′ ″ zone off the coast of Alaska shall be Caribbean Sea 36. 63 deg. 25 27 N., 173 deg. 32 27 W. determined by straight lines connecting the 37. 63 deg. 16′50″ N., 173 deg. 50′42″ W. The seaward limit of the exclusive following coordinates: 8 economic zone around the Commonwealth of 38. 63 deg. 08′11″ N., 174 deg. 08′52″ W. ′ ″ ′ ″ 88. 53 deg. 28 27 N., 138 deg. 45 20 W. Puerto Rico and the Virgin Islands of the 39. 62 deg. 59′29″ N., 174 deg. 26′58″ W. ′ ″ ′ ″ 89. 54 deg. 00 01 N., 135 deg. 45 57 W. United States is a line 200 nautical miles 40. 62 deg. 50′44″ N., 174 deg. 44′59″ W. ′ ″ ′ ″ 90. 54 deg. 07 30 N., 134 deg. 56 24 W. from the baseline from which the breadth of 41. 62 deg. 41′56″ N., 175 deg. 02′56″ W. ′ ″ ′ ″ 91. 54 deg. 12 45 N., 134 deg. 25 03 W. the territorial sea is measured, except that to 42. 62 deg. 33′06″ N., 175 deg. 20′48″ W. ′ ″ ′ ″ ′ ″ ′ ″ 92. 54 deg. 12 57 N., 134 deg. 23 47 W. the east, south, and west, the limit of the 43. 62 deg. 24 13 N., 175 deg. 38 36 W. 93. 54 deg. 15′40″ N., 134 deg. 10′49″ W. 44. 62 deg. 15′17″ N., 175 deg. 56′19″ W. ′ ″ ′ ″ exclusive economic zone shall be determined ′ ″ ′ ″ 94. 54 deg. 20 33 N., 133 deg. 49 21 W. by straight lines connecting the following 45. 62 deg. 06 19 N., 176 deg. 13 59 W. 95. 54 deg. 22′01″ N., 133 deg. 44′24″ W. 46. 61 deg. 57′18″ N., 176 deg. 31′34″ W. coordinates: 9 96. 54 deg. 30′06″ N., 133 deg. 16′58″ W. ′ ″ ′ ″ 47. 61 deg. 48′14″ N., 176 deg. 49′04″ W. ′ ″ ′ ″ 1. 21 deg. 48 33 N., 65 deg. 50 31 W. ′ ″ ′ ″ 97. 54 deg. 31 02 N., 133 deg. 14 00 W. 2. 21 deg. 41′20″ N., 65 deg. 49′13″ W. 48. 61 deg. 39 08 N., 177 deg. 06 31 W. 98. 54 deg. 30′42″ N., 133 deg. 11′28″ W. 49. 61 deg. 29′59″ N., 177 deg. 23′53″ W. 3. 20 deg. 58′05″ N., 65 deg. 40′30″ W. 99. 54 deg. 30′10″ N., 133 deg. 07′43″ W. ′ ″ ′ ″ 50. 61 deg. 20′47″ N., 177 deg. 41′11″ W. ′ ″ ′ ″ 4. 20 deg. 46 56 N., 65 deg. 38 14 W. ′ ″ ′ ″ 100. 54 deg. 30 03 N., 133 deg. 07 00 W. 51. 61 deg. 11 33 N., 177 deg. 58 26 W. 101. 54 deg. 28′32″ N., 132 deg. 56′28″ W. ′ ″ ′ ″ 9 52. 61 deg. 02 17 N., 178 deg. 15 36 W. 102. 54 deg. 28′25″ N., 132 deg. 55′54″ W. The line defined by points 1–50 is that line ′ ″ ′ ″ delimited in the maritime boundary treaty signed 53. 60 deg. 52 57 N., 178 deg. 32 42 W. 103. 54 deg. 27′23″ N., 132 deg. 50′42″ W. 54. 60 deg. 43′35″ N., 178 deg. 49′45″ W. with the United Kingdom (for the British Virgin 55. 60 deg. 34′11″ N., 179 deg. 06′44″ W. Islands) at London on November 4, 1993, Senate 8 56. 60 deg. 24′44″ N., 179 deg. 23′38″ W. The limit of the U.S. exclusive economic zone Treaty Doc. 103–23, and entered into force on June in, and seaward of, the Dixon Entrance do not 1, 1995. The line defined by points 50–51 is that correspond to the limits of the Canadian fishery line delimited in the maritime boundary treaty not correspond to limits of the Canadian fishery zone, as defined in the Canada Gazette of January signed with the United Kingdom (for Anguilla) at zone, as defined in the Canada Gazette of January 1, 1977. Where the claimed boundaries published London on November 4, 1993, Senate Treaty Doc. 1, 1997. by the United States and Canada leave an 103–23, and entered into force June 1, 1995. The 7 The line defined by points 22–59 and 59–87 is unclaimed area within Dixon Entrance, the United line from point 1 to point 51 is on the North that line delimited in the maritime boundary treaty States will exercise fishery management jurisdiction American Datum 1983 (NAD 83). The line defined signed with the former Soviet Union (now to the Canadian claimed line where that line is by points 57–78 is that line delimited in the applicable to Russia) June 1, 1990, Senate Treaty situated southward of the United States claimed maritime boundary treaty signed with Venezuela at Doc. 102–22, and applied provisionally pending the line, until such time as a permanent maritime Caracas on March 28, 1978; the treaty entered into exchange of instruments of ratification, by an boundary with Canada is established in the Dixon force on November 24, 1980, TIAS 9890, 32 UST exchange of notes effective June 15, 1990. Entrance. 3100.
VerDate jul<14>2003 15:39 Oct 04, 2004 Jkt 205001 PO 00000 Frm 00042 Fmt 4701 Sfmt 4700 E:\FR\FM\05OCR3.SGM 05OCR3 Federal Register / Vol. 69, No. 192 / Tuesday, October 5, 2004 / Rules and Regulations 59749
5. 19 deg. 57′29″ N., 65 deg. 27′21″ W. 81. 17 deg. 38′01″ N., 68 deg. 16′46″ W. 17. 11 deg. 22′13″ N., 145 deg. 52′36″ E. 6. 19 deg. 37′29″ N., 65 deg. 20′57″ W. 82. 17 deg. 50′24″ N., 68 deg. 16′11″ W. 18. 11 deg. 17′31″ N., 145 deg. 22′38″ E. 7. 19 deg. 12′25″ N., 65 deg. 06′08″ W. 83. 17 deg. 58′07″ N., 68 deg. 15′52″ W. 19. 11 deg. 13′32″ N., 144 deg. 57′26″ E. 8. 18 deg. 45′14″ N., 65 deg. 00′22″ W. 84. 18 deg. 02′28″ N., 68 deg. 15′40″ W. 20. 11 deg. 13′23″ N., 144 deg. 56′29″ E. 9. 18 deg. 41′14″ N., 64 deg. 59′33″ W. 85. 18 deg. 06′10″ N., 68 deg. 15′27″ W. 21. 10 deg. 57′03″ N., 143 deg. 26′53″ E. 10. 18 deg. 29′22″ N., 64 deg. 53′50″ W. 86. 18 deg. 07′27″ N., 68 deg. 15′33″ W. 22. 10 deg. 57′30″ N., 143 deg. 03′09″ E. 11. 18 deg. 27′36″ N., 64 deg. 53′22″ W. 87. 18 deg. 09′12″ N., 68 deg. 14′53″ W. 23. 11 deg. 52′33″ N., 142 deg. 15′28″ E. 12. 18 deg. 25′22″ N., 64 deg. 52′39″ W. 88. 18 deg. 17′06″ N., 68 deg. 11′28″ W. 24. 12 deg. 54′00″ N., 141 deg. 21′48″ E. 13. 18 deg. 24′31″ N., 64 deg. 52′19″ W. 89. 18 deg. 19′20″ N., 68 deg. 09′40″ W. 25. 12 deg. 54′17″ N., 141 deg. 21′33″ E. 14. 18 deg. 23′51″ N., 64 deg. 51′50″ W. 90. 18 deg. 22′42″ N., 68 deg. 06′57″ W. 26. 12 deg. 57′34″ N., 141 deg. 19′17″ E. 15. 18 deg. 23′43″ N., 64 deg. 51′23″ W. 91. 18 deg. 24′39″ N., 68 deg. 04′58″ W. 27. 13 deg. 06′32″ N., 141 deg. 12′53″ E. ′ ″ ′ ″ 16. 18 deg. 23 37 N., 64 deg. 50 18 W. 92. 18 deg. 25′25″ N., 68 deg. 04′09″ W. Hawaii and Midway Island. The seaward ′ ″ ′ ″ 17. 18 deg. 23 48 N., 64 deg. 49 42 W. 93. 18 deg. 28′08″ N., 68 deg. 00′59″ W. limit of the exclusive economic zone is 200 ′ ″ ′ ″ 18. 18 deg. 24 11 N., 64 deg. 49 01 W. 94. 18 deg. 31′27″ N., 67 deg. 56′57″ W. nautical miles from the baselines from which ′ ″ ′ ″ 19. 18 deg. 24 29 N., 64 deg. 47 57 W. 95. 18 deg. 32′58″ N., 67 deg. 55′07″ W. the territorial sea is measured. ′ ″ ′ ″ 20. 18 deg. 24 18 N., 64 deg. 47 00 W. 96. 18 deg. 34′34″ N., 67 deg. 52′53″ W. Johnston Atoll. The seaward limit of the ′ ″ ′ ″ 21. 18 deg. 23 14 N., 64 deg. 46 37 W. 97. 18 deg. 54′37″ N., 67 deg. 46′21″ W. exclusive economic zone is 200 nautical ′ ″ ′ ″ 22. 18 deg. 22 38 N., 64 deg. 45 21 W. 98. 19 deg. 00′42″ N., 67 deg. 44′25″ W. miles from the baselines from which the ′ ″ ′ ″ 23. 18 deg. 22 40 N., 64 deg. 44 42 W. 99. 19 deg. 10′00″ N., 67 deg. 41′24″ W. territorial sea is measured. ′ ″ ′ ″ 24. 18 deg. 22 42 N., 64 deg. 44 36 W. 100. 19 deg. 19′03″ N., 67 deg. 38′19″ W. American Samoa. The seaward limit of the ′ ″ ′ ″ 25. 18 deg. 22 37 N., 64 deg. 44 24 W. 101. 19 deg. 21′20″ N., 67 deg. 38′01″ W. exclusive economic zone shall be determined ′ ″ ′ ″ 26. 18 deg. 22 40 N., 64 deg. 43 42 W. 102. 19 deg. 59′45″ N., 67 deg. 31′52″ W. by straight lines connecting the following ′ ″ ′ ″ 27. 18 deg. 22 30 N., 64 deg. 43 36 W. 103. 20 deg. 00′59″ N., 67 deg. 31′35″ W. points: 11 ′ ″ ′ ″ 28. 18 deg. 22 25 N., 64 deg. 42 58 W. 104. 20 deg. 01′17″ N., 67 deg. 31′29″ W. 1. 11 deg. 02′17″ S., 173 deg. 44′48″ W. ′ ″ ′ ″ 29. 18 deg. 22 27 N., 64 deg. 42 28 W. 105. 20 deg. 02′49″ N., 67 deg. 31′04″ W. 2. 10 deg. 46′15″ S., 173 deg. 03′53″ W. ′ ″ ′ ″ 30. 18 deg. 22 16 N., 64 deg. 42 03 W. 106. 20 deg. 03′30″ N., 67 deg. 30′52″ W. 3. 10 deg. 25′26″ S., 172 deg. 11′01″ W. ′ ″ ′ ″ 31. 18 deg. 22 23 N., 64 deg. 40 59 W. 107. 20 deg. 09′28″ N., 67 deg. 29′11″ W. 4. 10 deg. 17′50″ S., 171 deg. 50′58″ W. ′ ″ ′ ″ 32. 18 deg. 21 58 N., 64 deg. 40 15 W. 108. 20 deg. 48′18″ N., 67 deg. 17′50″ W. 5. 10 deg. 15′17″ S., 171 deg. 15′32″ W. ′ ″ ′ ″ 33. 18 deg. 21 51 N., 64 deg. 38 22 W. 109. 21 deg. 22′48″ N., 67 deg. 02′34″ W. 6. 10 deg. 10′18″ S., 170 deg. 16′10″ W. ′ ″ ′ ″ 34. 18 deg. 21 22 N., 64 deg. 38 16 W. 110. 21 deg. 30′18″ N., 66 deg. 59′05″ W. 7. 10 deg. 07′52″ S., 169 deg. 46′50″ W. ′ ″ ′ ″ 35. 18 deg. 20 39 N., 64 deg. 38 32 W. 111. 21 deg. 33′47″ N., 66 deg. 57′30″ W. 8. 10 deg. 01′26″ S., 168 deg. 31′25″ W. ′ ″ ′ ″ 36. 18 deg. 19 16 N., 64 deg. 38 13 W. 112. 21 deg. 51′24″ N., 66 deg. 49′30″ W. 9. 10 deg. 12′44″ S., 168 deg. 31′02″ W. ′ ″ ′ ″ ′ ″ ′ ″ 37. 18 deg. 19 07 N., 64 deg. 38 16 W. Navassa Island. The limits of the exclusive 10. 10 deg. 12 49 S., 168 deg. 31 02 W. 38. 18 deg. 17′24″ N., 64 deg. 39′37″ W. 11. 10 deg. 52′31″ S., 168 deg. 29′42″ W. ′ ″ ′ ″ economic zone around Navassa Island ′ ″ ′ ″ 39. 18 deg. 16 43 N., 64 deg. 39 41 W. remain to be determined. 12. 11 deg. 02 40 S., 168 deg. 29 21 W. 40. 18 deg. 11′34″ N., 64 deg. 38′58″ W. 13. 11 deg. 43′53″ S., 168 deg. 27′58″ W. 41. 18 deg. 03′03″ N., 64 deg. 38′03″ W. Central and Western Pacific 14. 12 deg. 01′55″ S., 168 deg. 10′24″ W. ′ ″ ′ ″ ′ ″ ′ ″ 42. 18 deg. 02 57 N., 64 deg. 29 35 W. Northern Mariana Islands and Guam. The 15. 12 deg. 28 40 S., 167 deg. 25 20 W. ′ ″ ′ ″ ′ ″ ′ ″ 43. 18 deg. 02 52 N., 64 deg. 27 03 W. seaward limit of the exclusive economic zone 16. 12 deg. 41 22 S., 167 deg. 11 01 W. ′ ″ ′ ″ ′ ″ ′ ″ 44. 18 deg. 02 30 N., 64 deg. 21 08 W. is 200 nautical miles from the baseline from 17. 12 deg. 57 51 S., 166 deg. 52 21 W. 45. 18 deg. 02′31″ N., 64 deg. 20′08″ W. 18. 13 deg. 11′25″ S., 166 deg. 37′02″ W. ′ ″ ′ ″ which the breadth of the territorial sea is ′ ″ ′ ″ 46. 18 deg. 02 01 N., 64 deg. 15 39 W. measured, except that to the north of the 19. 13 deg. 14 03 S., 166 deg. 34 03 W. 47. 18 deg. 00′12″ N., 64 deg. 02′29″ W. 20. 13 deg. 21′25″ S., 166 deg. 25′42″ W. ′ ″ ′ ″ Northern Mariana Islands, the limit of the ′ ″ ′ ″ 48. 17 deg. 59 58 N., 64 deg. 01 02 W. exclusive economic zone shall be determined 21. 13 deg. 35 44 S., 166 deg. 09 19 W. 49. 17 deg. 58′47″ N., 63 deg. 57′00″ W. 22. 13 deg. 44′56″ S., 165 deg. 58′44″ W. ′ ″ ′ ″ by straight lines connecting the following ′ ″ ′ ″ 50. 17 deg. 57 51 N., 63 deg. 53 53 W. points: 10 23. 14 deg. 03 30 S., 165 deg. 37 20 W. 51. 17 deg. 56′37″ N., 63 deg. 53′20″ W. ′ ″ ′ ″ 24. 15 deg. 00′09″ S., 165 deg. 22′07″ W. ′ ″ ′ ″ 1. 23 deg. 53 35 N., 145 deg. 05 46 E. ′ ″ ′ ″ 52. 17 deg. 39 48 N., 63 deg. 54 54 W. 2. 23 deg. 44′32″ N., 144 deg. 54′05″ E. 25. 15 deg. 14 04 S., 165 deg. 18 29 W. 53. 17 deg. 37′15″ N., 63 deg. 55′11″ W. ′ ″ ′ ″ 26. 15 deg. 38′47″ S., 165 deg. 12′03″ W. ′ ″ ′ ″ 3. 23 deg. 33 52 N., 144 deg. 40 23 E. ′ ″ ′ ″ 54. 17 deg. 30 28 N., 63 deg. 55 57 W. 4. 23 deg. 16′11″ N., 144 deg. 17′47″ E. 27. 15 deg. 44 58 S., 165 deg. 16 36 W. 55. 17 deg. 11′43″ N., 63 deg. 58′00″ W. ′ ″ ′ ″ 28. 16 deg. 08′42″ S., 165 deg. 34′12″ W. ′ ″ ′ ″ 5. 22 deg. 50 13 N., 143 deg. 44 57 E. ′ ″ ′ ″ 56. 17 deg. 05 07 N., 63 deg. 58 42 W. 6. 22 deg. 18′13″ N., 143 deg. 05′02″ E. 29. 16 deg. 18 30 S., 165 deg. 41 29 W. 57. 16 deg. 44′49″ N., 64 deg. 01′08″ W. ′ ″ ′ ″ 30. 16 deg. 23′29″ S., 165 deg. 45′11″ W. ′ ″ ′ ″ 7. 21 deg. 53 58 N., 142 deg. 35 03 E. ′ ″ ′ ″ 58. 16 deg. 43 22 N., 64 deg. 06 31 W. 8. 21 deg. 42′14″ N., 142 deg. 20′39″ E. 31. 16 deg. 45 30 S., 166 deg. 01 39 W. 59. 16 deg. 43′10″ N., 64 deg. 06′59″ W. ′ ″ ′ ″ 32. 17 deg. 33′28″ S., 166 deg. 38′35″ W. ′ ″ ′ ″ 9. 21 deg. 40 08 N., 142 deg. 18 05 E. ′ ″ ′ ″ 60. 16 deg. 42 40 N., 64 deg. 08 06 W. 10. 21 deg. 28′21″ N., 142 deg. 03′45″ E. 33. 17 deg. 31 45 S., 166 deg. 42 07 W. 61. 16 deg. 41′43″ N., 64 deg. 10′07″ W. ′ ″ ′ ″ 34. 16 deg. 56′20″ S., 168 deg. 26′05″ W. ′ ″ ′ ″ 11. 20 deg. 58 24 N., 141 deg. 27 33 E. ′ ″ ′ ″ 62. 16 deg. 35 19 N., 64 deg. 23 39 W. 12. 20 deg. 52′51″ N., 141 deg. 20′54″ E. 35. 16 deg. 37 55 S., 169 deg. 18 19 W. 63. 16 deg. 23′30″ N., 64 deg. 45′54″ W. 36. 16 deg. 37′36″ S., 169 deg. 19′12″ W. and, except that to the south of Guam, the 64. 15 deg. 39′31″ N., 65 deg. 58′41″ W. 37. 16 deg. 34′58″ S., 169 deg. 55′59″ W. limit of the exclusive economic zone shall be 65. 15 deg. 30′10″ N., 66 deg. 07′09″ W. 38. 16 deg. 39′17″ S., 170 deg. 19′09″ W. determined by straight lines connecting the 66. 15 deg. 14′06″ N., 66 deg. 19′57″ W. 39. 16 deg. 48′46″ S., 171 deg. 12′29″ W. following points: 67. 14 deg. 55′48″ N., 66 deg. 34′30″ W. 40. 16 deg. 49′33″ S., 171 deg. 17′03″ W. ′ ″ ′ ″ 68. 14 deg. 56′06″ N., 66 deg. 51′40″ W. 13. 11 deg. 38 25 N., 147 deg. 44 42 E. 41. 16 deg. 13′29″ S., 171 deg. 37′41″ W. ′ ″ ′ ″ 69. 14 deg. 58′27″ N., 67 deg. 04′19″ W. 14. 11 deg. 36 53 N., 147 deg. 31 03 E. 42. 16 deg. 04′47″ S., 171 deg. 42′37″ W. ′ ″ ′ ″ 70. 14 deg. 58′45″ N., 67 deg. 05′17″ W. 15. 11 deg. 31 48 N., 146 deg. 55 19 E. ′ ″ ′ ″ 71. 14 deg. 58′58″ N., 67 deg. 06′11″ W. 16. 11 deg. 27 15 N., 146 deg. 25 34 E. 11 The line defined by points 1–8 is that line 72. 14 deg. 59′10″ N., 67 deg. 07′00″ W. delimited in the maritime boundary treaty with 73. 15 deg. 02′32″ N., 67 deg. 23′40″ W. 10 The line defined by points 1–12 constitutes the New Zealand (for Tokelau) signed at Atafu on 74. 15 deg. 05′07″ N., 67 deg. 36′23″ W. line of delimination between the maritime zones of December 2, 1980; this treaty entered into force on 75. 15 deg. 10′38″ N., 68 deg. 03′46″ W. the United States and Japan as reflected in an September 3, 1983, TIAS 10775. The line defined 76. 15 deg. 11′06″ N., 68 deg. 09′21″ W. Exchange of Notes effective July 5, 1994. Points 1– by points 8–32 is that line delimited in the 12 are on the World Geodetic System 1984 (WGS maritime boundary treaty with the Cook Islands 77. 15 deg. 12′33″ N., 68 deg. 27′32″ W. ′ ″ ′ ″ 84). In this regard, users should be aware that the signed at Rarotonga on June 11, 1980; this treaty 78. 15 deg. 12 51 N., 68 deg. 28 56 W. Government of Japan defines points 1–12 on the entered into force on September 8, 1983, TIAS 79. 15 deg. 46′46″ N., 68 deg. 26′04″ W. Tokyo Datum and the coordinate values will differ 10774. Points 1–32 are on the World Geodetic 80. 17 deg. 21′30″ N., 68 deg. 17′53″ W. slightly from those published in this Notice. System 1972 (WGS 72).
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43. 15 deg. 58′20″ S., 171 deg. 46′06″ W. 2. 7 deg. 31′05″ N., 159 deg. 39′30″ W. 11. 0 deg. 12′36″ N., 158 deg. 18′06″ W. 44. 15 deg. 50′48″ S., 171 deg. 50′23″ W. 3. 7 deg. 09′43″ N., 159 deg. 54′35″ W. 12. 0 deg. 00′17″ S., 158 deg. 07′27″ W. 45. 15 deg. 50′12″ S., 171 deg. 50′44″ W. 4. 6 deg. 33′40″ N., 160 deg. 19′51″ W. 13. 0 deg. 24′23″ S., 157 deg. 49′44″ W. 46. 15 deg. 14′19″ S., 171 deg. 37′37″ W. 5. 6 deg. 31′37″ N., 160 deg. 21′18″ W. 14. 0 deg. 25′44″ S., 157 deg. 48′43″ W. ′ ″ ′ ″ 47. 15 deg. 01′58″ S., 171 deg. 31′37″ W. 6. 6 deg. 25 31 N., 160 deg. 25 40 W. 15. 0 deg. 58′15″ S., 157 deg. 24′52″ W. ′ ″ ′ ″ ′ ″ ′ ″ 48. 14 deg. 46 48 S., 171 deg. 24 21 W. 7. 6 deg. 03 05 N., 160 deg. 41 42 W. 16. 2 deg. 13′26″ S., 157 deg. 49′01″ W. ′ ″ ′ ″ ′ ″ ′ ″ 49. 14 deg. 27 02 S., 171 deg. 14 46 W. 8. 5 deg. 44 12 N., 160 deg. 55 13 W. 17. 3 deg. 10′40″ S., 158 deg. 10′30″ W. 50. 14 deg. 06′18″ S., 171 deg. 04′48″ W. 9. 4 deg. 57′25″ N., 161 deg. 28′19″ W. Howland and Baker IslandS., The seaward 51. 14 deg. 03′28″ S., 171 deg. 03′06″ W. 10. 4 deg. 44′38″ N., 161 deg. 37′18″ W. 52. 14 deg. 03′27″ S., 171 deg. 03′05″ W. 11. 3 deg. 54′25″ N., 162 deg. 12′56″ W. limit of the exclusive economic zone is a line 53. 14 deg. 03′05″ S., 171 deg. 02′53″ W. 12. 2 deg. 39′50″ N., 163 deg. 05′14″ W. 200 nautical miles from the baseline from 54. 13 deg. 56′54″ S., 170 deg. 59′34″ W. Wake Island. The seaward limit of the which the territorial sea is measured, except 55. 13 deg. 54′30″ S., 170 deg. 58′20″ W. exclusive economic zone is 200 nautical to the southeast and south of Howland and 56. 13 deg. 53′43″ S., 170 deg. 57′57″ W. miles from the baseline from which the Baker Islands the limit of the exclusive 57. 13 deg. 50′40″ S., 170 deg. 56′24″ W. territorial sea is measured, except that to the economic zone shall be determined by 58. 13 deg. 13′56″ S., 170 deg. 44′20″ W. south of Wake Island the limit of the straight lines connecting the following 59. 13 deg. 09′05″ S., 170 deg. 42′39″ W. exclusive economic zone shall be determined points: 60. 12 deg. 36′18″ S., 170 deg. 30′44″ W. by straight lines connecting the following 1. 0 deg. 14′30″ N., 173 deg. 08′00″ W. 61. 12 deg. 36′11″ S., 170 deg. 31′35″ W. points: 2. 0 deg. 14′32″ S., 173 deg. 27′28″ W. ′ ″ ′ ″ 62. 12 deg. 35 21 S., 170 deg. 36 26 W. 1. 17 deg. 56′15″ N., 169 deg. 54′00″ E. 3. 0 deg. 43′52″ S., 173 deg. 45′30″ W. ′ ″ ′ ″ 63. 12 deg. 29 47 S., 171 deg. 08 24 W. 2. 17 deg. 46′02″ N., 169 deg. 31′18″ E. 4. 1 deg. 04′06″ S., 174 deg. 17′41″ W. ′ ″ ′ ″ 64. 12 deg. 27 27 S., 171 deg. 17 25 W. 3. 17 deg. 37′47″ N., 169 deg. 12′53″ E. ′ ″ ′ ″ ′ ″ ′ ″ 5. 1 deg. 12 39 S., 174 deg. 31 02 W. 65. 12 deg. 23 34 S., 171 deg. 25 18 W. 4. 17 deg. 11′18″ N., 168 deg. 13′30″ E. ′ ″ ′ ″ ′ ″ ′ ″ 6. 1 deg. 14 52 S., 174 deg. 34 48 W. 66. 12 deg. 17 36 S., 171 deg. 37 14 W. 5. 16 deg. 41′31″ N., 167 deg. 07′39″ E. 7. 1 deg. 52′36″ S., 175 deg. 34′51″ W. 67. 12 deg. 14′01″ S., 171 deg. 44′25″ W. 6. 16 deg. 02′45″ N., 165 deg. 43′30″ E. 8. 1 deg. 59′17″ S., 175 deg. 45′29″ W. 68. 12 deg. 13′49″ S., 171 deg. 44′47″ W. Jarvis Island. The seaward limit of the 9. 2 deg. 17′09″ S., 176 deg. 13′58″ W. 69. 12 deg. 05′27″ S., 172 deg. 00′55″ W. exclusive economic zone is 200 nautical 10. 2 deg. 32′51″ S., 176 deg. 38′59″ W. 70. 11 deg. 54′06″ S., 172 deg. 22′53″ W. miles from the baseline from which the ′ ″ ′ ″ 71. 11 deg. 53′57″ S., 172 deg. 23′09″ W. 11. 2 deg. 40 26 S., 176 deg. 51 03 W. territorial sea is measured, except that to the ′ ″ ′ ″ 72. 11 deg. 40′49″ S., 172 deg. 48′17″ W. 12. 2 deg. 44 49 S., 176 deg. 58 01 W. north and east of Jarvis Island, the limit of ′ ″ ′ ″ 73. 11 deg. 26′56″ S., 173 deg. 08′46″ W. 13. 2 deg. 44 53 S., 176 deg. 58 08 W. the exclusive economic zone shall be ′ ″ ′ ″ 74. 11 deg. 22′08″ S., 173 deg. 15′50″ W. 14. 2 deg. 56 33 S., 177 deg. 16 43 W. determined by straight lines connecting the ′ ″ ′ ″ 75. 11 deg. 02′28″ S., 173 deg. 44′37″ W. 15. 2 deg. 58 45 S., 177 deg. 26 00 W. following points: 76. 11 deg. 02′17″ S., 173 deg. 44′48″ W. Dated: August 10, 1995. 1. 2 deg. 01′00″ N., 162 deg. 22′00″ W. David A. Colson, Palmyra Atoll-Kingman Reef. The seaward 2. 2 deg. 01′42″ N., 162 deg. 01′35″ W. Deputy Assistant Secretary for OceanS., limit of the exclusive economic zone is 200 3. 2 deg. 03′20″ N., 161 deg. 41′33″ W. nautical miles from the baseline from which 4. 2 deg. 02′30″ N., 161 deg. 36′20″ W. Dated: September 30, 2004. the territorial sea is measured, except that to ′ ″ ′ ″ 5. 2 deg. 00 13 N., 161 deg. 22 24 W. A.J. Yates, the southeast of Palmyra Atoll and Kingman 6. 1 deg. 50′18″ N., 160 deg. 20′42″ W. Administrator, Agricultural Marketing Reef the limit of the exclusive economic zone 7. 1 deg. 45′46″ N., 159 deg. 52′59″ W. Service. shall be determined by straight lines 8. 1 deg. 43′31″ N., 159 deg. 39′27″ W. connecting the following points: 9. 0 deg. 58′53″ N., 158 deg. 59′04″ W. [FR Doc. 04–22309 Filed 9–30–04; 3:00 pm] 1. 7 deg. 55′04″ N., 159 deg. 22′29″ W. 10. 0 deg. 46′58″ N., 158 deg. 48′24″ W. BILLING CODE 3410–02–P
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Part V
Department of Transportation Federal Aviation Administration
14 CFR Part 91 Flight Limitation in the Proximity of Space Flight Operations; Final Rule
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DEPARTMENT OF TRANSPORTATION Act, 5 United States Code (U.S.C.) SBREFA, e-mail us at 9–AWA– 553(b). Section 553(b) allows the FAA to SBREFA#@faa.gov. Federal Aviation Administration issue a final rule without notice and Paperwork Reduction Act comment when the agency, for good 14 CFR Part 91 cause, finds that notice and public There are no new requirements for [Docket No. FAA–2004–19246; Amendment procedure are ‘‘impracticable, information collection associated with Nos. 91–284] unnecessary or contrary to the public this amendment. An agency may not interest.’’ In this instance, public conduct or sponsor and a person is not RIN 2120–AI40 comment and notice are unnecessary. required to respond to a collection of The change in this final rule merely Flight Limitation in the Proximity of information unless it displays a removes a reference to a department Space Flight Operations currently valid Office of Management now out of existence. This change will and Budget (OMB) control number. AGENCY: Federal Aviation not have a negative effect on safety and International Compatibility Administration (FAA), DOT. does not change the original intent of ACTION: Final rule. the rule. Because this is an editorial In keeping with U.S. obligations change, the FAA believes the public under the Convention on International SUMMARY: This action makes editorial will not have a substantial interest in Civil Aviation, it is FAA policy to changes to current FAA regulations this rulemaking. comply with International Civil regarding temporary flight restrictions Background and Discussion of the Rule Aviation Organization (ICAO) Standards near space flight operations. and Recommended Practices to the Specifically, this action removes Currently, regulations prohibit aircraft maximum extent practical. We have references to the ‘‘Department of from operating within certain areas determined there are no ICAO except when authorized by Air Traffic Defense (DOD) Manager for Space Standards and Recommended Practices Control (ATC) or the DOD Manager for Transportation System Contingency that correspond to these this rule. Support Operations.’’ This action does Space Transportation System not change the intent of the existing Contingency Support Operations. These Economic Assessment, Regulatory rule. temporary flight restricted areas are Flexibility Determination, International designated according to 14 CFR 91.143 Trade Impact Assessment, and DATES: This action is effective on and the information made available Unfunded Mandates Assessment November 4, 2004. through the Notice to Airmen (NOTAM) FOR FURTHER INFORMATION CONTACT: system. Site launch operators and Executive Order 12866 directs each Sheri Edgett-Baron, Airspace and Rules, launch licensees are required through Federal agency to propose or adopt a Office of Systems Operations and the conditions of their license, or their regulation only upon a reasoned Safety, Federal Aviation regulations, to comply with all FAA determination the benefits of the Administration, 800 Independence rules and NOTAMs. During the times intended regulation justify its costs. Avenue, SW., Washington, DC 20591; that a Space Flight Operation NOTAM Second, the Regulatory Flexibility Act telephone (202) 267–9354. is in effect, ATC may authorize aircraft of 1980 requires agencies to analyze the economic impact of regulatory changes SUPPLEMENTARY INFORMATION: to fly in the designated space flight area. Any such authorization could result in on small entities. Third, the Trade Availability of Final Rule a hold for a launch operator. The ATC, Agreements Act (19 U.S.C. 2531–2533) You can get an electronic copy using as a matter of practice, will coordinate prohibits agencies from setting the Internet by: with the entity managing the space standards that create unnecessary (1) Searching the Department of flight operation. Entities conducting the obstacles to the foreign commerce of the Transportation’s electronic Docket space flight operation may be private or United States. In developing U.S. Management System (DMS) Web page federal. standards, this Trade Act also requires (http://dms.dot.gov/search This action is an administrative agencies to consider international (2) Visiting the Office of Rulemaking’s update and merely removes a reference standards and, where appropriate, use Web page at http://www.faa.gov/avr/ to the Department of Defense (DOD) them as the basis of U.S. standards. arm/index.cfm; or manager for space transportation system Fourth, the Unfunded Mandates Reform (3) Accessing the Government contingency support operations. We Act of 1995 (Public Law 104–4) requires Printing Office’s Web page at http:// have been informed by the DOD that agencies to prepare a written assessment www.access.gpo.gov/su_docs/aces/ this office no longer exists. of the costs, benefits and other effects of aces140.html. proposed or final rules that include a Small Business Regulatory Enforcement You can also get a copy by submitting Federal mandate likely to result in the Fairness Act a request to the Federal Aviation expenditure by State, local or tribal Administration, Office of Rulemaking, The Small Business Regulatory governments, in the aggregate, or by the ARM–1, 800 Independence Avenue Enforcement Fairness Act (SBREFA) of private sector, of $100 million or more SW., Washington, DC 20591, or by 1996 requires FAA to comply with annually (adjusted for inflation.) calling (202) 267–9680. Make sure to small entity requests for information or We determined this rule (1) has identify the docket number, notice advise about compliance with statutes benefits which do justify its costs, is not number, or amendment number of this and regulations within its jurisdiction. a ‘‘significant regulatory action’’ as rulemaking. Therefore, any small entity that has a defined in the Executive Order and is question regarding this document may not ‘‘significant’’ as defined in DOT’s Justification for Proceeding Without a contact their local FAA official, or the Regulatory Policies and Procedures; (2) Notice person listed under FOR FURTHER will not have a significant impact on a The FAA is issuing this action INFORMATION CONTACT. You can find out substantial number of small entities; (3) without notice and opportunity to more about SBREFA on the Internet at will reduce barriers to international comment under the authority of Section our site, http://www.gov/avr/arm/ trade; and (4) does not impose an 4(a) of the Administrative Procedure sbrefa.htm. For more information on unfunded mandate on state, local, or
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tribal governments, or on the private Support Operations’’ which no longer from preparation of an environmental sector. exists. Consequently, the FAA certifies assessment or environmental impact However, for regulations with an that the rule will not have a significant statement under the National expected minimal impact the above- economic impact on a substantial Environmental Policy Act in the specified analyses are not required. The number of small entities. absence of extraordinary circumstances. Department of Transportation Order The FAA has determined this final rule Trade Impact Assessment DOT 2100.5 prescribes policies and qualifies for the categorical exclusion procedures for simplification, analysis, The Trade Agreement Act of 1979 identified in paragraph 4(j) and involves and review of regulations. If it is prohibits Federal agencies from no extraordinary circumstances. determined that the expected impact is engaging in any standards or related so minimal that the rule does not activities that create unnecessary Energy Impact warrant a full evaluation, a statement to obstacles to the foreign commerce of the The energy impact has been assessed that effect and the basis for it is United States. Legitimate domestic in accordance with the Energy Policy included in the rule. Since this rule is objectives, such as safety, are not and Conservation Act (EPCA Pub. L. 94– strictly administrative in nature considered unnecessary obstacles. The 163, as amended (42 U.S.C. 6362) and involving editorial changes that do not statute also requires consideration of FAA Order 1053.1). It has been change the intent of the existing rule, international standards and where determined that this final rule is not a the expected outcome is to have a appropriate, that they be the basis for major regulatory action under the minimal impact. U.S. standards. The FAA has assessed provision of the EPCA. Regulatory Flexibility Determination the potential effect of this rulemaking and has determined that it will have List of Subjects in 14 CFR Part 91 The Regulatory Flexibility Act (RFA) only a domestic impact and therefore no Air traffic control, Aircraft, Airmen, of 1980, establishes ‘‘as a principle of effect on any trade-sensitive activity. Airports, Aviation safety. regulatory issuance that agencies shall endeavor, consistent with the objective Unfunded Mandates Assessment The Amendment of the rule and of applicable statutes, to The Unfunded Mandates Reform Act I In consideration of the foregoing, the fit regulatory and informational of 1995 (the Act), is intended, among Federal Aviation Administration requirements to the scale of the other things, to curb the practice of amends Part 91 of Title 14 Code of business, organizations, and imposing unfunded Federal mandates Federal Regulations as follows: governmental jurisdictions subject to on State, local, and tribal governments. regulation.’’ To achieve that principle, Title II of the Act requires each Federal PART 91—GENERAL OPERATING AND the RFA requires agencies to solicit and agency to prepare a written statement FLIGHT RULES consider flexible regulatory proposals assessing the effects of any Federal and to explain the rational for their mandate in a proposed or final agency I 1. The authority citation for part 91 actions. The RFA covers a wide-range of rule that may result in a $100 million or continues to read as follows: small entities, including small more expenditure (adjusted annually for Authority: 49 U.S.C. 106(g), 1155, 40103, businesses, not-for-profit organizations inflation) in any one year by State, local, 40113, 40120, 44101, 44111, 44701, 44709, and small governmental jurisdictions. and tribal governments, in the aggregate, 44711, 44712, 44715, 44716, 44717, 44722, Agencies must perform a review to or by the private sector; such a mandate 46306, 46315, 46316, 46504, 46506’46507, determine whether a proposed or final is deemed to be a ‘‘significant regulatory 47122, 47508, 47528–47531, articles 12 and rule will have a significant economic action.’’ The FAA currently uses an 29 of the Convention on International Civil impact on a substantial number of small inflation-adjusted value of $120.7 Aviation (61 stat. 1180). entities. If the agency determines that it million in lieu of $100 million. I 2. Section 91.143 is revised to read as will, the agency must prepare a This final rule does not contain such follows: regulatory flexibility analysis as a mandate. The requirements of Title II described in the RFA. do not apply. § 91.143 Flight limitation in the proximity However, if an agency determines that of space flight operations. Executive Order 13132, Federalism a proposed or final rule is not expected When a Notice to Airmen (NOTAM) to have a significant economic impact The FAA has analyzed this final rule is issued in accordance with this on a substantial number of small under the principles and criteria of section, no person may operate any entities, section 605(b) of the RFA Executive Order 13132, Federalism. We aircraft of U.S. registry, or pilot any provides that the head of the agency determined that this action will not aircraft under the authority of an airman may so certify and a regulatory have a substantial direct effect on the certificate issued by the Federal flexibility analysis in not required. The States, or the relationship between the Aviation Administration, within areas certification must include a statement national Government and the States, or designated in a NOTAM for space flight providing the factual basis for this on distributing power and operation except when authorized by determination, and the reasoning should responsibilities among the various ATC. be clear. levels of government. Therefore, we This rule is an administrative change Issued in Washington, DC, on September determined that this final rule does not 29, 2004. only involving editorial changes that do have federalism implications. not change the intent of existing rules. Marion Blakely, It deletes a reference to the ‘‘Department Environmental Analysis Administrator. of Defense (DOD) Manager for Space FAA Order 1050.1E identifies FAA [FR Doc. 04–22375 Filed 10–4–04; 8:45 am] Transportation System Contingency actions that are categorically excluded BILLING CODE 4910–13–P
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Part VI
Department of Transportation Federal Aviation Administration
14 CFR Parts 71 and 97 Revision of Incorporation by Reference Provisions; Proposed Rule
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DEPARTMENT OF TRANSPORTATION Room PL–401 on the plaza level of the which the docket number appears. The Nassif Building, 400 Seventh Street, FAA will stamp the date on the postcard Federal Aviation Administration SW., Washington, DC, between 9 a.m. and mail it to you. and 5 p.m., Monday through Friday, Availability of Rulemaking Documents 14 CFR Parts 71 and 97 except Federal holidays. You can get an electronic copy using [Docket No. FAA–2004–19247; Notice No. FOR FURTHER INFORMATION CONTACT: 04–12] Thomas E. Schneider, AFS–420, Federal the Internet by: Aviation Administration, P.O. Box (1) Searching the Department of RIN 2120–AI39 25082, Oklahoma City, OK 73125; Transportation’s electronic Docket Management System (DMS) Web page Revision of Incorporation by Reference telephone (405) 954–5852; facsimile (405) 954–2528; e-mail (http://dms.dot.gov/search); Provisions (2) Visiting the Office of Rulemaking’s [email protected]. Web page at http://www.faa.gov/avr/ AGENCY: Federal Aviation SUPPLEMENTARY INFORMATION: Administration (FAA), DOT. arm/index.cfm; or Comments Invited (3) Accessing the Government ACTION: Notice of proposed rulemaking Printing Office’s Web page at http:// (NPRM). The FAA invites interested persons to www.access.gpo.gov/su_docs/aces/ participate in this rulemaking by SUMMARY: The FAA is proposing to aces140.html. submitting written comments, data, or You can also get a copy by submitting remove the incorporation by reference views. The FAA also invites comments a request to the Federal Aviation of certain FAA Orders and terminal relating to the economic, environmental, Administration, Office of Rulemaking, aeronautical charts from the provisions energy, or federalism impacts that might ARM–1, 800 Independence Avenue of 14 CFR part 97 and incorporate by result from adopting the proposals in SW., Washington, DC 20591, or by reference instead instrument procedures this document. The most helpful calling (202) 267–9680. Be sure to that are documented on FAA forms. The comments reference a specific portion of identify the docket number, notice FAA also proposes a conforming the proposal, explain the reason for any number, or amendment number of this amendment in 14 CFR part 71. This recommended change, and include rulemaking. change would ensure that the supporting data. The FAA asks that you appropriate material is incorporated in send two copies of written comments. Background the FAA’s regulations. The FAA will file in the docket all On December 17, 2002, the FAA DATES: Send your comments on or comments we receive, as well as a published a Notice of Proposed before November 4, 2004. report summarizing each substantive Rulemaking (NPRM) titled ‘‘Area ADDRESSES: You may send comments public contact with FAA personnel Navigation (RNAV) and Miscellaneous identified by docket number FAA– concerning this proposed rulemaking. Amendments’’ (67 FR 77326; Dec. 17, 200X–XXXXX using any of the The docket is available for public 2002). In that NPRM, the FAA proposed following methods: inspection before and after the comment to revise § 97.20 to remove the • DOT Docket Web Site: Go to http:/ closing date. If you wish to review the incorporation by reference (IBR) of /dms.dot.gov and follow the instructions docket in person, go to the address in standard instrument approach for sending your comments the ADDRESSES section of this preamble procedures as described on FAA Forms electronically. between 9 a.m. and 5 p.m., Monday 8260–3, 8260–4 and 8260–5. The FAA • Government-wide Rulemaking Web through Friday, except Federal holidays. instead proposed to incorporate by Site: Go to http://www.regulations.gov You may also review the docket using reference into § 97.20 FAA Orders and follow the instructions for sending the Internet at the Web address in the 8260.3B, United States Standard for your comments electronically. ADDRESSES section. Terminal Instrument Procedures • Mail: Docket Management Facility; Privacy Act: Using the search function (TERPS) and 8260.19C, Flight U.S. Department of Transportation, 400 of our docket Web site, anyone can find Procedures and Airspace, and terminal Seventh Street, SW., Nassif Building, and read the comments received into aeronautical charts. Incorporating a Room PL–401, Washington, DC 20590– any of our dockets, including the name publication by reference into the Code 001. of the individual sending the comment of Federal Regulations means that the • Fax: 1–202–493–2251. (or signing the comment on behalf of an information contained in that • Hand Delivery: Room PL–401 on association, business, labor union, etc.). publication in fact becomes regulatory. the plaza level of the Nassif Building, You may review DOT’s complete Any subsequent modification is a rule 400 Seventh Street, SW., Washington, Privacy Act Statement in the Federal change and is accomplished by DC, between 9 a.m. and 5 p.m., Monday Register published on April 11, 2000 rulemaking under the Administrative through Friday, except Federal holidays. (65 FR 19477–78) or you may visit http:/ Procedures Act. For more information on the /dms.dot.gov. On April 8, 2003, the FAA adopted rulemaking process, see the Before acting on this proposal, the the final rule titled ‘‘Designation of SUPPLEMENTARY INFORMATION section of FAA will consider all comments it Class A, B, C, D, and E Airspace Areas; this document. receives on or before the closing date for Air Traffic Service Routes; and Privacy: We will post all comments comments. The FAA will consider Reporting Points’’ (68 FR 16943; April 8, we receive, without change, to http:// comments filed late if it is possible to 2003), which adopted the proposed dms.dot.gov, including any personal do so without incurring expense or amendments to 14 CFR 97.20. Upon information you provide. For more delay. The FAA may change this staff review, the FAA concluded that the information, see the Privacy Act proposal in light of the comments it incorporation by reference of FAA discussion in the SUPPLEMENTARY receives. Orders 8260.3B and 8260.19C and the INFORMATION section of this document. If you want the FAA to acknowledge terminal aeronautical charts was in error Docket: To read background receipt of your comments on this and resulted in the inappropriate documents or comments received, go to proposal, include with your comments designation of certain material as http://dms.dot.gov at any time or to a pre-addressed, stamped postcard on regulatory.
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Section 97.20 paragraph (c) would be redesignated as private sector, of $100 million or more Specifically, FAA Order 8260.3 paragraph (b). This section would annually (adjusted for inflation). provides agency policy and conform to § 97.20, which would We determined this proposed rule (1) standardized methods for designing remove the IBR of FAA Orders 8260.3 has benefits that justify its costs, is not instrument flight procedures. The FAA and 8260.19. a ‘‘significant regulatory action’’ as follows this policy for the preparation, The Director of the Federal Register defined in section 3(f) of Executive approval, and promulgation of terminal must approve all rules that incorporate Order 12866, and is not ‘‘significant’’ as instrument procedures. FAA Order by reference material into the Code of defined in DOT’s Regulatory Policies 8260.19, provides guidance for Federal Regulations. If this rule is and Procedures; (2) will not have a administering the Flight Procedure and adopted as proposed, the FAA will significant economic impact on a Airspace Program. It also defines submit a final rule to the Director of the substantial number of small entities; (3) responsibilities, establishes criteria and Federal Register seeking approval to will not have any effect on barriers to provides standards to assure effective incorporate by reference into § 97.20 the international trade; and (4) does not and orderly processing of all types of instrument procedures on FAA forms. impose an unfunded mandate on state, local, or tribal governments, or on the procedure actions. Paperwork Reduction Act Section 91.175(a) requires a pilot to private sector. However, for regulations with an use an instrument procedure prescribed The Paperwork Reduction Act of 1995 expected minimal impact the above- in part 97, unless otherwise authorized (44 U.S.C. 3507(d)) requires that the specified analyses are not required. The by the FAA, when it is necessary to FAA consider the impact of paperwork Department of Transportation Order conduct an instrument letdown to a and other information collection DOT 2100.5 prescribes policies and civil airport. Consistent with this burdens imposed on the public. The procedures for simplification, analysis, requirement, the FAA, via rulemaking, FAA has determined that there is no and review of regulations. If it is adopts instrument procedures by new information collection requirement determined that the expected impact is amending § 97.20. While the adopted associated with this proposed rule. instrument procedures become part of so minimal that the proposal does not § 97.20, the agency policy and criteria International Compatibility warrant a full evaluation, a statement to that effect and the basis for it is for designing, preparing and approving In keeping with U.S. obligations the procedure should not become part of included in proposed regulation. Since under the Convention on International this NPRM is administrative in nature § 97.20, as they are not regulatory Civil Aviation, it is FAA policy to actions and should not be incorporated removing inappropriate interpretation comply with International Civil by reference material from FAA by reference into part 97. Similarly, it is Aviation Organization (ICAO) Standards not appropriate to incorporate by regulations and adding appropriate and Recommended Practices to the incorporation by reference material, reference terminal aeronautical charts, maximum extent practicable. The FAA as those charts merely depict the these changes will not impact the has determined that there are no ICAO integrity of existing rules. As a result, instrument procedures for use by the Standards and Recommended Practices pilot. this proposed rule will have a minimal that correspond to these proposed economic impact. The FAA requests The FAA is proposing to revise regulations. § 97.20 by removing the IBR of FAA comments with supporting justification Orders 8260.3 and 8260.19. Economic Assessment, Regulatory regarding the FAA determination of Additionally, the IBR of terminal Flexibility Determination, Trade Impact minimal impact. aeronautical charts would be removed. Assessment, and Unfunded Mandates Regulatory Flexibility Determination The FAA instead would incorporate by Assessment The Regulatory Flexibility Act of 1980 reference the instrument procedures Executive Order 12866 directs each detailed on FAA Forms 8260–3, 8260– (RFA) establishes ‘‘as a principle of Federal agency to propose or adopt a regulatory issuance that agencies shall 4, 8260–5 and 8260–15A into § 97.20. regulation only upon a reasoned The proposed text for § 97.20 would endeavor, consistent with the objective determination the benefits of the set forth the FAA Forms that contain the of the rule and of applicable statutes, to intended regulation justify its costs. instrument procedures that would be fit regulatory and informational IBR, and provide information to the Second, the Regulatory Flexibility Act requirements to the scale of the public as to where the procedures may of 1980 requires agencies to analyze the business, organizations, and be examined. It also provides economic impact of regulatory changes governmental jurisdictions subject to information on the availability of on small entities. Third, the Trade regulation.’’ To achieve that principle, aeronautical charts depicting standard Agreements Act (19 U.S.C. 2531–2533) the RFA requires agencies to solicit and instrument procedures. prohibits agencies from setting consider flexible regulatory proposals The FAA currently coordinates all standards that create unnecessary and explain the rationale for their new and revised TERPS criteria and obstacles to the foreign commerce of the actions. The RFA covers a wide-range of procedures in Orders 8260.3 and United States. In developing U.S. small entities, including small 8260.19 with those organizations standards, this Trade Act also requires businesses, not-for-profit organizations affected, both public and private, in agencies to consider international and small governmental jurisdictions. accordance with the coordination standards and, where appropriate, use Agencies must perform a review to process contained in FAA Order 1320.1, them as the basis of U.S. standards. determine whether a proposed or final FAA Directives Systems. In addition, the Fourth, the Unfunded Mandates Reform rule will have a significant economic agency coordination process for these Act of 1995 (Public Law 104–4) requires impact on a substantial number of small two orders includes any person agencies to prepare a written assessment entities. If the agency determines that it requesting the opportunity to comment. of the costs, benefits, and other effects will, the agency must prepare a of proposed or final rules that include regulatory flexibility analysis as Section 71.11 a Federal mandate likely to result in the described in the RFA. The FAA proposes to delete expenditure by State, local, or tribal However, if an agency determines that paragraph (b), and the existing governments, in the aggregate, or by a proposed or final rule is not expected
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to have a significant economic impact Executive Order 13132, Federalism Authority: 49 U.S.C. 106(g), 40103, 40113, on a substantial number of small 40120; E.O. 10854, 24 FR 9565, 3 CFR 1959– The FAA has analyzed this proposed 1963 Comp., p 389. entities, section 605(b) of the RFA rule under the principles and criteria of provides that the head of the agency Executive Order 13132, Federalism. The § 71.11 [Amended] may so certify and a regulatory FAA has determined that this action flexibility analysis is not required. The would not have a substantial direct 2. Amend § 71.11 by removing certification must include a statement effect on the States, on the relationship paragraph (b) and redesignating providing the factual basis for this between the national Government and paragraph (c) as paragraph (b). determination, and the reasoning should the States, or on the distribution of be clear. PART 97—STANDARD INSTRUMENT power and responsibilities among the APPROACH PROCEDURES This proposed rule is administrative various levels of government, and in nature correcting an earlier action therefore would not have federalism 3. The authority citation for part 97 that resulted in an inappropriate implications. designation of certain material as continues to read as follows: regulatory. Consequently, the FAA Environmental Analysis Authority: 49 U.S.C. 106(g), 40103, 40106, certifies the proposed rule will not have FAA Order 1050.1D defines FAA 40113, 40114, 40120, 44502, 44514, 44701, a significant economic impact on a actions that may be categorically 44719, and 44721–44722. substantial number of small entities. excluded from preparation of a National 4. Revise § 97.20 to read as follows: Environmental Policy Act (NEPA) Trade Impact Assessment environmental impact statement. In § 97.20 General. The Trade Agreement Act of 1979 accordance with FAA Order 1050.1D, (a) This subpart prescribes standard prohibits Federal agencies from appendix 4, paragraph 4(j), this establishing any standards or engaging proposed rulemaking action qualifies for instrument procedures based on the in related activities that create a categorical exclusion. criteria contained in FAA Order 8260.3, unnecessary obstacles to the foreign U.S. Standard for Terminal Instrument Regulations That Significantly Affect commerce of the United States. Procedures (TERPs), and other related Energy Supply, Distribution, or Use Legitimate domestic objectives, such as Orders in the 8260 series that also safety, are not considered unnecessary The FAA has analyzed this NPRM address instrument procedure design obstacles. The statute also requires under Executive Order 13211, Actions criteria. consideration of international standards Concerning Regulations that (b) Standard instrument procedures and, where appropriate, that they be the Significantly Affect Energy Supply, and associated supporting data adopted basis for U.S. standards. The FAA has Distribution, or Use (May 18, 2001). The by the FAA are documented on FAA assessed the potential effect of this FAA has determined that it is not a Forms 8260–3, 8260–4, 8260–5, and rulemaking and has determined that it significant energy action under the 8260–15A, and were approved for will impose the same costs on domestic executive order because it is not a incorporation by reference by the and international entities and thus have significant regulatory action under Director of the Federal Register pursuant a neutral trade impact. Executive Order 12866, and it is not to 5 U.S.C. 552(a) and 1 CFR Part 51. likely to have a significant adverse effect The standard instrument procedures are Unfunded Mandates Assessment on the supply, distribution, or use of available for examination at the Rules The Unfunded Mandates Reform Act energy. Docket (AGC–200) and at the National of 1995 (the Act) is intended, among List of Subjects Flight Data Center, 800 Independence other things to curb the practice of Avenue, SW., Washington, DC 20590, imposing unfunded Federal mandates 14 CFR Part 71 and at the Office of the Federal Register, on State, local, and tribal governments. Airspace, Navigation (air). 800 North Capitol Street, NW., suite Title II of the Act requires each Federal 700, Washington, DC. 14 CFR Part 97 agency to prepare a written statement (c) Standard instrument procedures Air traffic control, Airports, assessing the effects of any Federal are depicted on aeronautical charts Navigation (air), Weather. mandate in a proposed or final agency published by the FAA National rule that may result in an expenditure The Proposed Amendments Aeronautical Charting Office and these of $100 million or more (adjusted charts are available for purchase from annually for inflation) in any one year In consideration of the foregoing, the Federal Aviation Administration the FAA’s National Aeronautical by State, local, and tribal governments, Charting Office, Distribution Division, in the aggregate, or by the private sector; proposes to amend chapter I of title 14, Code of Federal Regulations, as follows: 6303 Ivy Lane, Suite 400, Greenbelt, MD such a mandate is deemed to be a 20770. ‘‘significant regulatory action.’’ The PART 71—DESIGNATION OF CLASS A, Issued in Washington, DC, on September FAA currently uses an inflation B, C, D, AND E AIRSPACE AREAS; AIR adjusted value of $120.7 million in lieu 29, 2004. TRAFFIC SERVICE ROUTES; AND John M. Allen, of $100 million. REPORTING POINTS This NPRM does not contain such a Acting Director, Flight Standards Service. mandate. The requirements of Title II of 1. The authority citation for part 71 [FR Doc. 04–22376 Filed 10–4–04; 8:45 am] the Act do not apply. continues to read as follows: BILLING CODE 4910–13–P
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Reader Aids Federal Register Vol. 69, No. 192 Tuesday, October 5, 2004
CUSTOMER SERVICE AND INFORMATION CFR PARTS AFFECTED DURING OCTOBER
Federal Register/Code of Federal Regulations At the end of each month, the Office of the Federal Register General Information, indexes and other finding 202–741–6000 publishes separately a List of CFR Sections Affected (LSA), which aids lists parts and sections affected by documents published since Laws 741–6000 the revision date of each title. 26 CFR Presidential Documents 3 CFR Executive orders and proclamations 741–6000 Proclamations: Proposed Rules: 1...... 58873 The United States Government Manual 741–6000 7822...... 59539 48...... 59572 Other Services 7 CFR 29 CFR Electronic and on-line services (voice) 741–6020 60...... 59708 Privacy Act Compilation 741–6064 301...... 59119 Proposed Rules: Public Laws Update Service (numbers, dates, etc.) 741–6043 1206...... 59120 1910...... 59306 1915...... 59306 TTY for the deaf-and-hard-of-hearing 741–6086 Proposed Rules: 923...... 59551 1917...... 59306 4280...... 59650 1918...... 59306 ELECTRONIC RESEARCH 1926...... 59306 World Wide Web 9 CFR 30 CFR Full text of the daily Federal Register, CFR and other publications 317...... 58799 is located at: http://www.gpoaccess.gov/nara/index.html 381...... 58799 914...... 58830 Proposed Rules: Federal Register information and research tools, including Public 10 CFR 906...... 58873 Inspection List, indexes, and links to GPO Access are located at: 50...... 58804 http://www.archives.gov/federallregister/ 33 CFR 73...... 58820 E-mail 117...... 59135, 59136 FEDREGTOC-L (Federal Register Table of Contents LISTSERV) is 14 CFR 165 ...... 58833, 58834, 59136 an open e-mail service that provides subscribers with a digital 13...... 59490 36 CFR form of the Federal Register Table of Contents. The digital form 23...... 58822 of the Federal Register Table of Contents includes HTML and 39 (3 documents) ...... 58824, Proposed Rules: PDF links to the full text of each document. 58826, 58828, 59541 1270...... 58875 71...... 59129, 59303 To join or leave, go to http://listserv.access.gpo.gov and select 37 CFR Online mailing list archives, FEDREGTOC-L, Join or leave the list 91...... 59752 270...... 59648 (orchange settings); then follow the instructions. Proposed Rules: 39 ...... 59147, 59148, 59151, 38 CFR PENS (Public Law Electronic Notification Service) is an e-mail 59153, 59557, 59559 service that notifies subscribers of recently enacted laws. 71...... 58859, 59756 Proposed Rules: To subscribe, go to http://listserv.gsa.gov/archives/publaws-l.html 73...... 58860 5...... 59072 and select Join or leave the list (or change settings); then follow 97...... 59756 39 CFR the instructions. 15 CFR FEDREGTOC-L and PENS are mailing lists only. We cannot 20...... 59545 respond to specific inquiries. 744...... 59303 111...... 59139, 59545 Reference questions. Send questions and comments about the 16 CFR 40 CFR Federal Register system to: [email protected] Proposed Rules: 52...... 59546 The Federal Register staff cannot interpret specific documents or 642...... 58861 63...... 58837 regulations. 698...... 58861 271...... 59139 300...... 58839 17 CFR FEDERAL REGISTER PAGES AND DATE, OCTOBER Proposed Rules: 1...... 59544 52...... 59572 58799–59118...... 1 211...... 59130 261...... 59156 59119–59540...... 4 Proposed Rules: 271...... 59165 59541–59758...... 5 228...... 59094 229...... 59094 42 CFR 232...... 59094 71...... 59144 240...... 59094 249...... 59094 47 CFR 270...... 59094 0...... 59145 1...... 58840, 59145 19 CFR 15...... 59500 Proposed Rules: 27...... 59500 133...... 59562 54...... 59145 73...... 58840, 59500 21 CFR 90...... 59500 520...... 59131 101...... 59145 888...... 59132 Proposed Rules: Proposed Rules: 0...... 59166 361...... 59569 2...... 59166
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101...... 59166 19...... 59699, 59700 2104...... 59166 49 CFR 22...... 59700 2105...... 59166 171...... 58841 48 CFR 2109...... 59166 25...... 59700 173...... 58841 Ch. 1...... 59698, 59699 33...... 59700 2110...... 59166 1...... 59699 2115...... 59166 571...... 58843, 59146 36...... 59699 1002...... 58855 5...... 59700 39...... 59702 2116...... 59166 7...... 59701 2131...... 59166 52...... 59700, 59703 11...... 59701 2132...... 59166 50 CFR 12...... 59700 53...... 59699 2137...... 59166 13 ...... 59699, 59700, 59701 Proposed Rules: 2144...... 59166 300...... 59303 14...... 59700, 59703 2101...... 59166 2146...... 59166 648...... 59550 15...... 59701 2102...... 59166 2149...... 59166 Proposed Rules: 17...... 59700 2103...... 59166 2152...... 59166 17...... 58876
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REMINDERS U.S.-Chile and U.S.- West Coast States and Fuel and fuel additives— The items in this list were Singapore Free Trade Western Pacific California Phase 3 editorially compiled as an aid Agreements; thresholds; fisheries— reformulated gasoline; to Federal Register users. published 10-5-04 Oregon sport fisheries; enforcement Inclusion or exclusion from POSTAL SERVICE Pacific halibut; exemptions; comments this list has no legal International Mail Manual: comments due by 10- due by 10-12-04; 12-04; published 9-27- published 8-11-04 [FR significance. Issue 30; issuance; 04 [FR 04-21553] 04-18380] published 10-5-04 CORPORATION FOR Stratospheric ozone RULES GOING INTO NATIONAL AND protection— EFFECT OCTOBER 5, COMMENTS DUE NEXT COMMUNITY SERVICE Methyl bromide phaseout; 2004 WEEK AmeriCorps National Service critical use exemption Program; provisions and process; comments due COMMODITY FUTURES AGRICULTURE requirements; comment by 10-12-04; published TRADING COMMISSION DEPARTMENT request; comments due by 8-25-04 [FR 04-18933] Commodity Exchange Act: Agricultural Marketing 10-12-04; published 8-13-04 Air programs; approval and [FR 04-18594] Commodity interest Service promulgation; State plans transactions; Cotton classing, testing and COURT SERVICES AND for designated facilities and intermediaries; standards: OFFENDER SUPERVISION pollutants: amendments, correction; AGENCY FOR THE Virginia; comments due by Classification services to DISTRICT OF COLUMBIA published 10-5-04 growers; 2004 user fees; 10-12-04; published 9-10- Semi-annual agenda; Open for DEFENSE DEPARTMENT Open for comments until 04 [FR 04-20429] comments until further further notice; published Air quality implementation Federal Acquisition Regulation notice; published 12-22-03 5-28-04 [FR 04-12138] plans; approval and (FAR): [FR 03-25121] Nectarines and peaches promulgation; various Section 508 micropurchase DEFENSE DEPARTMENT exemption; published 10- grown in— States: Acquisition regulations: 5-04 California; comments due by California; comments due by Fidelity and forgery bonds; 10-15-04; published 8-16- 10-14-04; published 9-14- Technical amendments; comments due by 10-12- published 10-5-04 04 [FR 04-18616] 04 [FR 04-20682] 04; published 8-10-04 [FR Virginia; comments due by Telecommuting for Federal Oranges, grapefruit, 04-18085] contractors; published 10- tangerines, and tangelos 10-12-04; published 9-9- Resolving tax problems; 04 [FR 04-20132] 5-04 grown in— comments due by 10-12- Environmental statements; U.S.-Chile and U.S.- Florida; comments due by 04; published 8-10-04 [FR availability, etc.: Singapore Free Trade 10-15-04; published 8-16- 04-18084] Agreements; thresholds; 04 [FR 04-18614] Civilian health and medical Coastal nonpoint pollution published 10-5-04 AGRICULTURE program of uniformed control program— GENERAL SERVICES DEPARTMENT services (CHAMPUS): Minnesota and Texas; ADMINISTRATION Animal and Plant Health TRICARE program— Open for comments Federal Acquisition Regulation Inspection Service Unproven drugs, devices, until further notice; (FAR): medical treatments and published 10-16-03 [FR Plant Protection Act: 03-26087] Section 508 micropurchase procedures; exclusion Methyl bromide treatments Pesticides; tolerances in food, exemption; published 10- or applications; official clarification; comments 5-04 due by 10-12-04; animal feeds, and raw quarantine uses; agricultural commodities: Technical amendments; comments due by 10-12- published 8-10-04 [FR Forchlorfenuron; N-(2-chloro- published 10-5-04 04; published 8-12-04 [FR 04-18182] 4-pyridinyl)-N’-phenylurea; 04-18445] ENERGY DEPARTMENT Telecommuting for Federal comments due by 10-12- contractors; published 10- AGRICULTURE Energy Efficiency and Renewable Energy Office 04; published 8-11-04 [FR 5-04 DEPARTMENT 04-18383] Consumer products; energy U.S.-Chile and U.S.- Food Safety and Inspection conservation program: Isodecyl alcohol ethoxylated Singapore Free Trade Service (2-8 moles) polymer with Agreements; thresholds; Energy conservation Meat and poultry inspection: standards—- chloromethyl oxirane; published 10-5-04 comments due by 10-12- Countries eligible to export Commercial packaged HOMELAND SECURITY 04; published 8-13-04 [FR meat and meat products boilers; test procedures DEPARTMENT 04-18574] to United States; addition and efficiency Coast Guard of San Marino to list; standards; Open for Privacy Act; implementation; Drawbridge operations: comments due by 10-12- comments until further comments due by 10-14-04; Connecticut; published 10-4- 04; published 8-13-04 [FR notice; published 12-30- published 9-14-04 [FR 04- 04 04-18567] 99 [FR 04-17730] 20678] NATIONAL AERONAUTICS COMMERCE DEPARTMENT ENERGY DEPARTMENT Solid wastes: AND SPACE National Oceanic and Federal Energy Regulatory State solid waste landfill ADMINISTRATION Atmospheric Administration Commission permit program— Federal Acquisition Regulation Fishery conservation and Electric rate and corporate Minnesota; comments due (FAR): management: regulation filings: by 10-12-04; published Section 508 micropurchase Atlantic highly migratory Virginia Electric & Power 9-10-04 [FR 04-20503] exemption; published 10- species— Co. et al.; Open for Minnesota; comments due 5-04 Pelagic longline fishery; comments until further by 10-12-04; published Technical amendments; sea turtle interaction notice; published 10-1-03 9-10-04 [FR 04-20504] published 10-5-04 and mortality reduction; [FR 03-24818] Superfund program: Telecommuting for Federal comments due by 10- ENVIRONMENTAL National oil and hazardous contractors; published 10- 12-04; published 8-12- PROTECTION AGENCY substances contingency 5-04 04 [FR 04-18474] Air programs: plan—
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National priorities list controls; Open for cockaded woodpecker; and technology transfer update; comments due comments until further comments due by 10- contracts; comments due by 10-12-04; published notice; published 8-23- 12-04; published 8-13- by 10-12-04; published 8- 8-13-04 [FR 04-18655] 04 [FR 04-19179] 04 [FR 04-18629] 12-04 [FR 04-18365] Water pollution; effluent HOMELAND SECURITY INTERIOR DEPARTMENT NUCLEAR REGULATORY guidelines for point source DEPARTMENT National Park Service COMMISSION categories: Customs and Border Special regulations: Environmental statements; Meat and poultry products Protection Bureau availability, etc.: Apostle Islands National processing facilities; Open Organization and functions; Fort Wayne State for comments until further Lakeshore, WI; field organization, ports of snowmobile and off-road Developmental Center; notice; published 9-8-04 entry, etc.: Open for comments until [FR 04-12017] motor vehicle routes Rockford, IL; port limits designation and portable further notice; published FARM CREDIT extension; comments due ice augers and power 5-10-04 [FR 04-10516] ADMINISTRATION by 10-12-04; published 8- engines use; comments SMALL BUSINESS Farm credit system: 13-04 [FR 04-18514] due by 10-12-04; ADMINISTRATION Loan policies and HOMELAND SECURITY published 8-12-04 [FR 04- Disaster loan areas: operations, etc— DEPARTMENT 18429] Maine; Open for comments Other financial institutions Coast Guard INTERIOR DEPARTMENT until further notice; and investments in Anchorage regulations: Surface Mining Reclamation published 2-17-04 [FR 04- Farmers’ notes; Maryland; Open for and Enforcement Office 03374] comments due by 10- comments until further Permanent program and OFFICE OF UNITED STATES 14-04; published 9-14- notice; published 1-14-04 abandoned mine land TRADE REPRESENTATIVE 04 [FR 04-20607] [FR 04-00749] reclamation plan Trade Representative, Office FARM CREDIT SYSTEM Drawbridge operations: submissions: of United States INSURANCE CORPORATION Massachusetts; comments Kentucky; comments due by Generalized System of Farm credit system: due by 10-15-04; 10-14-04; published 9-14- Preferences: Golden parachute and published 6-24-04 [FR 04- 04 [FR 04-20660] 2003 Annual Product indemnification payments; 14370] Virginia; comments due by Review, 2002 Annual comments due by 10-14- Virginia; comments due by 10-14-04; published 9-14- Country Practices Review, 04; published 7-16-04 [FR 10-15-04; published 6-28- 04 [FR 04-20661] and previously deferred 04-16225] 04 [FR 04-14628] product decisions; LABOR DEPARTMENT FEDERAL Ports and waterways safety: petitions disposition; Open Employment and Training for comments until further COMMUNICATIONS Naval Base San Diego, CA; Administration notice; published 7-6-04 COMMISSION security zone; comments Federal-State Unemployment [FR 04-15361] Common carrier services: due by 10-13-04; Compensation Program; TRANSPORTATION Access charges— published 9-13-04 [FR 04- 20545] State unemployment DEPARTMENT Subscriber line charges compensation information; HOMELAND SECURITY Federal Aviation assessments; comments confidentiality and disclosure Administration due by 10-12-04; DEPARTMENT requirements; comments Airworthiness directives: published 8-13-04 [FR Immigration: due by 10-12-04; published 04-18550] Mexican nationals; 8-12-04 [FR 04-18333] Boeing; Open for comments until further notice; Commercial mobile radio admission time limit LABOR DEPARTMENT services— extension; comments due published 8-16-04 [FR 04- Mine Safety and Health 18641] Maritime communications; by 10-12-04; published 8- Administration Bombardier-Rotax GmbH; comments due by 10- 13-04 [FR 04-18651] Coal mine safety and health: comments due by 10-12- 12-04; published 8-10- INTERIOR DEPARTMENT Underground mines— 04; published 8-12-04 [FR 04 [FR 04-18258] Fish and Wildlife Service Low-and medium-voltage 04-18440] HEALTH AND HUMAN Endangered and threatened Empresa Brasileira de SERVICES DEPARTMENT species permit applications diesel-powered electrical generators; comments Aeronautica S.A. Food and Drug Recovery plans— due by 10-14-04; (EMBRAER); comments Administration Paiute cutthroat trout; published 7-26-04 [FR due by 10-12-04; Foods and cosmetics: Open for comments 04-16903] published 9-9-04 [FR 04- until further notice; 20402] Prohibited cattle materials; LABOR DEPARTMENT use; comments due by published 9-10-04 [FR General Electric Co.; Occupational Safety and 10-12-04; published 7-14- 04-20517] comments due by 10-15- Health Administration 04 [FR 04-15881] Endangered and threatened 04; published 8-16-04 [FR Reports and guidance species: Construction safety and health 04-18642] documents; availability, etc.: Critical habitat standards: MD Helicopters, Inc.; Evaluating safety of designations— Steel erection; skeletal comments due by 10-12- antimicrobial new animal California tiger structural steel slip 04; published 8-10-04 [FR drugs with regard to their salamander; comments resistance; comments due 04-17793] microbiological effects on due by 10-12-04; by 10-13-04; published 7- Pratt & Whitney; comments bacteria of human health published 8-10-04 [FR 15-04 [FR 04-16084] due by 10-15-04; concern; Open for 04-17464] NATIONAL AERONAUTICS published 8-16-04 [FR 04- comments until further Santa Ana sucker; AND SPACE 18644] notice; published 10-27-03 comments due by 10- ADMINISTRATION Airworthiness standards: [FR 03-27113] 12-04; published 10-1- Acquisition regulations: Special conditions— Medical devices— 04 [FR 04-22196] Final scientific and technical AMSAFE, Inc.; comments Dental noble metal alloys Incidental take permits— reports clause; alternate due by 10-14-04; and base metal alloys; Sussex and Southampton III use in small business published 9-14-04 [FR Class II special Counties, VA; red- innovation and research 04-20622]
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Boeing Model 777 series manufactured to conform Income taxes: H.R. 5149/P.L. 108–308 airplanes; comments with the Federal Partnerships and their due by 10-13-04; standards; comments due partners; sale of qualified Welform Reform Extension published 9-23-04 [FR by 10-15-04; published 8- small business stock; gain Act, Part VIII (Sept. 30, 2004; 04-21393] 24-04 [FR 04-18833] deferral; comments due 118 Stat. 1135) Transport category Motor vehicle safety by 10-11-04; published 7- airplanes— standards: 15-04 [FR 04-15964] H.J. Res. 107/P.L. 108–309 Flight guidance systems; Hydrogen, fuel cell, and Making continuing safety standards; alternative fuel safety LIST OF PUBLIC LAWS appropriations for the fiscal comments due by 10- research; four-year plan; year 2005, and for other 12-04; published 8-13- comment request; This is a continuing list of purposes. (Sept. 30, 2004; 04 [FR 04-18351] comments due by 10-12- public bills from the current 118 Stat. 1137) Class D and E airspace; 04; published 7-14-04 [FR session of Congress which comments due by 10-14-04; 04-15971] have become Federal laws. It Last List September 28, 2004 published 8-30-04 [FR 04- Side impact protection; may be used in conjunction 19736] reporting requirements; with ‘‘PLUS’’ (Public Laws TRANSPORTATION comments due by 10-14- Update Service) on 202–741– DEPARTMENT 04; published 5-17-04 [FR 6043. This list is also 04-10931] Public Laws Electronic Federal Railroad available online at http:// Notification Service Administration TRANSPORTATION www.archives.gov/ (PENS) Railroad locomotive safety DEPARTMENT federal—register/public—laws/ standards: Research and Special public—laws.html. Event recorders Programs Administration The text of laws is not Hazardous materials; Public hearing; comments published in the Federal PENS is a free electronic mail miscellaneous amendments; due by 10-11-04; Register but may be ordered notification service of newly comments due by 10-12-04; published 9-8-04 [FR in ‘‘slip law’’ (individual enacted public laws. To published 8-12-04 [FR 04- 04-20416] pamphlet) form from the subscribe, go to http:// 18357] TRANSPORTATION Superintendent of Documents, listserv.gsa.gov/archives/ DEPARTMENT TREASURY DEPARTMENT U.S. Government Printing publaws-l.html National Highway Traffic Internal Revenue Service Office, Washington, DC 20402 Safety Administration Income taxes, etc.: (phone, 202–512–1808). The Note: This service is strictly Importation of vehicles and Election out of generation text will also be made for E-mail notification of new equipment subject to skipping transfer (GST) available on the Internet from laws. The text of laws is not Federal safety, bumper, and deemed allocations; GPO Access at http:// available through this service. theft prevention standards: comments due by 10-12- www.gpoaccess.gov/plaws/ PENS cannot respond to Registered importers; 04; published 7-13-04 [FR index.html. Some laws may specific inquiries sent to this vehicles not originally 04-15752] not yet be available. address.
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