11–2–07 Friday Vol. 72 No. 212 Nov. 2, 2007

Pages 62105–62408

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Contents Federal Register Vol. 72, No. 212

Friday, November 2, 2007

Agricultural Marketing Service Employment and Training Administration RULES PROPOSED RULES Dairy Product Mandatory Reporting Program; Federal Unemployment Tax Act: establishment, 62105 Combining employment and wages; interstate agreement, 62145–62149 Agriculture Department See Agricultural Marketing Service Energy Department See Animal and Plant Health Inspection Service See Federal Energy Regulatory Commission See Forest Service Environmental Protection Agency Animal and Plant Health Inspection Service RULES NOTICES Air quality implementation plans; approval and Environmental statements; availability, etc.: promulgation; various States: Citrus greening and Asian citrus psyllid, 62204–62205 Clean Air Interstate Rule; implementation— Automatic withdrawal provisions, 62338–62357 Blind or Severely Disabled, Committee for Purchase From Nevada, 62119–62121 People Who Are PROPOSED RULES See Committee for Purchase From People Who Are Blind Air quality implementation plans; approval and or Severely Disabled promulgation; various States: Clean Air Interstate Rule; implementation— Coast Guard Automatic withdrawal provisions, 62175–62178 RULES NOTICES Ports and waterways safety; regulated navigation areas, Agency information collection activities; proposals, safety zones, security zones, etc.: submissions, and approvals, 62226–62228 Motts Channel / Banks Channel, Wrightsville Beach, NC, Confidential business information and data transfer, 62228 62117–62119 Environmental statements; availability, etc.: NOTICES Agency comment availability, 62229 Meetings: Agency weekly receipts, 62229–62230 Navigation Safety Advisory Council, 62250–62251 Pesticide, food, and feed additive petitions: Growth Products Ltd., et al., 62237–62238 Commerce Department Pesticide programs: See International Trade Administration Risk assessments— See National Institute of Standards and Technology Acrolein, 62230–62232 See National Oceanic and Atmospheric Administration Tolerance reassessment decisions— See National Telecommunications and Information a-Alkyl (C9-C18-w-hydroxypoly(oxyetheylene) etc., Administration 62232–62237 NOTICES Reports and guidance documents; availability, etc.: Meetings: Clean Air Interstate Rule Federal Implementation Plan Charting Our Energy Future Conference, 62208 Trading Programs; EGU NOx annual and NOx ozone season allocations, 62238–62245 Committee for Purchase From People Who Are Blind or Severely Disabled Executive Office of the President NOTICES See Presidential Documents Procurement list; additions and deletions, 62206–62208 Federal Aviation Administration Committee for the Implementation of Textile Agreements RULES NOTICES Airworthiness standards: Textile and apparel categories: Special conditions— North American Free Trade Agreement commercial Cessna Model 208B airplane, 62105–62107 availability— Class D airspace, 62107–62108 Acrylic staple fiber, 62222–62223 Class E airspace, 62108–62111 Class E airspace; correction, 62111–62112 Defense Department PROPOSED RULES NOTICES Airworthiness directives: Meetings: Cessna, 62143–62145 Defense Health Board, 62223 NOTICES Uniform Formulary Beneficiary Advisory Panel, 62224 Exemption petitions; summary and disposition, 62292– 62293 Election Assistance Commission NOTICES Federal Communications Commission National Voter Registration Act; administrative transfer, RULES 62224–62225 Emergency Alert System; regulatory review, 62123–62135

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PROPOSED RULES Reports and guidance documents; availability, etc.: Emergency Alert System; regulatory review, 62195–62198 Recovery of endangered and threatened species, 62258– NOTICES 62264 Common carrier services: Wireless telecommunications services— Food and Drug Administration 700 MHz band licenses auction; notice and filing PROPOSED RULES requirements, minimum opening bids, etc., 62360– Food for human consumption: 62392 Food labeling— Reference values and mandatory nutrients; revision, Federal Deposit Insurance Corporation 62149–62175 PROPOSED RULES Practice and procedure: Forest Service Annual independent audits and reporting requirements, NOTICES 62310–62335 Environmental statements; notice of intent: NOTICES Superior National Forest, MN, 62205–62206 Meetings; Sunshine Act, 62245–62246 Health and Human Services Department Federal Emergency Management Agency See Food and Drug Administration RULES See National Institutes of Health Flood elevation determinations: See Substance Abuse and Mental Health Services North Carolina, 62121–62123 Administration PROPOSED RULES Flood elevation determinations: Homeland Security Department Alabama and Oklahoma, 62178–62184 See Coast Guard Connecticut, 62194–62195 See Federal Emergency Management Agency Various States, 62184–62194 NOTICES Housing and Urban Development Department Disaster and emergency areas: RULES California, 62251–62252 Manufactured home construction and safety standards: Model manufactured home installation standards; Federal Energy Regulatory Commission establishment NOTICES Correction, 62308 Electric rate and corporate regulation combined filings, NOTICES 62225–62226 Grants and cooperative agreements; availability, etc.: Brownfields Economic Development Initiative, 62252 Federal Highway Administration Homeless assistance; excess and surplus Federal NOTICES properties, 62253 Environmental statements; notice of intent: Performance Review Board; membership, 62253 Cook and DuPage Counties, IL, 62293 Indian Affairs Bureau Federal Motor Carrier Safety Administration NOTICES NOTICES Tribal-State Compacts approval; Class III (casino) gambling: Meetings: Yurok Tribe, CA, 62264 Comprehensive Safety Analysis 2010 Initiative; public listening session, 62293–62302 Interior Department See Fish and Wildlife Service Federal Reserve System See Indian Affairs Bureau NOTICES See Land Management Bureau Banks and bank holding companies: See Minerals Management Service Formations, acquisitions, and mergers, 62246 See National Park Service Permissible nonbanking activities, 62246 See Reclamation Bureau NOTICES Federal Transit Administration Meetings: NOTICES Delaware and Lehigh National Heritage Corridor Public transportation projects; claims limitations, 62302– Commission, 62253 62303 Internal Revenue Service Fish and Wildlife Service NOTICES NOTICES Committees; establishment, renewal, termination, etc.: Endangered and threatened species permit applications, Tax Exempt and Government Entities Advisory determinations, etc., 62253–62254 Committee, 62306–62307 Environmental statements; availability, etc.: Clark and Lincoln Counties, NY; multi-species habitat International Trade Administration conservation plan, 62254–62256 NOTICES Various Counties, FL; Florida panther interagency Antidumping: response plan, 62256–62257 Alloy steel wire rod from— Meetings: Trinidad and Tobago, 62208–62209 Lake Champlain Sea Lamprey Control Alternatives Stainless steel bar from— Workgroup, 62257 France, 62209

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Countervailing duties: Walnut Canyon National Monument, AZ; general Lightweight thermal paper from— management plan, 62271–62272 China, 62209–62212 National Register of Historic Places; pending nominations, 62272 Labor Department See Employment and Training Administration National Telecommunications and Information Administration Land Management Bureau NOTICES NOTICES Meetings: Internet domain name and addressing system; technical Resource Advisory Councils— coordination and management; comment request, Southwest, CO, 62264 62220–62222 Realty actions; sales, leases, etc.: Utah, 62264–62265 Nuclear Regulatory Commission Resource management plans, etc.: NOTICES Carlsbad and Roswell Field Offices, NM, 62265–62266 Meetings: Monticello Field Office, UT, 62266–62269 Nuclear Waste and Materials Advisory Committee, 62275–62276 Maritime Administration Reactor Safeguards Advisory Committee, 62276 NOTICES Applications, hearings, determinations, etc.: Environmental statements; availability, etc.: Entergy Gulf States, Inc, et al., 62274–62275 Calypso LNG LLC; liquefied natural gas deepwater port license application, FL; public meeting, 62303–62305 Postal Regulatory Commission Minerals Management Service NOTICES NOTICES Meetings: Committees; establishment, renewal, termination, etc.: Periodic rates, 62276 Outer Continental Shelf Scientific Committee, 62269– 62270 Presidential Documents PROCLAMATIONS National Highway Traffic Safety Administration Special observances: RULES National Adoption Month (Proc. 8195), 62393–62396 Motor vehicle safety standards: National American Indian Heritage Month (Proc. 8196), Occupant crash protection— 62397–62398 Fuel system integrity, 62135–62142 National Family Caregivers Month (Proc. 8197), 62399– PROPOSED RULES 62400 Motor vehicle safety standards: National Hospice Month (Proc. 8198), 62401–62402 Small business; economic impacts, 62198–62200 Veterans Day (Proc. 8199), 62403–62404 ADMINISTRATIVE ORDERS National Institute of Standards and Technology Sudan; continuation of national emergency (Notice of NOTICES November 1, 2007), 62405–62407 Reports and guidance documents; availability, etc.: Cryptographic hash algorithm (SHA-3) family; request for Reclamation Bureau candidate algorithm nominations, 62212–62220 NOTICES Environmental statements; availability, etc.: National Institutes of Health Lake Powell and Lake Mead, AZ, NV, and UT; lower NOTICES basin guidelines and coordinated operations, 62272– Meetings: 62274 National Institute of Child Health and Human Development, 62247 Securities and Exchange Commission National Institute of General Medical Sciences, 62247 NOTICES National Institute on Alcohol Abuse and Alcoholism, Agency information collection activities; proposals, 62246–62247 submissions, and approvals, 62276–62277 Scientific Review Center, 62247–62248 Self-regulatory organizations; proposed rule changes: National Oceanic and Atmospheric Administration American Stock Exchange LLC, 62277–62287 NOTICES Chicago Board Options Exchange, Inc., 62287–62290 Meetings: Philadelphia Stock Exchange, Inc., 62290–62291 North Pacific Fishery Management Council, 62220 Small Business Administration National Park Service NOTICES NOTICES Agency information collection activities; proposals, Environmental statements; availability, etc.: submissions, and approvals, 62291 Sagamore Hill National Historic Site, NY; general management plan, 62270–62271 Social Security Administration Environmental statements; record of decision: NOTICES Point Reyes National Seashore, CA; wetlands restoration U.S.-Sweden supplementary agreement on Social Security; project, 62271 entry into force, 62292

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State Department See National Highway Traffic Safety Administration RULES See Surface Transportation Board Exchange Visitor Program: Sanctions and terminations, 62112–62117 Treasury Department See Internal Revenue Service Substance Abuse and Mental Health Services Administration

NOTICES Separate Parts In This Issue Agency information collection activities; proposals, submissions, and approvals, 62248–62249 Part II Federal agency urine drug testing; certified laboratories Federal Deposit Insurance Corporation, 62310–62335 meeting minimum standards, list, 62249–62250 Part III Surface Transportation Board Environmental Protection Agency, 62338–62357 PROPOSED RULES Practice and procedure: Part IV Rail interchange commitments; disclosure, 62200–62203 Federal Communications Commission, 62360–62392 NOTICES Railroad operation, acquisition, construction, etc.: BNSF Railway Co., 62305 Part V Kansas City Terminal Railway Co., 62305–62306 Executive Office of the President, Presidential Documents, NAT Industries, Inc., 62306 62393–62404 Tennessee Valley Authority Part VI NOTICES Executive Office of the President, Presidential Documents, Agency information collection activities; proposals, 62405–62407 submissions, and approvals, 62292

Textile Agreements Implementation Committee Reader Aids See Committee for the Implementation of Textile Consult the Reader Aids section at the end of this issue for Agreements phone numbers, online resources, finding aids, reminders, Transportation Department and notice of recently enacted public laws. See Federal Aviation Administration To subscribe to the Federal Register Table of Contents See Federal Highway Administration LISTSERV electronic mailing list, go to http:// See Federal Motor Carrier Safety Administration listserv.access.gpo.gov and select Online mailing list See Federal Transit Administration archives, FEDREGTOC-L, Join or leave the list (or change See Maritime Administration 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.

3 CFR Proclamations: 8195...... 62395 8196...... 62397 8197...... 62399 8198...... 62401 8199...... 62403 Executive Orders: 13067 (See Notice of November 1, 2007) ...... 62407 13400 (See Notice of November 1, 2007) ...... 62407 Administrative Orders: Notices: Notice of November 1, 2007 ...... 62407 7 CFR 1170...... 62105 12 CFR Proposed Rules: 308...... 62310 363...... 62310 14 CFR 23...... 62105 71 (4 documents) ...... 62107, 62108, 62110, 62111 Proposed Rules: 39...... 62143 20 CFR Proposed Rules: 616...... 62145 21 CFR Proposed Rules: 101...... 62149 22 CFR 62...... 62112 24 CFR 3285...... 62308 33 CFR 165...... 62117 40 CFR 52 (2 documents) ...... 62119, 62338 Proposed Rules: 52...... 62175 44 CFR 65...... 62121 Proposed Rules: 67 (3 documents) ...... 62178, 62184, 62194 47 CFR 11...... 62123 Proposed Rules: 11...... 62195 49 CFR 571...... 62135 585...... 62135 Proposed Rules: 571...... 62198 579...... 62198 1114...... 62200 1121...... 62200 1150...... 62200 1180...... 62200

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Rules and Regulations Federal Register Vol. 72, No. 212

Friday, November 2, 2007

This section of the FEDERAL REGISTER Comments can be viewed in the Office Authority: 7 U.S.C. 1637–1637b, as contains regulatory documents having general of the Chief Economist during regular amended by Pub. L. 106–532, 114 Stat. 2541 applicability and legal effect, most of which business hours, or at: http:// and Pub. L. 107–171, 116 Stat. 207. are keyed to and codified in the Code of www.regulations.gov. Dated: October 26, 2007. Federal Regulations, which is published under 50 titles pursuant to 44 U.S.C. 1510. FOR FURTHER INFORMATION CONTACT: John Kenneth C. Clayton, R. Mengel, Chief Economist, USDA/ Acting Administrator, Agricultural Marketing The Code of Federal Regulations is sold by AMS/Dairy Programs, Office of the Service. the Superintendent of Documents. Prices of Chief Economist, STOP 0229-Room [FR Doc. E7–21559 Filed 11–1–07; 8:45 am] new books are listed in the first FEDERAL BILLING CODE 3410–02–P REGISTER issue of each week. 2753, 1400 Independence Ave., SW., Washington, DC 20250–0229, (202) 720– 7091. DEPARTMENT OF TRANSPORTATION DEPARTMENT OF AGRICULTURE SUPPLEMENTARY INFORMATION: This program is a statutory requirement Federal Aviation Administration Agricultural Marketing Service pursuant to the Agricultural Marketing Act of 1946 [7 U.S.C. 1621 et seq.], 14 CFR Part 23 7 CFR Part 1170 hereinafter referred to as the ‘‘Act’’. [Docket No. 274, Special Condition 23–214– RIN 0581–AC66 The Act provides for and accordingly, the interim final rule published in the SC] [Docket No. AMS–07–0047; DA–06–07] Federal Register on July 3, 2007 (72 FR Special Conditions; Cessna Aircraft Dairy Product Mandatory Reporting 36341), established a Dairy Product Company Model 208B, Garmin G1000; Mandatory Reporting program that: (1) Protection of Systems for High AGENCY: Agricultural Marketing Service, Requires persons engaged in Intensity Radiated Fields (HIRF) USDA. manufacturing dairy products to ACTION: Interim final rule; reopening of provide to the Department of AGENCY: Federal Aviation comment period. Agriculture (Department) certain Administration (FAA), DOT. information including the price, ACTION: Final special conditions; request SUMMARY: The Agricultural Marketing quantity, and moisture content, where for comments. Service (AMS) is reopening the applicable, of dairy products sold by the comment period for 30 days for the manufacturer; and (2) Requires SUMMARY: These special conditions are interim final rule for the Dairy Product manufacturers and other persons storing issued to Cessna Aircraft Company, for Mandatory Reporting program that was dairy products to report to the an amended type certificate for the published in the Federal Register on Department information on the quantity Model 208B airplane. This airplane will July 3, 2007. This reopening of the of dairy products stored. have novel and unusual design features comment period will provide interested This reopening of the comment period when compared to the state of parties with an additional opportunity will provide interested parties with an technology envisaged in the applicable to submit comments on all aspects of additional opportunity to submit airworthiness standards. These novel the program, including but not limited comments on all aspects of the program, and unusual design features include the to the product specifications and including but not limited to the product installation of electronic flight whether there should be a minimum specifications and whether there should instrument system (EFIS) displays transaction volume for reported be a minimum transaction volume for model G1000 manufactured by Garmin transactions. AMS will review and reported transactions. Specifically, AMS for which the applicable regulations do consider the submitted comments as it also solicits comments on whether not contain adequate or appropriate promulgates a final rule. Kosher dairy products and products airworthiness standards for the DATES: The comment period for the produced from milk from cows not protection of these systems from the interim final rule published at 72 FR treated with recombinant bovine effects of high intensity radiated fields 36341, July 3, 2007, is reopened. somatotropin (rbST) should be included (HIRF). These special conditions Comments must be submitted on or in the Dairy Product Prices report, contain the additional safety standards before December 3, 2007. whether these products command a that the Administrator considers ADDRESSES: Comments (four copies) premium in the marketplace, and necessary to establish a level of safety should be submitted to John R. Mengel, whether there are increased production equivalent to the airworthiness Chief Economist, USDA/AMS/Dairy costs associated with manufacturing standards applicable to these airplanes. Programs, Office of the Chief Economist, these products. During the initial DATES: The effective date of these STOP 0229–Room 2753, 1400 comment period, some commenters may special conditions is October 26, 2007. Independence Ave., SW., Washington, have limited their comments to the Comments must be received on or DC 20250–0229 or faxed to (202) 690– issue of forward contracting and to the before December 3, 2007. 0552. Comments may also be submitted verification aspect of the program. ADDRESSES: Comments may be mailed at the Federal eRulemaking portal: AMS seeks comments on all aspects in duplicate to: Federal Aviation http://www.regulations.gov. All of the program, including those specific Administration, Regional Counsel, comments should reference the docket issues outlined above, and will consider ACE–7, Attention: Rules Docket Clerk, number and the date and page number all comments received in promulgating Docket No. CE274, Room 506, 901 of this issue of the Federal Register. a final rule. Locust, Kansas City, Missouri 64106. All

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comments must be marked: Docket No. consisting of an EFIS that is vulnerable which the airworthiness standards do CE274. Comments may be inspected in to HIRF external to the airplane. not contain adequate or appropriate the Rules Docket weekdays, except safety standards for protection from the Type Certification Basis Federal holidays, between 7:30 a.m. and effects of HIRF. These features include 4 p.m. Under the provisions of 14 CFR part EFIS, which are susceptible to the HIRF FOR FURTHER INFORMATION CONTACT: Jim 21, § 21.101, Cessna Aircraft Company environment, that were not envisaged Brady, Aerospace Engineer, Standards must show that the project aircraft by the existing regulations for this type Office (ACE–111), Small Airplane meets the following provisions, or the of airplane. Directorate, Aircraft Certification applicable regulations in effect on the Protection of Systems from High Service, Federal Aviation date of application for the change to the Intensity Radiated Fields (HIRF): Recent Administration, 901 Locust, Room 301, project: advances in technology have given rise 14 CFR part 23 of the Federal Kansas City, Missouri 64106; telephone to the application in aircraft designs of Aviation Regulations, effective February (816) 329–4132. advanced electrical and electronic 1, 1965, as amended by Amendments systems that perform functions required SUPPLEMENTARY INFORMATION: The FAA 23–1 through 23–28; 14 CFR part 36, for continued safe flight and landing. has determined that notice and effective December 1, 1969, as amended Due to the use of sensitive solid state opportunity for prior public comment by Amendments 36–1 through 36–18; advanced components in analog and hereon are impracticable because these SFAR 27 effective February 1, 1974, as digital electronics circuits, these procedures would significantly delay amended by Amendments 27–1 through advanced systems are readily responsive issuance of the approval design and 27–4. Special Conditions as follows; 23– to the transient effects of induced thus delivery of the affected aircraft. In ACE–3: Dynamic Evaluation, Engine electrical current and voltage caused by addition, the substance of these special Installation; Equivalent Level of Safety the HIRF. The HIRF can degrade conditions has been subject to the as follows: 14 CFR part 23, electronic systems performance by public comment process in several prior § 23.955(f)(2), Fuel System. Compliance damaging components or upsetting instances with no substantive comments with ice protection has been system functions. received. The FAA, therefore, finds that demonstrated in accordance with Furthermore, the HIRF environment good cause exists for making these § 23.1419 when ice protection has undergone a transformation that was special conditions effective upon equipment is installed in accordance not foreseen when the current issuance. with the airplane equipment list and is requirements were developed. Higher Comments Invited operated per the Pilot’s Operating energy levels are radiated from Handbook and FAA Approved Airplane transmitters that are used for radar, Interested persons are invited to Flight Manual; as applicable, and radio, and television. Also, the number submit such written data, views, or § 23.1301 of Amendment 23–20; of transmitters has increased arguments as they may desire. §§ 23.1309, 23.1311, and 23.1321 of significantly. There is also uncertainty Communications should identify the Amendment 23–49; and § 23.1322 of concerning the effectiveness of airframe regulatory docket or notice number and Amendment 23–43; exemptions, if any; shielding for HIRF. Furthermore, be submitted in duplicate to the address and the special conditions adopted by coupling to cockpit-installed equipment specified above. All communications this rulemaking action. through the cockpit window apertures is received on or before the closing date undefined. for comments will be considered by the Discussion The combined effect of the Administrator. The special conditions If the Administrator finds that the technological advances in airplane may be changed in light of the applicable airworthiness standards do design and the changing environment comments received. All comments not contain adequate or appropriate has resulted in an increased level of received will be available in the Rules safety standards for the Model 208B vulnerability of electrical and electronic Docket for examination by interested because of novel or unusual design systems required for the continued safe persons, both before and after the features of an airplane, special flight and landing of the airplane. closing date for comments. A report conditions are prescribed under the Effective measures against the effects of summarizing each substantive public provisions of § 21.16. exposure to HIRF must be provided by contact with FAA personnel concerning Special conditions, as appropriate, as the design and installation of these this rulemaking will be filed in the defined in § 11.19, are issued in systems. The accepted maximum energy docket. Commenters wishing the FAA to accordance with § 11.38 after public levels in which civilian airplane system acknowledge receipt of their comments notice and become part of the type installations must be capable of submitted in response to this notice certification basis in accordance with operating safely are based on surveys must include a self-addressed, stamped § 21.101(b)(2). and analysis of existing radio frequency postcard on which the following Special conditions are initially emitters. These special conditions statement is made: ‘‘Comments to applicable to the model for which they require that the airplane be evaluated Docket No. 274.’’ The postcard will be are issued. Should the applicant apply under these energy levels for the date stamped and returned to the for a supplemental type certificate to protection of the electronic system and commenter. modify any other model already its associated wiring harness. These external threat levels, which are lower Background included on the same type certificate to incorporate the same novel or unusual than previous required values, are On January 29, 2007, Cessna Aircraft design feature, the special conditions believed to represent the worst case to Company, applied to the FAA for a new would also apply to the other model which an airplane would be exposed in Amended Type Certificate for the under the provisions of § 21.101. the operating environment. project airplane. The Model 208B is These special conditions require currently approved under TC No. Novel or Unusual Design Features qualification of systems that perform A37CE. The proposed modification Cessna Aircraft Company plans to critical functions, as installed in aircraft, incorporates a novel or unusual design incorporate certain novel and unusual to the defined HIRF environment in feature, such as digital avionics design features into an airplane for paragraph 1 or, as an option to a fixed

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value using laboratory tests, in Service experience alone is not Administrator, the following special paragraph 2, as follows: acceptable since normal flight conditions are issued as part of the type (1) The applicant may demonstrate operations may not include an exposure certification basis for the Model 208B, that the operation and operational to the HIRF environment. Reliance on a Garmin G1000 project airplane modified capability of the installed electrical and system with similar design features for by Cessna Aircraft Company to add an electronic systems that perform critical redundancy as a means of protection EFIS. functions are not adversely affected against the effects of external HIRF is 1. Protection of Electrical and when the aircraft is exposed to the HIRF generally insufficient since all elements Electronic Systems from High Intensity environment defined below: of a redundant system are likely to be Radiated Fields (HIRF). Each system exposed to the fields concurrently. that performs critical functions must be Field strength designed and installed to ensure that the Applicability Frequency (volts per meter) operations, and operational capabilities Peak Average As discussed above, these special of these systems to perform critical conditions are applicable to the Model functions, are not adversely affected 10 kHz–100 kHz ...... 50 50 208B, Garmin G1000 project. Should when the airplane is exposed to high 100 kHz–500 kHz ..... 50 50 Cessna Aircraft Company apply at a intensity radiated electromagnetic fields 500 kHz–2 MHz ...... 50 50 later date for an amended or external to the airplane. 2 MHz–30 MHz ...... 100 100 supplemental type certificate to modify 2. For the purpose of these special 30 MHz–70 MHz ...... 50 50 any other model on the same type conditions, the following definition 70 MHz–100 MHz ..... 50 50 certificate to incorporate the same novel 100 MHz–200 MHz ... 100 100 applies: Critical Functions: Functions 200 MHz–400 MHz ... 100 100 or unusual design feature, the special whose failure would contribute to, or 400 MHz–700 MHz ... 700 50 conditions would apply to that model as cause, a failure condition that would 700 MHz–1 GHz ...... 700 100 well under the provisions of § 21.101. prevent the continued safe flight and 1 GHz–2 GHz ...... 2000 200 Conclusion landing of the airplane. 2 GHz–4 GHz ...... 3000 200 This action affects only certain novel Issued in Kansas City, Missouri on October 4 GHz–6 GHz ...... 3000 200 26, 2007. 6 GHz–8 GHz ...... 1000 200 or unusual design features on one model 8 GHz–12 GHz ...... 3000 300 of airplane. It is not a rule of general Kim Smith, 12 GHz–18 GHz ...... 2000 200 applicability and affects only the Manager, Small Airplane Directorate, Aircraft 18 GHz–40 GHz ...... 600 200 applicant who applied to the FAA for Certification Service. [FR Doc. E7–21599 Filed 11–1–07; 8:45 am] The field strengths are expressed in terms approval of these features on the of peak root-mean-square (rms) values. airplane. BILLING CODE 4910–13–P The substance of these special or, conditions has been subjected to the (2) The applicant may demonstrate by notice and comment period in several DEPARTMENT OF TRANSPORTATION a system test and analysis that the prior instances and has been derived Federal Aviation Administration electrical and electronic systems that without substantive change from those perform critical functions can withstand previously issued. It is unlikely that 14 CFR Part 71 a minimum threat of 100 volts per meter prior public comment would result in a (RMS), electrical field strength, from 10 significant change from the substance [Docket No. FAA–2007–28635; Airspace kHz to 18 GHz. When using this test to contained herein. For this reason, and Docket No. 07–ACE–7] show compliance with the HIRF because a delay would significantly requirements, no credit is given for affect the certification of the airplane, Establishment of Class D Airspace; signal attenuation due to installation. which is imminent, the FAA has Independence, KS A preliminary hazard analysis must determined that prior public notice and AGENCY: Federal Aviation be performed by the applicant, for comment are unnecessary and approval by the FAA, to identify either Administration (FAA), DOT. impracticable, and good cause exists for ACTION: Final rule. electrical or electronic systems that adopting these special conditions upon perform critical functions. The term issuance. The FAA is requesting SUMMARY: This notice amends part 71 of ‘‘critical’’ means those functions whose comments to allow interested persons to the Federal Aviation Regulations (14 failure would contribute to, or cause, a submit views that may not have been CFR part 71) by establishing a Class D failure condition that would prevent the submitted in response to the prior airspace area extending upward from continued safe flight and landing of the opportunities for comment described the surface to and including 3,300 feet airplane. The systems identified by the above. above sea level within a 4.6-mile radius hazard analysis that perform critical of Independence Municipal Airport, KS. functions are candidates for the List of Subjects in 14 CFR Part 23 The establishment of an air traffic application of HIRF requirements. A Aircraft, Aviation safety, Signs and control tower has made this action system may perform both critical and symbols. necessary. non-critical functions. Primary electronic flight display systems, and Citation DATES: Effective Date: 0901 UTC, their associated components, perform The authority citation for these December 20, 2007. The Director of the critical functions such as attitude, special conditions is as follows: Federal Register approves this altitude, and airspeed indication. The incorporation by reference action under Authority: 49 U.S.C. 106(g), 40113 and title 1, Code of Federal Regulations, part HIRF requirements apply only to critical 44701; 14 CFR 21.16 and 21.101; and 14 CFR functions. 11.38 and 11.19. 51, subject to the annual revision of Compliance with HIRF requirements FAA Order 7400.9 and publication of may be demonstrated by tests, analysis, The Special Conditions conforming amendments. models, similarity with existing Accordingly, pursuant to the FOR FURTHER INFORMATION CONTACT: systems, or any combination of these. authority delegated to me by the Grant Nichols, System Support, DOT

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Regional Headquarters Building, Federal number of small entities under the DEPARTMENT OF TRANSPORTATION Aviation Administration, 901 Locust, criteria of the Regulatory Flexibility Act. Federal Aviation Administration Kansas City, MO 64106; telephone: This rulemaking is promulgated (816) 329–2522. under the authority described in 14 CFR Part 71 SUPPLEMENTARY INFORMATION: Subtitle VII, Part A, Subpart I, Section History 40103. Under that section, the FAA is [Docket No. FAA–2005–22490; Airspace charged with prescribing regulations to Docket No. 05–AEA–018] On Wednesday, August 15, 2007, the assign the use of the airspace necessary FAA proposed to amend part 71 of the to ensure the safety of aircraft and the Amendment of Class E Airspace; Federal Aviation Regulations (14 CFR efficient use of airspace. This regulation Pottsville, PA part 71) to establish Class D airspace at is within the scope of that authority Independence Municipal Airport, KS AGENCY: Federal Aviation since it contains flight operations at (72 FR 45699). The proposal was to Administration (FAA), DOT. Independence Municipal Airport, KS. establish a Class D airspace area to ACTION: Direct final rule, request for provide controlled airspace for flight List of Subjects in 14 CFR Part 71 comments. operations due to the establishment of an air traffic control tower. Interested Airspace, Incorporation by reference, SUMMARY: This action amends Class E parties were invited to participate in Navigation (Air). Airspace at Pottsville, PA to provide adequate airspace for a new Area this rulemaking proceeding by Adoption of the Amendment submitting written comments on the Navigation (RNAV) Global Positioning System (GPS) Special Instrument proposal to the FAA. No comments I In consideration of the foregoing, the objecting to the proposal were received. Approach Procedure (IAP) that has been Federal Aviation Administration developed to serve the Pottsville The Rule amends 14 CFR part 71 as follows: Hospital (91PN), Pottsville, PA. This notice amends part 71 of the PART 71—DESIGNATION OF CLASS A, DATES: Effective 0901 UTC, December Federal Aviation Regulations (14 CFR CLASS B, CLASS C, CLASS D, AND 20, 2007. The Director of the Federal part 71) by establishing a Class D CLASS E AIRSPACE AREAS; Register approves this incorporation by airspace area extending upward from AIRWAYS; ROUTES; AND REPORTNIG reference action under title 1, Code of the surface to an including 3,300 feet POINTS Federal Regulations, part 51, subject to above sea level within a 4.6-mile radius the annual revision of FAA Order of Independence Municipal Airport, KS. I 1. The authority citation for part 71 7400.9 and publication of conforming The establishment of an air traffic continues to read as follows: amendments. Comments for inclusion control tower has made this action in the Rules Docket must be received on necessary. The intended effect of this Authority: 49 U.S.C. 106(g); 40103, 40113, or before November 30, 2007. 40120; E.O. 10854, 24 FR 9565, 3 CFR, 1959– action is to provide controlled airspace ADDRESSES: 1963 Comp., p. 389. Send comments on this rule for flight operations at Independence to: Docket Management Facility, U.S. Municipal Airport, KS. The area will be § 71.1 [Amended] Department of Transportation, 1200 depicted on appropriate aeronautical New Jersey, SE., West Building Ground charts. I 2. The incorporation by reference in Floor, Room W12–140, Washington, DC Class D airspace areas extending 14 CFR 71.1 of Federal Aviation 20590–0001; Telephone: 1–800–647– upward from the surface of the earth are Administration Order 7400.9R, signed 5527; Fax: 202–493–2251. You must published in Paragraph 5000 of FAA August 14, 2007, and effective identify the Docket Number FAA–2005– Order 7400.9R, Airspace Designations September 15, 2007, is amended as 22490; Airspace Docket No. 05–AEA– and Reporting Points, signed August 15, follows: 2007, and effective September 15, 2007, 018, at the beginning of your comments. which is incorporated by reference in 14 Paragraph 5000 Class D Airspace You may also submit comments through the Internet at http:// CFR 71.1. of the same Order. The Class * * * * * D airspace designation listed in this www.regulations.gov. You may review document will be published ACE KS D Independence, KS [New] the public docket containing the rule, subsequently in the Order. Independence Municipal Airport, KS any comments received, and any final The FAA has determined that this (Lat. 37°09′30″ N., long. 95°46′42″ W.) disposition in person in the Dockets Office (see ADDRESSES section for regulation only involves an established That airspace extending upward from the address and phone number) between 9 body of technical regulations for which surface to and including 3,300 feet MSL frequently and routine amendments are within a 4.6-mile radius of Independence a.m. and 5 p.m., Monday through necessary to keep them operationally Municipal Airport. This Class D airspace area Friday, except Federal Holidays. An current. Therefore, this regulation—(1) is effective during the specific dates and informal docket may also be examined is not a ‘‘significantly regulatory action’’ times established in advance by a Notice to during normal business hours at the under Executive Order 12866; (2) is not Airmen. The effective date and time will office of the Eastern Service Center, a ‘‘significant rule’’ under DOT thereafter be continuously published in the Federal Aviation Administration, Room Regulatory Policies and Procedures (44 Airport/Facility Directory. 210, 1701 Columbia Avenue, College Park, Georgia 30337. FR 11034; February 26, 1979); and (3) * * * * * does not warrant preparation of a FOR FURTHER INFORMATION CONTACT: Issued in Forth, Texas, on October 11, Regulatory Evaluation as the anticipated Daryl Daniels, Airspace Specialist, 2007. impact is to minimal. Since this is a System Support Group, Eastern Service routine matter than will only affect air Ronnie L. Uhlenhaker, Center, Federal Aviation traffic procedures and air navigation, it Team Manager, System Support Group, ATO Administration, P.O. Box 20636, is certified that this rule, when Central Service Center. Atlanta, Georgia 30320; telephone (404) promulgated, will not have a significant [FR Doc. 07–5422 Filed 11–1–07; 8:45 am] 305–5581. economic impact on a substantial BILLING CODE 4910–13–M SUPPLEMENTARY INFORMATION:

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The Direct Final Rule Procedure Docket No. 05–AEA–018.’’ The postcard The FAA’s authority to issue rules The FAA anticipates that this will be date stamped and returned to the regarding aviation safety is found in regulation will not result in adverse or commenter. Title 49 of the United States Code. Subtitle I, Section 106 describes the negative comments, and, therefore, The Rule issues it as a direct final rule. The FAA authority of the FAA Administrator. This amendment to Title 14, Code of Subtitle VII, Aviation Programs, has determined that this proposed Federal Regulations (14 CFR) part 71 regulation only involves an established describes in more detail the scope of the amends Class E airspace at Pottsville, agency’s authority. body of technical regulations for which PA establishing the controlled airspace frequent and routine amendments are required to support the new RNAV This rulemaking is promulgated necessary to keep them operationally (GPS) Copter 095 Point in Space (PinS) under the authority described in current. Unless a written adverse or approach developed for Pottsville Subtitle VII, Part A, Subpart I, Section negative comment or a written notice of Hospital. Controlled airspace extending 40103. Under that section, the FAA is intent to submit an adverse or negative upward from 700 feet Above Ground charged with prescribing regulations to comment is received within the Level (AGL) is required to encompass assign the use of airspace necessary to comment period, the regulation will the IAP and for Instrument Flight Rule ensure the safety of aircraft and the become effective on the date specified (IFR) operations, therefore, the FAA is efficient use of airspace. This regulation above. After the close of the comment amending Title 14, Code of Federal is within the scope of the authority as period, the FAA will publish a Regulations (14 CFR) part 71 to establish it established controlled airspace near document in the Federal Register additional class E5 Airspace at the Pottsville Hospital, Pottsville, PA. indicating that no adverse or negative Pottsville, PA. The current E5 airspace List of Subjects in 14 CFR Part 71 comments were received and at Pottsville does not provide adequate confirming the effective date. If the FAA airspace for this new approach. This Airspace, Incorporation by reference, receives, within the comment period, an action provides the required controlled Navigation (Air). adverse or negative comment, or written airspace. Designations for Class E Adoption of the Amendment notice of intent to submit such a airspace areas extending upward from comment, a document withdrawing the 700 feet or more above the surface of the I In consideration of the foregoing, the direct final rule will be published in the Earth are published in FAA Order Federal Aviation Administration Federal Register, and a notice of 7400.9R, signed August 15, 2007 amends 14 CFR part 71 as follows: proposed rulemaking may be published effective September 15, 2007, which is with a new comment period. incorporated by reference in 14 CFR PART 71—DESIGNATION OF CLASS A, Comments Invited 71.1. The Class E designations listed in B, C, D AND E AIRSPACE AREAS; AIR this document will be published TRAFFIC SERVICE ROUTES; AND Although this action is in the form of subsequently in the Order. a direct final rule, and was not preceded REPORTING POINTS by a notice of proposed rulemaking, Agency Findings I 1. The authority citation for part 71 interested persons are invited to The regulations adopted herein will continues to read as follows: comment on this rule by submitting not have substantial direct effects on the such written data, views, or arguments States, on the relationship between the Authority: 49 U.S.C. 106(g); 40103, 40113, as they may desire. Communications national government and the States, or 40120; E.O. 10854, 24 FR 9565, 3 CFR, 1959– should identify both docket numbers on the distribution of power and 1963., Comp., p. 389. and be submitted in triplicate to the responsibilities among various levels of §71.1 [Amended] address specified under the caption government. Therefore, it is determined ADDRESSES. All communications that this final rule does not have I 2. The incorporation by reference in received on or before the closing data federalism implications under Executive 14 CFR 71.1 of Federal Aviation for comments will be considered, and Order 13132. Administration Order 7400.9R, Airspace this rule may be amended or withdrawn The FAA has determined that this Designations and Reporting Points, in light of comments received. regulation only involves an established signed August 15, 2007, effective Comments are specifically invited on body of technical regulations for which September 15, 2007, is amended as the overall regulatory, economic, frequent and routine amendments are follows: environmental, and energy aspects of necessary to keep them operationally the rule that might suggest a need to current, is non-controversial and Paragraph 6005 Class E Airspace Areas Extending Upward From 700 Feet or More modify the rule. Factual information unlikely to result in adverse or negative Above the Surface of the Earth. that supports the commenter’s ideas and comments. It, therefore, (1) is not a suggestions is extremely helpful in ‘‘significant regulatory action’’ under * * * * * evaluating the effectiveness of this Executive Order 12866; (2) is not a AEA PA E5 Pottsville, PA [AMENDED] action and determining whether ‘‘significant rule’’ under DOT Schuylkill County (Joe Zerbey) Airport additional rulemaking action would be Regulatory Policies and Procedures (44 (Lat. 40°42′23″ N., long. 76°22′24″ W.) needed. All comments submitted will be FR 11034; February 26, 1979); and (3) Pottsville Hospital [ADDED] available, both before and after the does not warrant preparation of a Point In Space Coordinates closing date for comments, in the Rules Regulatory Evaluation as the anticipated (Lat. 40°41′45″ N., long. 76°12′34″ W.) Docket for examination by interested impact is so minimal. Since this is a That airspace extending upward from 700 persons. Those wishing the FAA to routine matter that will only affect air feet above the surface within a 6.8-mile acknowledge receipt of their comments traffic procedures and air navigation, it radius of Schuylkill County (Joe Zerbey) submitted in response to this rule must is certified that this rule, when Airport; and that airspace within a 6-mile submit a self-addressed stamped promulgated, will not have a significant radius of the point in space (lat. 40°41′45″ N., postcard on which the following economic impact on a substantial long. 76°12′34″ W.) serving Pottsville statement is made: ‘‘Comments to number of small entities under the Hospital. Docket No. FAA–2005–22490; Airspace criteria of the Regulatory Flexibility Act. * * * * *

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Issued in College Park, Georgia, on October FOR FURTHER INFORMATION CONTACT: persons. Those wishing the FAA to 15, 2007. Daryl Daniels, System Support acknowledge receipt of their comments Mark D. Ward, Specialist, Eastern Service Center, submitted in response to this rule must Manager, System Support Group, Eastern Federal Aviation Administration, P.O. submit a self-addressed, stamped Service Center Box 20636, Atlanta, Georgia 30320; postcard on which the following [FR Doc. 07–5420 Filed 11–1–07; 8:45 am] telephone (404) 305–5581. statement is made: ‘‘Comments to BILLING CODE 4910–13–M SUPPLEMENTARY INFORMATION: Docket No. FAA–2005–22493; Airspace Docket No. 05–AEA–021.’’ The postcard The Direct Final Rule Procedure will be date stamped and returned to the DEPARTMENT OF TRANSPORTATION The FAA anticipates that this commenter. regulation will not result in adverse or The Rule Federal Aviation Administration negative comments, and, therefore, issues it as a direct final rule. The FAA This amendment to Title 14, Code of 14 CFR Part 71 has determined that this proposed Federal Regulations (14 CFR) part 71 [Docket No. FAA–2005–22493; Airspace regulation only involves an established amends Class E airspace at Philipsburg, Docket No. 05–AEA–021] body of technical regulations for which PA establishing the required controlled frequent and routine amendments are airspace to supply the newly developed Amendment of Class E Airspace; necessary to keep them operationally Copter RNAV (GSP) 238 Point in Space Philipsburg, PA current. Unless a written adverse or (PinS) approach at the Philipsburg Area negative comment or a written notice of Hospital. Controlled airspace extending AGENCY: Federal Aviation intent to submit an adverse or negative upward from 700 feet Above Ground Administration (FAA), DOT. comment is received within the Level (AGL) is required to contain the ACTION: Direct final rule, request for comment period, the regulation will IAP and for Instrument Flight Rule (IFR) comments. become effective on the date specified operations to the extent practical, therefore, the FAA is amending Title 14, SUMMARY: This action amends Class E above. After the close of the comment Code of Federal Regulations (14 CFR) Airspace at Philipsburg, PA, to provide period, the FAA will publish a part 71 to establish additional Class E5 adequate airspace for a new Area document in the Federal Register Airspace at Philipsburg, PA. The Navigation (RNAV) Global Positioning indicating that no adverse or negative controlled airspace at Philipsburg is not System (GPS) Special Instrument comments were received and adequate to support this new approach. Approach Procedure (IAP) that has been confirming the effective date. If the FAA This action provides the required developed to serve the Philipsburg Area receives, within the comment period, an controlled airspace. Designations for Hospital, Philipsburg, PA. adverse or negative comment, or written notice of intent to submit such a Class E airspace areas extending upward DATES: Effective 0901 UTC, December comment, a document withdrawing the from 700 feet or more above the surface 20, 2007. The Director of the Federal direct final rule will be published in the of the Earth are published in FAA Order Register approves this incorporation by Federal Register, and a notice of 7400.9R, signed August 15, 2007 reference action under title 1, Code of proposed rulemaking may be published effective September 15, 2007, which is Federal Regulations, part 51, subject to with a new comment period. incorporated by reference in 14 CFR the annual revision of FAA Order 71.1. The Class E designations listed in 7400.9 and publication of conforming Comments Invited this document will be published amendments. Comments for inclusion Although this action is in the form of subsequently in the Order. in the Rules Docket must be received on a direct final rule, and was not preceded or before December 5, 2007. by a notice of proposed rulemaking, Agency Findings ADDRESSES: Send comments on this rule interested persons are invited to The regulations adopted herein will to Docket Management Facility, U.S. comment on this rule by submitting not have a substantial direct effect on Department of Transportation, 1200 such written data, views, or arguments the States, on the relationship between New Jersey, SE., West Building Ground as they may desire. Communications the national Government and the States, Floor, Room W12–140, Washington, DC should identify both docket numbers or on the distribution of power and 20590–0001; Telephone: 1–800–647– and be submitted in triplicate to the responsibilities among the various 5527; Fax: 202–493–2251. You must address specified under the caption levels of government. Therefore, it is identify the Docket No. FAA–2005– ADDRESSES. All communications determined that this final rule does not 22493; Airspace Docket No. 05–AEA– received on or before the closing date have federalism implications under 021, at the beginning of your comments. for comments will be considered, and Executive Order 13132. You may also submit comments this rule may be amended or withdrawn The FAA has determined that this through the Internet at http:// in light of the comments received. regulation only involves an established www.regulations.gov. You may review Comments are specifically invited on body of technical regulations for which the public docket containing the rule, the overall regulatory, economic, frequent and routine amendments are any comments received, and any final environmental, and energy aspects of necessary to keep them operationally disposition in person in the Dockets the rule that might suggest a need to current, is non-controversial and Office (see ADDRESSES section for modify the rule. Factual information unlikely to result in adverse or negative address and phone number) between 9 that supports the commenter’s ideas and comments. It, therefore, (1) is not a a.m. and 5 p.m., Monday through suggestions is extremely helpful in ‘‘significant regulatory action’’ under Friday, except Federal Holidays. An evaluating the effectiveness of this Executive Order 12866; (2) is not a informal docket may also be examined action and determining whether ‘‘significant rule’’ under DOT during normal business hours at the additional rulemaking action would be Regulatory Policies and Procedures (44 office of the Eastern Service Center, needed. All comments submitted will be FR 11034; February 26, 1979); and (3) Federal Aviation Administration, Room available, both before and after the does not warrant preparation of a C210, 1701 Columbia Avenue, College closing date for comments, in the Rules Regulatory Evaluation as the anticipated Park, Georgia 30337. Docket for examination by interested impact is so minimal. Since this is a

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routine matter that will only affect air That airspace extending upward from 700 incorporation by reference action under traffic procedures and air navigation, it feet above the surface within a 6.6-mile 1 CFR Part 51, subject to the annual radius of Mid-State Airport extending is certified that this rule, when ° ° revision of FAA Order 7400.9 and promulgated, will not have a significant clockwise from a 261 bearing to a 012 publication of conforming amendments. bearing from the airport and within a 7.4- economic impact on a substantial mile radius of Mid-State Airport extending FOR FURTHER INFORMATION CONTACT: number of small entities under the clockwise from a 012° bearing to 098° bearing Grant Nichols, System Support, DOT criteria of the Regulatory Flexibility Act. from the airport and within a 6.6-mile radius Regional Headquarters Building, Federal The FAA’s authority to issue rules of Mid-State Airport extending clockwise Aviation Administration, 901 Locust, regarding aviation safety is found in from a 098° bearing to a 183° bearing from Kansas City, MO 64106; telephone: Title 49 of the United States Code. the airport and within a 8.3-mile radius of (816) 329–2522. Subtitle I, Section 106 describes the Mid-State Airport extending clockwise from ° ° SUPPLEMENTARY INFORMATION: authority of the FAA Administrator. a 183 bearing to a 261 bearing from the Subtitle VII, Aviation Programs, airport and within 3.1 miles each of the History Philipsburg VORTAC 067° radial extending describes in more detail the scope of the from the VORTAC to 10 miles northeast of On Wednesday, August 22, 2007, the agency’s authority. the VORTAC and within 3.5 miles each side FAA proposed to amend part 71 of the This rulemaking is promulgated of the 327° bearing from a point at lat. Federal Aviation Regulations (14 CFR under the authority described in 40°53′09″ N., long. 78°05′06″ W., extending part 71) to establish Class E airspace at Subtitle VII, Part A, Subpart I, section from said point to a point 7.4 miles Tarkio, MO (72 FR 46931). The proposal 40103. Under that section, the FAA is northwest and within 2.2 miles each side of was to establish a Class E5 airspace area the Philipsburg VORTAC 330° radial charged with prescribing regulations to to bring Tarkio, MO airspace into assign the use of airspace necessary to extending from the VORTAC to 5.3 miles northwest of the VORTAC and within 3.1 compliance with FAA directives. ensure the safety of aircraft and the miles each side of the Philipsburg VORTAC Interested parties were invited to efficient use of airspace. This regulation 301° radial extending from the VORTAC to participate in this rulemaking is within the scope of that authority as 10 miles northwest of the VORTAC; and that proceeding by submitting written it establishes controlled airspace at airspace within a 6-mile radius of the point comments on the proposal to the FAA. Philipsburg Area Hospital, Philipsburg, in space (lat. 40°55′06″ N., long. 78°12′06″ No comments objecting to the proposal PA. W.) serving the Philipsburg Area Hospital. were received. List of Subjects in 14 CFR Part 71 Issued in College Park, Georgia, on October 15, 2007. The Rule Airspace, Incorporation by reference, Mark D. Ward, This rule amends part 71 of the Navigation (Air). Manager, System Support Group, Eastern Federal Aviation Regulations (14 CFR Adoption of the Amendment Service Center. part 71) by establishing a Class E [FR Doc. 07–5421 Filed 11–1–07; 8:45 am] airspace area extending upward from I In consideration of the foregoing, the BILLING CODE 4910–13–M 700 feet above the surface at Gould Federal Aviation Administration Peterson Municipal Airport, Tarkio, MO amends 14 CFR part 71 as follows: and corrects the Airport Reference Point DEPARTMENT OF TRANSPORTATION coordinates. The establishment of Area PART 71—DESIGNATION OF CLASS A, Navigation (RNAV) Global Positioning B, C, D AND E AIRSPACE AREAS; AIR Federal Aviation Administration System (GPS) Instrument Approach TRAFFIC SERVICE ROUTES; AND Procedures (IAP) have made this action REPORTING POINTS 14 CFR Part 71 necessary. The intended effect of this action is to provide adequate controlled I 1. The authority citation for part 71 [Docket No. FAA–2007–28869; Airspace airspace for Instrument Flight Rules continues to read as follows: Docket No. 07–ACE–11] operations at Gould Peterson Municipal Authority: 49 U.S.C. 106(g); 40103, 40113, Establishment of Class E5 Airspace; Airport, Tarkio, MO. The area will be 40120; E.O. 10854, 24 FR 9565, 3 CFR, 1959– Tarkio, MO depicted on appropriate aeronautical 1963 Comp., p. 389. charts. AGENCY: Federal Aviation § 71.1 [Amended] Class E airspace areas extending Administration (FAA), DOT. upward from 700 feet or more above the I 2. The incorporation by reference in ACTION: Final rule and correction. surface of the earth are published in 14 CFR 71.1 of Federal Aviation Paragraph 6005 of FAA Order 7400.9R, Administration Order 7400.9R, Airspace SUMMARY: This rule establishes a Class Airspace Designations and Reporting Designations and Reporting Points, E airspace area extending upward from Points, signed August 15, 2007, and dated August 15, 2007 effective 700 feet above the surface at Tarkio, MO effective September 15, 2007, which is September 15, 2007, is amended as and corrects the Airport Reference Point incorporated by reference in 14 CFR follows: coordinates. The effect of this rule is to 71.1. of the same Order. The Class E Paragraph 6005 Class E Airspace Areas provide appropriate controlled Class E airspace designation listed in this Extending Upward From 700 Feet or More airspace for aircraft departing from and document will be published Above the Surface of the Earth. executing instrument approach subsequently in the Order. * * * * * procedures to Gould Peterson Municipal The FAA has determined that this Airport, Tarkio, MO and to segregate AEA PA E5 Philipsburg, PA [AMENDED] regulation only involves an established aircraft using instrument approach body of technical regulations for which Mid-State Airport, Philipsburg, PA procedures in instrument conditions frequent and routine amendments are (Lat. 40°53′04″ N., long. 78°05′14″ W.) from aircraft operating in visual necessary to keep them operationally Philipsburg VORTAC conditions. (Lat. 40°54′59″ N., long. 77°59′34″ W.) current. Therefore, this regulation—(1) Philipsburg Area Hospital [ADDED] DATES: Effective Date: 0901 UTC, Is not a ‘‘significant regulatory action’’ Point in Space Coordinates December 20, 2007. The Director of the under Executive Order 12866; (2) is not (Lat. 40°55′06″ N., long. 78°12′06″ W.) Federal Register approves this a ‘‘significant rule’’ under DOT

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Regulatory Policies and Procedures (44 Issued in Fort Worth, TX, on October 11, On May 31, 2007, the Department FR 11034; February 26, 1979); and (3) 2007. published a Proposed Rule on sanctions does not warrant preparation of a Ronnie L. Uhlenhaker, and terminations with a comment Regulatory Evaluation as the anticipated Manager, System Support Group, ATO period ending July 30, 2007. 72 FR impact is so minimal. Since this is a Central Service Center. 30302–30308. Forty-nine (49) parties routine matter that will only affect air [FR Doc. 07–5425 Filed 11–1–07; 8:45 am] filed comments, which the Department traffic procedures and air navigation, it BILLING CODE 4910–13–M reviewed and evaluated. The Alliance is certified that this rule will not have for International Educational and a significant economic impact on a Cultural Exchange (Alliance), a substantial number of small entities DEPARTMENT OF STATE membership organization, and the under the criteria of the Regulatory Council on International Educational Flexibility Act. 22 CFR Part 62 Exchange (CIEE) represented a number This rulemaking is promulgated of individual designated program under the authority described in [Public Notice: 5981] sponsors in their comments. Twenty- Subtitle VII, Part A, Subpart I, Section RIN 1400–AC29 five (25) commenting parties favored the 40103. Under that section, the FAA is Proposed Rule. The remaining charged with prescribing regulations to Exchange Visitor Program—Sanctions commenting parties criticized the assign the use of the airspace necessary and Terminations Proposed Rule in one or more respects, to ensure the safety of aircraft and the and several parties recommended AGENCY: efficient use of airspace. This regulation Department of State. changes to the Proposed Rule. is within the scope of that authority ACTION: Final rule. Having thoroughly reviewed the since it contains aircraft executing comments and the changes that SUMMARY: The Department is amending instrument approach procedures to commenting parties recommended, the its regulations to add to and modify the Gould Peterson Municipal Airport, Department has determined that it will, existing actions for which the Tarkio, MO. and hereby does, adopt the Proposed Department may sanction a sponsor. Rule, with minor edits, and promulgates List of Subjects in 14 CFR Part 71 The change in the regulations will it as a Final Rule. The Department’s streamline the review process to offer Airspace, Incorporation by reference, evaluation of the written comments and sanctioned sponsors the procedural due Navigation (Air). recommendations follows. process rights equal to those that the Adoption of the Amendment Administrative Procedure Act As the Department noted in the guarantees. In addition, the Final Rule Supplementary Information accompanying the Proposed Rule, The [Fulbright-Hays] Act I In consideration of the foregoing, the eliminates summary suspension and Federal Aviation Administration authorizes the President to provide for such modifies program suspension to halt the exchanges if it would strengthen amends 14 CFR part 71 as follows: activities of a sponsor that has international cooperative relations. The committed a serious act of omission or language of the Act and its legislative history PART 71—DESIGNATION OF CLASS A, commission which has or could have make it clear that the Congress considered CLASS B, CLASS C, CLASS D, AND the effect of endangering the health, international educational and cultural CLASS E AIRSPACE AREAS; safety, or welfare of an exchange visitor, exchanges to be a significant part of the AIRWAYS; ROUTES; AND REPORTING or damage the national security interests public diplomacy efforts of the President in POINTS connection with Constitutional prerogatives of the United States. in conducting foreign affairs. Thus, exchange I 1. The authority citation for part 71 DATES: Effective Date: This Final Rule is visitor programs that do not further the continues to read as follows: effective 30 days from November 2, public diplomacy goals of the United States should not be designated initially, or retain Authority: 49 U.S.C. 106(g); 40103, 40113, 2007. their designation. Accordingly, it is 40120; E.O. 10854, 24 FR 9565, 3 CFR, 1959– SUPPLEMENTARY INFORMATION: The imperative that the Department have the 1963 Comp., p. 389. former United States Information power to revoke program designations or § 71.1 [Amended] Agency (USIA) and, as of October 1, deny applications for program redesignation 1999, its successor, the U.S. Department when it determines that such programs do I 2. The incorporation by reference in of State (Department), have promulgated not serve the country’s public diplomacy 14 CFR 71.1 of Federal aviation regulations governing the Exchange goals. Administration Order 7400.9R, signed Visitor Program. Those regulations now The above statement is the August 15, 2007, and effective appear at 22 CFR Part 62. The underpinning for the Department’s September 15, 2007, is amended as regulations governing sanctions appear entire approach to the sanctions regime follows: at 22 CFR 62.50, and regulations of the Exchange Visitor Program. governing termination of a sponsor’s Paragraph 6005 Class E Airspace Areas Comment Analysis Extending Upward From 700 Feet or More designation, at 22 CFR 62.60 through Above the Surface of the Earth. 62.62. The ultimate goals of the One of the overall criticisms of the * * * * * sanctions regulations are to further the Proposed Rule was that the Department foreign policy interests of the United eliminated the requirement that it find ACE E5 Tarkio, MO [New] States, and to protect the health, safety, alleged violations of Part 62 to be willful Gould Peterson Municipal Airport, Tarkio, and welfare of Exchange Visitor or negligent before imposing sanctions. MO ° ′ ″ ° ′ ″ Program participants. These regulations Fifteen (15) comments were opposed to (Lat. 40 26 46 N., long. 95 22 02 W.) largely have remained unchanged since the change. The Department believes That airspace extending upward from 700 1993, when the USIA undertook a major that such criticism is without merit. A feet above the surface within a 7.6-mile regulatory reform of the Exchange program sponsor, prior to being radius of Gould Peterson Municipal Airport, Tarkio, MO. Visitor Program, as administered by the designated or redesignated, must Office of Exchange Coordination and demonstrate that it (i.e., the responsible * * * * * Designation (Office). officer and alternate responsible

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officer(s)), its employees, and third sanctions,’’ in which the decision of the may seek further agency review of this parties acting on its behalf have the Office is the final Department decision. decision, by a three-member review knowledge and ability to comply and [§ 62.50(b)] One (1) comment was in panel. remain in continual compliance with all favor. However, the lack of a review Thirteen (13) of the commenting provisions of part 62. [§ 62.3(b)(1); process for ‘‘lesser sanctions’’ is parties criticized new language § 62.9(a) and (f)(1) and (2); and unchanged from the prior rule. Under providing that the Department may § 62.11(a).] Since knowledge and ability the prior rule, reduction in the size of determine that a class of designated to comply and remain in full a sponsor’s program was deemed a programs compromises the national compliance with the regulations are ‘‘lesser sanction’’ (and thus not subject security of the United States or no fundamental requirements of sponsor to further agency review) if it was longer furthers the public diplomacy designation, it is essentially irrelevant limited to a reduction in participants of mission of the United States [§ 62.62]. whether a sponsor violates regulations 10 percent or less or, in the case of a Three (3) comments were in favor of this willfully, negligently, or even geographical reduction, if it would not regulation. If the Department makes inadvertently. Violations, whether or cause a significant financial burden for such a determination, it may revoke the not willful or negligent, may harm the the sponsor. The only change in the designations, or deny applications for national security or the public Proposed Rule was an increase in the redesignation, of sponsors of that class diplomacy goals of the United States, or potential size of the reduction, from 10 of exchange visitor programs. As the pose a threat to the health, safety or to 15 percent, and the reminder that Department noted in the Supplementary welfare of program participants, and the subsequent 10-percent reductions may Information accompanying the Proposed Department must have the capacity to be imposed in the case of continued Rule, the Exchange Visitor Program is respond appropriately. Moreover, the violations (a possibility that was part of the Department’s public process set forth in the revised sanctions inherent in the prior rule). The reason diplomacy efforts in furtherance of the regulations provides that a sponsor for the more limited process for ‘‘lesser President’s Constitutional prerogatives being sanctioned may submit a sanctions’’ remains the same as in the in conducting foreign affairs. statement in opposition to or mitigation prior rule: their relatively minor impact Accordingly, the Department noted, of the proposed sanction. This process on sponsors does not justify the burden termination of a program category provides the sponsor with the and expense, for both the Department because it no longer furthers the opportunity to explain the and sponsors, of the more extensive Department’s public diplomacy mission, circumstances of the alleged violation, process afforded for more significant or compromises national security, has and to argue that a lesser sanction, or no sanctions. The modest increase of 5 always been inherently within the sanction at all, would be appropriate in percent in the size of a potential discretion of the Department. Following view of those circumstances. In program reduction does not, in the 9/11, the Department concluded that its addition, the review process available Department’s view, alter this rationale. regulations should make that authority, for significant sanctions provides a and the means by which it would be Fourteen (14) commenting parties second opportunity for the sponsor to exercised, explicit. criticized the bases for and the process make its case before a panel of three Thirteen (13) of the commenting Review Officers not connected with the by which the Department will parties opposed the elimination of a Exchange Visitor Program, thus implement a suspension. The prior rule trial-type hearing in appeals of affording additional protection from the allowed for ‘‘suspension’’ and significant sanctions. Moreover, those arbitrary or capricious imposition of ‘‘summary suspension.’’ In practice, the same parties opine that the criteria for sanctions. A total of sixteen (16) Department never utilized the imposing a suspension are more comments were in favor of the change. suspension provision of the regulations, stringent than the criteria for revoking a Twelve (12) commenting parties and that provision is eliminated in the designation or denying an application opined that the criteria for imposing Final Rule, which redesignates for redesignation of a program. sanctions are extremely broad and do ‘‘summary suspension’’ as It is entirely appropriate that the not provide an adequate basis for the ‘‘suspension.’’ Under the prior rule, grounds for the suspension sanction be Department to determine, for example, only one ground for this sanction drawn far more narrowly than those for under what circumstances it would existed: endangering the health, safety the other significant sanctions. propose to terminate rather than or welfare of a participant. The Final Suspension represents a rapid response suspend a sponsor’s designation or Rule adds another ground, the necessity to an urgent problem, with expedited impose lesser sanctions. It should be of which became apparent after the procedures including the possibility of noted in this regard that four of the six events of 9/11: Damaging the national an immediately effective sanction, not grounds for imposing sanctions are the security interests of the United States. stayed by any opposition or request for same as those in the prior rule. The two The Department believes that the review. In this, it is unlike any other new grounds—actions that may continued necessity for it to be able to sanction. That is why it is reserved for compromise the national security of the act swiftly, and with immediate effect, violations whose seriousness justifies it: United States or undermine its foreign in such circumstances is self-evident. Cases in which national security is policy objectives—are of a nature that Moreover, it should be noted that the compromised, or in which a danger is inherently requires broad discretion in summary process for such suspensions posed to the health, safety or welfare of the choice of appropriate sanctions. has been improved for sponsors in two participants. It would be inappropriate Moreover, as previously noted, the respects. First, a sponsor is afforded to apply its procedures to other process for imposing and reviewing additional time in which to submit an violations; and it would be equally proposed sanctions affords a sponsor initial opposition to the suspension. inappropriate to restrict the availability ample opportunity to argue that Second, such an opposition is received, of other sanctions to its narrow grounds. alternative sanctions would be more reviewed and decided at a higher level, With regard to the elimination of trial- appropriate. by the Principal Deputy Assistant type review procedures for significant Nineteen (19) of the commenting Secretary for Educational and Cultural sanctions, the Department has found parties criticized the lack of an agency Affairs (PDAS) rather than by the Office. that such procedures are costly, time- review process for the ‘‘lesser As under the prior rule, the sponsor consuming and burdensome for both the

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Department and sponsors. As noted in alleged violations and argue for a less Nonetheless, the Department has the Supplementary Information severe sanction, or no sanction at all, analyzed the provisions of the Final accompanying the Proposed Rule, such and may request a meeting to present its Rule and certifies that it will not have procedures are not required by any views. a significant economic impact on a applicable statute, and are not necessary Seven (7) comments favored, and two substantial number of small entities to afford due process. Under the Final opposed, the paper review set forth at under the criteria of the Regulatory Rule, sponsors are afforded notice and § 62.50(f). The comments stated that a Flexibility Act. ample, repeated opportunities to be review should also include statements Executive Order 12866, as Amended heard. When the Office proposes a and information provided by exchange significant sanction, a sponsor may visitor participants, concerned citizens, The Department does not consider submit to the PDAS an opposition, and school officials. this Final Rule to be a ‘‘significant including factual and legal arguments Thirteen (13) comments were received regulatory action’’ under Executive and additional documentary material, in favor of a sponsor’s not being able to Order 12866, as amended, § 3(f), such as affidavits and other evidence. reapply for designation for a minimum Regulatory Planning and Review. In Following a statement in response by of five (5) years once a designation has addition, the Department is exempt the Office, the PDAS issues a written, been revoked. from Executive Order 12866 except to reasoned decision confirming, For the foregoing reasons, the the extent that it is promulgating, in withdrawing or modifying the sanction. Department is promulgating the conjunction with a domestic agency, The sponsor may then seek review of Proposed Rule as a Final Rule. regulations that are significant regulatory actions. The Department has, the PDAS decision, before a three- Regulatory Analysis member panel, no member of which nevertheless, reviewed the Final Rule to may be from the Bureau of Educational Administrative Procedure Act, ensure its consistency with the and Cultural Affairs (of which the Office Unfunded Mandates Reform Act of regulatory philosophy and principles set forms a part, and which is supervised by 1995, and Small Business Regulatory forth in that Executive Order. Enforcement Fairness Act of 1996 the PDAS). Once again, the sponsor has Executive Order 12988 the opportunity to file a statement The Department has determined that The Department has reviewed this setting forth arguments of fact and law, this Final Rule involves a foreign affairs Final Rule in light of §§ 3(a) and 3(b)(2) accompanied by documentary evidence function of the United States and is of Executive Order 12988 to eliminate and other attachments. Following a consequently exempt from the ambiguity, minimize litigation, establish statement in response by the PDAS, the procedures required by 5 U.S.C. 553 clear legal standards, and reduce review panel may, at its discretion, pursuant to 5 U.S.C. 553(a)(1). burden. convene a brief meeting with the Section 202 of the Unfunded parties, solely for the purpose of Mandates Reform Act of 1995 (UFMA), Executive Orders 12372 and 13132 clarifying the written submissions. Then Public Law 104–4, 109 Stat. 48, 2 U.S.C. the review panel issues a written, This Final Rule will not have 1532, generally requires agencies to substantial direct effects on the States, reasoned decision confirming, prepare a statement before proposing withdrawing or modifying the sanction. on the relationship between the national any rule that may result in an annual government and the States, or on the This procedure affords ample notice and expenditure of $100 million or more by opportunity to be heard, with a distribution of power and State, local or tribal governments, or by responsibilities among the various reasoned decision on a clear record. If the private sector. This rule will not the program sponsor is not satisfied levels of government. Therefore, in result in any such expenditure, nor will accordance with § 6 of Executive Order with the decision ultimately reached by it significantly or uniquely affect small the Review Officers, it continues to have 13132, it is determined that this Rule businesses. does not have sufficient federalism the same opportunities as before to seek The Final Rule has been found not to relief in an appropriate court. implications to require consultations or be a major rule within the meaning of warrant the preparation of a federalism Finally, ten (10) of the commenting the Small Business Regulatory parties requested that sponsors be given summary impact statement. The Enforcement Fairness Act of 1996. It regulations implementing Executive the opportunity to cure alleged will not have a substantial effect on the violations before the Department Order 12372 regarding States, the relationship between the intergovernmental consultation on imposes sanctions. The Department National Government and the States, or believes that if it were to provide Federal programs and activities do not on the distribution of power and apply to this regulation. sponsors in all cases the automatic right responsibilities among the various to cure an alleged violation or levels of government. Therefore, it has Paperwork Reduction Act deficiency with no risk that an actual been determined that the Final Rule This Final Rule does not impose any sanction will be imposed, then the does not have sufficient federalism new reporting or recordkeeping deterrent effect of the sanctions regime implications to warrant application of requirements subject to the Paperwork effectively would be eliminated. the consultation provisions of Executive Reduction Act, 44 U.S.C. Chapter 35. However, as a practical matter, the Orders 12372 and 13132. Office seldom proposes formal sanctions List of Subjects in 22 CFR Part 62 Regulatory Flexibility Act/Executive without first engaging in informal Cultural Exchange Programs. discussions seeking to bring the sponsor Order 13272: Small Business I into voluntary compliance. Moreover, Since this rulemaking is exempt from Accordingly, 22 CFR part 62 is although there is no right to cure, a 5 U.S.C. 553 and no other law required amended as follows: sponsor facing the imposition of the Department to give notice of PART 62—EXCHANGE VISITOR sanctions certainly may offer a proposed rulemaking, this rulemaking PROGRAM settlement or, in submitting its also is not subject to the Regulatory statement in opposition to or mitigation Flexibility Act (5 U.S.C. 601 et seq.) or I 1. The Authority citation for part 62 of the sanction, show it has cured the Executive Order 13272, § 3(b). is amended as follows:

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Authority: 8 U.S.C. 1101(a)(15)(J), 1182, Visitor Program designation, or other statement may not exceed 20 pages in 1184, 1258; 22 U.S.C. 1431–1442, 2451–2460; sanctions as set forth herein; length, double-spaced and, if Foreign Affairs Reform and Restructuring Act (iii) A corrective action plan designed appropriate, may include additional of 1998, Pub. L. 105–277, Div. G, 112 Stat. to cure the sponsor’s violations; or documentary material. A sponsor shall 2681–761 et seq.; Reorganization Plan No. 2 (iv) Up to a 15 percent (15%) include with all documentary material of 1977, 3 CFR, 1977 Comp. p. 200; E.O. reduction in the authorized number of 12048 of March 27, 1978; 3 CFR, 1978 Comp. an index of the documents and a p. 168; the Illegal Immigration Reform and exchange visitors in the sponsor’s summary of the relevance of each Immigrant Responsibility Act (IIRIRA) of program or in the geographic area of its document presented. The submission of 1996, Pub. L. 104–208, Div. C, 110 Stat. recruitment or activity. If the sponsor a statement in opposition to the Office’s 3009–546, as amended; Uniting and continues to violate the regulations in decision will not serve to stay the Strengthening America by Providing this Part, the Department may impose effective date of the suspension. Appropriate Tools Required to Intercept and subsequent additional reductions, in (ii) Within five (5) days after receipt Obstruct Terrorism Act of 2001 (USA ten-percent (10%) increments, in the of, and upon consideration of, such PATRIOT ACT), Pub. L. 107–56, Sec. 416, authorized number of exchange visitors opposition, the Principal Deputy 115 Stat. 354; and the Enhanced Border in the sponsor’s program or in the Assistant Secretary shall confirm, Security and Visa Entry Reform Act of 2002, geographic area of its recruitment or Pub. L. 107–173, 116 Stat. 543. modify, or withdraw the suspension by activity. serving the sponsor with a written I 2. Section 62.50 is revised to read as (2) Within ten (10) days after service decision. Such decision must specify follows: of the written notice to the sponsor the grounds therefore, and advise the § 62.50 Sanctions. imposing any of the sanctions set forth sponsor of the procedures for requesting in § 62.50(b)(1), the sponsor may submit (a) Reasons for sanctions. The review of the decision. to the Office a statement in opposition (iii) All materials the sponsor submits Department of State (Department) may to or mitigation of the sanction. Such will become a part of the sponsor’s file impose sanctions against a sponsor statement may not exceed 20 pages in with the Office. upon a finding by its Office of Exchange length, double-spaced and, if (3) The procedures for review of the Coordination and Designation (Office) appropriate, may include additional decision of the Principal Deputy that the sponsor has: documentary material. Sponsors shall Assistant Secretary are set forth in (1) Violated one or more provisions of include with all documentary material §§ 62.50(d)(3) and (4), (g), and (h), this Part; an index of the documents and a except that the submission of a request (2) Evidenced a pattern of failure to summary of the relevance of each for review will not serve to stay the comply with one or more provisions of document presented. Upon review and suspension. this Part; consideration of such submission, the (d) Revocation of designation. (1) (3) Committed an act of omission or Office may, in its discretion, modify, Upon a finding of any act or omission commission, which has or could have withdraw, or confirm such sanction. All set forth at § 62.50(a), the Office may the effect of endangering the health, materials the sponsor submits will serve a sponsor with not less than thirty safety, or welfare of an exchange visitor; become a part of the sponsor’s file with (30) days’ written notice of its intent to or the Office. revoke the sponsor’s Exchange Visitor (4) Otherwise conducted its program (3) The decision of the Office is the Program designation. Such notice must in such a way as to undermine the final Department decision with regard to specify the grounds for the proposed foreign policy objectives of the United lesser sanctions in § 62.50(b)(1)(i)–(iv). sanction and its effective date, advise States, compromise the national security (c) Suspension. (1) Upon a finding the sponsor of its right to oppose the interests of the United States, or bring that a sponsor has committed a serious proposed sanction, and identify the the Department or the Exchange Visitor act of omission or commission which procedures for submitting a statement of Program into notoriety or disrepute. has or could have the effect of opposition thereto. Revocation of (b) Lesser sanctions. (1) In order to endangering the health, safety, or designation under this paragraph need ensure full compliance with the welfare of an exchange visitor, or of not be preceded by the imposition of regulations in this Part, the Department, damaging the national security interests any other sanction or notice. in its discretion and depending on the of the United States, the Office may (2)(i) Within ten (10) days after nature and seriousness of the violation, serve the sponsor with written notice of service of such written notice of intent may impose any or all of the following its decision to suspend the designation to revoke designation, the sponsor may sanctions ( ‘‘lesser sanctions’’) on a of the sponsor’s program for a period submit to the Principal Deputy Assistant sponsor upon a finding that the sponsor not to exceed one hundred twenty (120) Secretary a statement in opposition to or engaged in any of the acts or omissions days. Such notice must specify the mitigation of the proposed sanction, set forth in § 62.50(a): grounds for the sanction and the which may include a request for a (i) A written reprimand to the effective date thereof, advise the meeting. sponsor, with a warning that repeated or sponsor of its right to oppose the (ii) The submission of such statement persistent violations of the regulations suspension, and identify the procedures will serve to stay the effective date of in this Part may result in suspension or for submitting a statement of opposition the proposed sanction pending the revocation of the sponsor’s Exchange thereto. Suspension under this decision of the Principal Deputy Visitor Program designation, or other paragraph need not be preceded by the Assistant Secretary. sanctions as set forth herein; imposition of any other sanction or (iii) The Principal Deputy Assistant (ii) A declaration placing the notice. Secretary shall provide a copy of the exchange visitor sponsor’s program on (2)(i) Within five (5) days after service statement in opposition to or mitigation probation, for a period of time of such notice, the sponsor may submit of the proposed sanction to the Office. determined by the Department in its to the Principal Deputy Assistant The Office shall submit a statement in discretion, signifying a pattern of Secretary for Educational and Cultural response, and shall provide the sponsor violation of regulations such that further Affairs (Principal Deputy Assistant with a copy thereof. violations could lead to suspension or Secretary, or PDAS) a statement in (iv) A statement in opposition to or revocation of the sponsor’s Exchange opposition to the Office’s decision. Such mitigation of the proposed sanction, or

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statement in response thereto, may not suspending or revoking a responsible within twenty (20) days after the receipt exceed 25 pages in length, double- officer or alternate responsible officer of the last written submission. The spaced and, if appropriate, may include are set forth at § 62.50(d), (g), and (h). meeting will be limited to no more than additional documentary material. Any (g) Review officers. A panel of three two (2) hours. The purpose of the additional documentary material may Review Officers shall hear a sponsor’s meeting will be limited to the include an index of the documents and request for review pursuant to clarification of the written submissions. a summary of the relevance of each § 62.50(c), (d), (e), and (f). The Under No transcript may be taken and no document presented. Secretary of State for Public Diplomacy evidence, either through documents or (v) Upon consideration of such and Public Affairs shall designate one by witnesses, will be received. The statements, the Principal Deputy senior official from an office reporting to sponsor and the representative of the Assistant Secretary shall modify, him/her, other than from the Bureau of Principal Deputy Assistant Secretary withdraw, or confirm the proposed Educational and Cultural Affairs, as a may attend the meeting on their own sanction by serving the sponsor with a member of the Panel. The Assistant behalf and may be accompanied by written decision. Such decision shall Secretary of State for Consular Affairs counsel. specify the grounds therefor, identify its and the Legal Adviser shall each (4) Following the conclusion of the effective date, advise the sponsor of its designate one senior official from their meeting, or the submission of the last right to request a review, and identify bureaus as members of the Panel. written submission if no meeting is the procedures for requesting such (h) Review. The Review Officers may held, the Review Officers shall promptly review. affirm, modify, or reverse the sanction review the submissions of the sponsor (vi) All materials the sponsor submits imposed by the Principal Deputy and the Principal Deputy Assistant will become a part of the sponsor’s file Assistant Secretary. The following Secretary, and shall issue a signed with the Office. procedures shall apply to the review: written decision within thirty (30) days, (3) Within ten (10) days after service (1) Upon its designation, the panel of stating the basis for their decision. A of such written notice of the decision of Review Officers shall promptly notify copy of the decision will be delivered to the Principal Deputy Assistant the Principal Deputy Assistant Secretary the Principal Deputy Assistant Secretary Secretary, the sponsor may submit a and the sponsor in writing of the and the sponsor. request for review with the Principal identity of the Review Officers and the (5) If the Review Officers decide to Deputy Assistant Secretary. The address to which all communications affirm or modify the sanction, a copy of submission of such request for review with the Review Officers shall be their decision shall also be delivered to will serve to stay the effective date of directed. the Department of Homeland Security the decision pending the outcome of the (2) Within fifteen (15) days after and to the Bureau of Consular Affairs of review. service of such notice, the sponsor may the Department of State. The Office, at (4) Within ten (10) days after receipt submit to the Review Officers four (4) its discretion, may further distribute the of such request for review, the copies of a statement identifying the decision. Department shall designate a panel of grounds on which the sponsor asserts (6) Unless otherwise indicated, the three Review Officers pursuant to that the decision of the Principal Deputy sanction, if affirmed or modified, is § 62.50(g), and the Principal Deputy Assistant Secretary should be reversed effective as of the date of the Review Assistant Secretary shall forward to or modified. Any such statement may Officers’ written decision, except in the each panel member all notices, not exceed 25 pages in length, double- case of suspension of program statements, and decisions submitted or spaced; and any attachments thereto designation, which is effective as of the provided pursuant to the preceding shall not exceed 50 pages. A sponsor date specified pursuant to § 62.50(c). paragraphs of § 62.50(d). Thereafter, the shall include with all attachments an (i) Effect of suspension, revocation, or review will be conducted pursuant to index of the documents and a summary denial of redesignation. A sponsor § 62.50(g) and (h). of the relevance of each document against which an order of suspension, (e) Denial of application for presented. The Review Officers shall revocation, or denial of redesignation redesignation. Upon a finding of any act transmit one (1) copy of any such has become effective may not thereafter or omission set forth at § 62.50(a), the statement to the Principal Deputy issue any Certificate of Eligibility for Office may serve a sponsor with not less Assistant Secretary, who shall, within Exchange Visitor (J–1) Status (Form DS– than thirty (30) days’ written notice of fifteen (15) days after receipt of such 2019) or advertise, recruit for, or its intent to deny the sponsor’s statement, submit four (4) copies of a otherwise promote its program. Under application for redesignation. Such statement in response. Any such no circumstances shall the sponsor notice must specify the grounds for the statement may not exceed 25 pages in facilitate the entry of an exchange proposed sanction and its effective date, length, double-spaced; and any visitor into the United States. An order advise the sponsor of its right to oppose attachments thereto shall not exceed 50 of suspension, revocation, or denial of the proposed sanction, and identify the pages. The Principal Deputy Assistant redesignation will not in any way procedures for submitting a statement of Secretary shall include with all diminish or restrict the sponsor’s legal opposition thereto. Denial of attachments an index of the documents or financial responsibilities to existing redesignation under this section need and a summary of the relevance of each program applicants or participants. not be preceded by the imposition of document presented. The Review (j) Miscellaneous—(1) Computation of any other sanction or notice. The Officers shall transmit one (1) copy of time. In computing any period of time procedures for opposing a proposed any such statement to the sponsor. No prescribed or allowed by these denial of redesignation are set forth in other submissions may be made unless regulations, the day of the act or event § 62.50(d)(2), (d)(3), (d)(4), (g), and (h). specifically authorized by the Review from which the designated period of (f) Responsible officers. The Office Officers. time begins to run is not included. The may direct a sponsor to suspend or (3) If the Review Officers determine, last day of the period so computed is revoke the appointment of a responsible in their sole discretion, that a meeting included unless it is a Saturday, a officer or alternate responsible officer for the purpose of clarification of the Sunday, or a Federal legal holiday, in for any of the reasons set forth in written submissions should be held, which event the period runs until the § 62.50(a). The procedures for they shall schedule a meeting to be held end of the next day which is not one of

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the aforementioned days. When the may continue to administer the date of such denial. Revocation of period of time prescribed or allowed is exchange visitor activities of the designation or denial of redesignation fewer than eleven (11) days, previously-designated program while on the above-specified grounds for a intermediate Saturdays, Sundays, or the application for designation is class of designated programs is the final Federal legal holidays are excluded in pending before the Department of State: decision of the Department. the computation. (1) With respect to a for-profit (2) Service of notice to sponsor. corporation, a major change in § 62.63 Responsibilities of the sponsor upon termination or revocation. Service of notice to a sponsor pursuant ownership or control is deemed to have to this section may be accomplished occurred when one third (33.33%) or Upon termination or revocation of its through written notice by mail, delivery, more of its stock is sold or otherwise program designation, a sponsor must: or facsimile, upon the president, chief transferred within a 12-month period; (a) Fulfill its responsibilities to all executive officer, managing director, (2) With respect to a not-for-profit exchange visitors who are in the United General Counsel, responsible officer, or corporation, a major change of control is States at the time of the termination or alternate responsible officer of the deemed to have occurred when 51 revocation; and sponsor. percent (51%) or more of the board of (b) Notify exchange visitors who have not entered the United States that the I trustees or other like body, vested with 3. Subpart E is revised to read as program has been terminated or follows: its management, is replaced within a 12- month period. revoked, unless a transfer to another Subpart E—Termination and (f) Non-compliance with other designated program can be obtained. Revocation of Programs requirements. A sponsor fails to remain Dated: October 22, 2007. in compliance with Federal, State, local, Stanley S. Colvin, Sec. or professional requirements necessary 62.60 Termination of designation. Director, Office of Exchange Coordination 62.61 Revocation. to carry out the activity for which it is and Designation, Bureau of Educational and 62.62 Termination of, or denial of designated, including loss of Cultural Affairs, Department of State. redesignation for, a class of designated accreditation, or licensure. [FR Doc. E7–21522 Filed 11–1–07; 8:45 am] programs. (g) Failure to apply for redesignation. BILLING CODE 4710–05–P 62.63 Responsibilities of the sponsor upon A sponsor fails to apply for termination or revocation. redesignation, pursuant to the terms and conditions of § 62.7, prior to the § 62.60 Termination of designation. DEPARTMENT OF HOMELAND conclusion of its current designation SECURITY Designation will be terminated upon period. If so terminated, the former the occurrence of any of the sponsor may apply for a new program Coast Guard circumstances set forth in this section. designation, but the program activity (a) Voluntary termination. A sponsor will be suspended during the pendency 33 CFR Part 165 notifies the Department of its intent to of the application. terminate its designation voluntarily [CGD05–07–088] and withdraws its program in SEVIS via § 62.61 Revocation. RIN 1625–AA00 submission of a ‘‘cancel program’’ The Department may terminate a request. The sponsor’s designation shall sponsor’s program designation by Safety Zone: Holiday Flotilla Fireworks terminate upon submission of such revocation for cause as specified in Display, Motts Channel/ Banks notification. Such sponsor may apply § 62.50. Such sponsor may not apply for Channel, Wrightsville Beach, NC for a new program designation. a new designation for five (5) years AGENCY: Coast Guard, DHS. (b) Inactivity. A sponsor fails to following the effective date of the ACTION: comply with the minimum program size revocation. Temporary final rule. or duration requirements, as specified in SUMMARY: The Coast Guard proposes the § 62.8 (a) and (b), in any 12-month § 62.62 Termination of, or denial of establishment of a 1,000 foot safety zone period. Such sponsor may apply for a redesignation for, a class of designated around a fireworks display for the North new program designation. programs. (c) Failure to file annual reports. A The Department may, in its sole Carolina Holiday Flotilla occurring on sponsor fails to file annual reports for discretion, determine that a class of November 24, 2007, on Motts Channel/ two (2) consecutive years. Such sponsor designated programs compromises the Banks Channel, Wrightsville Beach, NC. is eligible to apply for a new program national security of the United States or This action is intended to restrict vessel designation. no longer furthers the public diplomacy traffic on Motts Channel. This safety (d) Failure to file an annual mission of the Department of State. zone is necessary to protect mariners management audit. A sponsor fails to Upon such a determination, the Office from the hazards associated with file an annual management audit, if shall: fireworks displays. such audits are required in the relevant (a) Give all sponsors of such class of DATES: This rule will be effective from program category. Such sponsor is designated programs not less than thirty 6 p.m. to 8 p.m. on November 24, 2007. eligible to apply for a new program (30) days’ written notice of the ADDRESSES: You may mail comments designation upon the filing of the past revocation of Exchange Visitor Program and related material to Commander, due management audit. designations for such programs, Sector North Carolina, 2301 East Fort (e) Change in ownership or control. specifying therein the grounds and Macon Road, Atlantic Beach, NC 28512. An exchange visitor program effective date for such revocations; or Sector North Carolina maintains the designation is not assignable or (b) Give any sponsor of such class of public docket for this rulemaking. transferable. A major change in designated programs not less than thirty Comments and material received from ownership or control automatically (30) days’ written notice of its denial of the public, as well as documents terminates the designation. However, the sponsor’s application for indicated in this preamble as being the successor sponsor may apply for redesignation, specifying therein the available in the docket, will become part designation of the new entity, and it grounds for such denial and effective of this docket and will be available for

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inspection or copying at the Federal Regulatory Evaluation concerning its provisions or options for Building Fifth Coast Guard District This rule is not a ‘‘significant compliance, please contact LTJG Adam between 9 a.m. and 2 p.m., Monday regulatory action’’ under section 3(f) of Schmid, Response Division, Coast through Friday, except Federal Executive Order 12866, Regulatory Guard Marine Safety Unit, Wilmington, Holidays. Planning and Review, and does not North Carolina at (910) 772–2191. Small FOR FURTHER INFORMATION CONTACT: require an assessment of potential costs businesses may send comments on the Chief Todd C. Mann, Marine and benefits under section 6(a)(3) of that actions of Federal employees who Environmental Response Branch, Coast Order. The Office of Management and enforce, or otherwise determine Guard Marine Safety Unit Wilmington, Budget has not reviewed it under that compliance with, Federal regulations to North Carolina at (910) 772–2216. Order. the Small Business and Agriculture SUPPLEMENTARY INFORMATION: We expect the economic impact of Regulatory Enforcement Ombudsman and Regional Small Business Regulatory Regulatory Information this rule to be so minimal that a full Regulatory Evaluation under the Fairness Boards. The Ombudsman A Notice of Proposed Rulemaking regulatory policies and procedures of evaluates these actions annually and Holiday Flotilla Fireworks Display, DHS is unnecessary. Although this rates each agency’s responsiveness to Motts Channel/Banks Channel, regulation restricts access to the small business. If you wish to comment Wrightsville Beach, North Carolina was regulated area, the effect of this rule will on actions by employees of the U. S. published on September 14, 2007 for not be significant because: (i) The COTP Coast Guard, call 1–888–REG–FAIR (1– review in the Federal Register. (72 FR may authorize access to the safety zone; 888–734–3247). The Coast Guard will 52534). We received no comments on (ii) the safety zone will be in effect for not retaliate against small entities that the proposed rule. No public hearing a limited duration; and (iii) the Coast question or complain about this rule or was requested, and none was held. Guard will make advance notifications any policy or action of the Coast Guard. Under 5 U.S.C. 553(d)(3), the Coast via maritime advisories so mariners can Collection of Information Guard finds good cause exists for adjust their plans accordingly. making this rule effective less than 30 This rule calls for no new collection days after publication in the Federal Small Entities of information under the Paperwork Register. This safety zone is a necessary Under the Regulatory Flexibility Act Reduction Act of 1995 (44 U.S.C. 3501– measure to help the community safely (5 U.S.C. 601–612), we have considered 3520). enjoy a holiday fireworks display. It is whether this rule would have a Federalism in the public interest to protect mariners significant economic impact on a from the hazards associate with substantial number of small entities. A rule has implications for federalism fireworks displays and for this reason The term ‘‘small entities’’ comprises under Executive Order 13132, the Coast Guard is taking the necessary small businesses, not-for-profit Federalism, if it has a substantial direct preventative measure of establishing organizations that are independently effect on State or local governments and this zone. owned and operated and are not would either preempt State law or Background and Purpose dominant in their fields, and impose a substantial direct cost of governmental jurisdictions with compliance on them. We have analyzed On November 24, 2007, the North this rule under that Order and have Carolina Holiday Flotilla fireworks populations of less than 50,000. The Coast Guard certifies under 5 determined that it does not have display will be held adjacent to Motts implications for federalism. Channel/Banks Channel, Wrightsville U.S.C. 605(b) that this rule will not have Beach, NC. Spectators will be observing a significant economic impact on a Unfunded Mandates Reform Act from both the shore and from vessels. substantial number of small entities. The Unfunded Mandates Reform Act Due to the need of protection of This rule will affect the following of 1995 (2 U.S.C. 1531–1538) requires mariners and spectators from the entities, some of which may be small Federal agencies to assess the effects of hazards associated with the fireworks entities: the owners and operators of their discretionary regulatory actions. In display, vessel traffic will be vessels intending to transit or anchor in particular, the Act addresses actions temporarily restricted. that portion of Motts Channel/Banks Channel November 24, 2007 between that may result in the expenditure by a Discussion of Comments and Changes the hours of 6 p.m. and 8 p.m. The State, local, or tribal government, in the No comments were received. safety zone will not have a significant aggregate, or by the private sector of impact on a substantial number of small $100,000,000 or more in any one year. Discussion of Rule entities, because the zone will only be Though this rule will not result in such The Coast Guard is establishing a in place for a limited amount of time an expenditure, we do discuss the safety zone on specified waters of Motts and maritime advisories will be issued effects of this rule elsewhere in this Channel. The regulated area will consist in advance, so the mariners can adjust preamble. of a 1000 foot safety zone around Bird their plans accordingly. Taking of Private Property Island position latitude 34°12′41″ N, longitude 077°48′26″ W, which is Assistance for Small Entities This rule will not effect a taking of located south of the Seapath Yacht Club, Under section 213(a) of the Small private property or otherwise have Wrightsville Beach, NC. The safety zone Business Regulatory Enforcement taking implications under Executive will be enforced from 6 p.m. to 8 p.m. Fairness Act of 1996 (Pub. L. 104–121), Order 12630, Governmental Actions and on November 24, 2007. General we want to assist small entities in Interference with Constitutionally navigation in the safety zone will be understanding this rule so that they can Protected Property Rights. restricted during the event. Except for better evaluate its effects on them and Civil Justice Reform participants and vessels authorized by participate in the rulemaking. If the rule the Captain of the Port Representative, would affect your small business, This rule meets applicable standards no person or vessel may enter or remain organization, or governmental in sections 3(a) and 3(b)(2) of Executive in the regulated area. jurisdiction and you have questions Order 12988, Civil Justice Reform, to

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minimize litigation, eliminate Environment part, entry into this zone is prohibited ambiguity, and reduce burden. We have analyzed this rule under unless authorized by the Captain of the Port or the on scene representative. Protection of Children Commandant Instruction M16475.lD and Department of Homeland Security (2) The operator of any vessel in the We have analyzed this rule under Management Directive 5100.1, which immediate vicinity of this safety zone Executive Order 13045, Protection of guides the Coast Guard in complying shall: Children from Environmental Health with the National Environmental Policy (i) Stop the vessel immediately upon Risks and Safety Risks. This rule is not Act of 1969 (NEPA) (42 U.S.C. 4321– being directed to do so by any an economically significant rule and 4370f), and have made a preliminary commissioned, warrant or petty officer does not create an environmental risk to determination that there are no factors on board a vessel displaying a U.S. health or risk to safety that might in this case that would limit the use of Coast Guard Ensign; (ii) Proceed as directed by any disproportionately affect children. a categorical exclusion under section commissioned, warrant or petty officer 2.B.2 of the Instruction. Therefore, we Indian Tribal Governments on board a vessel displaying a U.S. believe that this rule should be Coast Guard Ensign. This rule does not have tribal categorically excluded, under figure 2– (3) Persons or vessels requiring entry implications under Executive Order 1, paragraph (34)(g), of the Instruction, into or passage within the safety zone 13175, Consultation and Coordination from further environmental must request authorization from the with Indian Tribal Governments, documentation. Under figure 2–1, Captain of the Port, Sector North because it does not have a substantial paragraph (34)(g), of the Instruction, an Carolina or his on scene representative direct effect on one or more Indian ‘‘Environmental Analysis Check List’’ is by telephone at (252) 247–4570 or (252) tribes, on the relationship between the required for this rule. A final 247–4571 or by marine band radio on Federal Government and Indian tribes, ‘‘Environmental Analysis Check List’’ or on the distribution of power and VHF channel 16 (156.8 MHz). and a final ‘‘Categorical Exclusion (d) Enforcement period: This responsibilities between the Federal Determination’’ are available in the Government and Indian tribes. regulation will be enforced from 6 p.m. docket where indicated under to 8 p.m. on November 24, 2007. Energy Effects ADDRESSES. Dated: October 10, 2007. We have analyzed this rule under List of Subjects in 33 CFR Part 165 William D. Lee, Executive Order 13211, Actions Harbors, Marine safety, Navigation Captain, U.S. Coast Guard, Sector North Concerning Regulations That (water), Reporting and recordkeeping Carolina. Significantly Affect Energy Supply, requirements, Security measures, and [FR Doc. E7–21589 Filed 11–1–07; 8:45 am] Distribution, or Use. We have Waterways. BILLING CODE 4910–15–P determined that it is not a ‘‘significant I For the reasons discussed in the energy action’’ under that order because preamble, the Coast Guard amends 33 it is not a ‘‘significant regulatory action’’ CFR part 165 Subpart C as follows: ENVIRONMENTAL PROTECTION under Executive Order 12866 and is not AGENCY likely to have a significant adverse effect PART 165—REGULATED NAVIGATION on the supply, distribution, or use of AREAS AND LIMITED ACCESS AREAS 40 CFR Part 52 energy. The Administrator of the Office I 1. The authority citation for part 165 of Information and Regulatory Affairs [EPA–R09–OAR–2006–0590; FRL–8489–4] continues to read as follows: has not designated it as a significant Authority: 33 U.S.C. 1226, 1231; 46 U.S.C. Approval and Promulgation of energy action. Therefore, it does not Implementation Plans; Revisions to the require a Statement of Energy Effects Chapter 701; 50 U.S.C. 191, 195; 33 CFR 1.05–1, 6.04–1, 6.04–6, and 160.5; Pub. L. Nevada State Implementation Plan; under Executive Order 13211. 107–295, 116 Stat. 2064; Department of Requests for Rescission Technical Standards Homeland Security Delegation No. 0170.1. AGENCY: Environmental Protection The National Technology Transfer I 2. Add temporary § 165.T05–123, to Agency (EPA). and Advancement Act (NTTAA) (15 read as follows: ACTION: Final rule. U.S.C. 272 note) directs agencies to use § 165.T05–123 Safety Zone: Motts SUMMARY: voluntary consensus standards in their Channel/ Banks Channel, Wrightsville EPA is finalizing the approval regulatory activities unless the agency Beach, North Carolina of revisions to the Nevada State Implementation Plan (SIP). These provides Congress, through the Office of (a) Location: The following area is a revisions were proposed in the Federal Management and Budget, with an safety zone: All waters of Motts Register on August 28, 2006 and explanation of why using these Channel/Banks Channel within 1000 include certain regulations and statutes standards would be inconsistent with feet of Bird Island at Wrightsville Beach, for which the State of Nevada is applicable law or otherwise impractical. NC, approximate position latitude requesting rescission. The intended Voluntary consensus standards are 34°12′41″ N, longitude 077°48′26″ W in effect is to rescind unnecessary technical standards (e.g., specifications the Captain of the Port Sector North provisions from the applicable plan. of materials, performance, design, or Carolina zone as defined in 33 CFR operation; test methods; sampling 3.25–20. DATES: Effective Date: This rule is procedures; and related management (b) Definition. As used in this section effective on December 3, 2007. systems practices) that are developed or the ‘‘on scene representative’’ means ADDRESSES: EPA has established docket adopted by voluntary consensus any U.S. Coast Guard commissioned, number EPA–R09–OAR–2006–0590 for standards bodies. warrant or petty officer who has been this action. The index to the docket is This rule does not use technical authorized by the Captain of the Port to available electronically at standards. Therefore, we did not act on his behalf. www.regulations.gov and in hard copy consider the use of voluntary consensus (c) Regulation: (1) In accordance with at EPA Region IX, 75 Hawthorne Street, standards. the general regulations in 165.23 of this San Francisco, California. While all

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documents in the docket are listed in EPA proposed approval of certain that we promulgated in the 1970’s to the index, some information may be revisions to the Nevada SIP and regulate emissions of sulfur oxides from publicly available only at the hard copy disapproval of certain other revisions. a now defunct smelter that had operated location (e.g., copyrighted material), and These revisions involve rules and within White Pine County, Nevada. some may not be publicly available in statutory provisions previously In our January 3, 2007 final rule, we either location (e.g., CBI). To inspect the approved in the Nevada SIP for which listed 12 provisions for which the State hard copy materials, please schedule an the State of Nevada is requesting had yet to provide documentation of appointment during normal business rescission. hours with the contact listed in the FOR public participation and for which, In our August 28, 2006 proposed rule, FURTHER INFORMATION CONTACT section. therefore, we were deferring final we made final approval of those action. See 72 FR 11, at 16. On June 26, FOR FURTHER INFORMATION CONTACT: rescission requests that we proposed to Andrew Steckel, EPA Region IX, (415) 2007, the Governor’s designee, the approve contingent upon the receipt of Nevada Division of Environmental 947–4115, [email protected]. certain public notice and hearing SUPPLEMENTARY INFORMATION: Protection (NDEP), submitted the documentation from the State of necessary public participation Throughout this document, ‘‘we,’’ ‘‘us’’ Nevada. On January 3, 2007 (72 FR 11), and ‘‘our’’ refer to EPA. documentation for 11 of the 12 based on public notice and hearing provisions for which final action had documentation provided by the State for Table of Contents been deferred in our January 3, 2007 most of the requested rescission, we final rule.1 The 11 provisions are listed I. Proposed Action finalized the rescissions for most of the II. Public Comments and EPA Responses in the table below. Based on the subject rules and statutory provisions. III. EPA Action documentation provided by NDEP on IV. Statutory and Executive Order Reviews On June 13, 2007 (72 FR 32529), we published a second final rule related to June 26, 2007, we now take final action I. Proposed Action our August 28, 2006 proposed rule. In to approve the requested rescission of On August 28, 2006 (71 FR 50875), our June 2007 final rule, we rescinded the 11 provisions listed below. under the Clean Air Act (CAA or ‘‘Act’’), a Federal Implementation Plan (FIP)

SIP PROVISIONS FOR WHICH THE STATE’S RESCISSION REQUEST IS APPROVED

SIP provision Title Submittal date Approval date

NAC 445.477 ...... Confidential information ...... 10/26/82 03/27/84 NAC 445.554 ...... Nuisance ...... 10/26/82 03/27/84 NAC 445.596 ...... Ringelmann chart ...... 10/26/82 03/27/84 NAC 445.662 ...... Confidential information ...... 10/26/82 03/27/84 NAC 445.695 ...... Schedules for compliance ...... 10/26/82 03/27/84 NAC 445.698 ...... Appeal of director’s decision: Application forms ...... 10/26/82 03/27/84 NAC 445.700 ...... Violations: Manner of paying fines ...... 10/26/82 03/27/84 NAC 445.844 ...... Odors ...... 10/26/82 03/27/84 NRS 445.401 ...... Declaration of public policy ...... 12/29/78 07/10/80 NRS 445.466 ...... Commission regulations: Notice and hearing ...... 12/29/78 07/10/80 NRS 445.497 ...... Notice of regulatory action; Requirement; method; contents of notice ...... 12/29/78 07/10/80

The majority of the provisions in the September 25, 2006. In our January 3, III. EPA Action table above represent defined terms that 2007 final rule (72 FR 11), we No comments were submitted that are not used by any other provisions in summarized the comments from NDEP’s change our assessment of our proposed the applicable SIP or represent letter and provided our responses. With action. Therefore, as authorized in provisions that are not required for SIPs respect to the 11 provisions for which section 110(k) of the Act, EPA is and thus are unnecessary and final action is taken herein, NDEP finalizing the approval of the State’s appropriate for rescission. Our proposed indicated in its September 25, 2006 request to rescind the provisions listed action and related technical support letter that it would be conducting the in the table above from the applicable document (TSD) contain more necessary public notice and hearing. SIP. information on the rules and statutory NDEP’s June 26, 2007 submittal provisions cited above and our IV. Statutory and Executive Order provides the necessary public Reviews evaluation. participation documentation and II. Public Comments and EPA provides the basis for EPA to take this Under Executive Order 12866 (58 FR Responses final action to approve the State’s 51735, October 4, 1993), this action is request to rescind the 11 provisions not a ‘‘significant regulatory action’’ and EPA’s August 28, 2006 proposed rule listed in the table above from the therefore is not subject to review by the provided a 30-day public comment Office of Management and Budget. For applicable Nevada SIP. period. During this period, we received this reason, this action is also not comments from Jennifer L. Carr and subject to Executive Order 13211, Michael Elges, NDEP, by letter dated ‘‘Actions Concerning Regulations That

1 NAC 445.617 (‘‘Six-minute period’’) is the lone in the SIP with approval of the current codification (‘‘Excess emissions: Schedule maintenance; testing; rescission request among the 12 cited in the January of the rule (i.e., NAC 445B.172). We will be taking malfunctions’’), a rule covered by our proposal 2007 final rule that is not being finalized today. In action on submitted rule NAC 445B.172 in a dated December 18, 2006 (71 FR 75690). We will the submittal dated June 26, 2007, NDEP requests separate document. Also, in the submittal dated take final action on rescission of NAC 445.667 in withdrawal of the rescission request for NAC June 26, 2007, NDEP provides public participation a separate document. 445.617 and, instead, replacement of NAC 445.617 documentation for rescission of NAC 445.667

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Significantly Affect Energy Supply, not impose an information collection (14) * * * Distribution, or Use’’ (66 FR 28355, May burden under the provisions of the (xi) Previously approved on July 10, 22, 2001). This action merely approves Paperwork Reduction Act of 1995 (44 1980 in paragraph (14)(ii) and now rescissions of state law that are U.S.C. 3501 et seq.). deleted without replacement: Nevada unnecessary to meet Federal The Congressional Review Act, 5 Revised Statutes (NRS) sections: requirements and imposes no additional U.S.C. 801 et seq., as added by the Small 445.401, 445.466, and 445.497. requirements. Accordingly, the Business Regulatory Enforcement * * * * * Administrator certifies that this rule Fairness Act of 1996, generally provides (25) * * * will not have a significant economic that before a rule may take effect, the (ii) Previously approved on March 27, impact on a substantial number of small agency promulgating the rule must 1984, in paragraph (25)(i)(A) and now entities under the Regulatory Flexibility submit a rule report, which includes a deleted without replacement: Nevada Act (5 U.S.C. 601 et seq.). Because this copy of the rule, to each House of the Administrative Code (NAC) sections: rule rescinds requirements under state Congress and to the Comptroller General 445.447, 445.554, 445.596, 445.662, law and does not impose any additional of the United States. EPA will submit a 445.695, 445.698, 445.700, and 445.844. enforceable duty, it does not contain report containing this rule and other * * * * * any unfunded mandate or significantly required information to the U.S. Senate, [FR Doc. E7–21447 Filed 11–1–07; 8:45 am] or uniquely affect small governments, as the U.S. House of Representatives, and BILLING CODE 6560–50–P described in the Unfunded Mandates the Comptroller General of the United Reform Act of 1995 (Pub. L. 104–4). States prior to publication of the rule in This rule also does not have tribal the Federal Register. A major rule DEPARTMENT OF HOMELAND implications because it will not have a cannot take effect until 60 days after it SECURITY substantial direct effect on one or more is published in the Federal Register. Indian tribes, on the relationship This action is not a ‘‘major rule’’ as Federal Emergency Management between the Federal Government and defined by 5 U.S.C. 804(2). Agency Indian tribes, or on the distribution of Under section 307(b)(1) of the Clean power and responsibilities between the Air Act, petitions for judicial review of 44 CFR Part 65 Federal Government and Indian tribes, this action must be filed in the United as specified by Executive Order 13175 States Court of Appeals for the [Docket No. FEMA–B–7745] (65 FR 67249, November 9, 2000). This appropriate circuit by January 2, 2008. action also does not have Federalism Filing a petition for reconsideration by Changes in Flood Elevation implications because it does not have the Administrator of this final rule does Determinations substantial direct effects on the States, not affect the finality of this rule for the AGENCY: Federal Emergency on the relationship between the national purposes of judicial review nor does it Management Agency, DHS. government and the States, or on the extend the time within which a petition ACTION: Interim rule. distribution of power and for judicial review may be filed, and responsibilities among the various shall not postpone the effectiveness of SUMMARY: This interim rule lists levels of government, as specified in such rule or action. This action may not communities where modification of the Executive Order 13132 (64 FR 43255, be challenged later in proceedings to Base (1% annual-chance) Flood August 10, 1999). This action merely enforce its requirements. (See section Elevations (BFEs) is appropriate because approves rescissions of state law that are 307(b)(2).) of new scientific or technical data. New unnecessary to implement a Federal flood insurance premium rates will be List of Subjects in 40 CFR Part 52 standard, and does not alter the calculated from the modified BFEs for relationship or the distribution of power Environmental protection, Air new buildings and their contents. and responsibilities established in the pollution control, Incorporation by DATES: These modified BFEs are Clean Air Act. This rule also is not reference, Intergovernmental relations, currently in effect on the dates listed in subject to Executive Order 13045 Reporting and recordkeeping the table below and revise the Flood ‘‘Protection of Children from requirements. Insurance Rate Maps (FIRMs) in effect Environmental Health Risks and Safety Dated: October 16, 2007. prior to this determination for the listed Risks’’ (62 FR 19885, April 23, 1997), communities. because it is not economically Wayne Nastri, From the date of the second significant. Regional Administrator, Region IX. In reviewing SIP submissions, EPA’s I Part 52, Chapter I, Title 40 of the Code publication of these changes in a role is to approve state choices, of Federal Regulations is amended as newspaper of local circulation, any provided that they meet the criteria of follows: person has ninety (90) days in which to the Clean Air Act. In this context, in the request through the community that the absence of a prior existing requirement PART 52—[AMENDED] Mitigation Assistant Administrator of for the State to use voluntary consensus FEMA reconsider the changes. The I 1. The authority citation for part 52 modified BFEs may be changed during standards (VCS), EPA has no authority continues to read as follows: to disapprove a SIP submission for the 90-day period. failure to use VCS. It would thus be Authority: 42 U.S.C. 7401 et seq. ADDRESSES: The modified BFEs for each inconsistent with applicable law for community are available for inspection Subpart DD—Nevada EPA, when it reviews a SIP submission, at the office of the Chief Executive to use VCS in place of a SIP submission I 2. Section 52.1470 is amended by Officer of each community. The that otherwise satisfies the provisions of adding paragraph (c)(14)(xi) and respective addresses are listed in the the Clean Air Act. Thus, the (c)(25)(ii) to read as follows: table below. requirements of section 12(d) of the FOR FURTHER INFORMATION CONTACT: National Technology Transfer and § 52.1470 Identification of plan. William R. Blanton, Jr., Engineering Advancement Act of 1995 (15 U.S.C. * * * * * Management Branch, Mitigation 272 note) do not apply. This rule does (c) * * * Directorate, Federal Emergency

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Management Agency, 500 C Street SW., These modified BFEs, together with September 30, 1993, Regulatory Washington, DC 20472, (202) 646–3151. the floodplain management criteria Planning and Review, 58 FR 51735. SUPPLEMENTARY INFORMATION: The required by 44 CFR 60.3, are the Executive Order 13132, Federalism. modified BFEs are not listed for each minimum that are required. They This interim rule involves no policies community in this interim rule. should not be construed to mean that that have federalism implications under However, the address of the Chief the community must change any Executive Order 13132, Federalism. Executive Officer of the community existing ordinances that are more Executive Order 12988, Civil Justice where the modified BFE determinations stringent in their floodplain Reform. This interim rule meets the are available for inspection is provided. management requirements. The applicable standards of Executive Order Any request for reconsideration must community may at any time enact 12988. be based on knowledge of changed stricter requirements of its own, or List of Subjects in 44 CFR Part 65 conditions or new scientific or technical pursuant to policies established by the data. other Federal, State, or regional entities. Flood insurance, Floodplains, The modifications are made pursuant The changes BFEs are in accordance Reporting and recordkeeping to section 201 of the Flood Disaster with 44 CFR 65.4. requirements. National Environmental Policy Act. Protection Act of 1973, 42 U.S.C. 4105, I Accordingly, 44 CFR part 65 is This interim rule is categorically and are in accordance with the National amended to read as follows: Flood Insurance Act of 1968, 42 U.S.C. excluded from the requirements of 44 4001 et seq., and with 44 CFR part 65. CFR part 10, Environmental PART 65—[AMENDED] For rating purposes, the currently Consideration. An environmental effective community number is shown impact assessment has not been I 1. The authority citation for part 65 and must be used for all new policies prepared. continues to read as follows: and renewals. Regulatory Flexibility Act. As flood Authority: 42 U.S.C. 4001 et seq.; The modified BFEs are the basis for elevation determinations are not within Reorganization Plan No. 3 of 1978, 3 CFR, the floodplain management measures the scope of the Regulatory Flexibility 1978 Comp., p. 329; E.O. 12127, 44 FR 19367, that the community is required to either Act, 5 U.S.C. 601–612, a regulatory 3 CFR, 1979 Comp., p. 376. adopt or to show evidence of being flexibility analysis is not required. § 65.4 [Amended] already in effect in order to qualify or Regulatory Classification. This to remain qualified for participation in interim rule is not a significant I 2. The tables published under the the National Flood Insurance Program regulatory action under the criteria of authority of § 65.4 are amended as (NFIP). section 3(f) of Executive Order 12866 of follows:

Location and case Date and name of newspaper Effective date of modi- Community State and county No. where notice was published Chief executive officer of community fication No.

North Carolina: Alamance ...... City of Burlington May 15, 2007, May 22, 2007, The Honorable Stephen M. Ross, Mayor August 20, 2007 ...... 370002 (06–04–BY00P). The Times-News. of the City of Burlington, P.O. Box 1358, 425 South Lexington Avenue, Burlington, North Carolina 27215. Dare ...... Town of Nags Head June 21, 2007, June 28, 2007, Mr. Charles L. Cameron, Manager, Town June 13, 2007 ...... 375356 (07–04–4138P). The Coastland Times. of Nags Head, P.O. Box 99, 5401 South Croatan Highway, Nags Head, North Carolina 27959. Dare ...... Unincorporated June 21, 2007, June 28, 2007, Mr. Terry Wheeler, Manager, Dare Coun- June 13, 2007 ...... 375348 Areas of Dare The Coastland Times. ty, P.O. Drawer 1000, 211 Budleigh County (07–04– Street, Manteo, North Carolina 27954. 4138P). Durham ...... City of Durham (07– August 14, 2007, August 21, The Honorable William V. Bell, Mayor of August 7, 2007 ...... 370086 04–2980P). 2007, The Herald-Sun. the City of Durham, Office of the Mayor, 101 City Hall Plaza, Durham, North Carolina 27701. Durham ...... Unincorporated August 14, 2007, August 21, Mr. Michael M. Ruffin, Manager, Durham August 7, 2007 ...... 370085 Areas of Durham 2007, The Herald-Sun. County, 200 East Main Street, 2nd County (07–04– Floor, Old Courthouse, Durham, North 2980P). Carolina 27701. Orange ...... Unincorporated July 31, 2007, August 7, 2007, Mr. Moses Carey, Jr., Chairman of the November 5, 2007 ...... 370342 Areas of Orange Chapel Hill Herald. Orange County, Board of Commis- County (06–04– sioners, 200 South Cameron Street, C141P). Hillsborough, North Carolina 27278. Union ...... Town of Indian Trail May 15, 2007, May 22, 2007, The Honorable Sandy Moore, Mayor of August 21, 2007 ...... 370235 (06–04–BX22P). The Enquirer Journal. the Town of Indian Trail, P.O. Box 2430, Indian Trail, North Carolina 28079. Union ...... Unincorporated May 15, 2007, May 22, 2007, Mr. Mike Shalati, Manager, Union County, August 21, 2007 ...... 370234 Areas of Union The Enquirer Journal. 500 North Main Street, Room 925, County (06–04– Monroe, North Carolina 28112. BX22P). Wake ...... Town of Wake For- August 2, 2007, August 9, The Honorable Vivian A. Jones, Mayor of November 7, 2007 ...... 370244 est (07–04– 2007, The Wake Weekly. the Town of Wake Forest, 401 Elm Av- 0615P). enue, Wake Forest, North Carolina 27587.

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(Catalog of Federal Domestic Assistance No. Synopsis of the Order however, that EAS currently uses a 97.022, ‘‘Flood Insurance.’’) Next Generation EAS station-relay message dissemination Dated: October 29, 2007. process that lacks the flexibility and David I. Maurstad, 1. In the Order, we reaffirm the redundancy of certain evolving digital Federal Insurance Administrator of the obligations of today’s EAS Participants communications systems. Consequently, National Flood Insurance Program, to maintain existing EAS and establish we also require these current EAS Department of Homeland Security, Federal the framework for the nation’s Next Participants to upgrade their networks Emergency Management Agency. Generation EAS. This Next Generation to the Next Generation EAS, as [FR Doc. E7–21597 Filed 11–1–07; 8:45 am] EAS will include new and innovative discussed below, while maintaining BILLING CODE 9110–12–P technologies and distribution systems existing EAS. that will provide increased redundancy 5. NOAA Weather Radio. In addition, and resiliency for the delivery of we disagree with those commenters who FEDERAL COMMUNICATIONS emergency alerts. We also take steps to suggest that NWR should replace the COMMISSION ensure that the upgraded EAS will meet existing EAS. We believe, however, that the needs of all Americans, including the NWR system should continue to be 47 CFR Part 11 persons with hearing and vision closely integrated with EAS. NWR is disabilities and those who do not speak [EB Docket No. 04–296; FCC 07–109] one of the principal sources of alert English. Finally, we will continue to information, and is likely to continue to Review of the Emergency Alert System harness the benefits of existing EAS be the primary originator of weather- while the Next Generation EAS is based alerts. We also recognize that AGENCY: Federal Communications developed and deployed. The voluntary efforts, including CEA’s Commission. combination of the existing and Next Public AlertTM Certification and Logo ACTION: Final rule. Generation EAS systems will ensure the Program launched in April 2004, further continuity of EAS while the Next enhance the value and potential of this SUMMARY: In this document, the Federal Generation EAS is being implemented, proven emergency-alert delivery system. Communications Commission and ensure that EAS alerts reach the The record demonstrates that redundant (Commission) amends its rules in order largest number of affected people by alert-delivery systems will enhance the to ensure the efficient, rapid, and secure multiple communications paths as overall reach, efficacy, and reliability of transmission of Emergency Alert System quickly as possible. the EAS as a whole. NWR provides an (EAS) alerts in a variety of formats 2. Below, we describe the four alternative source of emergency alerts, (including text, audio, and video) and cornerstones of the Next Generation and we expect that it will continue to via different means (broadcast, cable, EAS: (1) Maintaining the existing EAS be an important component of EAS and satellite, and other networks), increasing network; (2) utilizing a common the overall national public alert and the reliability, security, and efficacy of messaging protocol, CAP, to be warning system. We nevertheless the nation’s EAS network. implemented by all EAS Participants caution EAS Participants that retransmit DATES: The effective date is December 3, following its adoption by FEMA; (3) NWR alerts to ensure that such 2007. incorporating new authentication and retransmission is consistent with our FOR FURTHER INFORMATION CONTACT: security requirements; and (4) fostering EAS rules and associated protocols. Thomas Beers, Policy Division, Public the deployment of new, redundant EAS Safety and Homeland Security Bureau, delivery systems, including satellite, Common Alerting Protocol (CAP) for (202) 418–1170, or TTY (202) 418–7233. Internet, and wireline networks. EAS SUPPLEMENTARY INFORMATION: This is a 6. In the Further NPRM, the summary of the Commission’s Second Maintaining Existing EAS Commission sought comment on the Report and Order (Order) in EB Docket 3. Although a Presidential alert has widespread assertion in the record that No. 04–296, FCC 07–109, adopted May never been sent over the EAS, the a common messaging protocol should be 31, 2007, and released July 12, 2007. current EAS network has been used for adopted to permit a digitally-based alert The complete text of this document is state, local, and weather-related or warning to be distributed available for inspection and copying emergencies. We recognize that in simultaneously over multiple platforms. during normal business hours in the certain emergency situations, battery- The Commission noted that the FCC Reference Information Center, powered AM or FM receivers may be Partnership for Public Warning had Room CY–A257, 445 12th Street, SW., the primary source of emergency endorsed the OASIS Common Alerting Washington, DC 20554. This document information for the general public. Protocol (CAP) for this purpose and that may also be obtained from the Broadcast and cable personnel are many public and private organizations Commission’s duplicating contractor, familiar with current EAS equipment responsible for alerts believed that CAP Best Copy and Printing, Inc., in person and are trained in its use. In addition, offered the most practical means of at 445 12th Street, SW., Room CY–B402, it would be inadvisable to require quickly creating an effective interface Washington, DC 20554, via telephone at immediate use of a new system until between emergency managers and (202) 488–5300, via facsimile at (202) that system is fully in place and its multiple emergency alert distribution 488–5563, or via e-mail at reliability tested. We therefore do not platforms. Accordingly, the Commission [email protected]. Alternative agree with those commenters who argue asked whether CAP should be adopted formats (computer diskette, large print, that the existing EAS should be wholly as the common messaging protocol for audio cassette, and Braille) are available abandoned or replaced at this time. any future digital alert system, and to persons with disabilities by sending 4. Instead, we conclude that particularly for EAS alerts. The an e-mail to [email protected] or calling broadcast, cable and other current EAS Commission also asked whether CAP the Consumer and Governmental Affairs Participants should maintain the would allow simultaneous distribution Bureau at (202) 418–0530, TTY (202) existing EAS, particularly since to radio, television, and wireless media 418–0432. This document is also alternative delivery mechanisms, such as mobile telephones and personal available on the Commission’s Web site although potentially more robust, have digital assistants (PDAs), and how it at http://www.fcc.gov. yet to be deployed. We recognize, would ensure uniformity of alerts across

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multiple platforms. Currently, the EAS operator error. CAP also facilitates requires action by FEMA, we find that and the NWS utilize the SAME protocol, interoperability between devices, an adopting it now furthers the prompt which introduces special digital codes attribute essential to establishing an development of a state-of-the-art, next- at the beginning and end of messages. EAS that can operate over multiple generation national EAS. Significantly, SAME provides information concerning platforms. many EAS Participants currently are the originator of the alert, the event 10. Commenters who addressed the implementing other revisions to their type, the areas affected, the duration of issue generally support the use of CAP EAS systems, and they can incorporate the alert, the time the alert was issued, as a means for standardizing emergency CAP into these revisions. Specifically, and the station’s call sign. SAME messages; and no parties indicated that should FEMA adopt CAP as the originally was developed to be CAP-based messages could not be common alerting protocol for EAS transmitted over a radio medium with readily accepted and processed by all alerts, EAS Participants must accept relatively simple devices receiving the EAS Participants. The USGS notes its CAP-based alerts 180 days after the date message. For the most part, it performs own experience using CAP, and argues that FEMA publishes the applicable well for the existing EAS and NWR but that CAP is an effective content technical standards for such CAP alerts. does not fully utilize the capabilities standard that can be applied at Because most commenters urge the inherent in digital transmission. interfaces between senders, transmitters, Commission to adopt the CAP format, 7. The need for a more robust and and receivers of alerts covering many of we find that EAS Participants are flexible protocol that can take full the common natural and man-made already aware that CAP will likely be advantage of digital technology has long hazard situations. USGS concludes that adopted, and we believe that 180 days been recognized. In 2000, the U.S. CAP should be mandatory for the EAS. will give them adequate time to prepare National Science and Technology NASCIO also recognizes the flexibility to receive CAP alerts. EAS Participants Council issued its report, Effective of CAP, noting that any EAS initiator have been on notice since November 10, Disaster Warnings, concluding that a can take information from a CAP-based 2005, when the FNPRM was issued, that ‘‘standard method should be developed message and translate it into any other the EAS delivery standards might to collect and relay instantaneously and standard for distribution over a change. Thus, we find that 180 days will automatically all types of hazard particular channel, network, or give EAS participants a reasonable warnings and reports locally, regionally, technology. CAP also is supported by period of time in which to implement and nationally for input into a wide individuals with hearing and sight changes that they should have been variety of dissemination systems.’’ In disabilities, because it enables expecting for over 18 months since the 2001, more than 130 emergency equivalent, multiple text and audio FNPRM was issued. We further find that managers and technologists initiated messages to be sent concerning the same 180 days is reasonable in light of the development of a common alert message event to a variety of devices that are significant public interest, to protect life standard. In 2003, this work became a accessible to such individuals. and property, in implementing next part of the OASIS standards process of 11. We note that CAP also supports generation EAS systems as soon as the Emergency Management Technical capabilities for a digital signature to possible. We also note that EAS Committee. A year later, the Emergency authenticate the sender and validate the Participants will have the time period Management Technical Committee integrity of the text, and an encryption between the release of the Order and released CAP version 1.0, which was field that enables the encryption of the FEMA action for preparation. revised in 2005 as CAP v. 1.1. CAP message. An EAS initiator may 8. CAP is an open, interoperable encrypt, address, and otherwise secure Authentication and Security standard that incorporates a language a CAP alert, thus in part addressing 13. In the 2004 NPRM, the developed and widely used for web security concerns that arise due to Commission noted that security and documents. Its standardized alert CAP’s open text format. Further, CAP encryption were not the primary design message format—based on the World uniquely identifies each specific alert. criteria when EAS was developed and Wide Web Consortium’s (‘‘W3C’s’’) Finally, CAP has been implemented by initially implemented, and that Extensible Markup Language (‘‘XML’’)— several government agencies including emergency managers were becoming is a text-based format that facilitates the USGS, NOAA NWS, and the Oregon more aware of potential vulnerabilities data sharing across different distribution Amber Alert Program. CAP also has within the system. The Commission systems. As noted by various been implemented in the Disaster expressed concern that the EAS may be commenters, the agreed-upon XML Management Interoperability Services. subject to unauthorized access, and that format of CAP can be accepted by a Several governmental agencies, a legitimate EAS signal could be subject wide variety of devices or systems. The including FEMA and NOAA to hacking or jamming. Although format also permits links to voice, audio HAZCOLLECT, are testing CAP, and ENDECs currently have the capability or data files, images, and multilingual other agencies, such as the Center for for password protection, it is up to each translations of the alert, and to links Disease Control and the Virginia EAS Participant to implement the providing further information. Department of Transportation, have safeguard, and there is no means to 9. The CAP standard specifies what endorsed it. We note that the U.S. monitor the extent to which EAS fields an alert message can contain and Department of Defense and the U.S. Participants employ passwords. what information can be included in the Department of the Interior both voted Additionally, when facilities are particular fields. A CAP alert provides for the adoption of CAP–V1.1. operating unattended, no one is fields such as message type, scope, 12. We conclude that all EAS available on-site to intervene should incident, event information, event Participants will be required to accept unauthorized use occur. Accordingly, certainty, sender, geographic scope, and alerts and warnings in the CAP format the Commission sought comment on the time when an alert becomes should that protocol be adopted by how to improve the security of EAS effective and expires. Because CAP has FEMA. This requirement applies to an distribution methods, information, and standardized alert elements, EAS Participant regardless of whether equipment and how to ensure the commenters assert it will facilitate the participant is utilizing existing EAS security of any public warning system. accurate and meaningful message or the Next Generation EAS established It also sought comment on the creation and decrease the potential for in the Order. Although this requirement authentication and verification of EAS

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alerts. Cox agrees with the FCC that infrastructure. To achieve the Accordingly, should FEMA announce there are legitimate concerns regarding Commission’s goals of enhancing the technical standards for any Next the security of the EAS, and contends redundancy, reliability and security of Generation EAS alert delivery system, that any attacks on EAS or unauthorized EAS, we enable the use of diverse EAS EAS Participants must configure their use could be devastating. As such, Cox distribution platforms. Our actions networks to receive CAP-formatted urges the adoption of methods to keep today also will ensure that the Secretary alerts delivered pursuant to such the system secure from intentionally of Homeland Security can implement delivery system, whether wireline, false control or sabotage. Radio stations the President’s directive to provide ‘‘as Internet, satellite or other, within 180 WTOP(AM), WTOP–FM, and many communications pathways as days after the date that FEMA WXTR(AM) (WTOP) contend the practicable’’ to reach the American announces the technical standards for security of EAS distribution channels is people during crises. such Next Generation EAS alert crucial to the system working properly. 16. The development of alternative delivery. WTOP suggests that the security of distribution systems is already CAP and Next Generation EAS: Better emergency and test messages can be underway. For example, we note that Serving the Needs of Persons With improved by switching to a system the Association of Public Television Disabilities and Non-English Speakers which encrypts messages and Stations (‘‘APTS’’) has proposed a guarantees secure delivery with hybrid, satellite/DTV broadcast system 19. Serving the needs of persons with password protection and confirmation that was an integral part of FEMA’s disabilities. President Bush’s Executive of delivery. NAB urges the FCC to Digital Emergency Alert System (DEAS) Order mandates that the Secretary of coordinate with FEMA and equipment National Capital Region Pilot. On July Homeland Security ‘‘include in the manufacturers to look for technical 12, 2006, FEMA and APTS announced public alert and warning system the solutions for ensuring the security of the successful completion of Phase II of capability to alert and warn all EAS. Contra Costa states that digital the DEAS pilot, and that the new DEAS Americans, including those with technology, particularly the use of the would be operational in the Gulf Coast disabilities and those without an CAP protocol, can protect and verify the and Atlantic regions by the end of 2006, understanding of the English language.’’ security of public warning and will be deployed nationally by the We believe that CAP could provide an communication links, and can enable end of 2007. important tool for helping to accomplish the consistent and comprehensive 17. We agree with commenters that this goal. monitoring of all kinds and levels of satellite-based alert distribution could 20. CAP should facilitate the warning activity nationwide. Contra be a valuable complement to the provision of functionally equivalent Costa states just as the Internet Protocols existing EAS station-relay distribution EAS alerts and warnings to persons with enable various kinds of computers to method. The vast coverage area of disabilities. Using CAP, the original work together, CAP can provide the satellite signal footprints would allow format of warning messages could be basis for a secure ‘‘warning internet’’ immediate alerting of substantial converted into various formats, that can leverage all our warning assets portions of the country with appropriate including text, video, and audio. Critical to achieve more than any single system equipment. Satellite systems also are information graphically portrayed, can alone. generally immune from natural disasters scrolled, or crawled on the screen also 14. We agree with commenters that all and therefore may provide critical could be accompanied by an audio EAS Participants should authenticate redundancy in the event that terrestrial description. Persons with hearing the source of, and validate the contents wireline or wireless infrastructure is disabilities would be able to read the of, EAS alerts. As discussed above, CAP compromised. We also agree with entire emergency message instead of a has the capability to allow those who commenters that Internet-based systems brief summary. Audio and visual initiate and retransmit EAS alerts to may enhance the resiliency of the EAS formats are both important and could encrypt, authenticate, and validate EAS distribution network. The Internet is a contain the same information. alerts. We believe that EAS Participants robust, packet-switched network with Moreover, a CAP-formatted message that configure their networks to receive intelligent routing, and is designed to could be converted to synthesized CAP-formatted messages will be able to provide alternative routes to reach speech, as is done by NWS weather satisfactorily authenticate and validate almost all users. Moreover, the Internet alerts, for visually impaired persons. EAS alerts in consultation with FEMA. is ubiquitous and can enhance the Accordingly, in the Order, we promote Accordingly, should FEMA adopt CAP geographic reach of EAS. The open the delivery of audio, video, and text as the common alerting protocol for EAS design of the Internet also means that messages to persons with disabilities by alerts, all EAS Participants must EAS applications can be designed to requiring EAS Participants to accept configure their systems to incorporate meet the specific needs of EAS without CAP-formatted alerts and warnings, CAP security functions within 180 days limitation by the network. should CAP be adopted by FEMA. after FEMA publishes the standards for 18. We conclude that the distribution 21. While CAP is promising, however, authentication and validation of CAP- architecture of the existing EAS should it may not be the whole answer for formatted alerts. We expect EAS be enhanced. The record underscores making EAS alerts accessible to persons Participants to cooperate with FEMA in that EAS could be improved by with disabilities, and it does not address its efforts to develop policies, plans, and authorizing the delivery of alerts the broader question of making procedures that meet FEMA’s through the existing EAS coupled with emergency and public safety requirements for the new delivery new redundant, distribution systems for information available to persons with systems and CAP protocol adopted by EAS. We conclude, however, that FEMA disabilities. For example, Section 79.2 FEMA. is best positioned to determine the types of the Commission’s rules requires of additional EAS systems that should video programming distributors to make Next Generation Distribution Systems be accommodated by EAS Participants. the audio portion of emergency 15. Recent experience demonstrates We expect that EAS Participants will information accessible to persons with that natural disasters and terrorist collaborate closely with FEMA and hearing disabilities using closed incidents can adversely impact other governmental entities to fully captioning or other methods of visual terrestrial telecommunications implement such requirements. presentation. Video programming

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distributors also must ensure that to non-English speakers, and is not a 1994, concluding that cable ‘‘is emergency information provided in the comprehensive solution for making invaluable in the dissemination of video portion of a regularly scheduled general emergency and public safety information during emergencies.’’ The newscast, or a newscast that interrupts information available to non-English term ‘‘cable operator’’ means a person regular programming, is accessible to speakers. Indeed, we believe that ‘‘who provides cable service over a persons with visual disabilities through Petitioners’ request is broader than the cable system,’’ including ‘‘a facility of a aural description in the main audio, formal EAS structure and raises common carrier which is subject, in such as open video description. important questions about the whole or in part, to the provisions of Emergency information is defined as availability of emergency information to title II of this Act * * * to the extent information about a current emergency the non-English speaking audience. We such facility is used in the transmission that is intended to further the protection initiate today a Further Notice to seek of video programming directly to of life, health, safety, and property, i.e. additional comment on these proposals. subscribers, unless the extent of such critical details regarding the emergency Although we hope that the stakeholders use is solely to provide interactive on- and how to respond to the emergency. will work together, under our auspices, demand services.’’ Thus, section 624(g) 22. We are issuing a Further Notice of to reach a resolution prior to the expressly authorizes the imposition of Proposed Rulemaking to re-examine the conclusion of our proceeding on these EAS requirements on Wireline Video best way to make EAS and other issues, we are prepared to issue an order Providers to the extent that they qualify emergency information accessible to addressing these issues within six as ‘‘cable operators’’ under the Act. persons with disabilities. We will invite months. 28. To the extent that Wireline Video comment on: (1) Presentation of the 25. In order to begin focusing on these Providers do not qualify as ‘‘cable audio feed in text format, and vice- issues quickly, we direct the Public operators’’ under the Act, we require versa; (2) making emergency Safety and Homeland Security Bureau that they participate in EAS pursuant to information available to various devices to convene a discussion (or a series of our Title I ancillary jurisdiction and in commonly used by persons with discussions) at the Commission among connection with our specific disabilities; and (3) providing stakeholders as soon as possible, and to responsibilities under sections 624(g) emergency messages in multiple formats place a report describing the results in and 706. As a general matter, the to meet the needs of persons with the public docket within 30 days of Commission has discretion to use disabilities. release of the Order. 23. Serving non-English Speakers. We ancillary jurisdiction when the also affirm our commitment that non- Expanding the Base of EAS Participants Commission has Title I subject matter English speakers should have access to 26. Wireline Video Participation in jurisdiction over the service and the EAS alerts as soon as the simultaneous EAS. We agree with commenters that assertion of jurisdiction is ‘‘reasonably transmission of multilingual messages is Wireline Video Providers should be ancillary to the effective performance of practicable. We believe that the first considered Participants under our EAS [its] various responsibilities.’’ Wireline step toward more effectively serving rules. The EAS plays a critical role in Video Providers fall within the scope of non-English speakers, consistent with providing vital public safety the Commission’s jurisdiction because the Secretary of Homeland Security’s information. The long-term resilience of they provide ‘‘interstate * * * responsibility to enable alerting of the EAS could be significantly increased communication by wire.’’ At least some ‘‘those without an understanding of the by careful implementation that could of their services involve transmission English language’’ is to require the use better accommodate, and even harness, across state lines, meeting the definition of CAP, conditional on its adoption by the innate flexibility of IP-based of ‘‘interstate communication,’’ and they FEMA. Requiring EAS Participants to be networks that can route around are ‘‘wire communication,’’ which is able to receive CAP-formatted alerts will damaged nodes. Moreover, a viewer’s ‘‘transmission of * * * pictures * * * facilitate more accurate and detailed reasonable expectation regarding the and sounds * * * by aid of wire, cable, multilingual alerts. At the same time, availability of alerts over television or other like connection.’’ Thus, the we also expect that EAS participants programming is identical, whether the Commission has subject matter will simultaneously transmit programming is over-the-air jurisdiction over these services. We also multilingual CAP-formatted messages broadcasting, cable, DBS, or a new find that imposing an EAS requirement by EAS Participants as soon as such wireline video service. By adopting a is reasonably ancillary to the effective transmission is practicable. For technologically neutral EAS obligation performance of our responsibilities. example, this could happen either as a today, the Commission is enabling these Wireline Video Providers’ participation result of the development of emerging service providers to integrate in the EAS will advance the animating comprehensive, nation-wide Next EAS at an early developmental stage. purpose of section 624(g) by ensuring Generation EAS under FEMA’s 27. Under section 624(g) of the Act that their video subscribers have access auspices, or pursuant to the earlier and the Commission’s EAS regulations, to the same emergency information as development of CAP-based transmission providers of ‘‘cable systems’’ must broadcast and cable television viewers. systems at the state level per participate in EAS. Section 624(g) of the Indeed, we believe that their EAS coordination between state planners and Act provides that ‘‘each cable operator participation is necessary to preserve FEMA. This requirement will ensure shall comply with such standards as the and advance the goals of section 624(g), that the initiator of any EAS alert has Commission shall prescribe to ensure as Wireline Video Providers offer the technological capability to deliver that viewers of video programming on competitive alternatives to the video simultaneously messages in English and cable systems are afforded the same programming available through any other language determined to be emergency information as is afforded by broadcast and cable television, and are appropriate for a given alert. the emergency broadcasting system likely to reach increasingly large 24. The rules we adopt provide the pursuant to Commission regulations in portions of the American public as they groundwork for transmission of subpart G of part 73, title 47, Code of deploy their services. Moreover, multilingual EAS alerts and warnings. Federal Regulations.’’ The Commission requiring Wireline Video Providers to CAP, however, may not be a complete imposed EAS regulations on cable participate in EAS also will further our answer for making EAS alerts available operators pursuant to this mandate in core public safety mission under Title I,

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which requires us to take steps to state and local emergencies. We Commission’s EAS regulations always ‘‘promot[e] safety of life and property,’’ conclude, therefore, that all EAS have accounted for the importance of and section 706, and is consistent with Participants within a state are required state-level alerts, but we now conclude prior Commission actions. Accordingly, to be prepared to receive state-level that mandating receipt of state-level we conclude that we have ancillary messages delivered to the participant by EAS messages will further our core jurisdiction to require even those the state’s governor (or the governor’s public safety mission. Wireline Video Providers that may not designee) within 180 days from the date 35. Exercising ancillary jurisdiction to be cable operators under the Act to FEMA adopts CAP, so long as such require EAS participants to receive participate in EAS. delivery is explicitly described in a state messages delivered to them by a state 29. As a policy matter, we believe that EAS plan that is submitted to and governor also furthers other statutory the reasonable expectations of viewers approved by the Commission. In goals. Section 615 requires the should guide our efforts to encourage addition, we believe that other public Commission to ‘‘encourage and support the development of a more officials may, in appropriate efforts by States to deploy comprehensive EAS system. We circumstances, activate EAS alerts. We comprehensive end-to-end emergency reaffirm that our long-term goal is to seek comment in the attached Further communications infrastructure and incorporate as many communications NPRM about which officials should be programs,’’ while section 706 grants technologies as possible into a permitted to activate EAS alerts and specific, communications-related comprehensive, flexible, and redundant under what circumstances. powers to the President in time of war system to deliver EAS alerts quickly to 33. We recognize that requiring EAS or national emergency. In such event, the largest number of consumers. Participants to receive emergency alerts the President may, for example, take 30. Wireline Video Providers should directly from state political control of, or suspend or amend the be subject to the same EAS requirements subdivisions, such as counties and rules and regulations applicable to, any as providers of Digital Cable Systems. cities, could be unduly complex and or all cable and radio and television We therefore amend our EAS rules to costly and would create the potential for broadcast stations within the specifically include Wireline Video some alerts to reach those who may not Commission’s jurisdiction. Commission Providers. Wireline Video Providers are be affected by a particular emergency. authority to regulate participation by EAS Participants, however, only to the Accordingly, we will only require EAS cable systems in the emergency alerting extent they provide video services; our Participants to receive CAP-formatted process stems primarily from section EAS rules do not impose mandatory EAS messages delivered to them by a 624(g) of the Act. That provision EAS obligations on wireline telephone state governor (or the governor’s requires the Commission to ensure that companies providing traditional designee), or by FEMA (or its designee) cable viewers are afforded the same landline telephone services at this time. on behalf of a state. We find that access to emergency communications as requiring EAS Participants to receive broadcast viewers and listeners. Wireless Participation in EAS CAP-formatted EAS messages delivered Additionally, the Americans with 31. Because the WARN Act directs the by a state governor of any state in which Disabilities Act strives to make all facets Commission to initiate a rulemaking they provide service falls within the of our society fully accessible to regarding the establishment of an scope of our Title I subject matter individuals with disabilities. Finally, in alerting system for commercial mobile jurisdiction as well as our public light of the President’s 2006 Executive service (CMS) providers that voluntarily interest authority to grant licenses for Order, which directs the Commission to elect to transmit emergency alerts, and radio communication under Title III of adopt rules to ensure that the schedule set by the WARN Act the Act. ‘‘[P]romoting safety of life and communications systems have the precludes initiation of such rulemaking property through the use of wire and capacity to transmit alerts and warnings until a later date, we do not address radio communication’’ is a core mission to the public as part of the public alert commercial wireless carrier of the FCC under Title I, Title III and warning system, we note that our participation in EAS in the Order. authorizes the FCC to grant radio action today is consistent with that State Level and Geographically licenses in the public interest, and the Presidential directive as well as with Targeted EAS Alerts Commission is authorized to ‘‘make emergency preparedness goals such rules and regulations * * * as may expressed by Congress in other statutes. 32. Receipt of State-Level Messages be necessary in the execution of its 36. Accordingly, we reject as without We believe that voluntary participation functions,’’ and to ‘‘[m]ake such rules merit NAB’s argument that the by cable and broadcast EAS Participants and regulations * * * not inconsistent Commission lacks authority to mandate in accommodating state and local level with law, as may be necessary to carry participation in state-level EAS alerts. alerting in the existing EAS has been out the provisions of this Act * * *.’’ NAB points out that section 706 generally successful. Nevertheless, we Developing and maintaining an concerns Presidential communications, conclude there are compelling policy effective, reliable, integrated, flexible, and the executive orders delegating reasons to order EAS Participants to and comprehensive EAS system is a authority to the FCC pursuant to section receive CAP-formatted EAS alerts fundamental and longstanding FCC 706 largely concern the development of activated by state governors or their mission under the Communications Act. a national-level communications designees. First, we again note that EAS 34. Requiring EAS Participants to capability to serve Presidential needs, use to date has been overwhelmingly receive state-level alerts delivered rather than state or local needs. Section related to weather and state and local pursuant to, and upon adoption by 706 is not the only source of FCC alerts. We also believe that states will be FEMA of CAP advances the authority to impose EAS requirements, more inclined to deploy the necessary Commission’s policy objectives and however. The Commission’s core public resources to upgrade to Next Generation serves the public interest by ensuring safety mission under Title I is not EAS, including the ability to the ability of state governors to limited to national emergencies, nor is simultaneously transmit multiple and disseminate emergency information via our Title III authority to grant radio differentiated CAP-formatted messages, EAS facilities. State governments play licenses in the public interest so if the states have a particular—and FCC- an essential role in providing emergency limited. Indeed, the Executive Order enforceable—stake in the EAS during information to the public. The broadly affirms that ‘‘[i]t is the policy of

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the United States to have an effective, establish monitoring capability in every require DBS to provide geographically- reliable, integrated, flexible, and state where they do business could targeted alerts, including state-level comprehensive system to alert and warn prove to be unduly burdensome. alerts. the American people * * *, taking Satellite carriers, in particular, have Geographically Targeted Alerts at Less appropriate account of *** all levels expressed a need for a single receive Than State-Level of government in our Federal system point for EAS alerts that would ***.’’ We could not ensure a complement their organizational 41. Although we are limiting the ‘‘comprehensive’’ system without taking structure. requirement that EAS Participants state governments into account. The 39. We do not require SDARs and receive state level messages to messages FCC’s past reliance on voluntary state- DBS providers to accommodate state- received from state governors (or their level EAS participation reflects a policy level alerts given the national nature of designees) pursuant to CAP, we do not judgment, rather than a lack of their broadcast area. We note that seek to restrict state use of the EAS authority, as NAB suggests. SDARS and DBS cannot accommodate network to only emergency messages 37. NAB also argues that the state-level alerts at present and might that require statewide distribution. A Commission cannot rely on section 1 not be able to do so even after the full governor could, for example, determine because requiring state-level EAS implementation of Next Generation that certain emergencies warrant use of participation implicates programming EAS. In the United States, there are two the EAS network to deliver a content. The only support that NAB licensed SDARS operators: Sirius geographically-targeted alert to offers for this argument is the D.C. Satellite Radio, Inc. (‘‘Sirius’’) and XM particular regions. Employing CAP will Circuit’s statement in Motion Picture Radio, Inc. (‘‘XM’’). Both licensees facilitate such geo-targeting, at least in Ass’n of America, Inc. v. FCC that ‘‘[o]ne transmit their programming via satellite connection with some technologies. of the reasons why section 1 has not directly to subscribers’ receivers on a Accordingly, we also require EAS been construed to allow the FCC to nationwide basis. In the First Report Participants to deliver emergency alerts regulate programming content is and Order, the Commission required the to areas smaller than a state. In order to because such regulations invariably SDARS licensees to transmit national transmit such targeted alerts, however, raise First Amendment issues.’’ NAB’s level EAS messages on all channels on EAS Participants must be provided with reliance on this statement is misplaced. their systems. In the Further NPRM, the CAP-formatted messages containing In the MPAA decision, the Commission Commission sought comment on how appropriate codes. Further, EAS was relying on Title I alone to regulate technologies like SDARS, which are Participants may comply with this programming content in the face of a designed to receive and deliver national requirement by utilizing geographic- statutory provision regarding video programming, could deliver state and specific alerts such as subscripts descriptions that the court interpreted local alerts. Although some potential, utilizing localized information. as limiting FCC authority. Here, in developing functionalities may enable Expanding our state-level alert contrast, we rely on Title III as well as SDARS to support geo-targeting, such as transmission requirement to include Title I to mandate the carriage of state-level alerts, in the future, XM geographically targeted alerts will afford emergency information. Requiring the expressed concerns that its current each state governor the ability to carriage of emergency information also system cannot support geographical determine the types and geographic is a longstanding function of the targeting of even state-level alerts to scope of emergency alerts provided to Commission. NAB fails to explain how affected subscribers. XM states that residents via the EAS network, in requiring state-level EAS participation there are two impediments for SDARS coordination with the ability of EAS implicates programming content in a to transmit state or local alerts—a Participants in his or her state to manner different from the longstanding satellite radio provider does not have an accommodate such alerts. Importantly, requirement of national-level EAS ENDEC unit located in every area where however, in adopting this requirement, participation, which NAB does not a local alert might originate, and a we note that terrestrial broadcasters may challenge. satellite radio provider’s programming not presently have the technical ability 38. In addition to the source of our reaches subscribers nationwide. Because to restrict delivery of a targeted alert legal authority to require participation SDARS providers face technical solely to the affected portion of their in state-level EAS, we also must difficulties in distributing even state- service area. This type of restriction is consider the facilities and architecture level alerts to their subscribers, we will not necessary in order to comply with of the various EAS Participants in not at this time require SDARS to the requirements established in this determining how best to implement a provide geographically-targeted alerts, Order. state-level EAS requirement. We note including state-level alerts. Coordination With State and Local that the existing EAS network 40. Likewise, DBS satellite service Governments architecture is based on a broadcast providers, such as EchoStar (Dish model of localized receipt and Network) and DIRECTV, transmit video 42. For nearly half a century, the distribution by radio, television, and programming on a nationwide basis to Commission has encouraged state and cable service providers using ENDEC subscribers over a wide area. DIRECTV local participation in the EAS (and its units situated throughout their service and PanAmSat state that currently DBS predecessor, the EBS), and we take areas. We recognize that certain other systems cannot distribute state and local additional steps in the Order that will EAS Participants may have organized alerts without interrupting programming ensure the effective and efficient their service infrastructure on a across a wide area. DIRECTV also states participation by states and local national, not regional, basis. For that its system currently does not have jurisdictions in the EAS. We note that example, the Commission recognized in the capability to receive, sort, and the SECCs, industry participants, and the First Report and Order that SDARS disseminate state and local EAS state and local officials have worked ‘‘is by nature a national service and that messages only to the subscribers in the closely with Commission staff to ensure as a result the development of methods affected areas. Because DBS providers the efficacy of the EAS, resulting in EAS to ensure receipt of state and local alerts also face technical difficulties in plans for all 50 states. The Commission by SDARS licensees is likely to be distributing alerts to portions of their has reviewed and approved EAS plans challenging.’’ Requiring these carriers to subscribers, we will not at this time for a number of states, and continues to

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have a cooperative, highly effective the Ohio Association of Broadcasters II. Final Regulatory Flexibility Analysis relationship with the SECCs. that proper training (and retraining) is a 50. As required by the Regulatory 43. As a result of the actions we take critical component of EAS, and supports Flexibility Act (‘‘RFA’’), an Initial today to ensure that state governors training programs at the local level. Regulatory Flexibility Analysis have a robust and reliable EAS network OAB believes the Federal government (‘‘IRFA’’) was incorporated in the at their disposal, states will likely need also should be responsible for providing Further Notice of Proposed Rulemaking to revise their EAS plans to specify how guidance to ensure that an appropriate in EB Docket 04–296 (‘‘First Report and and what types of EAS alerts they will minimum level of training of emergency Order and FNPRM’’). The Commission transmit to EAS Participants. Such management personnel is provided. sought written public comment on the information will enable the According to OAB, a national training proposals in the EAS NPRM, including Commission, FEMA, affected EAS standard would ensure that training of comment on the IRFA. This Final Participants, and other interested parties persons who administer and activate Regulatory Flexibility Analysis to ensure that these plans are EAS is uniform throughout local (‘‘FRFA’’) conforms to the RFA. implemented successfully. While we do communities, states, and among federal, not dictate specific plan revisions other state and local government agencies. Need for, and Objectives of, the Rules than those set forth herein for Accordingly, we hereby instruct the 51. The Second Report and Order implementing mandatory state-level Commission’s Public Safety and adopts rules that set the framework for alerts, we encourage states to include Homeland Security Bureau to a Next Generation EAS. In the Order, we information regarding redundant coordinate with FEMA on the take the following actions to establish distribution of EAS alerts. Since state appropriate requirements for and service requirements for a Next EAS plans will be required to contain resources to conduct EAS training Generation EAS, and establish information concerning our new programs to ensure states and other schedules by which industry segments requirement that EAS Participants must interested parties can implement the must transition to the new system: (1) distribute EAS alerts delivered by state Next Generation EAS. Require EAS Participants to configure governors, plans should specify how the their systems to accept EAS alerts governor’s CAP-formatted EAS messages Assessing EAS Operation formatted in the Common Alerting will be transmitted to all EAS 46. In the Further Notice, we asked Protocol (‘‘CAP’’) format no later than Participants who provide services in the whether performance standards are 180 days after FEMA announces the state. We also encourage states to submit necessary to ensure that Next technical standards and requirements an electronic data file specifying Generation technologies deliver alerts to for CAP-formatted messages; (2) require monitoring assignments and the paths the American public in a timely and EAS Participants to configure their for the Emergency Action Notification accurate fashion. We noted that systems to authenticate and validate (EAN) from the NP to each station in proposed standards could include the EAS alerts formatted in the CAP format their plans. We believe that such an length of time it takes to receive a no later than 180 days after FEMA electronic submission would facilitate message and the accuracy of the announces the standards for the Commission’s revision of the EAS message. authentication and validation of CAP- ‘‘Map Book’’ required under the EAS 47. It is vital that the EAS operates as formatted messages; (3) require EAS rules. We also urge states to provide designed in an emergency. We intend to Participants to receive and transmit detailed information identifying the examine several potential mechanisms state-level messages delivered to the monitored and monitoring broadcast to ensure that is the case. In the Further Participant by the state’s governor (or stations. Notice of Proposed Rulemaking, we seek the governor’s designee) within 180 44. In order to ensure that the comment on several options, including: days from the date FEMA adopts CAP, Commission has sufficient notice of (1) Additional testing; (2) station so long as such delivery is explicitly revised EAS plans, we will require state certification of compliance; and (3) described in a state EAS plan that is and local entities to file modified plans assessments of EAS performance after submitted to and approved by the with the Commission at least 90 days an alert has been triggered. We will Commission; (4) require wireline before the effective date of any revision revisit the issue of performance common carriers that provide video to their EAS plans or their EAS standards if it appears that they are programming service to receive and designations. In addition, we will warranted. distribute EAS messages; and (5) require state and local entities to delegate authority to the Chief, Public annually confirm their plans and I. Procedural Matters Safety and Homeland Security Bureau designations. A. Paperwork Reduction Act Analysis to perform actions that will facilitate 45. We also agree with commenters proper implementation of our rules and and the specific recommendation of the 48. This Second Report and Order resolution of issues as set forth herein. Independent Panel that the Commission contains new and modified information should proactively provide EAS training collection requirements subject to the Summary of Significant Issues Raised by to interested parties. We agree with Paperwork Reduction Act of 1995 Public Comments in Response to the Contra Costa that education to public (‘‘PRA’’), Public Law 104–13. It will be IRFA safety and citizens is critical in making submitted to the Office of Management 52. There were no comments filed any type of infrastructure successful. and Budget (‘‘OMB’’) for review under that specifically addressed the IRFA. We also believe that the Alaska section 3507(d) of the PRA. Broadcasters Association and the State Description and Estimate of the Number Emergency Communications Committee B. Congressional Review Act of Small Entities to Which Rules Will (Joint Parties) in our EAS proceeding are 49. The Commission will send a copy Apply correct in recommending that training of this Second Report and Order in a 53. The RFA directs agencies to be provided for emergency managers as report to be sent to Congress and the provide a description of, and, where well as subject broadcasters, cable Government Accountability Office feasible, an estimate of, the number of systems and other media operators. We pursuant to the Congressional Review small entities that may be affected by take particular note of the argument of Act (‘‘CRA’’), see 5 U.S.C. 801(a)(1)(A). the rules adopted herein. The RFA

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generally defines the term ‘‘small licensees qualify as small entities under may have grown to serve over 400,000 entity’’ as having the same meaning as the SBA size standard. subscribers, and others may have been the terms ‘‘small business,’’ ‘‘small 56. Radio Stations. The revised rules involved in transactions that caused organization,’’ and ‘‘small governmental and policies potentially will apply to all them to be combined with other cable jurisdiction.’’ In addition, the term AM and commercial FM radio operators. Consequently, the ‘‘small business’’ has the same meaning broadcasting licensees and potential Commission estimates that there are as the term ‘‘small business concern’’ licensees. The SBA defines a radio now fewer than 1,065 small entity cable under the Small Business Act. A ‘‘small broadcasting station that has $6.5 system operators that may be affected by business concern’’ is one which: (1) Is million or less in annual receipts as a the rules and policies proposed herein. independently owned and operated; (2) small business. A radio broadcasting 59. Cable System Operators (Telecom is not dominant in its field of operation; station is an establishment primarily Act Standard). The Communications and (3) satisfies any additional criteria engaged in broadcasting aural programs Act of 1934, as amended, (‘‘Act’’) also established by the Small Business by radio to the public. Included in this contains a size standard for small cable Administration (‘‘SBA’’). industry are commercial, religious, system operators, which is ‘‘a cable 54. A small organization is generally educational, and other radio stations. operator that, directly or through an ‘‘any not-for-profit enterprise which is Radio broadcasting stations which affiliate, serves in the aggregate fewer independently owned and operated and primarily are engaged in radio than 1 percent of all subscribers in the is not dominant in its field.’’ broadcasting and which produce radio United States and is not affiliated with Nationwide, as of 2002, there were program materials are similarly any entity or entities whose gross approximately 1.6 million small included. However, radio stations that annual revenues in the aggregate exceed organizations. The term ‘‘small are separate establishments and are $250,000,000.’’ The Commission has governmental jurisdiction’’ is defined as primarily engaged in producing radio determined that there are 67,700,000 ‘‘governments of cities, towns, program material are classified under subscribers in the United States. townships, villages, school districts, or another NAICS number. According to Therefore, an operator serving fewer special districts, with a population of Commission staff review of BIA than 677,000 subscribers shall be less than fifty thousand.’’ As of 1997, Publications, Inc. Master Access Radio deemed a small operator, if its annual there were approximately 87,453 Analyzer Database on March 31, 2005, revenues, when combined with the total governmental jurisdictions in the about 10,840 (95 percent) of 11,410 annual revenues of all its affiliates, do commercial radio stations have revenue not exceed $250 million in the United States. This number includes of $6 million or less. We note, however, aggregate. Based on available data, the 39,044 county governments, that many radio stations are affiliated Commission estimates that the number municipalities, and townships, of which with much larger corporations having of cable operators serving 677,000 37,546 (approximately 96.2 percent) much higher revenue. Our estimate, subscribers or fewer, totals 1,065. The have populations of fewer than 50,000, therefore, likely overstates the number Commission neither requests nor and of which 1,498 have populations of of small entities that might be affected collects information on whether cable 50,000 or more. Thus, we estimate the by our action. system operators are affiliated with number of small governmental 57. Cable and Other Program entities whose gross annual revenues jurisdictions overall to be 84,098 or Distribution. The SBA has developed a exceed $250 million, and therefore are fewer. Nationwide, there are a total of small business size standard for cable unable, at this time, to estimate more approximately 22.4 million small and other program distribution, which accurately the number of cable system businesses, according to SBA data. consists of all such firms having $12.5 operators that would qualify as small 55. Television Broadcasting. The SBA million or less in annual receipts. cable operators under the size standard has developed a small business sized According to Census Bureau data for contained in the Act. standard for television broadcasting, 1997, in this category there was a total 60. Multipoint Distribution Systems. which consists of all such firms having of 1,311 firms that operated for the The established rules apply to $13 million or less in annual receipts. entire year. Of this total, 1,180 firms had Multipoint Distribution Systems Business concerns included in this annual receipts of under $10 million, (‘‘MDS’’) operated as part of a wireless industry are those ‘‘primarily engaged in and an additional 52 firms had receipts cable system. The Commission has broadcasting images together with of $10 million to $24,999,999. Thus, defined ‘‘small entity’’ for purposes of sound.’’ According to Commission staff under this size standard, the majority of the auction of MDS frequencies as an review of BIA Publications, Inc. Master firms can be considered small. In entity that, together with its affiliates, Access Television Analyzer Database, as addition, limited preliminary census has average gross annual revenues that of May 16, 2003, about 814 of the 1,220 data for 2002 indicate that the total are not more than $40 million for the commercial television stations in the number of cable and other program preceding three calendar years. This United States had revenues of $12 distribution companies increased definition of small entity in the context million or less. We note, however, that, approximately 46 percent from 1997 to of MDS auctions has been approved by in assessing whether a business concern 2002. the SBA. The Commission completed its qualifies as small under the above 58. Cable System Operators (Rate MDS auction in March 1996 for definition, business (control) affiliations Regulation Standard). The Commission authorizations in 493 basic trading must be included. Our estimate, has developed its own small business areas. Of 67 winning bidders, 61 therefore, likely overstates the number size standard for cable system operators, qualified as small entities. At this time, of small entities that might be affected for purposes of rate regulation. Under we estimate that of the 61 small by our action, because the revenue the Commission’s rules, a ‘‘small cable business MDS auction winners, 48 figure on which it is based does not company’’ is one serving 400,000 or remain small business licensees. include or aggregate revenues from fewer subscribers nationwide. We have 61. MDS also includes licensees of affiliated companies. There are also estimated that there were 1,065 cable stations authorized prior to the auction. 2,127 low power television stations operators who qualified as small cable As noted above, the SBA has developed (‘‘LPTV’’). Given the nature of this system operators at the end of 2005. a definition of small entities for pay service, we will presume that all LPTV Since then, some of those companies television services, cable and other

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subscription programming, which size standard under SBA rules is for the firms had annual receipts of under $10 includes all such companies generating category Wired Telecommunications million, and an additional twenty-four $13.5 million or less in annual receipts. Carriers. Under that size standard, such firms had receipts of $10 million to This definition includes MDS and thus a business is small if it has 1,500 or $24,999,999. Thus, the majority of applies to MDS licensees that did not fewer employees. According to Satellite Telecommunications firms can participate in the MDS auction. Commission data, 1,303 carriers have be considered small. Information available to us indicates reported that they are engaged in the 66. The second category—Other that there are approximately 392 provision of incumbent local exchange Telecommunications—includes incumbent MDS licensees that do not services. Of these 1,303 carriers, an ‘‘establishments primarily engaged in generate revenue in excess of $11 estimated 1,020 have 1,500 or fewer * * * providing satellite terminal million annually. Therefore, we employees and 283 have more than stations and associated facilities estimate that there are at least 440 (392 1,500 employees. Consequently, the operationally connected with one or pre-auction plus 48 auction licensees) Commission estimates that most more terrestrial communications small MDS providers as defined by the providers of incumbent local exchange systems and capable of transmitting SBA and the Commission’s auction service are small businesses that may be telecommunications to or receiving rules which may be affected by the rules affected by our proposed rules. telecommunications from satellite adopted herein. In addition, limited 64. Competitive (LECs), Competitive systems.’’ Of this total, 424 firms had preliminary census data for 2002 Access Providers (CAPs), ‘‘Shared- annual receipts of $5 million to indicate that the total number of cable Tenant Service Providers,’’ and ‘‘Other $9,999,999 and an additional 6 firms and other program distribution Local Service Providers.’’ Neither the had annual receipts of $10 million to companies increased approximately 46 Commission nor the SBA has developed $24,999,990. Thus, under this second percent from 1997 to 2002. a small business size standard size standard, the majority of firms can 62. Instructional Television Fixed specifically for these service providers. be considered small. Service. The established rules would The appropriate size standard under Description of Projected Reporting, also apply to Instructional Television SBA rules is for the category Wired Recordkeeping, and Other Compliance Fixed Service (‘‘ITFS’’) facilities Telecommunications Carriers. Under Requirements operated as part of a wireless cable that size standard, such a business is system. The SBA definition of small small if it has 1,500 or fewer employees. 67. In this Second Report and Order, entities for pay television services also According to Commission data, 769 we have taken steps to advance our appears to apply to ITFS. There are carriers have reported that they are public safety mission by establishing a presently 2,032 ITFS licensees. All but engaged in the provision of either framework for the Next Generation of 100 of these licenses are held by competitive access provider services or EAS and by expanding the base of EAS educational institutions. Educational competitive local exchange carrier participants to include wireline institutions are included in the services. Of these 769 carriers, an telephone companies that provide definition of a small business. However, estimated 676 have 1,500 or fewer programming in competition with we do not collect annual revenue data employees and 93 have more than 1,500 broadcast and cable television. for ITFS licensees, and are not able to employees. In addition, 12 carriers have Steps Taken To Minimize the ascertain how many of the 100 non- reported that they are ‘‘Shared-Tenant Significant Economic Impact on Small educational licensees would be Service Providers,’’ and all 12 are Entities, and Significant Alternatives categorized as small under the SBA estimated to have 1,500 or fewer Considered definition. Thus, we tentatively employees. In addition, 39 carriers have conclude that at least 1,932 are small reported that they are ‘‘Other Local 68. The RFA requires an agency to businesses and may be affected by the Service Providers.’’ Of the 39, an describe any significant alternatives that established rules. estimated 38 have 1,500 or fewer it has considered in developing its 63. Incumbent Local Exchange employees and one has more than 1,500 approach, which may include the Carriers (‘‘LECs’’). We have included employees. Consequently, the following four alternatives (among small incumbent LECs in this present Commission estimates that most others): ‘‘(1) The establishment of IRFA analysis. As noted above, a ‘‘small providers of competitive local exchange differing compliance or reporting business’’ under the RFA is one that, service, competitive access providers, requirements or timetables that take into inter alia, meets the pertinent small ‘‘Shared-Tenant Service Providers,’’ and account the resources available to small business size standard (e.g., a telephone ‘‘Other Local Service Providers’’ are entities; (2) the clarification, communications business having 1,500 small entities that may be affected by consolidation, or simplification of or fewer employees), and ‘‘is not our proposed rules. compliance and reporting requirements dominant in its field of operation.’’ The 65. Satellite Telecommunications and under the rule for such small entities; SBA’s Office of Advocacy contends that, Other Telecommunications. The (3) the use of performance rather than for RFA purposes, small incumbent Commission has not developed a small design standards; and (4) an exemption LECs are not dominant in their field of business size standard specifically for from coverage of the rule, or any part operation because any such dominance providers of satellite service. The thereof, for such small entities.’’ is not ‘‘national’’ in scope. We have appropriate size standards under SBA 69. The First Report and Order and therefore included small incumbent rules are for the two broad categories of FNPRM sought comment on a number of local exchange carriers in this RFA Satellite Telecommunications and Other alternatives to the imposition of EAS analysis, although we emphasize that Telecommunications. Under both obligations on the digital this RFA action has no effect on categories, such a business is small if it communications technologies discussed Commission analyses and has $12.5 million or less in average in this Second Report and Order that are determinations in other, non-RFA annual receipts. For the first category of increasingly being used by the contexts. Neither the Commission nor Satellite Telecommunications, Census American public. The Commission has the SBA has developed a small business Bureau data for 1997 show that there considered each of the alternatives and size standard specifically for incumbent were a total of 324 firms that operated in this Second Report and Order local exchange services. The appropriate for the entire year. Of this total, 273 imposes minimal regulation on small

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entities to the extent consistent with our 303(r), 303(v), 307, 309, 335, 403, other participating entities. The EAS goal of advancing our public safety 624(g), 706 and 715 of the may be used to provide the heads of mission by adopting rules that expand Communications Act of 1934, as State and local government, or their the reach of EAS. The affected service amended, 47 U.S.C. 151, 152, 154(i) and designated representatives, with a providers have generally expressed their (o), 301, 303(r), 303(v), 307, 309, 335, means of emergency communication willingness to cooperate in a national 403, 544(g), 606, and 615, that the with the public in their State or Local warning system, and we anticipate that Second Report and Order in EB Docket Area. this addition of new providers to EAS No. 04–296 is adopted, and that part 11 I 3. Add § 11.2 to read as follows: can be accomplished swiftly and of the Commission’s rules, 47 CFR part smoothly. 11, is amended. The Order shall become § 11.2 Definitions. 70. The benefits of requiring effective December 3, 2007, or 60 days The definitions of terms used in part additional carriers to participate in the after Congress’s receipt of a 11 are: current EAS far outweigh any burdens Congressional Review Act report, (a) Primary Entry Point (PEP) System. associated with implementing these whichever is later, except that new or The PEP system is a nationwide requirements. EAS represents a modified information collection network of broadcast stations and other significant and valuable investment that requirements will not become effective entities connected with government is able to provide effective alert and prior to OMB approval. activation points. It is used to distribute warning during the time that new, 74. It is further ordered that the the EAN, EAT, and EAS national test digitally-based public alert and warning Commission’s Consumer and messages and other EAS messages. systems are being developed. Most Governmental Affairs Bureau, Reference FEMA has designated 34 of the nation’s commenters contend, and we agree, that Information Center, shall send a copy of largest radio broadcast stations as PEPs. the EAS should remain an important this Second Report and Order, including The PEPs are designated to receive the component of any future alert and the Final Regulatory Flexibility Presidential alert from FEMA and warning system. Further, in most cases, Analysis, to the Chief Counsel for distribute it to local stations. the digital platforms affected by this Advocacy of the Small Business (b) Local Primary One (LP–1). The LP– Second Report and Order either have in Administration. 1 is a radio station that acts as a key EAS place the ability to distribute EAS monitoring source. Each LP–1 station warnings, or can do so in a reasonable List of Subjects in 47 CFR Part 11 must monitor its regional PEP station amount of time and with minimal cost. Radio, Television. and a back-up source for Presidential 71. Likewise, most commenters Federal Communications Commission. messages. agreed that CAP is best-suited to deliver (c) EAS Participants. Entities required Next Generation EAS. By requiring EAS Marlene H. Dortch, under the Commission’s rules to comply participants to adopt CAP, we believe Secretary. with EAS rules, e.g., analog radio and that this will best serve our goal of Final Rules television stations, and wired and protecting the life and property of all wireless cable television systems, DBS, Americans. We acknowledge that I For the reasons discussed in the DTV, SDARS, digital cable and DAB, compliance with the rules adopted in preamble, the Federal Communications and wireline video systems. the order may impose cost burdens on Commission amends 47 CFR part 11 as (d) Wireline Video System. The small entities. However, given the great follows: system of a wireline common carrier public interest benefits of the rules, we used to provide video programming PART 11—EMERGENCY ALERT find that the public interest benefits service. outweigh the economic burdens, if any. SYSTEM (EAS) (e) Participating National (PN). PN In the Initial Regulatory Flexibility I 1. The authority citation for part 11 stations are broadcast stations that Analysis, we sought comment on these continues to read as follows: transmit EAS National, state, or local rules and no commenter proposed an EAS messages to the public. Authority: 47 U.S.C. 151, 154(i) and (o), alternative version that would serve 303(r), 544(g) and 606. (f) National Primary (NP). Stations these benefits while lessening the that are the primary entry point for economic burdens. Accordingly, we I 2. Section 11.1 is revised to read as Presidential messages delivered by find that we have discharged our duty follows: FEMA. These stations are responsible to consider burdens imposed on small for broadcasting a Presidential alert to entities. § 11.1 Purpose. the public and to State Primary stations 72. Report to Congress: The This part contains rules and within their broadcast range. Commission will send a copy of the regulations providing for an Emergency (g) State Primary (SP). Stations that Second Report and Order, including this Alert System (EAS). The EAS provides are the entry point for State messages, FRFA, in a report to be sent to Congress the President with the capability to which can originate from the Governor and the Government Accountability provide immediate communications and or a designated representative. Office pursuant to the Congressional information to the general public at the I 4. Section 11.11 is amended by Review Act. In addition, the National, State and Local Area levels revising paragraph (a) and (e) to read as Commission will send a copy of the during periods of national emergency. follows: Second Report and Order, including this The rules in this part describe the FRFA, to the Chief Counsel for required technical standards and § 11.11 The Emergency Alert System Advocacy of the SBA. A copy of the operational procedures of the EAS for (EAS). Second Report and Order and FRFA (or analog AM, FM, and TV broadcast (a) The EAS is composed of analog summaries thereof) will also be stations, digital broadcast stations, radio broadcast stations including AM, published in the Federal Register. analog cable systems, digital cable FM, and Low-power FM (LPFM) systems, wireline video systems, stations; digital audio broadcasting III. Ordering Clauses wireless cable systems, Direct Broadcast (DAB) stations, including digital AM, 73. Accordingly, it is ordered, Satellite (DBS) services, Satellite Digital FM, and Low-power FM stations; analog pursuant to sections 1, 2, 4(i), 4(o), 301, Audio Radio Service (SDARS), and television broadcast stations including

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Class A television (CA) and Low-power may consist of Broadband Radio Service These entities are referred to TV (LPTV) stations; digital television (BRS), or Educational Broadband collectively as EAS Participants in this (DTV) broadcast stations, including Service (EBS) stations; DBS services, as part, and are subject to this part, except digital CA and digital LPTV stations; defined in 47 CFR 25.701(a) (including as otherwise provided herein. At a analog cable systems; digital cable certain Ku-band Fixed-Satellite Service minimum EAS Participants must use a systems which are defined for purposes Direct to Home providers); SDARS, as common EAS protocol, as defined in of this part only as the portion of a cable defined in 47 CFR 25.201; participating § 11.31, to send and receive emergency system that delivers channels in digital broadcast networks, cable networks and alerts in accordance with the effective format to subscribers at the input of a program suppliers; and other entities dates listed above and in the following Unidirectional Digital Cable Product or and industries operating on an tables: other navigation device; wireline video organized basis during emergencies at systems; wireless cable systems which the National, State and local levels.

ANALOG AND DIGITAL BROADCAST STATIONS

EAS equipment requirement AM & FM Digital AM TV DTV FM class D 1 LPTV 2 LPFM 3 class A & FM TV 4

Two-tone encoder 5 ...... Y 6 Y 12/31/06 Y Y 12/31/06 N N N Y EAS decoder ...... Y 1/1/97 Y 12/31/06 Y 1/1/97 Y 12/31/06 Y 1/1/97 Y 1/1/97 Y Y EAS encoder ...... Y 1/1/97 Y 12/31/06 Y 1/1/97 Y 12/31/06 N N N Y Audio message ...... Y 1/1/97 Y 12/31/06 Y 1/1/97 Y 12/31/06 Y 1/1/97 Y 1/1/97 Y Y Video message ...... N/A N/A Y 1/1/97 Y 12/31/06 N/A Y 1/1/97 N/A Y 1 Effective December 31, 2006, digital FM Class D stations have the same requirements. 2 LPTV stations that operate as television broadcast translator stations are exempt from the requirement to have EAS equipment. Effective De- cember 31, 2006, digital LPTV stations have the same requirements. 3 LPFM stations must install a decoder within one year after the FCC publishes in the Federal Register a public notice indicating that at least one decoder has been certified by the FCC. Effective December 31, 2006, digital LPFM stations have the same requirements. 4 Effective December 31, 2006, digital Class A TV stations have the same requirements. 5 Effective July 1, 1995, the two-tone signal must be 8–25 seconds. 6 Effective January 1, 1998, the two-tone signal may only be used to provide audio alerts to audiences before EAS emergency messages and the required monthly tests.

Analog Cable Systems headend must either provide the comply with the following EAS National level EAS message on all requirements. All other analog cable [A. Analog cable systems serving programmed channels including the systems must comply with B.] fewer than 5,000 subscribers from a required testing by October 1, 2002, or

SYSTEM SIZE AND EFFECTIVE DATES

≥5,000 but ≥ < 10,000 10,000 <5,000 B. EAS equipment requirement sub- sub- sub- scribers scribers scribers

Two-tone signal from storage device 1 ...... Y 12/31/98 Y 10/1/02 Y 10/1/02 EAS decoder 3 ...... Y 12/31/98 Y 10/1/02 Y 10/1/02 EAS encoder 2 ...... Y 12/31/98 Y 10/1/02 Y 10/1/02 Audio and Video EAS Message on all channels ...... Y 12/31/98 Y 10/1/02 N Video interrupt and audio alert message on all channels, 3 Audio and Video EAS message on at least N N Y 10/1/02 one channel. 1 Two-tone signal is only used to provide an audio alert to audience before EAS emergency messages and required monthly test. The two-tone signal must be 8–25 seconds in duration. 2 Analog cable systems serving <5,000 subscribers are permitted to operate without an EAS encoder if they install an FCC-certified decoder. 3 The Video interrupt must cause all channels that carry programming to flash for the duration of the EAS emergency message. The audio alert must give the channel where the EAS messages are carried and be repeated for the duration of the EAS message. Note: Programmed channels do not include channels used for the transmission of data such as interactive games.

Wireless Cable Systems (BRS/EBS single transmission site must either or comply with the following EAS STATIONS) provide the National level EAS message requirements. All other wireless cable [A. Wireless cable systems serving on all programmed channels including systems must comply with B.] fewer than 5,000 subscribers from a the required testing by October 1, 2002,

SYSTEM SIZE AND EFFECTIVE DATES

B. EAS ≥5,000 <5,000 equipment sub- sub- requirement scribers scribers

EAS decoder ...... Y 10/1/02 Y 10/1/02

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SYSTEM SIZE AND EFFECTIVE DATES—Continued

B. EAS ≥5,000 <5,000 equipment sub- sub- requirement scribers scribers

EAS encoder 12 ...... Y 10/1/02 Y 10/1/02 Audio and Video EAS Message on all channels 3 ...... Y 10/1/02 N Video interrupt and audio alert message on all channels; 4 Audio and Video EAS message on at least one channel .... N Y 10/1/02 1 The two-tone signal is used only to provide an audio alert to an audience prior to an EAS emergency message or to the Required Monthly Test (RMT) under § 11.61(a)(1). The two-tone signal must be 8–25 seconds in duration. 2 Wireless cable systems serving <5,000 subscribers are permitted to operate without an EAS encoder if they install an FCC-certified decoder. 3 All wireless cable systems may comply with this requirement by providing a means to switch all programmed channels to a predesignated channel that carries the required audio and video EAS messages. 4 The Video interrupt must cause all channels that carry programming to flash for the duration of the EAS emergency message. The audio alert must give the channel where the EAS messages are carried and be repeated for the duration of the EAS message. Note: Programmed channels do not include channels used for the transmission of data services such as Internet.

Digital Cable Systems and Wireline subscribers from a headend must either 2006, or comply with the following EAS Video Systems provide the National level EAS message requirements. All other digital cable [A. Digital cable systems and Wireline on all programmed channels including systems and Wireline Video Systems Video Systems serving fewer than 5,000 the required testing by December 31, must comply with B.]

SYSTEM SIZE AND EFFECTIVE DATES

≥5,000 <5,000 B. EAS equipment requirement sub- sub- scribers scribers

Two-tone signal from storage device 1 ...... Y 12/31/06 Y 12/31/06 EAS decoder 3 ...... Y 12/31/06 Y 12/31/06 EAS encoder 2 ...... Y 12/31/06 Y 12/31/06 Audio and Video EAS Message on all channels 4 ...... Y 12/31/06 N Video interrupt and audio alert message on all channels 3 Audio and Video EAS message on at least one channel ..... N Y 12/31/06 1 Two-tone signal is only used to provide an audio alert to audience before EAS emergency messages and required monthly test. The two-tone signal must be 8–25 seconds in duration. 2 Digital cable systems and Wireline Video Systems serving <5,000 subscribers are permitted to operate without an EAS encoder if they install an FCC-certified decoder. 3 The Video interrupt must cause all channels that carry programming to flash for the duration of the EAS emergency message. The audio alert must give the channel where the EAS messages are carried and be repeated for the duration of the EAS message. 4 All digital cable systems and/Wireline Video Systems may comply with this requirement by providing a means to switch all programmed chan- nels to a predesignated channel that carries the required audio and video EAS messages. Note: Programmed channels do not include channels used for the transmission of data such as interactive games or the transmission of data services such as Internet.

SDARS AND DBS

EAS equipment requirement SDARS DBS

Two-tone signal 1 ...... Y 12/31/06 Y 5/31/07 EAS decoder ...... Y 12/31/06 Y 5/31/07 EAS encoder ...... Y 12/31/06 Y 5/31/07 Audio message on all channels 2 ...... Y 12/31/06 Y 5/31/07 Video message on all channels 2 ...... N/A Y 5/31/07 1 Two-tone signal is only used to provide an audio alert to audience before EAS emergency messages and required monthly test. The two-tone signal must be 8–25 seconds in duration. 2 All SDARS and DBS providers may comply with this requirement by providing a means to switch all programmed channels to a predesignated channel that carries the required audio and video EAS messages or by any other method that ensures that viewers of all channels receive the EAS message.

* * * * * § 11.21 State and Local Area Plans and use of the Radio Broadcast Data System FCC Mapbook. (e) Other technologies and public (RBDS). The plans must be reviewed service providers, such as low earth EAS plans contain guidelines which and approved by the Chief, Public orbiting satellites, that wish to must be followed by EAS Participants’ Safety and Homeland Security Bureau, personnel, emergency officials, and participate in the EAS may contact the prior to implementation to ensure that National Weather Service (NWS) FCC’s Public Safety and Homeland they are consistent with national plans, personnel to activate the EAS. The plans Security Bureau or their State FCC regulations, and EAS operation. include the EAS header codes and (a) The State plan contains procedures Emergency Communications Committee messages that will be transmitted by key for State emergency management and for information and guidance. EAS sources (NP, LP, SP and SR). State other State officials, the NWS, and EAS I 5. Section 11.21 is revised to read as and local plans contain unique methods Participants’ personnel to transmit follows: of EAS message distribution such as the emergency information to the public

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during a State emergency using the EAS, systems, digital cable systems, and DEPARTMENT OF TRANSPORTATION including mandatory messages initiated wireless cable systems: National Highway Traffic Safety by a state governor or his/her designee. * * * * * The State plan must specify how state- Administration level and geographically targeted EAS (h) Analog cable systems and digital messages initiated by a state governor or cable systems with 10,000 or more 49 CFR Parts 571 and 585 subscribers; analog cable and digital his/her designee will be transmitted to [Docket No. NHTSA 2007–0010] all EAS Participants who provide cable systems serving 5,000 or more, but services in the state, and must include less than 10,000 subscribers per RIN 2127–AK03 specific and detailed information headend; and wireline video systems Federal Motor Vehicle Safety describing how such messages will be and wireless cable systems with 5,000 Standards; Occupant Crash or more subscribers shall transmit EAS aggregated, designated as mandatory, Protection; Fuel System Integrity and delivered to EAS Participants. State audio messages in the same order EAS plans should include a data table, specified in paragraph (a) of this AGENCY: National Highway Traffic in computer readable form, clearly section. The Attention signal may be Safety Administration (NHTSA), DOT. showing monitoring assignments and produced from a storage device. ACTION: Final rule; response to petitions. the specific primary and backup path Additionally, these analog cable SUMMARY: for the emergency action notification systems, digital cable systems, and In a final rule published in August 2006, NHTSA amended its (‘‘EAN’’) from the PEP to each station in wireless cable systems: the plan. safety standard on occupant crash * * * * * protection to establish the same 56 km/ (b) The Local Area plan contains h (35 mph) maximum speed for frontal procedures for local officials or the I 8. Section 11.55 is amended by barrier crash tests using belted 5th NWS to transmit emergency information revising paragraph (a) introductory text percentile adult female test dummies as to the public during a local emergency to read as follows: it had previously adopted for tests using using the EAS. Local plans may be a § 11.55 EAS operation during a State or belted 50th percentile adult male part of the State plan. A Local Area is Local Area emergency. dummies. The agency adopted the a geographical area of contiguous amendment to help improve crash communities or counties that may (a) All EAS Participants within a state protection for small statured occupants. include more than one state. (excepting SDARs and DBS providers) In this document, in response to (c) The FCC Mapbook is based on the must receive and transmit state-level petitions for reconsideration of that rule, above plans. It organizes all broadcast and geographically targeted EAS we are adjusting the phase-in stations and cable systems according to messages, as aggregated and delivered requirements to permit manufacturers to their State, EAS Local Area, and EAS by the state governor or his/her earn advance credits for vehicles that designation. designee, or by FEMA on behalf of such are certified in compliance with the new I 6. Section 11.47 is amended by state governor, upon approval by the higher speed requirement one year in revising paragraph (b) to read as follows: Commission of an applicable state plan advance of the regulatory requirements, providing for delivery of such alerts no i.e., beginning on September 1, 2008. § 11.47 Optional use of other sooner than 180 days after adoption of We are also making technical communications methods and systems. CAP by FEMA. Examples of natural corrections regarding special phase-in * * * * * emergencies which may warrant provisions for small volume (b) Other technologies and public activation are: Tornadoes, floods, manufacturers included in the August service providers, such as low earth hurricanes, earthquakes, heavy snows, 2006 rule, as well as in several other orbiting satellites, that wish to icing conditions, widespread fires, etc. regulations. participate in the EAS may contact the Man-made emergencies may include: DATES: Effective Date: This final rule is FCC’s Public Safety and Homeland toxic gas leaks or liquid spills, effective January 2, 2008. Security Bureau or their State widespread power failures, industrial Petitions for Reconsideration: If you Emergency Communications Committee explosions, and civil disorders. wish to submit a petition for for information and guidance. reconsideration of this rule, your * * * * * § 11.51 EAS code and Attention Signal petition must be received by December Transmission requirements. I 9. Add § 11.56 to read as follows: 17, 2007. ADDRESSES: Petitions for reconsideration I 7. Section 11.51 is amended by § 11.56 EAS Participants receive CAP- should refer to the docket number above revising paragraphs (g) introductory text formatted alerts and be submitted to: Administrator, and (h) introductory text to read as Notwithstanding anything herein to National Highway Traffic Safety follows: the contrary, all EAS Participants must Administration, 1200 New Jersey * * * * * be able to receive CAP-formatted EAS Avenue, SE., Washington, DC 20590. SUPPLEMENTARY INFORMATION (g) Analog cable systems and digital alerts no later than 180 days after FEMA See the portion of this document (Section V; cable systems with fewer than 5,000 publishes the technical standards and Rulemaking Analyses and Notice) for subscribers per headend and wireline requirements for such FEMA DOT’s Privacy Act Statement regarding video systems and wireless cable transmissions. systems with fewer than 5,000 documents submitted to the agency’s subscribers shall transmit EAS audio [FR Doc. E7–21137 Filed 11–1–07; 8:45 am] dockets. messages in the same order specified in BILLING CODE 6712–01–P FOR FURTHER INFORMATION CONTACT: For paragraph (a) of this section on at least non-legal issues, you may call Ms. Carla one channel. The Attention signal may Cuentas, Office of Crashworthiness be produced from a storage device. Standards (Telephone: 202–366–1740) Additionally, these analog cable (Fax: 202–366–2739).

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For legal issues, you may call Mr. test requirements), and performance beginning date two years later, i.e., Edward Glancy, Office of the Chief requirements for the same two September 1, 2009. We stated that the Counsel (Telephone: 202–366–2992) dummies, while belted, in a rigid barrier additional leadtime would provide (Fax: 202–366–3820). crash test with a maximum test speed of manufacturers the time needed to meet You may send mail to these officials 48 km/h (30 mph) (belted rigid barrier design challenges associated with some at National Highway Traffic Safety test requirements). vehicles and incorporate these Administration, 1200 New Jersey Under Phase II, which begins to be additional requirements into their Avenue, SE., Washington, DC 20590. phased-in on September 1, 2007, product development schedules without SUPPLEMENTARY INFORMATION: vehicles must be certified as passing the undue consequences. belted rigid barrier performance We stated that given that this phase- Table of Contents requirements at speeds up to and in was two years later, and that many I. Background including 56 km/h (35 mph) using just vehicles already comply with the new II. Petitions for Reconsideration the 50th percentile adult male dummy. requirement, we were not including III. Request for Technical Corrections In the original advanced air bag advance credits as part of this phase-in, IV. Final Rule; Agency Response to Petitions rulemaking, we stated that we did not although carryover credits earned V. Rulemaking Analyses and Notices propose including the 5th percentile during the phase-in would be allowed. I. Background adult female dummy in the second The implementation schedule for the phase-in requirement because we ‘‘had new requirement was as follows: Federal Motor Vehicle Safety sparse information on the practicability —35 percent of each manufacturer’s Standard (FMVSS) No. 208, Occupant of such a requirement.’’ We also stated light vehicles manufactured during Crash Protection, requires passenger that the agency would undergo testing the production year beginning on cars and other light vehicles to be to examine this issue further and that September 1, 2009; equipped with seat belts and frontal air we anticipated ‘‘proposing increasing —65 percent of each manufacturer’s bags to prevent or mitigate the effects of the test speed for belted tests using the light vehicles manufactured during occupant interaction with the vehicle’s 5th percentile adult female dummy to the production year beginning on interior in a crash. While air bags have 35 mph, beginning at the same time that September 1, 2010, with an allowance proven to be very effective in increasing the 50th percentile adult male is of carryover credits from vehicles the number of lives saved in moderate required to be used in belted testing at built after September 1, 2009. to high speed frontal crashes, they have that speed.’’ (60 FR 20680, 30690; and —100 percent of each manufacturer’s on occasion been implicated in fatalities 66 FR 65376). light vehicles manufactured during where vehicle occupants were in close On August 6, 2003, we published a the production year beginning on proximity to the air bag when it notice of proposed rulemaking (NPRM) September 1, 2011, with an allowance deployed. The majority of these (68 FR 46539) to increase the test speed of carryover credits from vehicles fatalities occurred in vehicles produced for the belted rigid barrier test using the built after September 1, 2009. in the 1990s. 5th percentile adult female dummy to —All light vehicles manufactured on or On May 12, 2000, NHTSA published 56 km/h (35 mph). We proposed the after September 1, 2012. in the Federal Register (65 FR 30690) its same phase-in schedule as the one used Manufacturers that sell two or fewer advanced air bag final rule. This final in Phase II beginning September 1, carlines in the United States at the rule required that future air bags be 2007. In this NPRM, we tentatively beginning of the first year of the phase- designed to create less risk of serious air concluded that the results of the tests in (September 1, 2009) have the option bag-induced injuries. The original conducted by NHTSA indicated both a of omitting the first year of the phase- advanced air bag rule established two need for and the feasibility of extending in, if they fully comply beginning on phase-in implementation schedules for the 56 km/h (35 mph) maximum speed September 1, 2010. the new requirements. for the rigid barrier test to include the Manufacturers that produce or Under Phase I, which began 5th percentile adult female dummy. assemble fewer than 5,000 vehicles for September 1, 2003 and was completed On August 31, 2006, NHTSA the U.S. market per year may defer on September 1, 2006, NHTSA required published a final rule (71 FR 57168) compliance with the new requirement vehicle manufacturers to install increasing the maximum test speed for until September 1, 2012. advanced air bag systems that reduce the belted rigid barrier test using the 5th Consistent with our usual policy the risk of air bag-induced injuries percentile adult female dummy from 48 concerning multi-stage vehicles, multi- (particularly to young children and km/h (30 mph) to 56 km/h (35 mph), the stage manufacturers and alterers may small adult drivers), while improving same speed we had previously adopted defer compliance with the new the frontal crash protection provided by for 50th percentile adult male dummies. requirement until September 1, 2013. air bag systems to occupants of different After considering the public’s sizes. NHTSA specified the use of both comments, the agency continued to II. Petitions for Reconsideration 50th percentile adult male and 5th believe that the test data obtained The agency received petitions for percentile adult female dummies for the indicated that FMVSS No. 208 should reconsideration of the August 2006 final standard’s crash tests.1 Phase I required require the same level of high speed rule from the following vehicle vehicles to be certified as passing the crash protection for small statured manufacturers and manufacturer performance requirements for both of occupants as for larger occupants. organization: Porsche Cars North these dummies, while unbelted, in a 32 We noted that the final rule was America, Inc. (Porsche), Volkswagen of km/h (20 mph) to 40 km/h (25 mph) essentially the same as the proposal, America, Inc. (VW), Mitsubishi Motors rigid barrier test (unbelted rigid barrier except for the timing of the phase-in. R&D of America (Mitsubishi), and Under the final rule, the new Alliance of Automobile Manufacturers 1 The advanced air bag rule also specified the use requirement was phased-in in a manner (Alliance). of 1-year-old infant dummies, 3- and 6-year old similar to the phase-in for the 56 km/h All four of the petitioners asked that child dummies, and 5th percentile adult female dummies in its test requirements to minimize the (35 mph) maximum speed test we reconsider our decision not to risk to infants, children, and other occupants from requirement using the 50th percentile include advance credits as part of the injuries and deaths caused by air bags. adult male dummy, but with a phase-in.

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Two of the petitioners, Alliance and bag rule provided for advance carry- after an advanced air bag is installed, VW, requested a technical correction in forward credits for vehicles produced given the design and performance the regulatory text of the standard on or after September 1, 2006, for the tradeoffs that are required for advanced regarding a special phase-in provision purposes of the 35 mph crash test air bags. The Alliance also noted that for small volume manufacturers. requirements using the 50th percentile the agency had conducted additional The details of the requests of the male dummy that will begin to be testing of five more vehicle models that petitioners, and our response, are phased in on September 1, 2007 (See were certified to the advanced air bag provided below. FMVSS No. 208 S14.3.2). requirements, and all met the 35 mph The agency stated that it was not crash test requirement with the 5th III. Request for Technical Corrections including advance credits as part of the percentile female dummy, although one The agency received a letter, dated phase-in of the 56 km/h (35 mph) had no compliance margin. The March 29, 2007, from VW, requesting requirements using the 5th percentile Alliance argued that the record reflects technical corrections in the regulatory adult female dummy given that this the difficulties of redesigning air bags to text of FMVSS No. 301, Fuel System phase-in was two years later, and that meet the competing demands of Integrity, and Part 585, Phase-in many vehicles already comply with the protecting large adult males, both belted Reporting Requirements. While the new requirement. and unbelted; protecting small females, letter addresses different regulatory As indicated earlier, the Alliance, both belted and unbelted; and requirements than the petitions for Mitsubishi, Porsche and VW asked that protecting children, both restrained and reconsideration discussed above, it we reconsider our decision not to unrestrained. According to the Alliance, requests technical corrections regarding include advance credits as part of the adding the 35 mph barrier crash test for special phase-in provisions for small phase-in. the 5th percentile female dummy volume manufacturers that are Petitions complicates this design task even essentially the same. We are therefore further, emphasizing the need for addressing these technical corrections The Alliance asked us to permit flexibility during the phase-in. in this document. manufacturers to earn and apply The Alliance argued that advance advance carry-forward credits for carry-forward credits are positive for IV. Final Rule; Agency Response to vehicles that can be certified in safety, because they recognize and Petitions compliance with the new requirements reward manufacturers that are able to As discussed below, in response to two years in advance of the regulatory certify compliance with the new petitions for reconsideration of the requirements. It stated that this is an requirements earlier than they otherwise August 2006 final rule increasing the unusually unstable era in the U.S. would have to. It also stated that the speed of the frontal barrier test automotive industry, and that in the availability of advance carry-forward requirement using belted 5th percentile current economy the uncertainties credits acts as an incentive to adult female dummies, we are adjusting associated with making product plans manufacturers to make the commitment the phase-in requirements to permit and compliance projections for a to assuring compliance that is necessary manufacturers to earn advance credits phased-in rule are very high, creating to earn and claim advance carry-forward for vehicles that are certified in the need for maximum flexibility in credits. It also stated that at the end of compliance with the new higher speed designing new regulatory requirements. the phase-in, the same number of requirement one year in advance of the That organization stated that it vehicles will be certified as compliant regulatory requirements, i.e., beginning recognizes that providing advance carry- whether or not the advance carry- on September 1, 2008. forward credits for early compliance forward credits were made available— We are also making technical with safety standards is unusual. It but the advance carry-forward credits corrections regarding special phase-in noted, however, that advance carry- would incentivize manufacturers to provisions for small volume forward credits for early compliance bring more vehicles into compliance manufacturers included in the August were included in the original advanced earlier. 2006 rule, as well as in several other air bag rule, including for early According to the Alliance, given the regulations. compliance with the 56 km/h (35 mph) dynamic nature of the U.S. auto crash test requirements using the 50th industry, despite manufacturers’ best A. Advance Credits percentile adult male dummy that will efforts to project compliant fleets during As noted above, the August 2006 final begin to be phased in on September 1, the phase-in, it may become critically rule did not include advance credits as 2007. It also stated that providing necessary to use advance carry-forward part of the phase-in of the 56 km/h (35 advance credits would be consistent credits to achieve compliance, if sales mph) barrier crash test requirements with Congressional intent in enacting for certain models fall short of using belted 5th percentile adult female the advanced air bag requirements, as projections and as manufacturers dummies, although carryover credits the Transportation Equity Act for the respond to fluctuations in market earned during the phase-in were 21st Century requirements for advanced demand. permitted. air bags had provided for such credits. For all of these reasons, the Alliance The lack of advance credits for early The Alliance questioned the agency’s requested that the agency permit compliance prior to the beginning of the statement that many vehicles already manufacturers to earn and apply phase-in period differed from the comply with the new rules, arguing that advance carry-forward credits for allowance for early credits provided in the rulemaking record shows mixed test vehicles that can be certified in the original advanced air bag rule (See results. It stated that the record showed compliance with the new requirements FMVSS No. 208 S14.1.2), which that 12 vehicle models ‘‘already two years in advance of the regulatory permitted credits for vehicles produced comply’’ with the new rules, while 6 requirements. on or after June 12, 2000, for the did not. The Alliance also stated that VW, Mitsubishi and Porsche made purposes of complying with the none of the 12 models were certified to requests similar to that of the Alliance. advanced air bag requirements for the advanced air bag requirements, so it Like the Alliance, VW requested that which the phase-in began September 1, is unclear whether any would comply manufacturers be permitted to earn 2003. Also, the original advanced air with an adequate margin of compliance advance credits for vehicles that are

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produced beginning September 1, 2007, manufacturers to earn advance credits margin. This suggests that a significant i.e., two years in advance of the for one year prior to the beginning of the number of vehicles already comply. regulatory requirements. phase-in. After considering the We also note that the primary purpose Mitsubishi requested that comments, we are persuaded that this of a provision for advance credits is to manufacturers be permitted to earn additional flexibility is appropriate. provide an incentive to encourage advance credits for one production year This one-year period for earning manufacturers to develop and introduce prior to the phase-in, i.e., beginning advance credits is consistent with the new technologies earlier than they September 1, 2008. Porsche requested Phase II phase-in, as well as the NPRM would otherwise be required. While that the agency either provide for this Phase III requirement. Among manufacturers needed to develop and manufacturers the opportunity to other things, this provision will provide introduce new technologies to meet the generate advance credits for vehicles flexibility to manufacturers in dealing risk reduction requirements of the Phase built one year prior to the start of the with uncertainty in projecting sales I advance air bag requirements, we phase-in schedule, or reduce the volumes of different models as they believe that was generally not the case compliance requirement for the first plan to meet the percentage phase-in for either Phase II or Phase III. This is year of the phase-in from 35 percent to requirements. another reason not to provide a longer 20 percent. Mitsubishi and Porsche We are not, however, providing the period for advance credits. noted that the final rule was issued longer, two-year period requested by the We note that we are making three years after the proposal and Alliance and VW. Neither petitioner conforming changes to part 585, Phase- argued that even with the two-year later provided data or specific arguments in Reporting Requirements, to reflect the phase-in, advance credits are still demonstrating the need for a period as provision for advance credits. needed. Mitsubishi and Porsche each long as two years or that a one-year B. Phase-In Exclusion for Small Volume provided information subject to claims period is not sufficient. Manufacturers of confidentiality in support of their The issues raised by the Alliance petitions. about the need for flexibility were of a In the preamble of the August 2006 general nature, and we believe that final rule, NHTSA stated that Agency Response those concerns are addressed by the manufacturers that produce or assemble After carefully considering the one-year period we are adopting. fewer than 5,000 vehicles for the U.S. requests of the petitioners, we have VW cited the fact that the period for market per year may defer compliance decided to permit manufacturers to earn advance credits was longer for Phase I, until September 1, 2012. 71 FR 51770. advance credits for vehicles that are and a statement by the agency in the This is consistent with similar certified in compliance with the new 56 original advanced air bag rulemaking provisions in FMVSS No. 208 S14.1(d) km/h (35 mph) barrier requirements that we were only allowing credits to be (related to Phase I) and S14.3(d) (related using the belted 5th percentile adult earned for vehicles manufactured one to Phase II) in which the limit of 5,000 female dummy one year in advance of year prior to the initiation of the Phase vehicles applies toward production for the regulatory requirements, i.e., II requirements because we believed the U.S. market and not worldwide beginning on September 1, 2008. manufacturers should first direct their production. However, in the regulatory As the Alliance noted in its petition, efforts toward full implementation of text of the August 2006 final rule, providing advance carry-forward credits Phase I, particularly the risk reduction S14.6(d) read: ‘‘Vehicles that are for early compliance with safety requirements. manufactured by a manufacturer that standards is unusual but not without While we agree that the Phase I produces fewer than 5,000 vehicles precedent. We note that a provision for implementation is not affected by Phase world-wide annually are not subject to advance credits can act as an incentive III, we decline to adopt a period longer the requirements of S14.6.’’ for early introduction of new safety than one year. As indicated above, a In their petitions for reconsideration, technologies and provide additional provision for advance credits can act as the Alliance and VW pointed out this flexibility for manufacturers while an incentive for early introduction of discrepancy and their belief that the resulting in the same number of vehicles new safety technologies and provide agency intended to implement this certified to meet new requirements prior additional flexibility for manufacturers, provision as described in the preamble. to full, 100 percent implementation. On but can also reduce the number of We confirm that the regulatory text in the other hand, we also recognize that vehicles that need to be upgraded to S14.6(d) was incorrect and are revising advance credits can reduce the number comply with a new requirement during it to be consistent with the preamble, of vehicles that need to be upgraded to the actual production years covered by and with the regulatory text at S14.1(d) comply with a new requirement during a phase-in, particularly in situations and S14.3(d). It will now read: the actual production years covered by where many vehicles may already ‘‘Vehicles that are manufactured by an a phase-in, particularly in situations comply with the requirement. In original vehicle manufacturer that where many vehicles may already balancing these considerations, we produces or assembles fewer than 5,000 comply with the requirement. conclude that a one-year period for vehicles annually for sale in the United In the NPRM to increase the test earning advance credits for Phase III is States are not subject to the speed of the barrier requirements using appropriate. requirements of S14.6.’’ the belted 5th percentile adult female We note that we do not know how As indicated above, we received a dummy, we proposed to permit many vehicles already comply with the letter, dated March 29, 2007, from VW, manufacturers to earn advance credits requirements. However, as discussed in requesting technical corrections in the for one year prior to the beginning of the the preamble to the final rule, and noted regulatory text of FMVSS No. 301, Fuel phase-in. For the final rule, we did not by the Alliance, the agency conducted System Integrity, and part 585, Phase-in include this provision. We believed that testing of five vehicle models that were Reporting Requirements. While the the provision was unnecessary, given certified to the advanced air bag request addresses different regulatory that we adopted a phase-in that began requirements, and all met the 56 km/h requirements than the petitions for two years later than we had proposed. (35 mph) crash test requirement with reconsideration discussed above, it On reconsideration, we have decided the 5th percentile female dummy, requests technical corrections regarding to include a provision permitting although one had no compliance special phase-in provisions for small

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volume manufacturers that are certified in compliance with the new Safety Act contains an express essentially the same. We are therefore higher speed requirement one year in preemptive provision: ‘‘When a motor addressing these issues in this final advance of the regulatory requirements, vehicle safety standard is in effect under rule.2 i.e., beginning on September 1, 2008. It this chapter, a State or a political Specifically, with respect to the does not change the number of vehicles subdivision of a State may prescribe or phase-in of inboard rear seat lap/ that must be certified to the new continue in effect a standard applicable shoulder requirements of FMVSS No. requirements, nor does it change the to the same aspect of performance of a 208, VW noted a similar discrepancy dates or percentage requirements of the motor vehicle or motor vehicle between the preamble/regulatory text of phase-in. Accordingly, while the rule equipment only if the standard is FMVSS No. 208 (which are consistent) provides some additional flexibility for identical to the standard prescribed and the relevant regulatory text of Part manufacturers, it does not affect costs under this chapter.’’ 49 U.S.C. 585. Also, with respect to the phase-in and benefits in a manner that is 30103(b)(1). It is this statutory command of upgraded rear crash test requirements quantifiable. Moreover, for the same that preempts State law, not today’s in FMVSS No. 301, VW noted a similar reason, it is not necessary for the agency rulemaking, so consultation would be discrepancy between the preamble and to do a separate regulatory evaluation. inappropriate. the regulatory text in FMVSS No. 301, B. Regulatory Flexibility Act In addition to the express preemption and the lack of a corresponding noted above, the Supreme Court has provision in Part 585. NHTSA has considered the effects of also recognized that State requirements In each of these instances, the agency this rulemaking action under the imposed on motor vehicle intended, as indicated in the preamble, Regulatory Flexibility Act (5 U.S.C. 601 manufacturers, including sanctions to apply the different compliance date et seq.). NHTSA has determined that imposed by State tort law, can stand as to manufacturers that produce or this action will not have a significant an obstacle to the accomplishment and assemble fewer than 5,000 vehicles for economic impact on a substantial execution of a NHTSA safety standard. the U.S. market each year. We are number of small entities. When such a conflict is discerned, the therefore making technical corrections In the preamble to the August 2006 Supremacy Clause of the Constitution along the lines requested by VW. final rule, NHTSA made a makes the State requirements determination that that rule will not V. Rulemaking Analyses and Notices unenforceable. See Geier v. American have a significant economic impact on Honda Motor Co., 529 U.S. 861 (2000). A. Executive Order 12866 and DOT a substantial number of small entities. Regulatory Policies and Procedures Today’s amendments make a small E. Unfunded Mandates Reform Act adjustment in the phase-in requirements NHTSA has considered the impacts of Section 202 of the Unfunded of that rule in a manner that provides Mandates Reform Act of 1995 (UMRA) this rulemaking action under Executive greater flexibility. Since these Order 12866 and the Department of requires Federal agencies to prepare a amendments will not significantly affect written assessment of the costs, benefits, Transportation’s regulatory policies and small entities, this rule will not have a procedures. This rulemaking document and other effects of proposed or final significant economic impact on a rules that include a Federal mandate was not reviewed under E.O. 12866. substantial number of small entities. This rule amends the agency’s August likely to result in the expenditure by 2006 final rule that upgraded FMVSS C. National Environmental Policy Act State, local, or tribal governments, in the No. 208 to increase the maximum belted NHTSA has analyzed the final rule for aggregate, or by the private sector, of frontal barrier crash test speed from 48 the purposes of the National more than $100 million in any one year km/h (30 mph) to 56 km/h (35 mph) for Environmental Policy Act. The agency ($120,700,000 as adjusted for inflation the 5th percentile adult female dummy. has determined that implementation of with base year of 1995). This is the same test speed as is this action will not have any significant Because this final rule will not have specified for the 50th percentile adult impact on the quality of the human a $100 million effect, no Unfunded male dummy. The August 2006 final environment. Mandates assessment has been rule was considered significant because prepared. D. Executive Order 13132 (Federalism) of public interest. However, as F. Executive Order 12988 (Civil Justice explained below, today’s amendments NHTSA has examined today’s final Reform) are not significant. rule pursuant to Executive Order 13132 As discussed in the preamble to the (64 FR 43255, August 10, 1999) and With respect to the review of the August 2006 final rule, the agency concluded that no additional promulgation of a new regulation, estimated that the rule will prevent 2– consultation with States, local section 3(b) of Executive Order 12988, 4 fatalities and reduce 2 MAIS 2–5 non- governments or their representatives is ‘‘Civil Justice Reform’’ (61 FR 4729, fatal injuries. The total net cost could mandated beyond the rulemaking February 7, 1996) requires that range from $0.0 to $9.0 million (2004 process. The agency has concluded that Executive agencies make every economics). The agency estimated the the rule does not have federalism reasonable effort to ensure that the total cost of that rule will most likely be implications because the rule does not regulation: (1) Clearly specifies the $4.5 million. have ‘‘substantial direct effects on the preemptive effect; (2) clearly specifies This rule amends the phase-in States, on the relationship between the the effect on existing Federal law or requirements of the August 2006 final national government and the States, or regulation; (3) provides a clear legal rule to permit manufacturers to earn on the distribution of power and standard for affected conduct, while advance credits for vehicles that are responsibilities among the various promoting simplification and burden levels of government.’’ reduction; (4) clearly specifies the 2 We note that Lance Tunick separately identified Further, no consultation is needed to retroactive effect, if any; (5) adequately to the agency the discrepancies related to the discuss the preemptive effect of today’s defines key terms; and (6) addresses FMVSS No. 208 requirement increasing the test speed using belted 5th percentile adult female rule. NHTSA rules can have preemptive other important issues affecting clarity dummies and also the requirement related to effect in at least two ways. First, the and general draftsmanship under any FMVSS No. 301. National Traffic and Motor Vehicle guidelines issued by the Attorney

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General. This document is consistent adult male dummy, except that it is two Description of the Likely Respondents with that requirement. years later. Under today’s rule, (Including Estimated Number, and Pursuant to this Order, NHTSA notes manufacturers will be able to earn Proposed Frequency of Response to the as follows. The preemptive effect of this advance credits for vehicles that are Collection of Information) rule is discussed above. NHTSA notes certified in compliance with the new NHTSA estimates that 21 vehicle further that there is no requirement that higher speed requirement one year in manufacturers will submit the required advance of the regulatory requirements, individuals submit a petition for information. i.e., beginning on September 1, 2008. reconsideration or pursue other For each report, the manufacturer will The implementation schedule for the administrative proceeding before they provide, in addition to its identity, may file suit in court. phase-in of the higher speed requirement using the 5th percentile several numerical items of information. G. Paperwork Reduction Act adult female dummy, as revised by The information includes: Under the procedures established by today’s rule, is as follows: (a) Total number of vehicles manufactured for sale during the the Paperwork Reduction Act of 1995, a —Advance credits for each preceding production year, person is not required to respond to a manufacturer’s light vehicles certified (b) Total number of vehicles collection of information by a Federal in compliance with the new higher manufactured during the production agency unless the collection displays a speed requirement that were year that meet the regulatory valid OMB control number. This final manufactured during the production requirements, and rule contains a ‘‘collection of year beginning on September 1, 2008 (c) Information identifying the information’’ as that term is defined by (with the phase-in report to NHTSA vehicles (by make, model, and vehicle OMB at 5 CFR 1320. As a result of this due on October 31, 2009). final rule, NHTSA proposes to amend —35 percent of each manufacturer’s identification number (VIN)) that have an existing collection of information as light vehicles manufactured during been certified as complying with the follows: the production year beginning on belted barrier test upgrade. Agency: National Highway Traffic September 1, 2009, with an allowance Estimate of the Total Annual Reporting Safety Administration (NHTSA). of carryover credits (with the phase- and Recordkeeping Burden Resulting Title: Part 585—Advanced Air Bag in report to NHTSA due on October From the Collection of Information Phase-In Reporting Requirements. 31, 2010). Type of Request—Revision of a —65 percent of each manufacturer’s At present, OMB Clearance No. 2127– Currently Approved Collection of light vehicles manufactured during 0599 gives NHTSA approval to collect Information. the production year beginning on 1,281 burden hours a year from OMB Clearance No.—2127–0599. September 1, 2010, with an allowance industry, or 61 hours from each of 21 Form Number—This collection of of carryover credits (with the phase- manufacturers. This figure of 61 hours information will not use any standard in report to NHTSA due on October represents the burden hours that would forms. 31, 2011). result if reports for two separate but Total Annual Responses—21. —100 percent of each manufacturer’s related phase-ins were due the same Total Annual Burden Hours—1,260. light vehicles manufactured during year, e.g., both the higher speed test Total Annual Burden Dollars—$0. the production year beginning on requirement using 50th percentile adult Requested Expiration Date of September 1, 2011, with an allowance male test dummies and the higher speed Clearance—At present, Clearance No. of carryover credits (with the phase- test requirement using the 5th percentile 2127–0599 is scheduled to expire on in report to NHTSA due on October adult female dummies. In the event that April 30, 2010. NHTSA will ask for one 31, 2012). manufacturers must provide only one more extension of this collection of —All light vehicles manufactured on or phase-in report in a given year, the information—through October 31, 2012. after September 1, 2012. collection of information burden would Manufacturers that sell two or fewer be 60 hours per manufacturer, or a total Summary of the Collection of carlines in the United States at the collection of information burden on Information beginning of the first year of the phase- industry of 1,260 hours. In the ‘‘Rulemaking Analyses and in (September 1, 2009), have the option Approved Clearance Through April 30, Notices’’ section of the August 31, 2006 of omitting the first year of the phase- 2010 final rule, NHTSA discussed the in, if they fully comply beginning on Paperwork Reduction Act consequences September 1, 2010. For the report due on October 31, of the collection of information (See 71 Manufacturers that produce or 2008 (covering vehicles manufactured FR at 51776–51777). As a result of assemble fewer than 5,000 vehicles for during the production year beginning on today’s final rule, NHTSA proposes to the U.S. market per year may defer September 1, 2007), since only the amend its description of the collection compliance with the new requirement phase-in report for the 50th percentile of information as follows. As earlier until September 1, 2012. adult male test dummies must be described, in today’s final rule, we are provided, NHTSA estimates that each Description of the Need for the Use of providing a year in which manufacturer will incur 60 burden the Information manufacturers can earn advance credits hours per year, or a total collection of for compliance with the 56 km/h (35 NHTSA needs this information to information burden on industry of 1,260 mph) requirements using the 5th ensure that vehicle manufacturers are hours. percentile adult female dummy. certifying their applicable vehicles as For the report due on October 31, meeting the new belted barrier test 2009 (covering vehicles manufactured Phase-in Reporting using the 5th percentile female. NHTSA during the production year beginning on The phase-in of the 56 km/h (35 mph) will use this information to determine September 1, 2008), this will be the first maximum test speed for the belted rigid whether a manufacturer has complied year for which manufacturers may need barrier test using the 5th percentile with the amended requirements of to report on vehicles certified in adult female dummy is similar to the FMVSS No. 208 during the phase-in compliance with the higher speed 5th one for the test using the 50th percentile period. percentile adult female dummy

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requirements, if they choose to earn There are 0 hours of recordkeeping received into any of our dockets by the advance credits. In addition, for all burdens resulting from the collection of name of the individual submitting the vehicle manufacturers, the phase-in information. comment (or signing the comment, if reports for the 50th percentile adult There are no capital or start-up costs submitted on behalf of an association, male dummies must continue to be as a result of this collection. business, labor union, etc.). You may provided. Manufacturers could collect and review DOT’s complete Privacy Act Thus, assuming all manufacturers tabulate the information by using Statement in the Federal Register provide both reports, NHTSA estimates existing equipment. Thus, there would published on April 11, 2000 (65 FR that each manufacturer will incur 61 be no additional costs to respondents or 19477 at 19478). burden hours a year, for a total of 1,281 recordkeepers. Because the scope of this collection of List of Subjects in 49 CFR Parts 571 and hours a year. This estimate is based on 585 the fact that the reporting format for the information differs from that described test requirements using both the 50th in the August 31, 2006 final rule, Imports, Motor vehicle safety, percentile adult male test dummies and NHTSA invites comment on its Reporting and recordkeeping the 5th percentile adult female test estimates of the total annual hour and requirements, Tires. dummies is identical. The data cost burdens resulting from this In consideration of the foregoing, collection will involve only computer collection of information. Please submit NHTSA is amending 49 CFR parts 571 tabulation (using the same reporting any comments to the NHTSA Docket and 585 as follows: format) and manufacturers will provide Number referenced in the heading of this notice or to: Ms. Lori Summers, PART 571—FEDERAL MOTOR the information to NHTSA in an VEHICLE SAFETY STANDARDS electronic (as opposed to paper) format. Office of Rulemaking, NHTSA, 1200 The data will cover the same types of New Jersey Avenue, SE., Washington, I 1. The authority citation for part 571 vehicles for both upgrades of the belted DC 20590. Ms. Summers’ telephone of Title 49 continues to read as follows: barrier test. number is: (202) 366–1740. Comments are due within 60 days of the date of Authority: 49 U.S.C. 322, 30111, 30115, Anticipated Request for Clearance for publication of this document in the 30117, and 30166; delegation of authority at 49 CFR 1.50. October 31, 2010 Through October 31, Federal Register. 2012 I 2. Section 571.208 is amended by H. Executive Order 13045 The first year of the phase-in for the revising S14.6(d) and S14.6.2 to read as Executive Order 13045 3 applies to higher speed test requirement using 5th follows: any rule that: (1) Is determined to be percentile adult female dummies covers ‘‘economically significant’’ as defined § 571.208 Standard No. 208; Occupant the production period from September under E.O. 12866, and (2) concerns an crash protection. 1, 2009, through August 31, 2010. The environmental, health or safety risk that * * * * * report will be due by October 31, 2010, NHTSA has reason to believe may have S14.6 * * * a time after OMB Clearance No. 2127– a disproportionate effect on children. If * * * * * 0599 expires on April 10, 2010. the regulatory action meets both criteria, (d) Vehicles that are manufactured by According to the phase-in schedule we must evaluate the environmental an original vehicle manufacturer that specified in the final rule of August 31, health or safety effects of the planned produces or assembles fewer than 5,000 2006, the three year period from October rule on children, and explain why the vehicles annually for sale in the United 31, 2009, through October 31, 2012, will planned regulation is preferable to other States are not subject to the include one year (covering the potentially effective and reasonably requirements of S14.6. production period from September 1, feasible alternatives considered by us. * * * * * 2009, through August 31, 2010) when This rule is not economically S14.6.2 Calculation of complying manufacturers will report on both the significant, and it will not have a vehicles. last year of the phase-in for the higher disproportionate effect on children. (a) For the purposes of complying speed test requirement using 50th with S14.6.1.1, a manufacturer may percentile adult male test dummies and I. National Technology Transfer and count a vehicle if it is manufactured on the first year of the higher speed test Advancement Act or after September 1, 2008, but before requirement using 5th percentile adult Under the National Technology September 1, 2010. female dummies. For this one year, Transfer and Advancement Act of 1995 (b) For purposes of complying with there will be an increase of one burden (NTTAA) (Pub. L. 104–113), ‘‘all Federal S14.6.1.2, a manufacturer may count a hour, resulting in a total of 61 burden agencies and departments shall use vehicle if it: hours per manufacturer, or a total technical standards that are developed (1) Is manufactured on or after burden of 1,281 hours on industry. This or adopted by voluntary consensus September 1, 2008, but before estimate is based on the fact that the standards bodies, using such technical September 1, 2011, and reporting format for the test standards as a means to carry out policy (2) Is not counted toward compliance requirements using both the 50th objectives or activities determined by with S14.6.1.1. percentile adult male test dummies and the agencies and departments.’’ Today’s (c) For purposes of complying with the 5th percentile adult female test amendments do not use technical S14.6.1.3, a manufacturer may count a dummies is identical. The data standards but merely adjust the phase- vehicle if it: (1) Is manufactured on or after collection will involve only computer in requirements adopted in the August September 1, 2008, but before tabulation (using the same reporting 2006 final rule. format) and manufacturers will provide September 1, 2012, and the information to NHTSA in an J. Privacy Act (2) Is not counted toward compliance electronic (as opposed to paper) format. Anyone is able to search the with S14.6.1.1 or S14.6.1.2. The data will cover the same types of electronic form of all comments * * * * * vehicles for both upgrades of the belted I 3. Section 571.301 is amended by barrier test. 3 62 FR 19885, April 23, 1997. revising S6.2(c) to read as follows:

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§ 571.301 Standard No. 301; Fuel system that production year as complying with § 585.23 Applicability. integrity. phase three of the advanced air bag This subpart applies to manufacturers * * * * * requirements of Standard No. 208 shall of passenger cars and trucks, buses, and S6.2 * * * submit a report to the National Highway multipurpose passenger vehicles with a (c) Small volume manufacturers. Traffic Safety Administration providing GVWR of 4,536 kg or less. However, this Notwithstanding S6.2(b) of this the information specified in paragraph subpart does not apply to any standard, vehicles manufactured on or (c) of this section and in § 585.2 of this manufacturers whose production after September 1, 2004 and before part. consists exclusively of walk-in vans, September 1, 2008 by a manufacturer * * * * * vehicles designed to be sold exclusively that produces fewer than 5,000 vehicles (c) * * * to the U.S. Postal Service, vehicles annually for sale in the United States (3) With respect to the report manufactured in two or more stages, may meet the requirements of S6.2(a). identified in section 585.15(a)(3), each and vehicles that are altered after Vehicles manufactured on or after manufacturer shall report the number of previously having been certified in September 1, 2008 by small volume vehicles, by make and model year, that accordance with part 567 of this manufacturers must meet the meet the applicable advanced air bag chapter. In addition, this subpart does requirements of S6.2(b). requirements of Standard No. 208, and not apply to manufacturers that produce * * * * * to which the advanced air bag fewer than 5,000 vehicles annually for requirements the vehicles are certified. sale in the United States. PART 585—PHASE-IN REPORTING I REQUIREMENTS * * * * * 8. Section 585.43 is revised to read as I 6. Section 585.16 is revised to read as follows: I 4. The authority citation for part 585 follows: § 585.43 Applicability. of Title 49 continues to read as follows: § 585.16 Records. This subpart applies to manufacturers Authority: 49 U.S.C. 322, 30111, 30115, of passenger cars, multipurpose 30117, and 30166; delegation of authority at Each manufacturer shall maintain 49 CFR 1.50. records of the Vehicle Identification passenger vehicles, trucks and buses with a GVWR of 4,536 or less. However, I Number of each vehicle for which 5. Section 585.15 is amended by information is reported under this subpart does not apply to adding (a)(3) and (c)(3) to read as § 585.15(c) until December 31, 2011. manufacturers that produce fewer than follows: Each manufacturer shall maintain 5,000 vehicles annually for sale in the United States. § 585.15 Reporting requirements. records of the Vehicle Identification (a) * * * Number of each vehicle for which Issued: October 29, 2007. (3) Within 60 days after the end of the information is reported under Nicole R. Nason, production year ending August 31, § 585.15(d)(2) until December 31, 2013. Administrator. 2009, each manufacturer choosing to I 7. Section 585.23 is revised to read as [FR Doc. E7–21600 Filed 11–1–07; 8:45 am] certify vehicles manufactured during follows: BILLING CODE 4910–59–P

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Proposed Rules Federal Register Vol. 72, No. 212

Friday, November 2, 2007

This section of the FEDERAL REGISTER • Mail: U.S. Department of the Cirrus Airplane Parachute System contains notices to the public of the proposed Transportation, Docket Operations, M– (CAPS), where the parachute failed to issuance of rules and regulations. The 30, West Building Ground Floor, Room successfully deploy. Testing indicates purpose of these notices is to give interested W12–140, 1200 New Jersey Avenue, SE., that the force of the rocket ignition and persons an opportunity to participate in the Washington, DC 20590. rocket blast may prematurely break the rule making prior to the adoption of the final • Fax: (202) 493–2251. rules. nylon pick up collar/support screws. • Hand Delivery: U.S. Department of When functioning properly the screws Transportation, Docket Operations, M– should not break until impacted by a DEPARTMENT OF TRANSPORTATION 30, West Building Ground Floor, Room flange at the rocket base. A prematurely W12–140, 1200 New Jersey Avenue, SE., separated collar/support may bind on Federal Aviation Administration Washington, DC 20590, between 9 a.m. the rocket as it slides down toward the and 5 p.m., Monday through Friday, flange at the base of the rocket. This 14 CFR Part 39 except Federal holidays. may alter the direction of the rocket. For service information identified in This condition, if not corrected, could this proposed AD, contact Ballistic [Docket No. FAA–2007–29317; Directorate result in the parachute failing to Recovery Systems, Inc., 300 Airport Identifier 2007–CE–079–AD] successfully deploy upon activation. Road, South Saint Paul, MN 55075– RIN 2120–AA64 3551; telephone: (651) 457–7491; fax: Relevant Service Information (651) 457–8651. We have reviewed Ballistic Recovery Airworthiness Directives; Cessna FOR FURTHER INFORMATION CONTACT: Systems, Inc. Service Bulletins SB 07– Aircraft Company Model 172 and 182 Gregory Michalik, Senior Aerospace Series Airplanes 01, dated June 8, 2007; and SB 07–02, Engineer, FAA, 2300 East Devon dated June 8, 2007. The service Avenue, Des Plaines, Illinois, 60018; AGENCY: Federal Aviation information describes procedures for the Administration (FAA), Department of telephone: (847) 294–7135; fax: (847) replacement of the pick-up collar 294–7834; e-mail: Transportation (DOT). support and screws. [email protected]. ACTION: Notice of proposed rulemaking SUPPLEMENTARY INFORMATION: FAA’s Determination and Requirements (NPRM). of the Proposed AD Comments Invited SUMMARY: We propose to adopt a new We are proposing this AD because we airworthiness directive (AD) for certain We invite you to send any written evaluated all information and Cessna Aircraft Company Model 172 relevant data, views, or arguments determined the unsafe condition and 182 series airplanes that are regarding this proposed AD. Send your described previously is likely to exist or equipped with the BRS–172 and BRS– comments to an address listed under the develop on other products of the same 182 Parachute System. This proposed ADDRESSES section. Include the docket type design. This proposed AD would AD would require the replacement of number, ‘‘FAA–2007–29317; Directorate require the replacement of the pick-up the pick-up collar support and nylon Identifier 2007–CE–079–AD’’ at the collar support and screws for the BRS– screws for the BRS–172 and BRS–182 beginning of your comments. We 172 and BRS–182 Parachute System. Parachute System. This proposed AD specifically invite comments on the overall regulatory, economic, The BRS–172 and BRS–182 Parachute results from notification by Ballistic System could also be installed on Recovery Systems, Inc. (BRS) that the environmental, and energy aspects of the proposed AD. We will consider all Cessna 150 series airplanes and pick-up collar assembly may Symphony Aircraft Industries Models prematurely move off the launch tube comments received by the closing date and may amend the proposed AD in OMF–100–160 and SA 160 airplanes. and adversely affect rocket trajectory The corrective actions proposed in this during deployment. We are proposing light of those comments. We will post all comments we NPRM are specific to the Cessna 172 this AD to prevent premature separation and 182 series airplanes. We are of the collar. This condition could result receive, without change, to http:// www.regulations.gov, including any evaluating these other BRS installations in the parachute failing to successfully and, based on this evaluation, may deploy. personal information you provide. We will also post a report summarizing each consider additional rulemaking on this DATES: We must receive comments on substantive verbal contact we receive subject. this proposed AD by December 3, 2007. concerning this proposed AD. Costs of Compliance ADDRESSES: Use one of the following addresses to comment on this proposed Discussion We estimate that this proposed AD AD: We have been notified by Ballistic would affect 54 airplanes in the U.S. • Federal eRulemaking Portal: Go to Recovery Systems, Inc. of a concern registry. http://www.regulations.gov. Follow the similar to that which prompted AD We estimate the following costs to do instructions for submitting comments. 2007–14–03, dated August 16, 2007, on the proposed modification:

Total cost per Total cost on Labor cost Parts cost airplane U.S. operators

1 work-hour × $80 per hour = $80 ...... N/A ...... $80 $4,320

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Note: BRS will provide warranty credit to on a substantial number of small entities Affected ADs the extent noted in Ballistic Recovery under the criteria of the Regulatory (b) None. Systems, Inc. Service Bulletins SB 07–01 and Flexibility Act. SB 07–02, both dated June 8, 2007. We prepared a regulatory evaluation Applicability of the estimated costs to comply with (c) This AD applies to the following Authority for This Rulemaking this proposed AD and placed it in the airplane models, all serial numbers, Title 49 of the United States Code AD docket. certificated in any category, that are specifies the FAA’s authority to issue equipped with: rules on aviation safety. Subtitle I, Examining the AD Docket (1) BRS–172 Parachute System installed via Supplemental Type Certificate (STC) Section 106, describes the authority of You may examine the AD docket that SA01679CH, or the FAA Administrator. Subtitle VII, contains the proposed AD, the (2) BRS–182 Parachute System installed Aviation Programs, describes in more regulatory evaluation, any comments via STC SA01999CH. detail the scope of the Agency’s received, and other information on the authority. Internet at http://www.regulations.gov; Cessna 172 models Cessna 182 models We are issuing this rulemaking under or in person at the Docket Management the authority described in Subtitle VII, Facility between 9 a.m. and 5 p.m., 172 ...... 182 Part A, Subpart III, Section 44701, Monday through Friday, except Federal 172A ...... 182A ‘‘General requirements.’’ Under that holidays. The Docket Office (telephone 172B ...... 182B section, Congress charges the FAA with (800) 647–5527) is located at the street 172C ...... 182C 172D ...... 182D promoting safe flight of civil aircraft in address stated in the ADDRESSES section. 172E ...... 182E air commerce by prescribing regulations Comments will be available in the AD 172F (USAF T–41A) 182F for practices, methods, and procedures docket shortly after receipt. 172G ...... 182G the Administrator finds necessary for List of Subjects in 14 CFR Part 39 172H (USAF T–41A) 182H safety in air commerce. This regulation 172I ...... 182J is within the scope of that authority Air transportation, Aircraft, Aviation 172K ...... 182K because it addresses an unsafe condition safety, Safety. 172L ...... 182L 172M ...... 182M that is likely to exist or develop on The Proposed Amendment products identified in this rulemaking 172N ...... 182N 172P ...... 182P action. Accordingly, under the authority delegated to me by the Administrator, 172Q ...... 182Q Regulatory Findings the FAA proposes to amend 14 CFR part 172R ...... 182R 172S ...... 182S We have determined that this 39 as follows: 182T proposed AD would not have federalism R182 implications under Executive Order PART 39—AIRWORTHINESS T182 13132. This proposed AD would not DIRECTIVES TR182 have a substantial direct effect on the 1. The authority citation for part 39 T182T States, on the relationship between the continues to read as follows: national Government and the States, or Unsafe Condition Authority: 49 U.S.C. 106(g), 40113, 44701. on the distribution of power and (d) This AD results from notification by responsibilities among the various § 39.13 [Amended] Ballistic Recovery Systems, Inc. (BRS) that levels of government. 2. The FAA amends § 39.13 by adding the pick-up collar assembly may prematurely move off the launch tube and adversely affect For the reasons discussed above, I the following new AD: certify that the proposed regulation: rocket trajectory during deployment. We are 1. Is not a ‘‘significant regulatory Cessna Aircraft Company: Docket No. FAA– issuing this AD to prevent premature action’’ under Executive Order 12866; 2007–29317; Directorate Identifier 2007– separation of the collar. This condition could CE–079–AD. result in the parachute failing to successfully 2. Is not a ‘‘significant rule’’ under the deploy. DOT Regulatory Policies and Procedures Comments Due Date (44 FR 11034, February 26, 1979); and (a) We must receive comments on this Compliance 3. Will not have a significant airworthiness directive (AD) action by (e) To address this problem, you must do economic impact, positive or negative, December 3, 2007. the following, unless already done:

Actions Compliance Procedures

Remove and replace the pick-up collar support Within the next 25 hours time-in-service after (i) For Cessna Model 172 airplanes follow and two retaining screws. the effective date of this AD. BRS SB 07–01, dated June 8, 2007. (ii) For Cessna Model 182 airplanes, follow BRS SB 07–02, dated June 8, 2007.

Alternative Methods of Compliance [email protected]. Before using any South Saint Paul, MN 55075–3551; (AMOCs) approved AMOC on any airplane to which telephone: (651) 457–7491; fax: (651) 457– (f) The Manager, Chicago Aircraft the AMOC applies, notify your appropriate 8651. To view the AD docket, go to U.S. Certification Office, FAA, has the authority to principal inspector (PI) in the FAA Flight Department of Transportation, Docket approve AMOCs for this AD, if requested Standards District Office (FSDO), or lacking Operations, M–30, West Building Ground using the procedures found in 14 CFR 39.19. a PI, your local FSDO. Floor, Room W12–140, 1200 New Jersey Send information to ATTN: Gregory Avenue, SE., Washington, DC 20590, or on Related Information Michalik, Senior Aerospace Engineer, FAA, the Internet at http://www.regulations.gov. 2300 East Devon Avenue, Des Plaines, (g) To get copies of the service information The docket number is Docket No. FAA– Illinois 60018; telephone: (847) 294–7135; referenced in this AD, contact Ballistic 2007–29317; Directorate Identifier 2007–CE– fax: (847) 294–7834; e-mail: Recovery Systems, Inc., 300 Airport Road, 079–AD.

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Issued in Kansas City, Missouri, on any personal information provided. The U.S.C. 3304(a)(9)(b)) requires each State, October 26, 2007. www.regulations.gov Web site is the as a condition of participation in the Kim Smith, Federal e-rulemaking portal and all Federal-State UC program, to participate Manager, Small Airplane Directorate, Aircraft comments posted there are available in any arrangement specified by the Certification Service. and accessible to the public. The Secretary of Labor for payment of UC on [FR Doc. E7–21571 Filed 11–1–07; 8:45 am] Department recommends that the basis of combining an individual’s BILLING CODE 4910–13–P commenters not include their personal employment and wages in two or more information such as Social Security States. A claim filed under this Numbers, personal addresses, telephone arrangement is a Combined Wage Claim DEPARTMENT OF LABOR numbers, and e-mail addresses in their or ‘‘CWC.’’ Section 3304(a)(9)(B), FUTA, comments as such submitted is implemented at 20 CFR part 616. As Employment and Training information will become easily available explained in § 616.1, the purpose of the Administration to the public via the arrangement is to permit an www.regulations.gov Web site. unemployed worker with covered 20 CFR Part 616 Comments submitted through employment or wages in more than one www.regulations.gov will not include State to combine all such employment RIN 1205–AB51 the e-mail address of the commenter and wages in one State, in order to Federal-State Unemployment unless the commenter chooses to qualify for benefits or to receive more Compensation Program (UC); include that information as part of their benefits. Section 616.2 explains that, in Interstate Arrangement for Combining comment. It is the responsibility of the accordance with section 3304(a)(9)(B), Employment and Wages commenter to safeguard his or her the arrangement was developed in information. consultation with the representative of AGENCY: Employment and Training Instructions: All submissions received the State UC agencies, currently known Administration, Labor. must include the agency name and the as the National Association of State ACTION: Notice of Proposed Rulemaking RIN for this rulemaking: RIN 1205– Workforce Agencies (‘‘NASWA’’). (NPRM); request for comments. AB51. If commenters transmit The arrangement provides at comments through the Internet and also § 616.7(a) that any unemployed SUMMARY: The U.S. Department of Labor submit a hard copy by mail, please individual who had employment (Department) is proposing to amend its indicate that it is a duplicate copy of the covered under the UC law of two or regulations governing combined-wage Internet transmission. more States, whether or not he or she claims (CWC) filed under the Federal- Docket: All comments will be has earned sufficient wages to qualify State UC program. Most significantly, available for public inspection and for UC under one or more of them, may the Department proposes to amend the copying during normal business hours elect to file a CWC. Under § 616.6(e)(1), definition of ‘‘paying State.’’ The by contacting the Office of Policy the ‘‘paying State’’ is the State in which Department also invites comments on Development and Research at (202) the claimant files the CWC, if he or she all issues relating to the CWC 693–3700. As noted above, the qualifies for benefits under the UC law arrangement and its governing Department also will post all comments of that State on the basis of combined regulations. it receives on www.regulations.gov. This employment and wages. Section 616.6(e)(2) identifies the ‘‘paying State’’ DATES: To be ensured consideration, Federal eRulemaking portal is easily accessible to the public. The when either the CWC claimant does not comments must be submitted in writing qualify for unemployment benefits on or before January 2, 2008. Department cautions the public to avoid providing personal information in your under the UC law of the State in which ADDRESSES: You may submit comments, comments that you do not want to he or she files the CWC or the claimant identified by Regulatory Information become public via the Internet, such as files a CWC in Canada. Number (RIN) 1205–AB51, by any of the social security number, personal Under § 616.8, the ‘‘paying State’’ following methods: address, phone number, and e-mail assumes the responsibility for arranging • Federal eRulemaking Portal: http:// address. the transfer of wages from other State(s) www.regulations.gov. Follow the Copies of the proposed rule are where wages were earned (that is, the instructions for submitting comments. ‘‘transferring State,’’ as defined at • available in alternative formats of large Mail: Submit comments to Thomas print and electronic file on computer § 616.6(f)) during the ‘‘paying State’s’’ Dowd, Administrator, Office of Policy disk, which may be obtained at the base period (that is, the period during Development and Research, U.S. above-stated address. The proposed rule which wages earned are counted toward Department of Labor, Employment and is available on the Internet at the Web determining benefit eligibility and Training Administration, 200 address http://www.doleta.gov. amount). In addition to making benefit Constitution Avenue, NW., Room N– payments to eligible individuals, the FOR FURTHER INFORMATION CONTACT: 5641, Washington, DC 20210. ‘‘paying State’’ also issues all Jacqui Shoholm, Director of the Division Because of security-related concerns, determinations relating to eligibility for of Policy, Legislation and Regulations, there may be a significant delay in the benefits based on its UC law. Section Office of Policy Development and receipt of submissions by United States 616.9 explains the responsibilities of the Research, Employment and Training Mail. You must take this into transferring State to transfer the covered Administration, (202) 693–3700 (this is consideration when preparing to meet employment and wages of the CWC not a toll-free number) or 1–877–889– the deadline for submitting comments. claimant to the ‘‘paying State’’ and 5627 (TTY), or [email protected]. • Hand Delivery/Courier: 200 reimburse the ‘‘paying State’’ for Constitution Avenue, NW., Room N– SUPPLEMENTARY INFORMATION: benefits based upon wages earned in the 5641. I. Background transferring State. The Department will post all For the reasons explained below, the comments received on General Department proposes to amend the www.regulations.gov without making Section 3304(a)(9)(B) of the Federal definition of ‘‘paying State’’ in § 616.6(e) any change to the comments, including Unemployment Tax Act (FUTA) (26 of 20 CFR, add a new paragraph (f) to

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§ 616.7 requiring that where a State vary greatly among States. (For example, However, this scenario is likely to have denies a CWC it must notify the the maximum WBA in Mississippi is been rare and the Department believes claimant of the option of filing in $210 compared with $575 (plus that this result is reasonable. It is another State, and make a conforming allowances for dependents) in consistent with the insurance principles amendment to § 616.8(a) addressing the Massachusetts.) that benefit rights be determined under responsibilities of the ‘‘paying State.’’ The Department believes that forum the State law under which the claimant The Department also proposes to delete shopping is undesirable for several had employment and wages in the as unnecessary § 616.5, which makes reasons. First, it may unfairly advantage State’s base period. December 31, 1971, the effective date of claimants who worked in multiple The Department considered a number the arrangement. States over those who worked in just of options for preventing forum one State by affording CWC claimants shopping. The proposed rule provides Reasons for Regulatory Change the choice of filing a UC claim in a State the most practical and least complicated The current regulation for with a higher WBA. Second, ‘‘forum set of tests for determining the ‘‘paying determining the ‘‘paying State’’ for shopping’’ results in higher costs for the State’’ and is also the least restrictive in CWCs was issued in 1974 (39 FR 45215, claimant’s employers, because the allowing the claimant some choice in December 31, 1974) to replace a more claimant files a CWC in a State paying selecting that State. The Department complicated test for determining the higher benefits, which are ultimately considered using a ‘‘majority of wages’’ ‘‘paying State.’’ It was intended to speed funded by those employers. test; however, that test would require payments to eligible claimants by Moreover, forum shopping the State against which the claim was streamlining a manual process which undermines the insurance principles of originally filed to obtain the wages from relied on mailing paper forms between the Federal-State UC program. Under an all States where the claimant earned States to determine which State would insurance program, benefits are payable wages and then determine where the be the ‘‘paying State.’’ That system based on a specific plan. In the case of majority of base period wages were could take weeks or months to UC, benefits are payable under a State’s located. Although information-sharing determine which State should be the plan for compensating unemployment. technology now exists among States ‘‘paying State’’ for a particular claim. This plan balances premiums (in the allowing for more immediate The simple solution, adopted in 1974 form of employer contributions) with determinations of where wages were (§ 616.6(e)(1)), makes the ‘‘paying State’’ benefit outlays (in the form of payments earned, wages are not immediately or the State in which the claimant filed the to individuals), requiring that benefit automatically entered into a State’s claim. This amendment made the rights and contribution rates be wage data base; State practices vary ‘‘paying State’’ readily identifiable, and, coordinated. CWCs are unique in that widely in how wages are captured and because UC claims were filed in person insured wages are necessarily combined entered into the State system. Therefore, in 1974, this amendment also was under a single State’s plan. However, many such preliminary determinations convenient for the claimant, who would the current § 616.6(e)(1) permits a CWC could be erroneous, requiring that the be physically present in the State in claimant to elect benefits under the UC CWC be cancelled in one State and filed which he or she filed the claim. Under law of a State in which he or she had again in another State with a resulting § 616.9, all of the claimant’s wages are no employment. This approach allows overpayment in the first State. Also, to be transferred to this ‘‘paying State,’’ the claimant to choose a plan with the alternative base periods are a whose law governs the CWC under most favorable coverage even though the complicating factor. It is possible the § 616.8. If the claimant does not qualify claimant otherwise has no coverage claimant would have the ‘‘majority’’ of for benefits in the State in which he or under that plan. Although the CWC wages under State A’s regular base she filed the claim, § 616.6(e)(2) applies. arrangement cannot be amended to period, but also have the ‘‘majority’’ of The Department now proposes to provide for the payment of benefits in wages under State B’s alternative base amend the definition of ‘‘paying State.’’ accordance with the laws of two or more period. Thus, the State against which Information-sharing technology now States, the proposed amendment to the CWC was filed would need to exists among States which allows for § 616.6(e) would require that the complete a complex and cumbersome more immediate determinations of benefits be determined under the law of process to determine which State had where wages have been earned. one State in which the claimant had the majority of wages. Should the Therefore, it is no longer necessary to insured base period wages. This result ‘‘majority’’ State not be the State against make the ‘‘paying State’’ the State in conforms more closely to the insurance which the claim was filed, the State which the claimant chooses to file the principles of the program. against which the claim was filed would CWC, as the current regulations do. The proposed amendment to need to deny the claim and advise the Permitting the claimant to choose the § 616.6(e) would to some extent limit claimant where to file. This process ‘‘paying State’’ led to an unintended benefit eligibility, because it would would create delays and confusion, and consequence, forum shopping. Under limit the determination of entitlement to would be much more complex than the current definition, the ‘‘paying a State in which the claimant had base allowing the claimant to file in any State State’’ need not be a State in which the period wages. Thus, under the proposed where he or she earned wages. Those individual has covered wages. Rather, section, an individual who had base States would, contrary to the ‘‘majority’’ that definition makes the ‘‘paying State’’ period wages in two or more States, but State, be readily identifiable. any State in which the claimant files a who is unable to qualify for benefits in The Department also considered CWC if the claimant qualifies for any of these States, would be denied redefining ‘‘paying State’’ as the State in benefits in that State on the basis of benefits. To the contrary, the current which the individual was last combining his or her wages under that § 616.6(e) permits a claimant’s employed. The Department values State’s law. As a result, an individual entitlement to also be determined under consistency in the treatment of may claim in a State with a higher a State law where he or she had no claimants and believes that, to the weekly benefit amount (WBA) than wages. Thus, under the current section, extent possible, CWC claimants should exists in any of the States in which the that claimant might be able to find be treated the same as non-CWC claimant had covered employment. another State under whose law he or she claimants. For a claimant with base Forum shopping occurs because WBAs would qualify and file the CWC there. period wages and employment in only

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one State, the determination of had wages in the base period(s) of no It should also be noted that the entitlement will be based solely on his/ other State. current § 616.6(e)(2) provides that if a her wages and employment during the Under § 616.6(i) of 20 CFR, ‘‘base CWC is filed in Canada, then the base period. Similarly, the Department period’’ is defined as the base period ‘‘paying State’’ is the ‘‘State where the believes that, when a claimant has base ‘‘applicable under the unemployment Combined-Wage Claimant was last period wages and employment in more compensation law of the paying State.’’ employed in covered employment than one State, the determination of Thus, the proposed rule would apply among the States in which the claimant entitlement should be based solely on the elected ‘‘paying State’s’’ definition qualifies for unemployment benefits on his/her base period wages and of ‘‘base period.’’ If an individual had the basis of combined employment and employment in those States, rather than insufficient wages and employment to wages * * *.’’ The preamble of the 1974 whether the claimant has wages with a qualify under the elected ‘‘paying rule (39 FR 45215–16) explained that it non-base period employer in another State’s’’ regular base period, then that referenced Canada to acknowledge that State. State’s rules of monetary entitlement while Canada could not be a ‘‘paying Additionally, there is difficulty in (including any provisions regarding State,’’ claims may be filed in Canada ensuring the accurate and timely alternative base periods) would govern. against a State of the United States identification of the most recent (Some States use an ‘‘alternative base under the Interstate Benefit Payment employer for UI purposes. Claimants do period’’ in addition to the regular base Plan (IBPP). That Plan provides for a not always know the correct name of period to afford a claimant with wages State, or Canada, helping a claimant file their last employer. Also, in some cases, outside the regular base period an a UC claim against another State. In wages are not required to be reported by opportunity to qualify for benefits.) eliminating the current § 616.6(e)(2), the employers until months after a claimant Thus, a claimant, who could not qualify proposed rule would eliminate the has been separated from employment. under the regular base period, would be reference to Canada. However, that These more recent wages will not be able to seek benefits under the elected reference is unnecessary since, as the available at the time of filing and would ‘‘paying State’s’’ alternative base period, 1974 rule noted, Canada cannot be a need to be requested by the State, which if one existed. ‘‘paying State.’’ Further, the CWC would be administratively cumbersome The proposed definition at § 616.6(e) regulations do not implement the IBPP and possibly delay the initial payment would replace the current § 616.6(e)(1) and the current regulations do not, in of UC. and § 616.6(e)(2). The current any event, explicitly indicate that Accordingly, the proposed definition § 616.6(e)(2) addresses what happens if Canada is a party to it. In removing that of ‘‘paying State’’ as any State in which the claimant fails to qualify under the reference, the Department does not the claimant earned base period wages law of the State in which he or she filed intend to signal that Canada is not a party to the IBPP. would make that State readily a CWC, by providing that in that event The proposal also includes a identifiable without the need for the ‘‘paying State’’ is the ‘‘State where conforming amendment to § 616.8(a), complex procedures and the Combined-Wage Claimant was last which sets forth the responsibilities of determinations. It would not totally employed in covered employment the ‘‘paying State’’ regarding the transfer eliminate claimant choice, but still serve among the States in which the claimant of employment and wages and the the purpose of preventing forum qualifies for unemployment benefits on payment of benefits. One requirement in shopping. the basis of combined employment and this section is that the ‘‘paying State’’ For these reasons, the Department wages * * *.’’ The Department must, with an exception not relevant to proposes to update the CWC regulations proposes removing this provision the Department’s proposed amendment, as follows to prevent forum shopping because it would no longer be apply its own law to CWC and conform them to the UC program’s necessary. The proposed definition of determinations, even if the claimant had insurance principles. ‘‘paying State’’ would permit a claimant no covered wages in the ‘‘paying State.’’ whose CWC was denied to file another II. Summary of the Proposed Rule The Department’s proposed amendment CWC in a second State where he or she to the definition of ‘‘paying State’’ The proposed rule would amend the had base period wages. At the time of ensures that there always will be definition of ‘‘paying State’’ at § 616.6(e) claim filing, or shortly thereafter, the covered wages in a ‘‘paying State.’’ to provide that the ‘‘paying State’’ is a claimant’s base period wage and Therefore, since the reference to a ‘‘single State against which the claimant earnings history is reviewed for claimant having no covered wages in files a Combined-Wage Claim,’’ if— accuracy with the claimant. Because the ‘‘paying State’’ would no longer be (1) The claimant has wages and current technology now permits State relevant and would contradict the employment in the State’s base period(s) agency staff to view claimant wages and Department’s purpose in amending the (that is, the time period(s) during which eligibility criteria for other States, where regulations, the Department proposes to the claimant’s wages count toward they find such wages, they are able to eliminate it. eligibility for, and the amount of, UC); provide prompt notice to the claimant of Lastly, the Department proposes to and all claim filing options. delete the effective date provision of the (2) the claimant qualifies for UC If that second State denied the CWC, CWC arrangement because it is no under the law of that State using the claimant could file in a third State longer needed. combined wages and employment. where he or she had wages, and so on. Under the proposed § 616.6(e), if a Thus, where a claimant failed to qualify Request for Comments claimant had wages and employment in under the law of the State in which he The Department sets forth in this the base period(s) of State A and the or she filed the CWC, the claimant could NPRM a proposal to modernize the base period(s) of State B, the claimant file again in another State where he or CWC system by amending the definition may elect either State A or State B, she had wages. The proposed rule of ‘‘paying State’’ and amending other because the ‘‘paying State’’ must be a would add a new paragraph (f) to regulatory provisions to take into ‘‘single’’ State. Further, no State other § 616.7 requiring the denying State to account the amended definition. The than State A or State B could serve as inform the claimant of this option to file Department is interested in receiving the ‘‘paying State,’’ because the claimant again elsewhere. comments on its proposed amendments

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to Part 616, as well as alternative Further, section 3304(a)(9)(B), FUTA, maintains consistency and equity in the proposals for preventing forum requires consultation with the State treatment of claimants across all shopping. Additionally, since the CWC agencies in developing the CWC program areas. Therefore, the arrangement has been in existence for arrangement. Section 616.2 of the CWC Department certifies that this proposed over thirty-five years without change to regulations also provides that for rule does not adversely impact family its basic structure, the Department purposes of ‘‘such consultation in its well-being. requests comments on the desirability of formulation and any future amendment Regulatory Flexibility Act / SBREFA amending any of its provisions at Part the Secretary recognizes, as agents of the 616. State agencies, the duly designated We have notified the Chief Counsel representatives of the NASWA.’’ III. Administrative Provisions for Advocacy, Small Business Consultation has occurred on an Administration, and made the Executive Order 12866 informal basis with the States through certification according to the Regulatory NASWA. The Department intends to Flexibility Act (RFA) at 5 U.S.C. 605(b), This proposed rule is not consult with the UI Committee or any economically significant. Under that this proposed rule will not have a other representative(s) of the States significant economic impact on a Executive Order 12866, a rule is selected by the NASWA, during the 60- economically significant if it materially substantial number of small entities. day comment period for this proposed Under the RFA, no regulatory flexibility alters the budgetary impact of rule. entitlements, grants, user fees, or loan analysis is required where the rule ‘‘will programs; has an annual effect on the Unfunded Mandates Reform Act of 1995 not * * * have a significant economic impact on a substantial number of small economy of $100 million or more; or This regulatory action has been entities.’’ 5 U.S.C. 605(b). A small entity adversely affects the economy, a sector reviewed in accordance with the is defined as a small business, small of the economy, productivity, Unfunded Mandates Reform Act of 1995 competition, jobs, the environment, (Pub. L. 104–4). Under the Act, a federal not-for-profit organization, or small public health or safety, or State, local, agency must determine whether a governmental jurisdiction. 5 U.S.C. or tribal governments or communities in regulation proposes a federal mandate 601(3)–(5). Therefore, the definition of a material way. The Department has that would result in the increased the term ‘‘small entity’’ does not include determined that this proposed rule is expenditures by State, local, or tribal States. not economically significant under the governments, in the aggregate, or by the This proposed rule describes Executive Order because it will not have private sector, of $100 million or more procedures governing State an economic impact of $100 million or in any one year. The Department has administration of the CWC arrangement more on the State agencies or the determined that this proposed rule does under the federal-State UC program, economy. not create any unfunded mandates which does not extend to small governmental jurisdictions. Therefore, Paperwork Reduction Act because it will not significantly increase aggregate costs of the CWC arrangement. the Department certifies that this Under the Paperwork Reduction Act The effect of this proposal is to preclude proposed rule will not have a significant (PRA), the Department of Labor is forum shopping and tie UC eligibility impact on a substantial number of small required to submit any information more closely to the insurance principle entities and, as a result, no regulatory collection requirements to the Office of of the Federal-State UC program, and it flexibility analysis is required. Management and Budget (OMB) for does not create additional entitlements. In addition, the Department certifies review and approval. 44 U.S.C. 3501 et This proposed modification does not that this proposed rule is not a major seq. This proposed rule does not impose add an additional burden on States with rule as defined by section 804 of the any new requirements or modification respect to claim processing because it Small Business Regulatory Enforcement of the existing requirements on the does not alter the States’ delivery of Act of 1996 (SBREFA). Under section States that have not already been claim filing services. 804 of SBREFA, a major rule is one that approved by OMB for collection. is an ‘‘economically significant Effect on Family Life Therefore, the Department has regulatory action’’ within the meaning determined that this proposed rule does The Department certifies that this of Executive Order 12866. Because this not contain a new information proposed rule has been assessed proposed rule is not an economically collection requiring it to submit a according to section 654 of Pub. L. 105– significant rule under Executive Order paperwork package to OMB. 277 for its effect on family well-being. 12866, the Department certifies that it This provision protects the stability of Executive Order 13132: Federalism also is not a major rule under SBREFA. family life, including marital Executive Order 13132 at section 6 relationships, financial status of List of Subjects in 20 CFR Part 616 requires federal agencies to consult with families, and parental rights. Labor, and Unemployment State entities when a regulation or The Department concludes that this compensation. policy may have a substantial direct proposed rule will not adversely affect effect on the States or the relationship the well-being of the nation’s families. Words of Issuance between the national government and This proposed rule’s change in the For the reasons stated in the the States, or the distribution of power definition of ‘‘paying State’’ will more preamble, the Department proposes to and responsibilities among the various closely tie CWC eligibility to the amend 20 CFR part 616 as set forth levels of government, within the insurance principle underlying the below: meaning of the Executive Order. Section Federal-State UC program without 3(b) of the Executive Order further affecting an individual’s ability to file a PART 616—INTERSTATE provides that federal agencies must CWC. The Department also intends that ARRANGEMENT FOR COMBINING implement regulations that have a the proposed rule will eliminate the EMPLOYMENT AND WAGES substantial direct effect only if statutory practice of forum shopping that has authority permits the regulation and it occurred under the current CWC 1. The authority citation for 20 CFR is of national significance. arrangement. The proposed change part 616 is revised to read as follows:

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Authority: 26 U.S.C. 3304(a)(9)(B); new reference values the agency should ‘‘Search’’ box and follow the prompts Secretary’s Order No. 3–2007, April 3, 2007 use to calculate the percent daily value and/or go to the Division of Dockets (72 FR 15907). (DV) in the Nutrition Facts and Management, 5630 Fishers Lane, rm. § 616.5 [Removed] Supplement Facts labels and what 1061, Rockville, MD 20852. factors the agency should consider in 2. Remove § 616.5. FOR FURTHER INFORMATION CONTACT: 3. Revise paragraph (e) of § 616.6 to establishing such new reference values. Paula R. Trumbo, Center for Food Safety read as follows: In addition, FDA requests comments on and Applied Nutrition (HFS–830), Food whether it should require that certain and Drug Administration, 5100 Paint § 616.6 Definitions. nutrients be added or removed from the Branch Pkwy., College Park, MD 20740, * * * * * Nutrition Facts and Supplement Facts 301–436–2579, or e-mail: (e) Paying State. A single State against labels. Comments on what factors [email protected]. should be considered to update the which the claimant files a Combined- SUPPLEMENTARY INFORMATION: Wage Claim, if the claimant has wages agency’s reference values will inform and employment in that State’s base any FDA rulemaking that may result Table of Contents period(s) and the claimant qualifies for from this ANPRM. I. Background unemployment benefits under the DATES: Submit written or electronic A. Development of Current DVs unemployment compensation law of comments by January 31, 2008. B. Nutrient Content Final Rule that State using combined wages and ADDRESSES: You may submit comments, C. Labeling of Dietary Supplements employment. identified by Docket No. 2006N–0168, D. IOM DRIs and Acceptable * * * * * by any of the following methods: Macronutrient Distribution Ranges 4. Add paragraph (f) to § 616.7 to read Electronic Submissions E. IOM Report on Guiding Principles as follows: Submit electronic comments in the for Nutrition Labeling following ways: F. IOM Report on the Definition of § 617.7 Election to file a Combined-Wage • Fiber Claim. Federal eRulemaking Portal: http:// www.regulations.gov. Follow the * * * * * instructions for submitting comments. G. Current Regulations on Trans Fat (f) If a State denies a Combined-Wage • Agency Web site: http:// H. ANPRM on Prominence of Calories Claim, it must inform the claimant of www.fda.gov/dockets/ecomments. I. Carbohydrate Content of Food J. ‘‘2005 Dietary Guidelines for the option to file in another State in Follow the instructions for submitting Americans’’ which the State finds that claimant has comments on the agency Web site. II. Agency Request for Information wages and employment during that Written Submissions A. Approach for Setting DVs State’s base period(s). Submit written submissions in the B. Populations for Which the DVs are following ways: § 616.8 [Amended] Intended • FAX: 301–827–6870. 5. In § 616.8(a) remove the words ‘‘, C. Labeling of Individual Nutrients • Mail/Hand delivery/Courier [For even if the Combined-Wage Claimant D. Other Questions paper, disk, or CD–ROM submissions]: has no earnings in covered employment E. Process Questions in that State’’. Division of Dockets Management (HFA– F. Questions on Consumer and 305), Food and Drug Administration, Signed at Washington, DC, this 29th day of Producer Use and Understanding of 5630 Fishers Lane, rm. 1061, Rockville, DVs October 2007. MD 20852. Emily Stover DeRocco, III. Comments To ensure more timely processing of IV. References Assistant Secretary for Employment and comments, FDA is no longer accepting Training. Appendix A Acronyms Used in This comments submitted to the agency by e- Document [FR Doc. E7–21513 Filed 11–1–07; 8:45 am] mail. FDA encourages you to continue BILLING CODE 4510–FW–P to submit electronic comments by using Appendix B Examples of Nutrition Facts the Federal eRulemaking Portal or the and Supplement Facts Labels agency Web site, as described in the DEPARTMENT OF HEALTH AND Electronic Submissions portion of this I. Background1 HUMAN SERVICES paragraph. On November 8, 1990, the Nutrition Instructions: All submissions received Labeling and Education Act (NLEA) of Food and Drug Administration must include the agency name and 1990 (Public Law No. 101–535) was Docket No. and Regulatory Information signed into law (the 1990 amendments) 21 CFR Part 101 Number (RIN) for this rulemaking. All amending the Federal Food, Drug, and RIN 0910–ZA30 comments received may be posted Cosmetic Act (the act). The 1990 without change to http://www.fda.gov/ amendments made the most significant [Docket No. 2006N–0168] ohrms/dockets/default.htm, including changes in the act and had a direct any personal information provided. For Food Labeling: Revision of Reference bearing on FDA’s revision of nutrition additional information on submitting Values and Mandatory Nutrients labeling in 1993. The 1990 amendments comments, see the ‘‘Comments’’ heading added section 403(q) (21 U.S.C. 403(q)) AGENCY: Food and Drug Administration, of the SUPPLEMENTARY INFORMATION to the act which specified, in part, that: HHS. section of this document. (1) With certain exceptions, a food is to ACTION: Advance notice of proposed Docket: For access to the docket to be considered misbranded unless its rulemaking. read background documents or label or labeling bears nutrition labeling; comments received, go to http:// (2) certain nutrients and food SUMMARY: The Food and Drug www.fda.gov/ohrms/dockets/ components are to be included in Administration (FDA) is issuing this default.htm and insert the docket advance notice of proposed rulemaking number, found in brackets in the 1A list of the acronyms cited in this ANPRM are (ANPRM) to request comment on what heading of this document, into the defined in Appendix A.

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nutrition labeling, although the consideration. For all of these reasons, the U.S. RDA values, in part, due to the Secretary of Health and Human Services FDA finds it important to seek comment revisions of the 1989 NAS RDA and can add or delete nutrients by regulation on the recommendations made in these ESADDI values. FDA proposed to if it is found necessary to assist reports (Refs. 7 to 16). In addition, the redesignate ‘‘U.S. RDAs’’ as ‘‘RDIs,’’3 consumers in maintaining healthy agency is considering changes to the and to establish five sets of RDIs for dietary practices; (3) nutrition labeling food label in more recently published different developmental groups, i.e., is to be provided for the most frequently ANPRMs concerning prominence of adults and children 4 or more years of consumed varieties of raw produce calories and the labeling of trans fats. age (excluding pregnant or lactating (fruits and vegetables) and raw fish The agency discusses, below, the 1993 women), children less than 4 years of according to voluntary guidelines or, if rules on food labeling, these ANPRMs, age, infants, pregnant women, and necessary, regulations; (4) a simplified and publications and reports available lactating women. FDA also proposed nutrition label is to be used when the since 1993, to provide background for using a population-weighted average of food contains insignificant amounts of the questions the agency is asking in the relevant NAS RDAs and ESADDIs to most nutrients; and (5) FDA is to this ANPRM related to a future establish the RDIs because it would develop regulations governing labeling proposed rule to update the ‘‘serve the purpose of providing an of foods to which section 411 of the act presentation of nutrients and content of overall reference value for food labeling (21 U.S.C. 350) applies (i.e., vitamin and nutrient values on food labels. more appropriately than a highest value’’ and ‘‘because of decreasing minerals). A. Development of Current DVs In response to the NLEA, FDA, in public health concern with nutritional In the final rule on Food Labeling; deficiencies, it makes less sense to use 1993, issued several rules to modify Reference Daily Intakes and Daily how nutrition information is presented maximum values as the basis for these Reference Values (the 1993 RDI/DRV reference values’’ (55 FR 29476 at on food labels. When the agency issued final rule) (58 FR 2206, January 6, 1993), those rules to modify the nutrition label 29478). FDA amended its regulations to In the 1993 RDI/DRV final rule, FDA information, it considered the diet and establish two sets of label reference redesignated the U.S. RDA values in health information that was current at values: Reference Daily Intakes (RDIs) part 101 (21 CFR part 101) for vitamins that time, including the National and Daily Reference Values (DRVs) for and minerals as RDIs. In addition, FDA Academy of Sciences (NAS) use in declaring the nutrient content of established, under 21 CFR part 104, a Recommended Dietary Allowances a food on its label or labeling. These two single set of label reference values for (RDAs) (Refs. 1 to 3), the NAS Diet and reference values were used to establish adults and children 4 or more years of Health Report (Ref. 4), the Surgeon a single set of label reference values age, in part, because of space constraints General’s Report on Nutrition and known as the DVs, which were intended on the food label and the fact that Health (Ref. 5), and the 1990 Dietary to assist consumers in both children over the age of 4 years Guidelines for Americans (Ref. 6). New understanding the relative significance consume the same foods that the rest of information has since become available of nutritional information in the context the population consumes (58 FR 2206 at on nutrient values that the agency of a total daily diet and in comparing 2213). These RDIs were based on the believes may impact what nutrients it the nutritional values of food products. NAS RDAs set in 1968. Although FDA should consider requiring to be listed on proposed in 1990 to base the RDIs on a 1. RDIs the food label and what nutrient values population-weighted average of the it should use as a basis for the DVs on In the Federal Register of July 19, RDAs and ESADDIs, in the 1993 RDI/ the food label. The new information 1990 (55 FR 29476), FDA proposed to DRV final rule FDA used the highest includes revisions to the Dietary replace the U.S. Recommended Daily RDA for adults and children 4 or more Guidelines for Americans (Ref. 7), the Allowances (U.S. RDAs) as the reference years of age (excluding values for Institute of Medicine’s (IOM’s) values for certain vitamins and minerals pregnant and lactating women) to serve published reports on the Dietary used in nutrition labeling of foods with as label reference values (58 FR 2206 at Reference Intakes (DRIs) that update updated and expanded reference values 2210 to 2213). FDA found that there was recommendations for the intake of (the 1990 proposal). The U.S. RDAs set considerable and uniform support in the vitamins, minerals, and macronutrients in 1973 were based primarily on the comments for continuing to select the (Refs. 8 to 14), the IOM report on the NAS 1968 RDA values for vitamins and highest nutrient value from this group application of the DRIs (Ref. 15), and the minerals (Ref. 1). However, the U.S. and that vulnerable or at-risk groups IOM report on ‘‘Guiding Principles for RDAs for certain vitamins and minerals would be sufficiently covered by Nutrition Labeling and Fortification’’ for which no RDA had been identified electing the highest value. FDA referred that provides recommendations on the (biotin, pantothenic acid, copper, and to this approach as the ‘‘population- use of the new DRIs in nutrition labeling zinc) were based on information cited in coverage approach.’’ (Ref. 16). The latter reports stimulated the NAS’s ‘‘Recommended Dietary On October 6, 1992, Congress passed extensive discussion in the scientific Allowances,’’ 7th edition (Ref. 1). The the Dietary Supplement Act of 1992 community (e.g. at nutrition and food NAS RDAs were updated in 1974 and that, in section 203, instructed FDA to science conferences and in publications 1980, and again in 1989 along with not issue regulations before November (Refs. 17 to 19); FDA and the IOM revised values for the listing known as 8, 1993, that would revise the U.S. recognize that the approach to setting a ‘‘Estimated Safe and Adequate Daily RDAs (redesignated as RDIs) for DV in the labeling report (Ref. 16) Dietary Intakes’’ (ESADDIs).2 In 1990, vitamins or minerals (other than represents a new approach that requires FDA decided that it needed to update existing regulations that established the evaluation. At the IOM’s 2007 workshop U.S. RDAs specified in § 101.9(c)(7)(iv) on ‘‘The Development of DRI’s 1994– 2The ESADDIs are nutrient values set by NAS for that were in effect prior to October 6, 2004: Lessons Learned and New essential nutrients for which data are available to 1992). Thus, FDA did not codify new Challenges,’’ there was discussion about estimate a range of requirements, but insufficient nutrient values in the 1993 RDI/DRV for developing a specific RDA (Ref. 3). the limitations of the framework that 3In 1993, FDA redesignated the term U.S. RDA to final rule. In the Federal Register of was used to set the DRIs, as well as RDI because the term U.S. RDA was easily confused December 28, 1995 (60 FR 67164) (the recommendations for future with the term RDA (58 FR 2206 at 2207). 1995 final rule), FDA amended certain

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RDIs based on the 1989 NAS RDAs and calorie reference diet. In the 1990 fiber; (13) soluble fiber (voluntary); (14) ESADDIs. proposal (55 FR 29476 at 29482), FDA insoluble fiber (voluntary); (15) sugars; In the 1995 final rule, FDA amended proposed using a 2,350 calories (16) sugar alcohol (voluntary); (17) other its regulations to establish RDIs for reference diet based on a population carbohydrate (voluntary); (18) protein; vitamin K and selenium based on the adjusted mean of recommended calorie and (19) vitamins and minerals (see 1989 NAS RDAs, and for manganese, allowances for persons 4 or more years § 101.9(c)(1) through (c)(8)). However, chromium, molybdenum, and chloride of age (excluding pregnant and lactating those nutrients that can be declared based on the 1989 ESADDIs (Ref. 3). women) (from table 3–5 of the 10th voluntarily, as described previously in FDA did not establish a DV for fluoride edition of ‘‘Recommended Dietary this document, must be declared when in the 1995 final rule because the 1989 Allowances’’ (Ref. 3)). However, FDA a nutrient content or health claim is NAS RDA report stated that published received several comments opposing the made (§ 101.9(c)). In the Federal studies ‘‘do not justify a classification of 2,350 reference values because of Register of July 11, 2003 (68 FR 41434), fluorine4 as an essential element, concerns that this value was too high, according to accepted standards’’ (Ref. 3 especially among women (58 FR 2206 at FDA amended its regulations on at p. 235) and because the primary 2217). In addition, several comments nutrition labeling to require trans fatty sources of dietary fluoride (e.g., suggested that using 2,000 calories as a acids be declared in grams per serving community water supplies, toothpastes, reference diet would be easier for in the nutrition label of conventional mouth rinses) are not required to bear consumers to use in calculations and foods and dietary supplements (see nutrition labeling (60 FR 67164 at closer to caloric requirements of older section G). 67168). FDA concluded that the women who are ‘‘at risk for excessive Nutrient information for both declaration of percent DV of fluoride calories and fat’’ (id.). The 2,000 calorie mandatory and any voluntary nutrients within nutrition labeling on a limited reference diet FDA adopted was that are to be declared in the nutrition number of foods that are relatively consistent with the ‘‘population- label, except vitamins and minerals, minor sources of the nutrient would be coverage approach’’ as it selected a shall be declared with the name of each of little use in assisting consumers in lower calorie basis for the DRVs for the nutrient, and the quantitative amount by group at risk (i.e., older women). maintaining healthy dietary practices weight for that nutrient (i.e. g or mg) (60 FR 67164 at 67168). B. Nutrient Content Final Rule (see § 101.9(d)(7)(i)). A listing of the In addition, a notification was percent DRV as established in submitted under section 403(r)(2)(G) of In the Federal Register of January 6, § 101.9(c)(7)(iii) and (c)(9) (see table 1 of the act (21 U.S.C. 343(r)(2)(G)) in 2001 1993 (58 FR 2079), FDA published a for the use of certain nutrient content final rule entitled ‘‘Food Labeling: this document for reference values) is claims for choline. These statements Mandatory Status of Nutrition Labeling required under the heading percent DV identify the daily value for choline as and Nutrient Content Revision, Format for each nutrient for which a DRV was 550 milligrams (mg).5 This value is for Nutrition Label’’ (the 1993 nutrient established, except that the percent for based on the Adequate Intake (AI) set by content final rule). The 1993 nutrient protein may be omitted (see the Institute of Medicine (IOM) of the content final rule: (1) Requires nutrition § 101.9(d)(7)(ii)). labeling on most foods that are regulated NAS in 1998 (Refs. 9 and 20). The regulations require that by FDA, (2) revises the list of required information about these nutrients be 2. DRVs nutrients and food components and the conditions for declaring them in declared on the nutrition label and that The 1993 RDI/DRV final rule also no nutrients or food components, other identified DRVs for those nutrients that nutrition labeling, (3) specifies a new than those listed, may be included on are important to diet and health (e.g., format for declaring nutrition the nutrition label (§ 101.9(c)). total fat, saturated fat, cholesterol, total information, (4) allows specified carbohydrate (CHO), protein, dietary products to be exempt from nutrition A statement about the percent of the fiber, sodium, and potassium). The labeling, and (5) prescribes a simplified RDI, expressed as the percent of the DV DRVs are based on the NAS Diet and form of nutrition labeling and the for vitamin A, vitamin C, calcium, and Health Report (sodium, potassium, fat, circumstances in which such simplified iron, in that order, is required (see table saturated fat, cholesterol, carbohydrate, nutrition labeling can be used. An 1 of this document for reference values) and dietary fiber) (Ref. 4), the Surgeon example of a Nutrition Facts label can (§ 101.9(c)(8)(ii)). These four vitamin General’s Report on Nutrition and be found in appendix B. and mineral nutrients are required to be Health (dietary fiber) (Ref. 5), and the 1. Required and Voluntary Labeling of declared because of public health 1990 Dietary Guidelines for Americans Nutrients on Food Products (§ 101.9(c)) concerns relative to inadequate intake of (Ref. 6). The DRV for protein (50 grams these nutrients by specific portions of per day (g/d)) was set at 10 percent of With respect to nutrition labeling of foods, the 1993 nutrient content final the population, as well as the possible 2,000 calories based on an adjusted association between the lack of several average of the 1989 RDA (Ref. 3). The rule declared that nutrition information on the label and in labeling of foods of these nutrients in the diet and the use of ‘‘calories’’ to mean ‘‘kilocalories’’ risk of chronic disease (58 FR 2079 at (kcals) is commonly accepted and more shall contain information about the level of the following nutrients: (1) 2106). The declaration of other vitamins readily understood by consumers. and minerals that have an RDI is The DRVs in the 1993 RDI/DRV final Calories or total calories; (2) calories required when they are added as a rule (58 FR 2206) were based on a 2,000 from fat; (3) calories from saturated fat (voluntary); (4) total fat; (5) saturated fat; nutrient supplement or when a claim is 4Fluoride is the ionized form of the element (6) polyunsaturated fat (voluntary); (7) made about them (§ 101.9(c)(8)(ii)). If fluorine. monounsaturated fat (voluntary); (8) the amount of the vitamin or mineral is 5FDA has not acted to prohibit or modify the cholesterol; (9) sodium; (10) potassium present at less than 2 percent of the RDI, claims, and therefore, manufacturers may use the (voluntary); (11) total carbohydrate declaration of an amount is not required specified claims on the label and in the labeling of any food or dietary supplement product that (including sugars (mono- and or the content may be expressed as zero qualifies for the claims described in the disaccharides), oligosaccharides, starch, (§ 101.9(c)(8)(iii)). notification. fiber, and organic acids); (12) dietary

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TABLE 1.—REFERENCE VALUES FOR TABLE 1.—REFERENCE VALUES FOR represented to be for use by infants, NUTRITION LABELING (BASED ON A NUTRITION LABELING (BASED ON A children under 4 years of age, or 2,000 CALORIE INTAKE; FOR ADULTS 2,000 CALORIE INTAKE; FOR ADULTS pregnant or lactating women, without AND CHILDREN 4 OR MORE YEARS AND CHILDREN 4 OR MORE YEARS objection from FDA (58 FR 2206 at 2213). The RDIs for the vitamins and OF AGE) OF AGE)—Continued minerals for these groups are listed in a Unit of Daily table in the 1993 RDI/DRV final rule as 1 Unit of Daily Nutrient1 Nutrient Measure Values Measure Values guidance (58 FR 2206 at 2213). Such table does not include the seven Total Fat g 65 Molybdenum µg 75 nutrients that FDA stated could not be on conventional food labeling for these Saturated fatty g 20 Chloride mg 3,400 specific groups in the 1995 final rule. acids 1Nutrients in this table are listed in the order Section 101.9(c)(8)(i) states that all other in which they are required to appear on a foods must use the RDI for adults and Cholesterol mg 300 label in accordance with § 101.9(c). This list children 4 or more years of age. includes only those nutrients for which a DRV Sodium mg 2,400 has been established in § 101.9(c)(9) or a RDI 2. Application of DVs in § 101.9(c)(8)(iv). Potassium mg 3,500 Section 403(q) of the act provides The declaration of other vitamins and discretion to the agency to require Total carbo- g 300 minerals with an RDI need not be information about nutrients on the food hydrate declared if: (1) Neither the nutrient nor label when the agency determines such the component is otherwise referred to information will ‘‘assist consumers in Fiber g 25 on the label or in labeling or advertising maintaining healthy dietary practices.’’ and (2) the vitamins and minerals are Section 2(b)(1)(A) of the 1990 Protein g 50 required or permitted in a standardized amendments states that nutrition food (e.g., thiamin, riboflavin, and Vitamin A International 5,000 labeling must ‘‘be conveyed to the Units (IU) niacin in enriched flour) and included public in a manner which enables the in a food solely for technological public to readily observe and Vitamin C mg 60 purposes and declared only in the comprehend such information and to ingredient statement (§ 101.9(c)(8)(ii)). understand its relative significance in Calcium mg 1,000 Foods that are represented or purported context of a total daily diet.’’ In the 1993 to be for use by infants (up to 12 months Iron mg 18 nutrient content final rule, FDA stated of age), children 1 to 4 years of age, that ‘‘the nutrition label can and should pregnant women, or lactating women Vitamin D IU 400 help consumers make informed food must use the RDIs that are specified for choices, and that it can also contribute Vitamin E IU 30 the intended group (§ 101.9(c)(8)(i)). to consumers maintaining healthy However, FDA has not codified RDI dietary practices’’ (58 FR 2079 at 2114). Vitamin K micrograms 80 values to use for these various groups. While the DVs do not represent dietary µ ( g) FDA stated, in the 1995 final rule, that goals for individuals, their intended use it intended to address the issue of RDIs Thiamin mg 1.5 is to provide an overall population for all nutrients for the various age reference value on the food label for the Riboflavin mg 1.7 groups in a future rulemaking but was consumer (55 FR 29476 at 29481). not doing so in that rule due to the In order to determine a nutrition Niacin mg 20 continuing questions about how to labeling format that could be used most arrive at such values. FDA noted that, effectively by consumers, FDA Vitamin B6 mg 2.0 for conventional foods, there could be conducted consumer research and no declaration on labels of foods µ evaluated research conducted by others Folate g 400 represented or purported to be for use in considering requirements for the Vitamin B12 µg 6.0 by infants, children less than 4 years of nutrition label format in the 1993 age, or pregnant or lactating women for nutrient content final rule (58 FR 2079 Biotin µg 300 vitamin K, selenium, chloride, at 2115–2121). Based on the results of manganese, chromium, and several consumer studies that evaluated Pantothenic mg 10 molybdenum until such time as RDIs the ability of nutrition label formats to acid are established for such groups (60 FR enable consumers to understand the 67164 at 67171). FDA stated that these relative significance of product nutrition Phosphorus mg 1,000 six nutrients could be specified in mg or information in the context of a total µ Iodine µg 150 g amounts in dietary supplements daily diet, FDA concluded the under § 101.36 with an asterisk in the following: (1) The declaration of Magnesium mg 400 percent DV column that refers to a nutrient amount information as footnote stating ‘‘Daily Value not percentages of DV or the placement of Zinc mg 15 established.’’ adjectives (e.g., high, medium, or low) µ Prior to the 1995 final rule, FDA next to the nutrient amount information Selenium g 70 noted in the 1993 RDI/DRV final rule are effective ways to help consumers Copper mg 2.0 that manufacturers have continued to understand the significance of product use the nutrient values that were nutrition information in the context of Manganese mg 2.0 contained in 21 CFR 105.3(b) (FDA the total daily diet; (2) the percent DV deleted this paragraph on March 16, declarations moderate dietary Chromium µg 120 1979 (44 FR 16005)), as label reference judgments about a food; and (3) other values for use on foods purported or format elements, such as a list of DRVs

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for important macronutrients, 101.78, and 101.79, an eligibility (manganese, fluoride, and chromium). highlighting, or grouping nutrients requirement is based upon meeting the Although not considered to be a DRI according to Dietary Guidelines for definition for a good source (10 percent) that provides a defined intake level, the Americans, did not help consumers to of the DV for a particular nutrient. The IOM also set acceptable macronutrient make better dietary judgments (58 FR specific eligibility requirements for each distribution ranges (AMDRs) for 2079 at 2118). Upon reviewing the authorized health claim are set forth in carbohydrate (i.e., sugars (mono-, di- results of several studies that evaluated subpart E, §§ 101.70 to 101.83. In and oligosaccharides) and starch), total the consumer’s use of the nutrition addition, foods bearing health claims, fat, n-3 and n-6 polyunsaturated fatty label, the two most reported uses other than dietary supplements or acids, and protein (Ref. 13 and Ref. 16 identified by FDA were to evaluate where otherwise provided for in at p. 93). The DRIs and AMDRs were set nutrition characteristics of single regulations, must contain 10 percent or for the following life stage groups: products and to assist in making choices more of the DV, prior to any nutrient Infants (0 to 6 and 7 to 12 months); between products (58 FR 2079 at 2121 addition, for one of the following toddlers (1 to 3 years); boys and girls (4 and references cited therein). nutrients: Vitamins A, vitamin C, iron, to 8 years); adolescent boys and girls (9 Informed choices include making calcium, protein, or fiber to 13 and 14 to 18 years); adult men and judgments about a food product’s (§ 101.14(e)(6)). women (19 to 30, 31 to 50, 51 to 70, and contribution to the total diet and making C. Labeling of Dietary Supplements greater than 70 years); and pregnant and comparisons between the nutritional lactating women. quality of different food products. As part of the implementation of the Findings from the FDA Food Label Use Dietary Supplement Health and 1. EAR and Nutrition Education Surveys Education Act of 1994, FDA issued final The EAR for a nutrient is defined as (FLUNES) conducted in 1994 and 1995 regulations in the Federal Register of the daily intake value that is estimated showed that more than half of September 23, 1997 (62 FR 49826), to meet the requirement for that consumers used the Nutrition Facts requiring that a Supplement Facts label nutrient, as defined by a specific label to make a judgment about the appear on the label or labeling of all criterion of adequacy or optimal health, overall nutritional quality of a food dietary supplements. The Supplement in half of the apparently healthy product, especially the fat content (Ref. Facts label is similar to the Nutrition individuals in a specific life stage and 21). Facts label in both content and format. gender group. This definition of the Examples of Supplement Facts labels EAR implies a median, rather than a 3. Uses of the DVs in Nutrient Content can be found in appendix B. The mean or average. The median and mean and Health Claims Supplement Facts label must include would be the same if the distribution of The DVs are used to determine, in the amount and percent DV of the same requirements followed a symmetrical part, whether a food or dietary nutrients that are required for distribution. supplement is eligible to bear nutrient conventional foods if the nutrients are content claims or health claims. For present in the supplement, as well as In the case of energy, the IOM set an nutrient content claims, a food or the amount of other dietary ingredients estimated energy requirement (EER) to dietary supplement must contain 10 to present (§ 101.36(b)). Nutrients that represent the average dietary energy 19 percent of the DV per Reference have established DVs are listed first, intake that is predicted to maintain Amount Customarily Consumed (RACC) followed by a horizontal line that energy balance in a healthy adult of a in order to be labeled as a good source separates these nutrients from dietary defined age, gender, weight, height, and of a particular nutrient and must ingredients that have no DVs (e.g., physical activity level (PAL). PAL is the contain 20 percent or more of the DV botanicals). The Supplement Facts label ratio of total energy expenditure (TEE) per RACC in order to be labeled as an must state that percent DVs have not divided by the basal rate of energy excellent source of a particular nutrient been established for these dietary expenditure. The EER equations use one (§ 101.54(b) and (c)). When a health ingredients and must indicate these of the four PAL categories: Sedentary, claim is about the effects at decreased ingredients clearly with an asterisk (*) low active, active, and very active. In dietary intake levels (i.e., low claim), (§ 101.36(b)(3)(iv)). children and pregnant and lactating the levels must meet the definition for women, the EER meets the needs use of the term low that has been D. IOM DRIs and Acceptable associated with the deposition of tissues established for that substance, unless a Macronutrient Distribution Ranges or secretion of milk at rates consistent specific alternative level has been Beginning in 1997, the IOM began with good health. established (§ 101.14(d)(2)(vi)). If no publishing a series of reports on The EAR and the EER are used for definition for low has been established, reference intake values (Refs. 8 to 14), assessing nutrient intakes of groups. For the level of the substance must meet the collectively known as the DRIs. The nutrients with an EAR and for the EER, level established in the regulation DRIs are defined intake levels and the prevalence of inadequacy in the authorizing the claim. For health claims, include the AI, estimated average population group for the nutrient or when a claim is about the effects of requirement (EAR), RDA, and the energy level evaluated is usually the consuming the substance at other than tolerable upper intake level (UL). DRIs approximate percentage of the decreased dietary levels (i.e. not a low were set for those vitamins, minerals, population evaluated whose intakes fall claim), a food must meet the definition and macronutrients that are essential in below the EAR for the nutrient or the of high (20 percent of the DV) for the humans and/or provide a beneficial role EER (Ref. 22). The EAR for the nutrient substance that is the subject of the in human health. While many of the and the EER can also be used to plan for claim, if the agency has established a RDAs were revised for nutrients that an acceptably low prevalence of definition for the use of the term ‘‘high’’ had an existing RDA (e.g., iron and inadequate intakes within a group. The for that substance and the agency has vitamin A), some nutrients that had EAR for a nutrient and the EER should not established an alternative level for RDAs now have an AI (e.g., calcium and not be used as an intake goal for the that nutrient in the health claim vitamin K). Those nutrients that had an individual. Examples of planning for regulation (§ 101.14(d)(2)(vii)). For a few ESADDI, now have either an RDA groups include planning diets in an health claims authorized in §§ 101.76, (copper and molybdenum) or an AI assisted-living facility for senior citizens

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or planning menus for a school nutrition following: (1) Scientific evidence for risk of adverse health effects for almost program (Ref. 15). requirements that is insufficient to set all individuals in the specific life stage an EAR (e.g., calcium, vitamin D, 2. RDAs group. As intake increases above the UL, choline, biotin, fluoride, sodium); (2) there is a potential for an increased risk The RDA is an estimate of the daily experimental data on risk reduction of of adverse effects. The UL is not average intake level that meets the chronic disease that are insufficient to intended to be a recommended level of nutrient requirements of nearly all (97 set an EAR (e.g., dietary fiber, intake, as there is no established benefit to 98 percent) healthy individuals in a potassium); or (3) median intakes of a for healthy individuals if they consume particular life stage and gender group nutrient usually using national nutrition a nutrient in amounts exceeding the and assuming a normal distribution of intake survey data, provided there is no RDA or AI. requirements (Ref. 8). An RDA cannot evidence of a deficiency of the nutrient be set without an EAR. For all nutrients, in the United States (e.g., pantothenic The UL can be used to estimate the except iron, the RDA was set based on acid, vitamin K, chromium, manganese, percentage of the population at potential the EAR plus 2–times the standard linoleic acid, and a-linolenic acid). risk of adverse effects from excess deviation (SD) of the EAR : RDA = EAR There is much less certainty about an AI nutrient intake. The UL can also be used + 2 x SDrequirement. If data about the value than about an RDA value. The AI to plan for usual intakes below this level variability in the EAR for a nutrient for a nutrient is expected to exceed the for an individual or in planning to were insufficient to calculate the SDEAR, RDA for that nutrient, and therefore it minimize the proportion of the then a coefficient of variation (CV) of 10 should cover the needs of more than 97 population at risk of excess nutrient percent was assumed. to 98 percent of individuals. The IOM intake (Ref. 15). If individual intakes have been set most AIs for young infants (0 to 6 observed for a large number of days and months of age) based on the average 5. AMDR are at the RDA, or observed intakes for intake of the nutrient consumed An AMDR is a range of intakes for a fewer days are well above the RDA, exclusively from breastfed infants, there can be a high level of confidence provided that breast milk provides a particular energy source (e.g., fat, fatty that the intake is adequate. Under these sufficient amount of a nutrient to meet acids, carbohydrate, and protein) that is conditions, RDAs can be used for the needs of the infant. The AIs for older associated with reduced risk of chronic assessing intakes of individuals for infants (7 to 12 months) were set based disease while providing adequate nutritional adequacy. The RDA can also on: (1) The average intake of the intakes of essential nutrients. The be used to plan for intakes of nutrient consumed exclusively from AMDR of a macronutrient (e.g., fat) is individuals. The RDA should not be breastfed infants and, if data were expressed as a percentage of total energy used to plan intakes of groups. The RDA available, average intakes of a nutrient intake because its requirement is is not used to plan intakes of groups provided by complimentary weaning dependent on other energy sources (e.g., because the median of a target intake foods; and/or (2) extrapolated from the carbohydrate and protein). If an distribution for a group will usually AI of younger infants; and/or (3) individual consumes below or above exceed the RDA because the variance in extrapolated from adult AIs; and/or (4) this range, there is a potential for usual intakes exceeds the variance in clinical data. The AIs for iron and zinc increasing the risk of chronic diseases requirements. Thus, the selection of the for older infants could not be set using shown to affect long-term health, as well RDA as the median of the target usual intake from breast milk because the as increasing the risk of insufficient intake distribution for groups is not level of iron and zinc in human milk is intakes of essential nutrients. recommended as it results in a greater not sufficient to meet their needs. For percentage of inadequacy. The IOM iron, zinc, and protein; EARs and RDAs 6. DRIs Set for Macronutrients and report on the application of the DRIs in for older infants 7 to 12 months were set Micronutrients planning diets for individuals provided based upon data regarding daily several examples of nutrient-based food requirements. Based on the review of all guidance systems that could be used by Usual individual intakes that are macronutrients and micronutrients that individuals for planning diets, equal to or above the AI can be assumed are known to be essential and/or including food and supplement labels adequate. The likelihood of inadequacy beneficial in humans, the IOM set the (e.g., the Nutrition Facts label) (Ref. 15). of usual intakes below the AI cannot be DRIs that are listed for each nutrient in determined since there is insufficient 3. AI tables 2 to 10 of this document. As can information of the distribution of be seen from tables 11a and 11b of this If there is insufficient scientific requirements. The AI can also be used document, the population-coverage and evidence to calculate the EAR and to plan for intakes of individuals (Ref. population-weighted AIs for fluoride therefore insufficient evidence on which 15). and the population-coverage RDAs for to establish an RDA for an essential synthetic niacin exceed the UL for nutrient or a nutrient that is beneficial 4. UL children 4 to 8 years. for human health, then an AI is The UL is the highest level of daily determined. AIs are based on the nutrient intake that is likely to pose no BILLING CODE 4160–01–S

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BILLING CODE 4160–01–C ‘‘percent of U.S. RDAs’’ used in 1973 As discussed previously in this E. IOM Report on Guiding Principles for labeling. The use of the percent DV document, the population-weighted Nutrition Labeling concept has been supported by approach is one of two approaches for consumer studies (58 FR 2079). The setting one DV for all individuals 4 In 2003 the IOM committee on IOM Committee concluded that the years of age and older. Currently, FDA nutrition labeling (the IOM Committee) rationale to use percent DV was uses the population-coverage approach considered how the DRIs can be used to compelling and suggested no alternative for setting a single DV which represents develop appropriate reference values for approach. the highest recommended intake level nutrition labeling (Ref. 16). The IOM • The DVs should be based on a among all life stage and gender groups, Committee’s report recommended the population-weighted reference value excluding pregnant and lactating following 10 guiding principles for using census data and proportions of nutrition labeling: each life stage and gender group. The women. Although the degree of change • Nutrition information in the IOM Committee’s rationale for using a will differ for each nutrient, the DV Nutrition Facts label should continue to population-weighted approach was that would be lower using the population- be expressed as percent DV. The the DRIs for the various age and gender weighted approach for most nutrients concept of percent DV was developed groups should be represented by the DV when compared to a DV derived using by FDA in response to NLEA to help of the population in the same the population-coverage approach (see consumers better comprehend the proportions. A DV defined this way tables 11a and 11b of this document). nutritional value of food and to would represent a central value of the Note that if the DV for a nutrient is understand its relative significance in requirement of the base population, increased, then a serving of food would the context of a daily diet. The percent with individual requirements varying have a lower percent DV on the DV concept was modeled after the around this value. Nutrition Facts label.

TABLE 11A. COMPARISON OF THE CURRENT DVS WITH THE EAR, RDA, AND UL USING THE POPULATION-COVERAGE OR POPULATION-WEIGHTED APPROACH

Nutrient Unit of Measure Current DV Highest RDA Weighted RDA1 Highest EAR Weighted EAR1 UL 4 to 8 years2

Nutrients Assigned an EAR and RDA

Copper mg 2.0 0.9 0.8 0.7 0.7 3

Folate µg 400 400 378 330 304 400

Iodine µg 150 150 144 95 91 300

Iron mg 18 18 11 8 6 40

Magnesium mg 400 420 341 350 283 110

Molybdenum µg 75 45 42 34 32 600

Niacin mg 20 16 14 12 11 15

Phosphorus mg 1,000 1,250 769 1,055 640 3,000

Protein g 50 56 47 46 39 -

Riboflavin mg 1 .7 1 .3 1 .1 1 .1 0 .9 —

Selenium µg 70 55 52 45 43 150

Thiamin mg 1.5 1.2 1.1 1.0 0.9 —

Vitamin A IU 5,000 3,000 2,511 2,100 1,768 —

µg 1,500 RE 900 RAE 754 RAE 630 RAE 531 RAE 900

Vitamin B6 mg 2 .0 1 .7 1 .3 1 .4 1 .1 40

Vitamin B12 µg 6 .0 2 .4 2 .3 2 .0 1 .9 —

Vitamin C mg 60 90 74 75 61 650

Vitamin E IU 30 IU — — — — —

mg a- 15 14 12 11 300 tocopherol

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TABLE 11A. COMPARISON OF THE CURRENT DVS WITH THE EAR, RDA, AND UL USING THE POPULATION-COVERAGE OR POPULATION-WEIGHTED APPROACH—Continued

Nutrient Unit of Measure Current DV Highest RDA Weighted RDA1 Highest EAR Weighted EAR1 UL 4 to 8 years2

Zinc mg 15 11 9 .1 9 .4 7 .7 12 1Population-weighted means of life-stage and gender specific RDAs, EARs, AIs, and ULs were computed for adults and children 4 or more years of age, using 2005 Middle Series Data from Annual Projections of the Resident Population by Age, Sex, Race, and Hispanic Origin: Low- est, Middle, Highest, and Zero International Migration Series, 1999 to 2100 (NP-D1-A), (http://www.census.gov/population/www/projections/ natdet-D1A.htm), U.S. Census Bureau, Population Projection Program , accessed July 19, 2006. Life-stage and gender specific RDAs, EARs, AIs, and ULs were multiplied by the population projection for the corresponding life-stage and gender group (e.g., children 4 to 8 years old, males 9 to 13 years old). Sum of these values were divided by the total population projection for adults and children 4 or more years of age. 2The ULs for vitamin E, niacin, and folate apply to synthetic forms obtained from supplements, fortified foods, or a combination of the two. The ULs for vitamin A apply only to preformed vitamin A. The ULs for magnesium represent intake from a pharmacological agent only and do not in- clude intake from food and water. RE=retinol equivalents, RAE=retinol activity equivalents

TABLE 11B. COMPARISON OF THE CURRENT DVS WITH THE AIS AND ULS USING THE POPULATION-COVERAGE OR POPULATION-WEIGHTED APPROACH

Nutrient Unit Of Measure Current DV Highest AI Weighted AI1 Highest UL Weighted UL1 UL 4 to 8 years

Nutrients Assigned an AI

Biotin µg 300 30 28 — — —

Calcium mg 1,000 1,300 1,091 — — 2,500

Chloride mg 3,400 2,300 2,150 3,600 3,536 2,900

Choline mg 5502 550 460 — — 1,000

Chromium µg 120 35 27 — — —

Fiber g 25 383 293 — — —

Linoleic acid g — 17 13 — — —

a-Linolenic acid g — 1.6 1.3 — — —

Manganese mg 2.0 2 .3 1 .9 — — 3

Pantothenic acid mg 10 5 5 — — —

Potassium mg 3,500 4,700 4,622 — — —

Sodium mg 2,4004 1,500 1,410 2,300 2,265 1,900

Vitamin D IU 400 600 280 — — —

µg 10 15 7 50

Vitamin K µg 80 120 95 — — —

Fluoride mg — 4 3 — — 2.2 1Population-weighted means of life-stage and gender specific RDAs, EARs, AIs, and ULs were computed for adults and children 4 or more years of age, using 2005 Middle Series Data from Annual Projections of the Resident Population by Age, Sex, Race, and Hispanic Origin: Low- est, Middle, Highest, and Zero International Migration Series, 1999 to 2100 (NP-D1-A), (http://www.census.gov/population/www/projections/ natdet-D1A.htm), U.S. Census Bureau, Population Projection Program , accessed July 19, 2006. Life-stage and gender specific RDAs, EARs, AIs, and ULs were multiplied by the population projection for the corresponding life-stage and gender group (e.g., children 4 to 8 years old, males 9 to 13 years old). Sum of these values were divided by the total population projection for adults and children 4 or more years of age. 2A notification was submitted under section 403(r)(2)(G) of the act (21 U.S.C. 343(r)(2)(G)) in 2001 for the use of certain nutrient content claims for choline. These statements identify the daily value for choline as 550 mg (see footnote 5 of this document). This value is based on the AI set by the IOM of the NAS in 1998 (Refs. 9 and 20). 3Based on AI of 14g/1,000 calories. 4Daily reference value to not be exceeded.

• A population-weighted EAR should representation of the true contribution EAR and RDA.6 Because the RDA is 2 be the basis for DVs for those nutrients of food to total nutrient needs in the standard deviations greater than the for which EARs have been identified. general population. The Committee’s rationale for using an Currently, the RDIs are based on 6Currently there are DVs that were based on RDAs EAR, rather than the RDA, to set the DV RDAs, when available. There are 16 for vitamin A, vitamin C, iron, vitamin E, thiamin, was the Committee’s belief that the EAR nutrients for which the DV is currently riboflavin, niacin, vitamin B6, folate, vitamin B12, represents the most accurate phosphorous, iodine, magnesium, zinc, selenium, based on an RDA and now have a new and protein.

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EAR, a DV based on an EAR would be experimental data that were not Committee stated that using the lower than when based on the RDA (see sufficient for setting an EAR or were midpoint of the AMDR values avoids table 11a of this document). The based on median intake levels. The IOM extreme values from the upper or lower population-weighted EAR yields the labeling report did not address the issue boundaries and is an approach that lowest values compared to population- of whether AIs based on either approach focuses on moderation. The IOM Panel coverage RDA, population-weighted should or should not be considered in on Macronutrients did not set a UL for RDA, or population-coverage EAR (see setting a DV. The IOM labeling report total or added sugars, but identified a table 11a of this document). The did not address the AIs set for sodium suggested maximum intake level of no population-weighted EAR can vary from and potassium because the IOM DRI more than 25 percent of energy from as little as 21 percent lower than the report on electrolytes and water was not added sugars. However, the IOM population-coverage RDA for vitamin completed (Ref. 14). Committee recommended against using B , to 41 percent lower for vitamin A, 12 • The AMDR should be the basis for this value for nutrition labeling because to as much as 67 percent lower for iron. it could be misrepresented as a desirable • the DVs for protein, total carbohydrate, If no EAR has been set for a intake level. Although the IOM panel on nutrient, then a population-weighted AI and total fat. The IOM labeling committee recommended that using the macronutrients set an AMDR for should be used as the basis for a DV. protein, they also set EARs and RDAs An AI is a proxy for an RDA, AMDRs to set reference values for for protein (see tables 11a and 12 of this however, the AI is not the equivalent of protein, total carbohydrate, and total fat document). an EAR. Thus, when an AI is set for a is appropriate to promote healthful nutrient, there is no other recommended dietary practices and nutritionally Currently, the DV for protein is based intake level that is set for that nutrient. adequate diets and would provide on 10 percent of 2,000 calories using an AIs were determined for 15 nutrients consistency. Because the IOM set adjusted average of the 1989 RDA (Ref. (tables 2 and 3 of this document). As AMDRs (percent of energy) for all three 3). Although protein has a DV, the can be seen in table 11b of this macronutrients, the IOM Committee declaration of a percent DV for protein document, a reference value for labeling recommended setting the DV based on on the label is optional unless a claim based on a population-weighted AI is the following: (1) The midpoint of the is being made. The declaration of a lower for most nutrients than a AMDR for carbohydrate (starch and percent DV for protein is optional due, reference value that is derived based on sugars), (2) a population-weighted in part, to the cost consideration of the population-coverage approach that midpoint of the AMDR for total fat since determining the protein digestibility- uses the highest AI. As discussed AMDRs varied for age, and (3) the corrected amino acid score which is previously in this document, AIs for difference (100 percent of energy - (DVfat necessary to calculate the percent DV of children and adults were based on + DVcarbohydrate)) for protein. The IOM protein (58 FR 2079 at 2102).

TABLE 12.—COMPARISON OF THE CURRENT DVSINGRAMS TO THE LOWER, MIDPOINT, AND UPPER ACCEPTABLE MACRONUTRIENT DISTRIBUTION RANGES FOR A 2,000 CALORIE DIET

Current DV AMDR AMDR

Percent of energy Grams (for 2,000 calories per day)1 Nutrient Percent of Energy Grams (for 2,000 calories per day) Low Midpoint High Low Midpoint High

Adults

Protein 10 50 10 22 .5 35 50 112.5 175

Fat 302 65 20 27 .5 35 44 .4 61 .1 77 .7 Linoleic acid — — 5 7.5 10 11 17 22 a-Linolenic — — 0.6 0.9 1.2 1.3 2 2.7

Carbohydrate 60 3003 45 55 .0 65 2254 2754 3254

Protein by difference 17 .5 87 .5

Total energy 100 100

Children Age 4 to 18 Years

Protein 10 50 10 20 30 50 100 150

Fat 302 65 25 30 35 55 .6 66 77.7 Linoleic acid — — 5 7.5 10 11 17 22 a-Linolenic — — 0.6 0.9 1.2 1.3 2 2.7

Carbohydrate 60 3003 45 55 65 2254 2754 3254

Protein by difference 15 75

Total energy 100 100

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TABLE 12.—COMPARISON OF THE CURRENT DVSINGRAMS TO THE LOWER, MIDPOINT, AND UPPER ACCEPTABLE MACRONUTRIENT DISTRIBUTION RANGES FOR A 2,000 CALORIE DIET—Continued

Current DV AMDR AMDR

Percent of energy Grams (for 2,000 calories per day)1 Nutrient Percent of Energy Grams (for 2,000 calories per day) Low Midpoint High Low Midpoint High

Age 4 Years and Older (Weighted per IOM Labeling Report, Table B–4)

Fat5 302 65 21 28 35 46 .7 62 77 .7 Linoleic acid — — 5 7.5 10 11 17 22 a-Linolenic — — 0.6 0.9 1.2 1.3 2 2.7

Carbohydrate6 60 3003 45 55 65 2254 2754 3254

Protein by difference7 34 17 0 170 85 0

Total energy 100 1Derived by converting percent energy to g/d using Atwater factors 4 calories/g for carbohydrates and protein and 9 calories/d for fat for a 2,000 calories diet. 2Based on a Dietary Guideline recommendation of no more than 30 percent of energy from fat. 3Carbohydrate represents sugars, starch, fiber, and organic acids. 4Carbohydrate represents starch and sugars. 5The AMDR for total fat is comprised of population-weighted values computed based on U.S. Census Bureau estimates of the U.S. population in 2005. 6No weighting was done for this group. 7 Calculated using the difference (100 percent of energy - (DVfat + DVcarbohydrate)) for protein.

For the purpose for food labeling, set by the IOM DRI panel on recommendation is based on the DRI total carbohydrate in food is currently macronutrients, and the AMDRs macronutrient report (Ref. 13) which calculated by subtraction of the sum of adjusted using the population-weighted did not set ULs but recommended that crude protein, total fat, moisture, and approach. As can be seen in table 12 of saturated fatty acid, trans fatty acid and ash from the total weight of the food and this document for fat, linoleic acid, a- cholesterol intakes should be as low as includes starch, sugars, sugar alcohols, linolenic acid, and carbohydrate, the possible while consuming a and fiber (§ 101.9(c)(6)). The current DV lowest, the midpoint, and the highest nutritionally adequate diet. The current for total carbohydrate is based on the AMDR values are similar to the values DV for saturated fat (not more than 10 100 percent of energy minus the sum of obtained using the population-weighted percent of energy (20 g/d) and the DV for fat (30 percent) plus the DV AMDRs. The approach that was cholesterol (300 mg/d)) is based on the for protein (10 percent). Thus, the DV is recommended by the IOM Committee, NAS Diet and Health Report (Ref. 4). 60 percent of a 2,000 calorie diet (300 i.e., using the midpoint of the AMDR for For FDA to establish a DV for trans g) for total carbohydrate. In contrast to fat and carbohydrate as the basis for fatty acids, saturated fat, and the calculation of total carbohydrates label reference values, would yield cholesterol, the IOM Committee (§ 101.9(c)(6)), the IOM panel on values of 62 g/d of fat, 85 g/d protein, suggested that FDA use food macronutrients set an AMDR for and 275 g/d carbohydrate. composition data, menu modeling, and carbohydrates and also set an EAR and • Two thousand calories should be data from dietary surveys to estimate RDA for carbohydrate that specifically used, when needed, as the basis for minimum intakes consistent with represents starch and sugars, but does expressing energy intake when nutritionally adequate and health- not include sugar alcohols or fiber (see developing DVs. Although EERs were promoting diets for diverse populations. tables 8, 10, and 12 of this document). set for all life-stage groups (Ref. 13), the In April of 2004, FDA held a meeting of Therefore, the recommendation by the IOM Committee recognized that the the Nutrition Subcommittee of the Food IOM Committee to use the AMDR for EERs are dependent upon height, Advisory Committee on total fat and setting a DV for total carbohydrate weight, and physical activity level. In trans fat (the subcommittee) (Ref. 23). would limit the definition and addition, the EER equations are based The subcommittee concluded that corresponding DV to sugars and starch. on normal weight individuals, and the currently there is not enough scientific The current DV for fat (65 g) is based United States has a high prevalence of evidence to recommend a specific on the NAS Diet and Health Report (Ref. obese and overweight individuals (64 acceptable daily intake for trans fatty 4) which recommended no more than 30 percent of adults and 15 percent of acids. percent of energy from fat and children) (Ref. 16). The IOM Committee • While the general population is best represents triglyceride content found that the data necessary to use the identified as all individuals 4 years of (§ 101.9(c)(2)). The IOM panel on EER to derive a calorie reference value age and older, four distinctive life stages macronutrients set AMDRs for total fat is incomplete. Therefore, the IOM were identified for developing separate and fatty acids linoleic and a-linolenic Committee recommended retaining the DVs: Infants (< 1 year), toddlers (1 to 3 acid (see table 12 of this document). The current 2,000 calorie reference level years), pregnancy, and lactation. IOM panel on macronutrients also set (Ref. 16). Because infants, toddlers, and pregnant AIs for linoleic and a-linolenic acid (see • The DVs for saturated fatty acids, women and lactating women have table 11b of this document). trans fatty acids, and cholesterol should specific nutritional needs, the IOM Table 12 of this document shows the be set at a level that is as low as possible Committee stated that a single DV for current DV, the lowest, the midpoint, in keeping with an achievable health- the entire population could over- or and the highest value for each AMDR promoting diet. The rationale for this underestimate the nutrient contribution

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of foods for these four groups. Supplement Facts labels for all is the material isolated using AOAC Therefore, the IOM Committee nutrients. The IOM Committee INTERNATIONAL Enzymatic- recommended that separate DVs for concluded that including absolute Gravimetric Method 985.29 (Ref. 12). foods manufactured specifically for amounts (e.g., mg/serving) would assist This method includes lignin and these four groups be used for that consumers who want nutrient nonstarch polysaccharides and some specific life-stage group. information but are yet unable to resistant starch, inulin, chitin, chitosan, See discussion in section I.B.1 of this understand the percent DVs. chondroitin sulfate, and document on requirements for foods Furthermore, absolute amounts for noncarbohydrate material. This method that are represented or purported to be macronutrients are already required on does not include oligosaccharides, for the use of infants (up to 12 months the Nutrition and Supplement Facts polydextrose, or resistant maltodextrins. of age) or children 1 to 4 years of age, labels. Therefore, the IOM Committee and pregnant women or lactating Currently, dietary fiber is indented stated that adding absolute amounts for under ‘‘Total Carbohydrates’’ in the women. micronutrients would make the labeling • Nutrition Facts label (§ 101.9(c)(6)(i)). The Supplement Facts label should consistent. The IOM Committee also use the same DVs as the Nutrition Facts recommended that the units used for In 2001 the IOM Panel on the label. The IOM Committee vitamin A (IU), vitamin D (IU), vitamin Definition of Dietary Fiber (the IOM recommended that all other guiding E (IU), folate (µg), copper (mg), sodium Panel) responded to FDA’s request to principles should apply to dietary (mg), potassium (mg) and chloride (mg) provide definitions for dietary fiber supplement labeling. The IOM be changed to be consistent with the based on its role in human physiology Committee came up with this units in the new DRI reports (vitamin A and health. The IOM Panel developed recommendation because the (µg Retinol Activity Equivalents), two categories of definitions of fiber: Supplement Facts label requires the vitamin D (µg), vitamin E (mg a- ‘‘Dietary Fiber’’ and ‘‘Functional Fiber’’ inclusion of the percent DVs for the tocopherol), folate (µg dietary folate (Ref. 12). See table 13 of this document nutrients that are mandated for equivalents), copper (µg), sodium (g), from the IOM Report on the Definition conventional food (21 U.S.C. 321(ff)). potassium (g), and chloride (g)). Therefore, the comparisons that are of Dietary Fiber, which lists the shown for the Nutrition Facts label in F. IOM Report on the Definition of Fiber characteristics of dietary fiber currently determined by FDA and by the IOM tables 11a and 11b of this document are 1. Definitions the same for the Supplement Facts label. definitions for dietary and functional • Absolute amounts should be Because there is not a formal fibers. included in the Nutrition Facts and definition for dietary fiber, dietary fiber

TABLE 13.—CHARACTERISTICS OF VARIOUS DIETARY FIBER DEFINITIONS1

CHOs Not Nondigestible Recovered by Nondigestible Resistant Intact, Naturally Resistant Specifies Reference Animal Alcohol Mono- and Lignin Starch Occurring Food to Human Physiological CHOs2 Disaccharides Sources Only Enzymes Effect Precipitation3

U.S. Food and Drug Yes Some inulin No Yes Some No No No Administration (USFDA), 19874

Institute of Medicine (IOM) (Proposed), 2001

Dietary Fiber No Yes No Yes Some Yes Yes No

Added Fiber Yes Yes Yes Yes Yes No Yes Yes 1All definitions are assumed to include nonstarch polysaccharides. 2CHO = carbohydrate. 3Includes inulin, oligosaccharides (3–10 degrees of polymerization), fructans, polydextrose, methylcellulose, resistant maltodextrins, and other related compounds. 4Method-based definition. Source: Adapted from the IOM, ‘‘Dietary Reference Intakes: Proposed Definition of Dietary Fiber,’’ Washington, DC: National Academy Press, 2001.

a. The IOM Panel defined ‘‘Dietary and low molecular weight fructans. The more beneficial physiological effects are Fiber’’ as nondigestible carbohydrates known physiological benefits of foods demonstrated in humans, examples of and lignin that are intrinsic and intact containing ‘‘Dietary Fiber,’’ such as ‘‘Functional Fiber’’ would include in plants. Nondigestible means that the attenuation of postprandial blood isolated nondigestible animal material is not digested and absorbed in glucose and cholesterol levels and carbohydrates, pectins or gums, the human small intestine. Fractions of improved laxation, are recognized. resistant starch formed during plant foods are still considered ‘‘Dietary b. The IOM Panel defined ‘‘Functional processing, and synthetic fibers such as Fiber’’ if the plants’ cells and their three Fiber’’ as isolated, nondigestible resistant maltodextrin and carbohydrates that have beneficial dimensional interrelationships remain fructooligosaccharides. At this time, physiological effects in humans. largely intact. Examples of ‘‘Dietary current FDA regulations have not ‘‘Functional Fibers’’ can be isolated or established formal criteria for Fiber’’ include cereal brans; resistant extracted nondigestible carbohydrates, establishing the beneficial physiological starch that is naturally occurring; using chemical, enzymatic, or aqueous effects of potential ‘‘Functional Fibers.’’ naturally occurring oligosaccharides procedures or synthetically c. The IOM Panel defined ‘‘Total such as raffinose, stachyose, verbacose; manufactured. Provided that one or Fiber’’ as the sum of ‘‘Dietary Fiber’’

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and ‘‘Functional Fiber.’’ Thus, while rule). No DV was established for trans On April 19, 2004 (69 FR 20838), FDA there is currently one category of dietary fatty acids. Required labeling became extended the comment period for the fiber in the Nutrition Fact label, the effective on January 1, 2006. 2003 trans fat ANPRM to receive Panel has provided three definitions of In the Federal Register of July 11, comments that considered the fiber for potential use. The AI set by the 2003 (68 FR 41507), FDA published an information in the 2004 subcommittee IOM is for ‘‘Total Fiber.’’ ANPRM (the 2003 trans fat ANPRM) to meeting (Ref. 23) that addressed whether the available scientific 2. Soluble and Insoluble Fiber solicit information and data that potentially could be used to establish evidence supports listing the percent The IOM Panel recommended that the new nutrient content claims about trans DV for saturated fat and trans fat terms soluble and insoluble fiber be fatty acids; to establish qualifying together or separately on the Nutrition phased out and replaced with an criteria for trans fat in current nutrient Facts label and what the maximal daily appropriate physicochemical property content claims for saturated fatty acids intake of trans fat may be. (e.g., viscous or fermentable fiber) of the and cholesterol, lean and extra lean Because of their relevance to the specific fiber as these become claims, and health claims that contain a Nutrition Facts label, FDA intends to standardized. This recommendation is message about cholesterol-raising lipids; consider, as comments to this ANRPM, based on scientific findings that suggest and, in addition, to establish disclosure the comments to the 2003 trans fat that the physiological benefit of a fiber and disqualifying criteria to help ANPRM on the IOM approach for (e.g., attenuation of blood glucose and consumers make heart-healthy food calculating a DV for saturated fat and cholesterol concentration and improved choices. FDA also requested comments trans fat and listing of saturated and laxation) is not related to the solubility on whether it should consider trans fats on separate lines of the of a fiber. There is evidence indicating statements about trans fat, either alone Nutrition Facts label with one that viscous fibers and fibers that are or in combination with saturated fat and numerical value for the percent DV for slowly, incompletely, or not fermented cholesterol, as a footnote in the both, and how to calculate the percent can provide beneficial physiological Nutrition Facts label or as a disclosure DV as one numerical value. Comments effects. The IOM Panel recommended statement in conjunction with claims to to the 2003 trans fat ANPRM on the that viscosity or fermentability of a fiber enhance consumer understanding about outcome of the subcommittee meeting be considered as characteristics to cholesterol-raising lipids and how to will also be considered. Public distinguish ‘‘Dietary Fibers’’ and use the information to make healthy comments on these issues are being asked again in this ANPRM so that these ‘‘Functional Fibers’’ that modulate food choices. gastric and small bowel function from issues can be considered in the context On March 1, 2004 (69 FR 9559), FDA those that provide substantial stool bulk of the entire Nutrition Facts and reopened the comment period for the which is affected by fiber solubility and Supplement Facts labels along with 2003 trans fat ANPRM to receive may or may not affect gastric and small other questions being asked in this comments that considered the bowel function. ANPRM. Currently, a statement of the number information in the 2003 IOM report on H. ANPRM on Prominence of Calories of grams of soluble (§ 101.9(c)(6)(i)(A)) nutrition labeling (Ref. 16) that and insoluble (§ 101.9(c)(6)(i)(B)) dietary addressed the labeling of trans fat (see In the Federal Register of April 4, fiber can be voluntarily declared and section II.E of this ANPRM). In addition 2005 (70 FR 17008), FDA published an indented under dietary fiber and both to the questions raised in the 2003 trans ANPRM on the prominence of calories are identified and quantified using fat ANPRM, FDA sought comments on on the food label (the 2005 ANPRM). AOAC INTERNATIONAL methods. the 2003 IOM labeling report’s approach The 2005 ANPRM was issued in to establish a DV using food response to recommendations from the 3. Analytical Issues composition data, menu modeling, and Obesity Working Group (OWG) created The IOM Panel recognized that dietary survey data to estimate a by the Commissioner of Food and Drugs adoption of the two definitions for fiber minimum trans fat intake within a to develop an action plan to address the would challenge the currently available nutritionally adequate diet. FDA also growing incidence of obesity in the analytical methods, requiring changes to sought comment on whether the IOM United States. The 2005 ANPRM, in the current analytical methods. approach of using food composition part, requested comments on whether Particularly, separating out ‘‘Dietary’’ data, menu modeling, and dietary giving more prominence to the and ‘‘Functional Fibers,’’ of which there survey data should be used to revise the declaration of calories per serving could be a potential overlap (e.g., DV for saturated fat. Public comments would increase consumer awareness of resistant starch and dietary fibers that were also sought on the IOM the caloric content of the packaged food. are extracted, concentrated, and added recommendation to list saturated fat and FDA also sought comment of whether to foods (gums, cellulose, pectin)). The trans fat on separate lines of the providing a percent DV for total calories IOM Panel proposed modifications to Nutrition Facts label, but have one would help consumers understand the the current methods. While further numerical value for the percent DV for caloric content of the packaged food in refinement of these methods is made, these two nutrients together. In the context of a 2,000 calorie diet. In the IOM Panel indicated that it would addition, if FDA were to use one addition, FDA also requested comments be more practical to determine ‘‘Total numerical value for the percent DV for on questions posed concerning the Fiber’’ using the current methods. both trans fat and saturated fat together, declaration of ‘‘calories from fat’’ (70 FR the agency asked for comment about 17008 at 17010). Because of their G. Current Regulations on Trans Fat whether such value should be relevance to the Nutrition Facts label, In the Federal Register of July 11, determined by adding a new DV FDA intends to consider, as comments 2003 (68 FR 41434), FDA amended its established for saturated fat to the DV to this ANRPM, comments to the 2005 regulations on nutrition labeling to for trans fat, or, alternatively, whether prominence of calories ANPRM related require trans fatty acids be declared in the agency should establish a joint DV to questions posed on a percent DV for grams per serving in the nutrition label for saturated and trans fats that would total calories and calories from fat. of conventional foods and dietary then be used to calculate one numerical Public comments on the specific supplements (the 2003 trans fat final value as the percent DV for both fats. question about establishing a percent

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DV for total calories and the questions concern for women of childbearing age experimental data be used to set DVs posed concerning ‘‘calories from fat’’ are who may become pregnant. Folic acid (i.e., from intervention studies that are being requested in this ANPRM so that was also identified as a nutrient of designed to evaluate nutrient these questions can be considered in the concern for women of childbearing age requirements rather than dietary intake context of the entire Nutrition Facts and who may become pregnant and those in data from national surveys)? Explain Supplement Facts labels along with the first trimester of pregnancy. Vitamin why or why not. other questions being asked in this D was identified as a nutrient of concern • If AIs are used to set DVs, should ANPRM. for older adults, people with dark skin, they be set based on population- and people exposed to insufficient coverage or population-weighted AI? I. Carbohydrate Content of Food ultraviolet band radiation (i.e., Explain why you have chosen a FDA received nine citizen petitions sunlight). particular approach and why it is that requested, among other things, that preferable to the other approach. the agency amend our nutrition labeling II. Agency Request for Information requirements related to the declaration FDA has not updated or set new DVs B. Populations for Which the DVs are of total carbohydrate content of foods.7 since 1995. In 2003, the IOM completed Intended With respect to carbohydrate labeling, its first review of nutrients using the Currently the DVs are for persons 4 the agency is requesting comment in DRI process. This review has generated years of age and older. FDA requests this ANPRM on questions related to the discussion in the scientific community. comments on the following questions on label declaration of carbohydrate in the FDA plans to revise the reference values the populations for which the DVs Nutrition Facts and Supplement Facts used for the Nutrition Facts and should be intended. labels (see section II.C.10 of this Supplement Facts labels. FDA requests • Should the DVs continue to be used document). comments on the following questions. for persons 4 years of age and older? As part of the comments, FDA requests Explain why or why not. J. ‘‘2005 Dietary Guidelines for that scientific justification be submitted • Should DVs for different life stage Americans’’ in support of the response. FDA groups be developed for labeling of food The ‘‘2005 Dietary Guidelines for recognizes that an individual products specific to these groups, as Americans’’ (the 2005 Dietary commenter may choose to respond to all recommended in the IOM labeling Guidelines) developed jointly by the of the questions or only a subset, based report (i.e., separate DVs: Infants (< 1 U.S. Department of Health and Human on his/her area of expertise. year), toddlers (1 to 3 years), pregnancy, Services and the U.S. Department of and lactation)? Explain why or why not. Agriculture provide several key A. Approach to Setting DVs If so, numerical recommendations with As discussed in section I.D of this • Should DVs for infants (< 1 year) be respect to micronutrients and document, beginning in 1997, the IOM set based on the EARs, RDAs, or AIs for macronutrients, of which most are based began publishing a series of reports on older infants (7 to 12 months)? Explain on the DRI reports (Ref. 7). These reference intake levels, collectively why you have chosen a particular recommendations are as follows: known as the DRIs. The DRIs provided approach and why it is preferable to the • Consume less than 10 percent of revised RDAs and three new reference other approaches. calories from saturated fat and less than intakes for nutrients (AI, EAR, and UL). • Should DVs for toddlers (1 to 3 300 mg/d of cholesterol. These The IOM also reported on AMDRs for years) be set based on the EARs, RDAs, recommendations are the same as the macronutrients. FDA requests or AIs for toddlers (1 to 3 years)? current DRVs for saturated fat and comments on the following questions on Explain why you have chosen a cholesterol. which DRIs and AMDRs should be used particular approach and why it is • Keep total fat intake between 20 for setting DVs. preferable to the other approaches. and 35 percent of calories, the AMDR • Should the DV be based on an EAR • Should DVs for pregnant women be for total fat. for those nutrients for which an EAR set based on the population-weighted or • Consume less than 2,300 mg/d of has been set? Explain why or why not. population-coverage EARs, RDAs, or AIs sodium, the UL for sodium. • If EARs are used to set DVs, should for all DRI pregnancy groups (i.e. 14 to The 2005 Dietary Guidelines also they be set based on population- 18 years, 19 to 30 years, 31 to 50 years)? identified nutrients of concern based on coverage or population-weighted EAR? Explain why you have chosen a dietary intake data or evidence of public Explain why you have chosen a particular approach and why it is health problems. The nutrients of particular approach and why it is preferable to the other approaches. concern are identified for: preferable to the other approach. • Should DVs for lactating women be • Adults: Calcium, potassium, fiber, Explain why or why not. set based on the population-weighted or magnesium, and vitamins A (as • Should the DV be set based on an population-coverage EARs, RDAs, or AIs carotenoids), C, and E; RDA for those nutrients for which an • for all DRI lactation groups (i.e. 14 to 18 Children and adolescents: Calcium, RDA has been set? Explain why you years, 19 to 30 years, 31 to 50 years)? potassium, fiber, magnesium, and have chosen a particular approach and Explain why you have chosen a vitamin E. why it is preferable to the other particular approach and why it is The 2005 Dietary Guidelines also approach. preferable to the other approaches. identified nutrients of concern for • If RDAs are used to set DVs, should specific populations groups. Vitamin they be set based on population- C. Labeling of Individual Nutrients B12 was identified as a nutrient of coverage or population-weighted RDA? FDA requests comments on the concern for people over the age of 50. Explain why you have chosen a following questions on individual Iron was identified as a nutrient of particular approach and why it is nutrients: preferable to the other approach. 7The nine citizen petitions can be found in • Should any or all AIs, regardless of 1. Calories Docket Nos. 2004P–0105/CP1, 2004P–0107/CP1, • 2004P–0110/CP1, 2004P–0297/CP1, 2004P–0298/ how they are derived, be used to set Should 2,000 calories continue to CP1, 2004P–0299/CP1, 2004P–0293/CP1, 2004P– DVs? Explain why or why not. Or, be used to express reference energy 0473/CP1, 2004P–0542/CP1. should only those AIs based on intake, as recommended in the IOM

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labeling report? Explain why or why 5. Saturated Fat acid (n-3 polyunsaturated fat) are not. • Should the current DRV of 20g/d established should they be voluntary or • Should 2,500 calories also be kept from saturated fat remain, as should they be made mandatory on the on the label footnote? Explain why or recommended by the 2005 Dietary food label? Explain why you have why not. Guidelines? Explain why or why not. chosen a particular approach and why • Should the EER (Estimated Energy • Should food composition data, it is preferable to the other approach. Requirements) be used to express menu modeling, and data from dietary 8. Monounsaturated Fat reference energy intake? Explain why or surveys be used to establish a DRV for • why not. Should monounsaturated fat saturated fat that is as low as possible continue to be voluntary or should it be • If a population-weighted EER or a while consuming a nutritionally made mandatory on the food label? population-coverage EER should be adequate diet, as recommended in the Explain why you have chosen a used, which PAL (sedentary, low active, IOM labeling report? Explain why or particular approach and why it is active, very active) should be used to why not. preferable to the other approach. calculate the EER? Explain why you 6. Trans Fat have chosen a particular approach and 9. Cholesterol • why it is preferable to the other Should food composition data, • Should the current cholesterol DRV approaches. menu modeling, and data from dietary of 300 mg/d remain, as recommended • Would providing for a percent DV surveys be used to establish a DRV for by the ‘‘2005 Dietary Guidelines for disclosure for total calories assist trans fat that is as low as possible while Americans’’? Explain why or why not. consumers in understanding the caloric consuming a nutritionally adequate diet, • Should food composition data, content of the packaged food in the as recommended in the IOM labeling menu modeling, and data from dietary context of a 2,000 calorie diet? Explain report? Explain why or why not. surveys be used to establish a DRV for • why or why not. Should saturated fat and trans fat cholesterol that is as low as possible be listed on separate lines of the 2. Calories From Fat while consuming a nutritionally Nutrition Facts label, but have one adequate diet, as recommended in the • What data are there on how numerical value for the percent daily IOM labeling report? Explain why or consumers use the listing of ‘‘Calories value for these two nutrients together, as why not. from fat?’’ recommended in the IOM labeling 10. Carbohydrate • How does the listing ‘‘Calories from report? Explain why or why not. • fat’’ adjacent to ‘‘Calories’’ affect If one numerical value is used for • Should the current approach for consumers’ focus on the total calories of the percent DV for both trans fat and calculating grams of total carbohydrate a food? saturated fat together, should such value by difference (see section I.E of this • What are the advantages or be determined by adding the DV for document) continue to be used? Explain disadvantages of eliminating the listing saturated fat to the DV for trans fat, or, why or why not. If not, what other for ‘‘Calories from fat’’ from the alternatively, should the agency directly approach or method do you nutrition label? establish a joint DV for saturated and recommend? If so, what should be • trans fats that would then be used to included or excluded in the current What data would be needed to calculate one numerical value as the determine whether the listing of calculation of ‘‘total carbohydrate’’? percent DV for both fats? • The 2005 Dietary Guidelines ‘‘Calories from fat’’ is or is not necessary recommends consuming fiber-rich to assist consumers in maintaining 7. Polyunsaturated Fat foods. Would the separation of dietary healthy dietary practices? • Should polyunsaturated fat fiber from the ‘‘total carbohydrate’’ 3. Calories From Saturated Fat continue to be voluntary or should it be declaration in nutrition labeling affect made mandatory on the food label? consumer understanding of label • Should calories from saturated fat Explain why you have chosen a information and its application to continue to be voluntary or should it be particular approach and why it is dietary guidelines and what would be made mandatory on the food label? preferable to the other approach. the impact, if any, on fiber Explain why you have chosen a • Should a DRV for polyunsaturated consumption? particular approach and why it is fat (n-3 plus n-6) be established using • Should ‘‘sugars’’ continue to be preferable to the other approach. the AMDRs for n-6 (5–10 percent) and included in the Nutrition Facts label? 4. Total Fat n-3 (0.6–1.2 percent) of total calories? If • Should additional types of • so, should the midpoint be used? carbohydrate (e.g., starch) be listed Should a population-weighted Explain why or why not. separately in the Nutrition Facts label? midpoint of the AMDR (e.g. 28 percent Note: 7.5 percent (midpoint) for n-6 and Explain why or why not. for adults) be used, as suggested in the 0.9 percent (midpoint) for n-3 of 2,000 • Should carbohydrates be classified IOM labeling report? Explain why or calories =19g/d polyunsaturated fat. and declared in nutrition labeling based why not. • Should a DRV for polyunsaturated on their chemical definition or on their Note: 28 percent of 2,000 calories/d is fat be derived based upon AIs for physiological effect? Explain why you 560 calories/d. 560 calories/d divided linoleic acid (n-6 polyunsaturated fat) have chosen a particular approach and by 9 calories/g is 62 g/d. plus a-linolenic acid (n-3 why it is preferable to the other • Should the upper range of AMDR of polyunsaturated fat)? Explain why or approach. If based on a physiologic 35 percent be used? Explain why or why why not. effect, should the DV for carbohydrate not. • Should separate DRVs for linoleic (i.e., sugars and starch) be based on the Note: This would increase the DRV from acid (n-6 polyunsaturated fat) and a- midpoint of the AMDR (i.e., 55 65g/d to 78 g/d for 2,000 calorie diet. 35 linolenic acid (n-3 polyunsaturated fat) percent)? Explain why or why not. percent of 2,000 calories is 700 calories. be established? Explain why or why not. Note: 55 percent of 2,000 calories/d is 700 calories divided by 9 calories/g is ~ • If separate DRVs for linoleic acid (n- 1,100 calories. 1,100 calories divided by 78g. 6 polyunsaturated fat) and a-linolenic 4 calories/g would be 275 g/d.

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11. Dietary Fiber 15. Sodium • Should the current DV units for µ • • Should the DRV for sodium be folate ( g), copper (mg), chloride (mg), Should FDA continue to use the potassium (mg), and sodium (mg) be AOAC INTERNATIONAL methods to based on the UL for sodium (2,300 mg/ d) as suggested by the 2005 Dietary changed to be consistent with the units determine dietary fiber? If not, what in the IOM DRI reports (folate (µg other or additional methods should be Guidelines for Americans or should it µ be based on the AI (1,500 mg/d using dietary folate equivalents), copper ( g), used? chloride (g), potassium (g), and sodium • Should the IOM dietary fiber and/ the population-coverage approach)? Explain why you have chosen a (g))? Explain why or why not. or functional fiber definitions replace • Should the Supplement Facts label particular approach and why it is the current FDA definition for dietary use the same DVs as the Nutrition Facts preferable to the other approach. fiber? Explain why or why not. label, as suggested in the IOM labeling • If the UL should be used, should it • Do you recommend another name report? Explain why or why not. be adjusted using the same approach for functional fiber? If so, what do you • Should absolute amounts (e.g., (population-weighted or population- recommend and why? grams or milligrams) be included in the • coverage) as the other DRIs? Explain Nutrition Facts and Supplement Facts Until FDA identifies functional why or why not. fibers and analytical methods are labels for mandatory and voluntary established for distinguishing functional 16. Chloride nutrients? Explain why or why not. fiber from dietary fiber, should total The IOM set an AI and UL for E. Process Questions fiber be used on the label to represent chloride on an equi-molar basis to that dietary fiber? Explain why or why not. The following question seeks of sodium since most sodium is information on the process issues 12. Soluble and Insoluble Fiber consumed in the form of sodium related to the Nutrition and Supplement chloride. • Should soluble and insoluble fiber • Facts labels. Should the DV for chloride • If FDA includes functional fiber in continue to be voluntary or should they continue to be an RDI, or should it be the Nutrition Facts labels, should FDA be made mandatory on the food label? a DRV like sodium? Explain why you develop criteria for identifying fibers Explain why you have chosen a have chosen a particular approach and that meet the definition of functional particular approach and why it is why it is preferable to the other fiber (i.e., demonstrates a physiological preferable to the other approach. approach. benefit)? If so, what should those • • Should the terms soluble fiber and Should the DV for chloride be based criteria be? insoluble fiber be changed to viscous on the same DRI (AI versus UL) as used and nonviscous fiber, as suggested by to set a DV for sodium? Explain why or F. Questions on Consumer and Producer the IOM? Explain why or why not. why not. Use and Understanding of DVs 13. Sugar Alcohols 17. Vitamins and Minerals To help determine which regulatory options might address problems • Should sugar alcohols continue to Currently vitamin A, vitamin C, associated with food package labels be voluntary or should they be made calcium, and iron are mandatory on the reflecting current DVs, we request mandatory on the food label? Explain food label because they were considered comments including available data on why you have chosen a particular to be of public health concern. the following questions: approach and why it is preferable to the • Are vitamin A, vitamin C, calcium, • In the 2002 Health and Diet Survey other approach. and iron still considered to be of public (Ref. 24), respondents were asked how • How should the energy contribution health concern? Explain why or why they use the Nutrition Facts label. The of sugar alcohols be represented on the not. most common answers were as follows: label since energy values vary (e.g., from • Are there other micronutrients that (1) To see if the product was high or low 0.2 calories/g for erythritol to 3.0 should be of public health concern? in a specific nutrient, (2) to get a general calories/g for hydrogenated starch Please be specific in describing what, if idea of the nutritional content of food, hydrolysates)? any, other micronutrients are of public and (3) to decide which brand to • health concern and why. purchase and to compare different food FDA has not defined how it would • determine available energy from sugar For those nutrients given an AI items. Do you have information alcohols. What analytical methods under the DRI process, but currently indicating how the percent DV found in could be used to determine the energy have a DV based on an earlier RDA (e.g., the Nutrition Facts label facilitates any contribution of sugar alcohols? calcium, vitamin K, vitamin D, of these uses by consumers? For which pantothenic acid, biotin), should the food products and nutrients? 14. Protein current DV be retained or should the • Currently, a percent DV is required • Should the DRV be based on the newer AI be used to develop a new DV? for most nutrients listed in the Nutrition approach recommended in the IOM Explain why you have chosen a Facts label. Do you have any labeling report (100 percent—(DV + particular approach and why it is information indicating that there are fat preferable to the other approach. nutrients for which consumers would DVcarbohydrate))? Explain why or why not. • • Currently there is no DV for value percent DV information, but such Should the DRV be based on the fluoride. Since the IOM established an nutrients are not currently found in the midpoint of the AMDR for protein (i.e., AI for fluoride, should there be a DV for Nutrition Facts label? 17 percent)? Explain why or why not. fluoride? Explain why or why not. • Do you have information suggesting Note: Based on 2,000 calories/d, the the degree to which the percent DV is D. Other Questions DRV would be 85 g/d. helpful for making purchases? For • Should the DRV for protein be • Should the IUs that are currently which food products? For which based on the EAR or RDA for protein? used for the DVs for vitamins A, D, and nutrients? Explain why you have chosen a E be changed to µg RAE (retinol activity • Do you have information suggesting particular approach and why it is equivalents), µg, and mg a-tocopherol, differences between the degree to which preferable to the other approach. respectively? Explain why or why not. the percent DV is helpful for making

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purchases intended for consumers 4 III. Comments 10. IOM, Executive Summary, ‘‘Dietary years of age and older, children younger Reference Intakes for Vitamin C, Vitamin E, Interested persons may submit to the than 4 years of age, infants, and Selenium, and Carotenoids,’’ Washington, Division of Dockets Management (see pregnant women and lactating women? DC: National Academy Press, pp. 1 to 20, ADDRESSES) written or electronic For which food products? For which 2000. comments regarding this document. 11. IOM, Executive Summary, ‘‘Dietary nutrients? Submit a single copy of electronic Reference Intakes for Vitamin A, Vitamin K, The following questions address Arsenic, Boron, Chromium, Copper, Iodine, information needed by FDA to analyze comments or two paper copies of any mailed comments, except that Iron, Manganese, Molybdenum, Nickel, the implications of changes in the Silicon, Vanadium, and Zinc,’’ Washington, percent DVs on consumer and producer individuals may submit one paper copy. Comments are to be identified with the DC: National Academy Press, pp. 1 to 28, behavior. 2001. • Do you have any information docket number found in brackets in the 12. IOM, ‘‘Dietary Reference Intakes: suggesting that changes in percent DV heading of this document. Received Proposed Definition of Dietary Fiber,’’ (higher or lower), for a nutrient per comments may be seen in the Division Washington, DC: National Academy Press, serving, would cause consumers to of Dockets Management between 9 a.m. 2001. reduce their consumption of some and 4 p.m., Monday through Friday. 13. IOM, Executive Summary, ‘‘Dietary Reference Intakes for Energy, Carbohydrate, products or product categories and IV. References increase their consumption of other Fiber, Fat, Fatty Acids, Cholesterol, Protein, and Amino Acids,’’ Washington, DC: products or product categories? If so, The following references have been placed on display in the Division of National Academies Press, pp. 1 to 19, 2002. changes in the percent DVs of which 14. IOM, Executive Summary, ‘‘Dietary Dockets Management (see ADDRESSES) nutrients would cause changes in the Reference Intakes for Water, Potassium, consumption of which products or and may be seen by interested persons Sodium, Chloride, and Sulfate,’’ Washington, product categories? Why? between 9 a.m. and 4 p.m., Monday DC: National Academies Press, pp. 1 to 20, • If changes in the percent DVs of through Friday. FDA has verified the 2004. some nutrients would alter the Web site addresses but is not 15. IOM, Executive Summary, ‘‘Dietary eligibility of some products or product responsible for subsequent changes to Reference Intakes: Applications in Dietary categories to make nutrient content the Web sites after this document Planning,’’ Washington, DC: National claims or health claims, do you have publishes in the Federal Register. Academies Press, pp. 1 to 17, 2003. any information suggesting that 1. National Research Council (NRC), 16. IOM, ‘‘Dietary Reference Intakes: manufacturers would reformulate or re- ‘‘Recommended Dietary Allowances, Seventh Guiding Principles for Nutrition Labeling and label some of their products in order to Edition,’’ Washington, DC: National Fortification,’’ Washington, DC: National Academies Press, 2003. make a nutrient content claim or a Academy Press, 1968. 2. NRC, ‘‘Recommended Dietary 17. Beaton, G.H., ‘‘When Is an Individual health claim? If so, changes in the Allowances, Ninth Edition,’’ Washington, an Individual Versus a Member of a Group? percent DVs of which nutrients would DC: National Academy Press, 1980. An Issue in the Application of the Dietary cause which products or product 3. NRC, ‘‘Recommended Dietary Reference Intakes.’’ Nutrition Reviews, categories to be reformulated in order to Allowances, Tenth Edition,’’ Washington, 64:221–225, 2006. make a nutrient content claim or health DC: National Academy Press, 1989. 18. Beaton, G.H., ‘‘Choice of DRI Value for claim? 4. NRC, Executive Summary, ‘‘Diet and Use in Nutrition Labeling.’’ Journal of • If changes in the percent DVs of Health: Implications for Reducing Chronic Nutrition, 137:694–695, 2007. some nutrients would cause some Disease Risk,’’ Washington, DC: National 19. Yates, A.A., ‘‘Which Dietary Reference products or product categories to be Academy Press, pp. 1 to 20, 1989. Intake Is Best Suited to Serve as the Basis for reformulated or re-labeled in order to 5. U.S. Department of Health and Human Nutrition Labeling for Daily Values?’’ Journal make a nutrient content claim or a Services, ‘‘The Surgeon General’s Report on of Nutrition, 136:2457–2462, 2006. Nutrition and Health,’’ Washington, DC, 20. FDA, Center for Food Safety and specific health claim, do you have any 1988. Applied Nutrition, ‘‘Nutrient Content Claims information suggesting that there are 6. U.S. Department of Agriculture and U.S. Notifications for Choline Containing Foods,’’ public health effects from changes in Department of Health and Human Services, (Internet address: http://www.cfsan.fda.gov/ nutrient intakes and consumption ‘‘Nutrition and Your Health, Dietary ~dms/flcholin.html), August 30, 2001. behavior of newly reformulated or re- Guidelines for Americans,’’ Washington, DC: 21. Derby B., A. Levy, ‘‘Do Food Labels labeled products or product categories Home and Gardening Bulletin No. 232, 3d Work?’’ In: Handbook of Marketing and that make these claims? If so, what are ed., U.S. Government Printing Office, 1990. Society, Thousand Oaks, CA: Sage, 2000. the public health effects from changes in Available at http://www.health.gov/ 22. IOM, Executive Summary, ‘‘Dietary nutrient intakes and from changes in the DietaryGuidelines/1990thin.pdf. Reference Intakes: Applications in Dietary consumption behavior of which newly 7. U.S. Department of Health and Human Assessment,’’ Washington, DC: National Services and U.S. Department of Agriculture, Academy Press, 2000. reformulated products or product ‘‘2005 Dietary Guidelines for Americans,’’ 23. FDA, ‘‘Meeting Minutes from the categories? • 6th ed., Washington, DC: U.S. Government Nutrition Subcommittee of the Food The length of time to comply with Printing Office, 2005. Available at http:// Advisory Committee Meeting on Total Fat any regulation requiring revision to www.health.gov/dietaryguidelines/dga2005/ and Trans Fat,’’ Washington, DC, April 27 to product labels may introduce confusion document/. 28, 2004. Available at http://www.fda.gov/ on the part of consumers during a 8. IOM, Executive Summary, ‘‘Dietary ohrms/dockets/ac/04/minutes/ transition period in which two different Reference Intakes for Calcium, Phosphorous, 4035m1_FinalSummaryMinutes.htm. percent DVs would be reflected on Magnesium, Vitamin D, and Fluoride,’’ 24. FDA, ‘‘2002 Health and Diet Survey— labels of otherwise identically Washington, DC: National Academy Press, Preliminary Topline Frequencies formulated products. Do you have pp. 1–20, 1997. (Weighted),’’ 2004. 9. IOM, Executive Summary, ‘‘Dietary information suggesting the extent to Reference Intakes for Thiamin, Riboflavin, This ANPRM is issued under section which such confusion might exist for Niacin, Vitamin B6, Folate, Vitamin B12, 201 et al. of the Federal Food, Drug, and compliance periods of 6 months, 12 Pantothenic Acid, Biotin, and Choline,’’ Cosmetic Act (21 U.S.C. 321 et al.) and months, and 24 months? For which food Washington, DC: National Academy Press, under authority of the Commissioner of products? pp. 1 to 16, 1998. Food and Drugs.

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APPENDIX A ACRONYMS USED IN THIS DOCUMENT AI Adequate Intake AMDRs Acceptable Macronutrient Distribution Ranges ANPRM Advance Notice of Proposed Rulemaking CV Coefficient of Variation DRIs Dietary Reference Intakes DRV Daily Reference Value DV(s) Daily Value(s) EAR Estimated Average Requirement EER Estimated Energy Requirement ESADDIs Estimated Safe and Adequate Daily Dietary Intakes FDA Food and Drug Administration FLUNES Food Label Use and Nutrition Education Surveys IOM Institute of Medicine IU International Units NAS National Academy of Sciences NLEA Nutrition Labeling and Education Act of 1990 OWG Obesity Working Group PAL Physical Activity Level RACC Reference Amount Customarily Consumed RDA Recommended Dietary Allowance RDI Reference Daily Intakes SD Standard Deviation TEE Total Energy Expenditure U.S. RDA U.S. Recommended Daily Allowance UL Tolerable Upper Intake Level

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BILLING CODE 4160–01–C

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Dated: October 25, 2007. Washington, DC. Such deliveries are number for the EPA Docket Center is Jeffrey Shuren, only accepted during the Docket’s (202) 566–1742. Assistant Commissioner for Policy. normal hours of operation, and special Rulemaking actions related to the [FR Doc. 07–5440 Filed 11–1–07; 8:45 am] arrangements should be made for CAIR and the CAIR FIPs are also BILLING CODE 4160–01–S deliveries of boxed information. Instructions: Direct your comments to available at the EPA’s CAIR Web site at Docket ID No. EPA–HQ–OAR–2007– www.epa.gov/cair. ENVIRONMENTAL PROTECTION 0510. EPA’s policy is that all comments FOR FURTHER INFORMATION CONTACT: AGENCY received will be included in the public Carla Oldham, Air Quality Planning docket without change and may be Division, Office of Air Quality Planning 40 CFR Part 52 made available online at http:// and Standards, mail code C539–04, www.regulations.gov, including any [EPA–HQ–0AR–2007–0510; FRL–8485–8] Environmental Protection Agency, personal information provided, unless Research Triangle Park, North Carolina Federal Implementation Plans for the the comment includes information 27711; telephone number: 919–541– Clean Air Interstate Rule: Automatic claimed to be Confidential Business 3347; fax number: 919–541–0824; e-mail Information (CBI) or other information Withdrawal Provisions address: [email protected]. whose disclosure is restricted by statute. AGENCY: Environmental Protection Do not submit information that you SUPPLEMENTARY INFORMATION: Agency (EPA). consider to be CBI or otherwise I. Why Is EPA Issuing This Proposed ACTION: Proposed rule. protected through www.regulations.gov or e-mail. The www.regulations.gov Web Rule? SUMMARY: EPA is proposing to amend site is an ‘‘anonymous access’’ system, This document proposes to amend the the Federal Implementation Plans (FIPs) which means EPA will not know your CAIR FIPs to provide for automatic identity or contact information unless for the Clean Air Interstate Rule (CAIR) withdrawal of the CAIR FIPs in a State you provide it in the body of your to provide for automatic withdrawal of upon the effective date of EPA’s comment. If you send an e-mail the CAIR FIPs in a State upon the approval of a full SIP revision meeting comment directly to EPA without going effective date of EPA’s approval of a full the CAIR requirements. We have State implementation plan (SIP) through www.regulations.gov your e- published a direct final rule making revision meeting the CAIR mail address will be automatically such amendments in the ‘‘Rules’’ requirements. EPA believes it is captured and included as part of the section of this Federal Register because appropriate for the FIP withdrawal to be comment that is placed in the public automatic because to the extent EPA docket and made available on the we view this as a noncontroversial approves the State’s full CAIR SIP, this Internet. If you submit an electronic action and anticipate no adverse corrects the deficiency that provided the comment, EPA recommends that you comment. We have explained our basis for EPA’s promulgation of the FIPs include your name and other contact reasons for this action in the preamble in that State. information in the body of your to the direct final rule. In the ‘‘Rules’’ section of this Federal comment and with any disk or CD–ROM If we receive no adverse comment, we Register, we are issuing this action as a you submit. If EPA cannot read your will not take further action on this direct final rule without a prior comment due to technical difficulties proposed rule. If we receive adverse proposed rule. If we receive no adverse and cannot contact you for clarification, comment, we will withdraw the direct comment, we will not take further EPA may not be able to consider your final rule and it will not take effect. We action on this proposed rule. comment. Electronic files should avoid would address all public comments in the use of special characters and any DATES: Written comments must be any subsequent final rule based on this form of encryption, and be free of any received by December 17, 2007. proposed rule. We do not intend to defects or viruses. For additional ADDRESSES: Submit your comments, information about EPA’s public docket institute a second comment period on identified by Docket ID No. EPA–HQ– visit the EPA Docket Center homepage this action. Any parties interested in OAR–2007–0510, by one of the at http://www.epa.gov/epahome/ commenting must do so at this time. following methods: dockets.htm. The regulatory text for this proposal is • http://www.regulations.gov: Follow Docket: All documents in the docket identical to that for the direct final rule the on-line instructions for submitting are listed in the www.regulations.gov published in the ‘‘Rules’’ section of this comments. index. Although listed in the index, Federal Register. For further • E-mail: [email protected]. some information is not publicly information and the detailed rationale Attention Docket ID No. EPA–HQ– available, e.g., CBI or other information for this proposal, see the information OAR–2007–0510. whose disclosure is restricted by statute. provided in the direct final rule. • Fax: (202) 566–9744. Attention Certain other material, such as Docket ID No. EPA–HQ–OAR–2007– copyrighted material, will be publicly II. Does This Action Apply to Me? 0510. available only in hard copy. Publicly • Mail: EPA Docket Center, EPA West available docket materials are available This action does not propose any (Air Docket), Attention Docket ID No. either electronically in control requirements. It proposes to EPA–HQ–OAR–2007–0510, www.regulations.gov or in hard copy at amend the CAIR FIPs to provide for Environmental Protection Agency, the EPA Docket Center EPA/DC, EPA automatic withdrawal of the CAIR FIPs Mailcode: 2822T, 1200 Pennsylvania West, Room 3334, 1301 Constitution in a State upon the effective date of Ave., NW., Washington, DC 20460. Ave., NW., Washington, DC. The Public EPA’s approval of the CAIR SIP for the • Hand Delivery: EPA Docket Center Reading Room is open from 8:30 a.m. to State. EPA promulgated the CAIR FIPs (Air Docket), Attention Docket ID No. 4:30 p.m., Monday through Friday, on April 28, 2006 (71 FR 25328). EPA–HQ–OAR–2007–0510, excluding legal holidays. The telephone Categories and entities potentially Environmental Protection Agency, 1301 number for the Public Reading Room is regulated by the CAIR FIPs include the Constitution Avenue, NW., Room 3334; (202) 566–1744, and the telephone following:

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Category NAICS code1 Examples of potentially regulated entities

Industry ...... 221112 Fossil fuel-fired electric utility steam generating units. Federal government ...... 2 221122 Fossil fuel-fired electric utility steam generating units owned by the Federal govern- ment. State/local/Tribal government ...... 2 221122 Fossil fuel-fired electric utility steam generating units owned by municipalities. 921150 Fossil fuel-fired electric utility steam generating units in Indian Country. 1 North American Industry Classification System. 2 Federal, State, or local government-owned and operated establishments are classified according to the activity in which they are engaged.

This table is not intended to be October 4, 1993) and is therefore not C. Regulatory Flexibility Act exhaustive, but rather provides a guide subject to review under the Executive The Regulatory Flexibility Act (RFA) for readers regarding entities likely to be Order. generally requires an agency to prepare regulated by the CAIR FIPs. To B. Paperwork Reduction Act a regulatory flexibility analysis of any determine whether your facility is rule subject to notice and comment affected by the CAIR FIPs, you should This action does not impose any new rulemaking requirements under the examine the definitions and information collection burden. This Administrative Procedure Act or any applicability criteria in 40 CFR 97.102, action proposes to amend the CAIR FIPs other statute unless the agency certifies 97.104, 97.105, 97.202, 97.204, 97.205, that the rule will not have a significant 97.302, 97.304, and 97.305. If you have to provide for automatic withdrawal of the CAIR FIPs in a State once the State’s economic impact on a substantial any questions regarding the number of small entities. Small entities applicability of the CAIR FIPs to a CAIR SIP is in place. EPA believes that the Paperwork Reduction Act (44 U.S.C. include small businesses, small particular entity, consult the person organizations, and small governmental 3501 et seq.) requirements of the listed in the preceding section under jurisdictions. FOR FURTHER INFORMATION CONTACT. existing CAIR FIPs rule are satisfied For purposes of assessing the impacts through the Information Collection III. What Action Is EPA Proposing? of this rule on small entities, small Request (ICR) (EPA ICR number entity is defined as: (1) A small business The EPA is proposing to amend the 2152.02; OMB control number 2060– ‘‘as defined by the Small Business CAIR FIPs to provide for automatic 0570) submitted to the OMB for review Administration’s (SBA) regulations at 13 withdrawal of the CAIR FIPs in a State and approval as part of the CAIR (70 FR CFR 121.201;’’ (2) a small governmental upon the effective date of EPA’s 25162–25405) and approved by the jurisdiction that is a government of a approval of a full SIP revision meeting OMB in September 2005. A copy of the city, county, town, school district or the CAIR requirements. All CAIR States OMB approved Information Collection special district with a population of less are required to revise their SIPs to Request (ICR) may be obtained from than 50,000; and (3) a small include control measures to reduce Susan Auby, Collection Strategies organization that is any not-for-profit emissions of nitrogen oxides and/or enterprise which is independently sulfur dioxide. The EPA issued the Division; U.S. Environmental Protection Agency (2822T); 1200 Pennsylvania owned and operated and is not CAIR FIPs as a backstop to implement dominant in its field. After considering the CAIR in each CAIR State until that Ave., NW., Washington, DC 20460 or by calling (202) 566–1672. the economic impacts of this proposed State has an EPA-approved CAIR SIP in rule on small entities, I certify that this place to achieve the required Burden means the total time, effort, or action will not have a significant reductions. In the FIP rulemaking, EPA financial resources expended by persons economic impact on a substantial stated it would withdraw the FIPs in a to generate, maintain, retain, or disclose number of small entities. This proposed State in coordination with the approval or provide information to or for a rule will not impose any requirements of the CAIR SIP for that State. EPA Federal agency. This includes the time on small entities. This proposal would believes it is appropriate for the FIP needed to review instructions; develop, not impose new requirements on any withdrawal to be automatic because to acquire, install, and utilize technology entities, but instead would provide for the extent EPA approves the State’s full and systems for the purposes of the automatic withdrawal of the CAIR CAIR SIP, this corrects the deficiency collecting, validating, and verifying FIPs in certain circumstances. We that provided the basis for EPA’s information, processing and continue to be interested in the promulgation of the FIPs in that State. maintaining information, and disclosing potential impacts of the proposed rule The automatic withdrawal provision and providing information; adjust the on small entities and welcome would not apply to EPA approvals of comments on issues related to such any abbreviated SIPs revisions existing ways to comply with any impacts. submitted pursuant to 40 CFR 51.123(p), previously applicable instructions and 40 CFR 51.123(ee) and 40 CFR 51.124(r). requirements; train personnel to be able D. Unfunded Mandates Reform Act to respond to a collection of The detailed description of and rational Title II of the Unfunded Mandates for this proposal appears in the direct information; search data sources; complete and review the collection of Reform Act of 1995 (UMRA), Pub. L. final rule published in the ‘‘Rules’’ 104–4, establishes requirements for information; and transmit or otherwise section of this Federal Register. Federal agencies to assess the effects of disclose the information. III. Statutory and Executive Order their regulatory actions on State, local, Reviews An agency may not conduct or and tribal governments and the private sponsor, and a person is not required to sector. Under section 202 of the UMRA, A. Executive Order 12866: Regulatory respond to a collection of information EPA generally must prepare a written Planning and Review unless it displays a currently valid OMB statement, including a cost-benefit This action is not a ‘‘significant control number. The OMB control analysis, for proposed and final rules regulatory action’’ under the terms of numbers for EPA’s regulations in 40 with ‘‘Federal mandates’’ that may Executive Order 12866 (58 FR 51735, CFR are listed in 40 CFR part 9. result in expenditures to State, local,

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and tribal governments, in the aggregate, This proposed rule does not have establish an environmental standard or to the private sector, of $100 million federalism implications. It will not have intended to mitigate health or safety or more in any one year. Before substantial direct effects on the States, risks. promulgating an EPA rule for which a on the relationship between the national H. Executive Order 13211: Actions That written statement is needed, section 205 government and the States, or on the Significantly Affect Energy Supply, of the UMRA generally requires EPA to distribution of power and Distribution, or Use identify and consider a reasonable responsibilities among the various number of regulatory alternatives and levels of government, as specified in This proposal is not subject to adopt the least costly, most cost- Executive Order 13132. This proposal Executive Order 13211, ‘‘Actions effective or least burdensome alternative would not impose an enforceable duty Concerning Regulations That that achieves the objectives of the rule. on any State, local or tribal governments Significantly Affect Energy Supply, The provisions of section 205 do not or the private sector. Thus, Executive Distribution, or Use’’ (66 FR 28355 (May apply when they are inconsistent with Order 13132 does not apply to this 22, 2001)) because it is not a significant applicable law. Moreover, section 205 proposal. In the spirit of Executive regulatory action under Executive Order allows EPA to adopt an alternative other Order 13132, and consistent with EPA 12866. than the least costly, most cost-effective policy to promote communications I. National Technology Transfer between EPA and State and local or least burdensome alternative if the Advancement Act Administrator publishes with the final governments, EPA specifically solicits rule an explanation why that alternative comment on this proposed rule from Section 12(d) of the National was not adopted. Before EPA establishes State and local officials. Technology Transfer and Advancement Act of 1995 (‘‘NTTAA’’), Public Law No. any regulatory requirements that may F. Executive Order 13175: Consultation significantly or uniquely affect small 104–113, 12(d) (15 U.S.C. 272 note) and Coordination With Indian Tribal directs EPA to use voluntary consensus governments, including tribal Governments governments, it must have developed standards in its regulatory activities under section 203 of the UMRA a small Executive Order 13175, entitled unless to do so would be inconsistent government agency plan. The plan must ‘‘Consultation and Coordination with with applicable law or otherwise provide for notifying potentially Indian Tribal Governments’’ (65 FR impractical. Voluntary consensus affected small governments, enabling 67249, November 9, 2000), requires EPA standards are technical standards (e.g., to develop an accountable process to officials of affected small governments materials specifications, test methods, ensure ‘‘meaningful and timely input by to have meaningful and timely input in sampling procedures, and business tribal officials in the development of the development of EPA regulatory practices) that are developed or adopted regulatory policies that have tribal proposals with significant Federal by voluntary consensus standards implications.’’ This proposed rule does intergovernmental mandates, and bodies. The NTTAA directs EPA to not have tribal implications, as specified informing, educating, and advising provide Congress, through OMB, in Executive Order 13175 because it small governments on compliance with explanations when the Agency decides would not impose an enforceable duty the regulatory requirements. not to use available and applicable on any State, local or tribal governments voluntary consensus standards. This rule contains no Federal or the private sector. Thus, Executive This proposed rulemaking does not mandates (under the regulatory Order 13175 does not apply to this rule. involve technical standards. Therefore, provisions of Title II of the UMRA) for EPA is not considering the use of any State, local, or tribal governments or the G. Executive Order 13045: Protection of Children From Environmental Health voluntary consensus standards. private sector. The rule imposes no EPA welcomes comments on this and Safety Risks enforceable duty on any State, local or aspect of the proposed rulemaking and, tribal governments or the private sector Executive Order 13045: ‘‘Protection of specifically, invites the public to because this proposal would not impose Children from Environmental health identify potentially-applicable new requirements on any entities, but Risks and Safety Risks’’ (62 FR 19885, voluntary consensus standards and to instead would provide for the automatic April 23, 1997) applies to any rule that: explain why such standards should be withdrawal of the CAIR FIPs in certain (1) Is determined to be ‘‘economically used in this regulation. circumstances. Thus, this rule is not significant’’ as defined under Executive subject to the requirements of sections Order 12866, and (2) concerns an J. Executive Order 12898: Federal 202 and 205 of the UMRA. environmental health or safety risk that Actions To Address Environmental Justice in Minority Populations and E. Executive Order 13132: Federalism EPA has reason to believe may have a disproportionate effect on children. If Low-Income Populations Executive Order 13132, entitled the regulatory action meets both criteria, Executive Order 12898 (59 FR 7629 ‘‘Federalism’’ (64 FR 43255, August 10, the Agency must evaluate the (Feb. 16, 1994)) establishes federal 1999), requires EPA to develop an environmental health or safety effects of executive policy on environmental accountable process to ensure the planned rule on children, and justice. Its main provision directs ‘‘meaningful and timely input by State explain why the planned regulation is federal agencies, to the greatest extent and local officials in the development of preferable to other potentially effective practicable and permitted by law, to regulatory policies that have federalism and reasonably feasible alternatives make environmental justice part of their implications.’’ ‘‘Policies that have considered by the Agency. mission by identifying and addressing, federalism implications’’ is defined in EPA interprets Executive Order 13045 as appropriate, disproportionately high the Executive Order to include as applying only to those regulatory and adverse human health or regulations that have ‘‘substantial direct actions that are based on health or safety environmental effects of their programs, effects on the States, on the relationship risks, such that the analysis required policies, and activities on minority between the national government and under section 5–501 of the Order has populations and low-income the States, or on the distribution of the potential to influence the regulation. populations in the United States. power and responsibilities among the This rule is not subject to Executive EPA has determined that this various levels of government.’’ Order 13045 because it does not proposal would not have

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disproportionately high and adverse used by insurance agents, and others to the proposed BFEs, will be considered. human health or environmental effects calculate appropriate flood insurance A letter acknowledging receipt of any on minority or low-income populations premium rates for new buildings and comments will not be sent. because it would not affect the level of the contents in those buildings. Administrative Procedure Act protection provided to human health or DATES: Comments are to be submitted Statement. This matter is not a the environment. This action does not on or before January 31, 2008. rulemaking governed by the propose an enforceable duty on any ADDRESSES: The corresponding Administrative Procedure Act (APA), 5 State, local or tribal governments or the preliminary Flood Insurance Rate Map U.S.C. 553. FEMA publishes flood private sector. It would neither increase (FIRM) for the proposed BFEs for each elevation determinations for notice and nor decrease environmental protection. community are available for inspection comment; however, they are governed List of Subjects in 40 CFR Part 52 at the community’s map repository. The by the Flood Disaster Protection Act of respective addresses are listed in the 1973, 42 U.S.C. 4105, and the National Environmental protection, table below. Flood Insurance Act of 1968, 42 U.S.C. Administrative practice and procedure, You may submit comments, identified 4001 et seq., and do not fall under the Air pollution control, Electric utilities, by Docket No. FEMA–B–7744, to APA. Intergovernmental relations, Nitrogen William R. Blanton, Jr., Chief, National Environmental Policy Act. oxides, Ozone, Particulate matter, Engineering Management Branch, This proposed rule is categorically Reporting and recordkeeping Mitigation Directorate, Federal excluded from the requirements of 44 requirements, Sulfur dioxide. Emergency Management Agency, 500 C CFR part 10, Environmental Dated: October 17, 2007. Street, SW., Washington, DC 20472, Consideration. An environmental Stephen L. Johnson, (202) 646–3151, or (e-mail) impact assessment has not been Administrator. [email protected]. prepared. [FR Doc. E7–20845 Filed 11–1–07; 8:45 am] FOR FURTHER INFORMATION CONTACT: Regulatory Flexibility Act. As flood BILLING CODE 6560–50–P William R. Blanton, Jr., Chief, elevation determinations are not within Engineering Management Branch, the scope of the Regulatory Flexibility Mitigation Directorate, Federal Act, 5 U.S.C. 601–612, a regulatory DEPARTMENT OF HOMELAND Emergency Management Agency, 500 C flexibility analysis is not required. SECURITY Street, SW., Washington, DC 20472, Executive Order 12866, Regulatory (202) 646–3151 or (e-mail) Planning and Review. This proposed Federal Emergency Management [email protected]. rule is not a significant regulatory action Agency SUPPLEMENTARY INFORMATION: The under the criteria of section 3(f) of Federal Emergency Management Agency Executive Order 12866, as amended. 44 CFR Part 67 (FEMA) proposes to make Executive Order 13132, Federalism. [Docket No. FEMA–B–7744] determinations of BFEs and modified This proposed rule involves no policies BFEs for each community listed below, that have federalism implications under Proposed Flood Elevation in accordance with section 110 of the Executive Order 13132. Determinations Flood Disaster Protection Act of 1973, Executive Order 12988, Civil Justice 42 U.S.C. 4104, and 44 CFR 67.4(a). Reform. This proposed rule meets the AGENCY: Federal Emergency These proposed BFEs and modified applicable standards of Executive Order Management Agency, DHS. BFEs, together with the floodplain 12988. ACTION: Proposed rule. management criteria required by 44 CFR 60.3, are the minimum that are required. List of Subjects in 44 CFR Part 67 SUMMARY: Comments are requested on They should not be construed to mean Administrative practice and the proposed Base (1 percent annual- that the community must change any procedure, Flood insurance, Reporting chance) Flood Elevations (BFEs) and existing ordinances that are more and recordkeeping requirements. proposed BFE modifications for the stringent in their floodplain Accordingly, 44 CFR part 67 is communities listed in the table below. management requirements. The proposed to be amended as follows: The purpose of this notice is to seek community may at any time enact general information and comment stricter requirements of its own, or PART 67—[AMENDED] regarding the proposed regulatory flood pursuant to policies established by other elevations for the reach described by the Federal, State, or regional entities. 1. The authority citation for part 67 downstream and upstream locations in These proposed elevations are used to continues to read as follows: the table below. The BFEs and modified meet the floodplain management Authority: 42 U.S.C. 4001 et seq.; BFEs are a part of the floodplain requirements of the NFIP and are also Reorganization Plan No. 3 of 1978, 3 CFR, management measures that the used to calculate the appropriate flood 1978 Comp., p. 329; E.O. 12127, 44 FR 19367, community is required either to adopt insurance premium rates for new 3 CFR, 1979 Comp., p. 376. or show evidence of having in effect in buildings built after these elevations are order to qualify or remain qualified for made final, and for the contents in these § 67.4 [Amended] participation in the National Flood buildings. 2. The tables published under the Insurance Program (NFIP). In addition, Comments on any aspect of the Flood authority of § 67.4 are proposed to be these elevations, once finalized, will be Insurance Study and FIRM, other than amended as follows:

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*Elevation in feet (NGVD) +Elevation in feet (NAVD) Flooding source(s) Location of referenced elevation** #Depth in feet Communities affected above ground Effective Modified

Autauga County, Alabama, and Incorporated Areas

Autauga Creek ...... 1570 feet downstream from County Road 4 ...... None +159 City of Prattville, Unincor- porated Areas of Autauga County. 4370 feet upstream from Railroad ...... +278 +280 Tributary 1 ...... Confluence with Autauga Creek ...... +205 +199 City of Prattville. 1050 feet upstream from confluence with Autauga +207 +199 Creek. Tributary 2...... 1254 feet upstream from confluence with Autauga +204 +207 City of Prattville, Unincor- Creek. porated Areas of Autauga County. 16 feet upstream from Railroad ...... +226 +228 Breakfast Creek ...... 220 feet upstream from confluence with Autauga None +211 City of Prattville. Creek. 235 feet upstream from Bridge Creek Road ...... None +319 Noland Creek ...... 32 feet downstream from confluence with Dry Branch None +165 City of Prattville. 3288 feet upstream from Copper Ridge Road ...... None +304 Pine Creek ...... At South Memorial Drive ...... +159 +163 City of Prattville. 2440 feet upstream from confluence with Dunn +307 +311 Branch. Tributary 1 ...... 380 feet upstream from confluence with Pine Creek ... +287 +289 City of Prattville. 907 feet upstream from North Memorial Drive ...... +334 +332 Tributary 2 ...... 430 feet upstream from Holly Court ...... +312 +314 City of Prattville. 1520 feet upstream from Henderson Lane ...... +348 +350 Tributary 3 ...... 330 feet upstream from confluence with Pine Creek +296 +301 City of Prattville. Tributary 4. 2095 feet upstream from confluence with Pine Creek +300 +313 Tributary 4. Tributary 4 ...... 15 feet upstream from confluence with Pine Creek +296 +297 City of Prattville. Tributary 3. 1240 feet upstream from confluence with Pine Creek +302 +310 Tributary 3. Rogers Branch ...... 290 feet upstream from confluence with Noland Creek None +249 City of Prattville. 7600 feet upstream from confluence with Noland None +393 Creek. Swift Creek ...... 6510 feet upstream from Highway 14 W ...... None +155 Town of Autaugaville. 7370 feet upstream from Highway 14 W ...... None +157 White Water Creek ...... 2150 feet upstream from Highway 14 W ...... None +157 Town of Autaugaville. 3720 feet upstream from Highway 14 W ...... None +162

* National Geodetic Vertical Datum. + North American Vertical Datum. # Depth in feet above ground. ** BFEs to be changed include the listed downstream and upstream BFEs, and include BFEs located on the stream reach between the ref- erenced locations above. Please refer to the revised Flood Insurance Rate Map located at the community map repository (see below) for exact locations of all BFEs to be changed. Send comments to William R. Blanton, Jr., Chief, Engineering Management Branch, Mitigation Directorate, Federal Emergency Management Agency, 500 C Street, SW., Washington, DC 20472. ADDRESSES City of Prattville Maps are available for inspection at 101 West Main Street, Prattville, AL 36067. Town of Autaugaville Maps are available for inspection at 109 North Taylor Street, Autaugaville, AL 36003. Unincorporated Areas of Autauga County Maps are available for inspection at 134 N. Court Street, Room 106, Prattville, AL 36067.

Jackson County, Alabama, and Incorporated Areas

Bengis Creek Tributary ...... 1180 feet upstream from County Route 85 ...... None +614 City of Stevenson. 1195 feet upstream from County Route 85 ...... None +614 Crow Creek ...... 240 feet upstream from John T Reid Parkway ...... None +607 City of Stevenson. 790 feet upstream from County Route 53 ...... None +610 Dry Creek ...... 2300 feet upstream from Snodgrass Road ...... None +608 Unincorporated Areas of Jackson County. 25 feet downstream from Southern Railway ...... None +622 Guntersville Lake ...... 8810 feet upstream from Goosepond Drive ...... None +598 City of Scottsboro.

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*Elevation in feet (NGVD) +Elevation in feet (NAVD) Flooding source(s) Location of referenced elevation** #Depth in feet Communities affected above ground Effective Modified

4900 feet downstream from Goosepond Drive ...... None +598 Little Paint Creek ...... 80 feet downstream from County Route 108 ...... +590 +589 Unincorporated Areas of Jackson County. 50 feet upstream from County Route 108 ...... None +591 Tennessee River ...... 1300 feet downstream from Railroad ...... None +612 City of Bridgeport. 6020 feet downstream from Railroad ...... None +612 Town Creek ...... 4310 feet upstream from County Route 33 ...... None +605 Unincorporated Areas of Jackson County. 4320 feet upstream from County Route 33 ...... None +605

* National Geodetic Vertical Datum. # Depth in feet above ground. + North American Vertical Datum. ** BFEs to be changed include the listed downstream and upstream BFEs, and include BFEs located on the stream reach between the ref- erenced locations above. Please refer to the revised Flood Insurance Rate Map located at the community map repository (see below) for exact locations of all BFEs to be changed. Send comments to William R. Blanton, Jr., Chief, Engineering Management Branch, Mitigation Directorate, Federal Emergency Management Agency, 500 C Street, SW., Washington, DC 20472. ADDRESSES City of Bridgeport Maps are available for inspection at 116 Jim Thomas Avenue, Bridgeport, AL 35740. City of Scottsboro Maps are available for inspection at 916 S. Broad Street, Scottsboro, AL 35768. City of Stevenson Maps are available for inspection at 104 Kentucky Avenue, Stevenson, AL 35772. Unincorporated Areas of Jackson County Maps are available for inspection at 102 E. Laurel Street, Suite 47, Scottsboro, AL 35768.

Tulsa County, Oklahoma, and Incorporated Areas

Anderson Creek ...... Approximately 480 ft upstream of confluence with +659 +656 City of Sand Springs, Un- Fisher Creek. incorporated Areas of Tulsa County. Approximately 2480 Feet upstream of confluence with +744 +746 Anderson Creek Tributary. Tributary ...... Confluence with Anderson Creek ...... +738 +737 City of Sand Springs, Un- incorporated Areas of Tulsa County. Approximately 1780 ft upstream of S 153rd Ave W .... None +787 Tributary A–1 ...... Confluence with Anderson Creek Tributary ...... None +773 Unincorporated Areas of Tulsa County. Approximately 1285 ft upstream of confluence with None +785 Anderson Creek Tributary. Arkansas River ...... Approximately 7000 ft downstream of S 185th Ave E +581 +582 Unincorporated Areas of and E 161st St intersection (Wagoner County line). Tulsa County, City of Jenks, City of Sand Springs, City of Tulsa, Town of Bixby. Keystone Dam ...... +665 +666 Ator Tributary ...... Confluence with Bird Creek ...... None +600 City of Owasso. Intersection with E 4th St...... +600 +603 Berryhill Creek ...... Confluence with Arkansas River ...... +641 +642 City of Sand Springs, Un- incorporated Areas of Tulsa County. Approximately 5995 ft upstream of S 65th Ave W ...... +709 +714 Tributary ...... Confluence with Berryhill Creek ...... +665 +666 Unincorporated Areas of Tulsa County. Approximately 180 ft upstream of W 41st St ...... +701 +704 Bigheart Creek ...... Confluence with Arkansas River ...... +643 +644 Unincorporated Areas of Tulsa County. Approximately 2000 ft upstream of W Cameron St ..... +675 +674 Bird Creek Tributary 5A ...... Confluence with Bird Creek ...... +590 +591 City of Owasso. Approximately 3300 ft upstream of N 123rd Ave E ..... +654 +653 Blackjack Creek ...... Confluence with Horsepen Creek ...... +601 +603 City of Owasso. Approximately 400 ft upstream of E 116th St N ...... None +682

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*Elevation in feet (NGVD) +Elevation in feet (NAVD) Flooding source(s) Location of referenced elevation** #Depth in feet Communities affected above ground Effective Modified

Tributary A ...... Confluence with Blackjack Creek ...... +614 +613 City of Collinsville, Unin- corporated Areas of Tulsa County. Intersection with 19th St...... +645 +644 Charley Creek ...... Confluence with Bird Creek ...... +616 +617 Unincorporated Areas of Tulsa County. Approximately 1020 ft upstream of N Yale Ave ...... None +638 Cherokee School Creek ...... Confluence with Bird Creek ...... None +606 Unincorporated Areas of Tulsa County. Approximately 2900 ft upstream of E 66th St N ...... None +616 Cherry Creek (North Tulsa) .. Confluence with Horsepen Creek ...... +609 +610 Unincorporated Areas of Tulsa County. Approximately 330 ft upstream of E 126th St N ...... None +681 Cherry Creek (West Tulsa) ... Confluence with Arkansas River ...... +625 +624 Unincorporated Areas of Tulsa County, City of Tulsa. Approximately 2200 ft upstream of W 21st St ...... None +643 Tributary ...... Confluence with Cherry Creek (North Tulsa) ...... None +661 Unincorporated Areas of Tulsa County. Approximately 5800 ft upstream of E 136th St N ...... None +687 Coal Creek (West Tulsa) ...... Confluence with Polecat Creek ...... +625 +624 City of Jenks, Unincor- porated Areas of Tulsa County. Approximately 4145 feet upstream of W 151st St. +711 +712 intersection. Tributary A ...... Confluence with Coal Creek ...... +644 +646 City of Glenpool. Approximately 360 ft downstream of S Elwood Ave .... None +673 Tributary B ...... Confluence with Coal Creek (West Tulsa) ...... +644 +645 City of Glenpool, Unincor- porated Areas of Tulsa County. Intersection with E 131st Street ...... +697 +698 Country Estates Creek ...... Confluence with Blackjack Creek ...... +637 +643 Unincorporated Areas of Tulsa County. Approximately 700 ft downstream of E 121st St N ...... None +666 Duck Creek ...... Confluence with Snake Creek ...... +608 +606 Unincorporated Areas of Tulsa County. Approximately 9100 ft upstream of U.S. 75 ...... +683 +684 Tributary ...... Confluence with Duck Creek ...... +661 +662 Unincorporated Areas of Tulsa County. Approximately 10,000 ft upstream of U.S. 75 ...... +685 +686 East Creek ...... Approximately 2780 ft downstream of E 146 St N ...... +601 +600 Unincorporated Areas of Tulsa County. Approximately 50 ft downstream of E 126th St N ...... +665 +664 Euchee Creek Tributary 1 ..... Confluence with Euchee Creek ...... None +688 City of Sand Springs. Approximately 170 ft upstream of confluence with None +691 Euchee Creek. Tributary 2 ...... Confluence with Euchee Creek ...... None +689 Unincorporated Areas of Tulsa County. Approximately 2000 ft upstream of confluence with None +690 Euchee Creek. Fisher Creek ...... Confluence with Arkansas River ...... +649 +650 Unincorporated Areas of Tulsa County. Approximately 4100 ft upstream of W 41st St ...... None +795 Fisher Creek Overflow ...... Confluence with Arkansas River ...... None +651 City of Sand Springs, Un- incorporated Areas of Tulsa County. Approximately 2600 ft upstream of S 145th Ave W .... None +656 Fisher Creek Tributary ...... Confluence with Fisher Creek ...... None +701 Unincorporated Areas of Tulsa County. Approximately 1200 ft upstream of S 157th Ave W .... None +775 Fox Meadow Tributary ...... Confluence with Blackjack Creek ...... None +657 Unincorporated Areas of Tulsa County. Approximately 1400 ft upstream of E 120th St N ...... None +676 Franklin Creek (Formerly Ar- Confluence with Arkansas River ...... +650 +651 City of Sand Springs, Un- kansas River Tributary at incorporated Areas of Sand Springs. Tulsa County. Approximately 5,770 ft upstream of intersection with None +750 W 12th St.

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*Elevation in feet (NGVD) +Elevation in feet (NAVD) Flooding source(s) Location of referenced elevation** #Depth in feet Communities affected above ground Effective Modified

Fred Creek ...... Confluence with Arkansas River ...... +618 +615 City of Tulsa. 617 ft upstream of E 71st St...... +706 +705 Fry Ditch No. 1 Tributary ...... Confluence with Fry Ditch No. 1 ...... None +606 Town of Bixby. Approximately 620 ft upstream of E 119th St ...... None +616 Fry Ditch No. 2 ...... Confluence with Arkansas River ...... +604 +605 Town of Bixby. Approximately 522 ft upstream of E 86th St ...... +726 +727 Fry Ditch No. 2 Tributary ...... Confluence with Fry Ditch No. 2 ...... None +622 Town of Bixby. Approximately 60 ft downstream of E Greens Ave ...... None +632 Hager Creek ...... Confluence with Polecat Creek ...... +625 +623 City of Jenks. Approximately 85 feet downstream of S Elwood inter- +628 +629 section. Harlow Creek Overflow ...... Approximately 240 ft upstream of S 41st Ave W ...... None +640 Unincorporated Areas of Tulsa County, City of Tulsa. Approximately 1970 ft upstream of S 57th Ave W ...... None +644 Horsepen Creek ...... Approximately 3970 feet downstream of 137th St. +600 +601 City of Collinsville. (county line). Approximately 2400 feet upstream of N Sheridan Rd None +661 North Tributary 1 ...... Confluence with Horsepen Creek ...... None +625 Unincorporated Areas of Tulsa County. Approximately 1600 ft upstream of N Memorial Dr ..... None +642 North Tributary 2 ...... Confluence with Horsepen Creek ...... None +634 Unincorporated Areas of Tulsa County. Approximately 7100 ft upstream of E 166th St N ...... None +678 North Tributary 3 ...... Confluence with Horsepen Creek ...... None +637 Unincorporated Areas of Tulsa County. Approximately 4300 ft downstream of N Highway 75 .. None +657 Horsepen Creek Tributary B Confluence with Horsepen Creek ...... None +642 Unincorporated Areas of Tulsa County. Approximately 370 ft upstream of confluence with None +644 Horsepen Creek Tributary B. Confluence with Horsepen Creek Tributary B ...... None +643 Unincorporated Areas of Tulsa County. Approximately 2800 ft upstream of confluence witih None +650 Horsepen Creek Tributary B. Tributary C ...... Confluence with Horcepen Creek ...... None +646 City of Collinsville, Unin- corporated Areas of Tulsa County. Approximately 750 ft upstream of E State Highway 20 None +653 Horsepin Creek ...... Confluence with South Fork Horse Creek ...... +633 +634 Town of Skiatook. Approximately 3100 ft upstream of E Cherokee St ..... +638 +637 Joe Creek ...... Confluence with Arkansas River ...... +619 +616 City of Tulsa. Confluence with East and West Branches of Joe +662 +660 Creek. Little Sand Creek ...... Confluence with Arkansas River ...... +662 +663 Unincorporated Areas of Tulsa County. Approximately 4680 ft upstream of W 8th St ...... +749 +751 Lower Fred Creek ...... Confluence with Arkansas River ...... +616 +614 City of Tulsa. Approximately 324 ft upstream of E 86th St ...... +621 +618 Mooser Creek ...... Confluence with Arkansas River ...... +625 +624 City of Tulsa. Approximately 314 ft downstream of W 57th St ...... +714 +713 Neckel Creek ...... Confluence with Polecat Creek ...... +629 +630 City of Tulsa. Approximately 950 ft upstream of W 91st St ...... +635 +636 Nichols Creek ...... Confluence with Coal Creek (West Tulsa) ...... +684 +681 City of Glenpool. 2,180 Feet downstream from W 141st Street (County +756 +755 Boundary). Panther Creek ...... Confluence with Charley Creek ...... +621 +624 Unincorporated Areas of Tulsa County. Approximately 2100 ft upstream of N Yale Ave ...... None +639 Polecat Creek ...... Confluence with Arkansas River ...... +612 +610 City of Jenks, Unincor- porated Areas of Tulsa County. Intersection with S 33rd Ave ...... +633 +634 Posey Creek ...... Confluence with Arkansas River ...... +605 +606 City of Glenpool. Approximately 52 feet upstream of E 151st Street ...... +702 +703 North Tributary 1 ...... Confluence with Posey Creek ...... +629 +630 Unincorporated Areas of Tulsa County. Approximately 130 ft downstream of S 7th St ...... +711 +712

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*Elevation in feet (NGVD) +Elevation in feet (NAVD) Flooding source(s) Location of referenced elevation** #Depth in feet Communities affected above ground Effective Modified

South Tributary 1 ...... Confluence with Posey Creek ...... +612 +610 Unincorporated Areas of Tulsa County, Town of Bixby. Approximately 2700 ft upstream of E 151st St ...... None +668 South Tributary 2 ...... Confluence with Posey Creek ...... None +624 Unincorporated Areas of Tulsa County, Town of Bixby. Approximately 540 ft upstream of S Harvard Ave ...... None +662 Prattville Creek ...... Confluence with Arkansas River ...... +650 +649 City of Sand Springs. Approximately 930 Ft upstream of S 112th Ave W ..... None +739 Tributary 1 ...... Confluence with Prattville Creek ...... None +667 City of Sand Springs. Approximately 780 ft upstream of confluence with None +671 Prattville Creek. Tributary 2 ...... Confluence with Prattville Creek ...... None +693 City of Tulsa. Approximately 260 ft downstream of S Whispering None +701 Creek Dr. Tributary 3 ...... Confluence with Prattville Creek ...... None +712 City of Sand Springs. Approximately 1350 ft downstream of S Linwood Dr .. None +725 Tributary 4 ...... Confluence with Prattville Creek ...... None +728 City of Sand Springs. Approximately 260 ft upstream of confluence with None +730 Prattville Creek. Ranch Creek ...... Confluence with Bird Creek ...... +591 +592 Unincorporated Areas of Tulsa County. Approximately 1070 ft upstream of E 116th St N ...... None +659 Ranch Creek Tributary ...... Confluence with Ranch Creek ...... +591 +592 Unincorporated Areas of Tulsa County. Approximately 1100 ft upstream of N Sheridan Rd ..... None +669 Tributary A ...... Confluence with Ranch Creek ...... +591 +592 City of Owasso. Intersection with N Garnett Rd ...... +677 +674 Tributary B ...... Confluence with Ranch Creek ...... +607 +608 City of Owasso, Unincor- porated Areas of Tulsa County. Approximately 50 ft downstream of E 106th St ...... +649 +650 Redfork Creek ...... Conflucence with Arkansas River ...... +646 +647 City of Sand Springs, Un- incorporated Areas of Tulsa County. Approximately 1680 ft upstream of E 41st St ...... +646 +647 Tributary 1 ...... Confluence with Redfork Creek ...... None +696 City of Sand Springs. Approximately 1500 ft upstream of confluence with None +722 Redfork Creek. Tributary 2 ...... Confluence with Redfork Creek ...... None +715 City of Sand Springs. Approximately 775 ft upstream of confluence with None +744 Redfork Creek. Remington Tributary ...... Confluence with Blackjack Creek ...... None +650 Unincorporated Areas of Tulsa County. Approximately 250 ft upstream of E 122nd St N ...... None +653 Rolling Meadows Creek ...... Confluence with Coal Creek (West Tulsa) ...... +694 +691 City of Glenpool, Unincor- porated Areas of Tulsa County. Approximately 1480 ft. upstream of S 26th Ave. W. +738 +740 Intersection. Sand Creek ...... Confluence with Arkansas River ...... +660 +659 City of Sand Springs. Intersection with Archer St ...... +723 +722 Sand Springs Lake Tributary Confluence with West Bigheart Creek ...... +663 +661 City of Sand Springs. Approximately 1,460 ft upstream of Old North RD E .. None +773 Sawgrass Tributary ...... Confluence with Ranch Creek Tributary B ...... None +647 City of Owasso. Approximately 850 ft upstream of confluence with None +654 Ranch Creek Tributary B. Shady Grove Creek ...... Confluence with Harlow Creek ...... +659 +658 Unincorporated Areas of Tulsa County. Approximately 3235 ft upstream of U.S. 64 ...... +665 +664 Skunk Creek ...... Confluence with Bird Creek ...... None +636 Unincorporated Areas of Tulsa County. Approximately 1450 ft upstream of N Lewis Ave ...... None +667 Snake Creek ...... Confluence with Arkansas River ...... +597 +598 Unincorporated Areas of Tulsa County. Approximately 10,900 ft upstream of 201st St ...... +614 +613

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*Elevation in feet (NGVD) +Elevation in feet (NAVD) Flooding source(s) Location of referenced elevation** #Depth in feet Communities affected above ground Effective Modified

Snake Creek Tributary ...... Confluence with Snake Creek ...... +597 +598 Unincorporated Areas of Tulsa County. Approximately 1381 ft upstream of E 181st St ...... +604 +603 Three Lakes Tributary ...... Confluence with Bird Creek Tributary 5A ...... None +603 City of Owasso. Approximately 320 ft downstream of E 83rd St. N ...... None +604 Vensel Creek ...... Confluence with Arkansas River ...... +611 +610 City of Tulsa. Approximately 49 ft downstream of E 82nd St ...... +691 +690 Vensel Creek South ...... Confluence with Arkansas River ...... +611 +610 City of Tulsa. Approximately 39 ft downstream of E 101st St ...... +617 +616 West Bigheart Creek ...... Confluence with Bigheart Creek ...... +649 +650 City of Sand Springs. Approximately 2300 ft upstream of E Old North Rd .... +720 +721 White Church Creek ...... Confluence with Haikey Creek ...... +607 +605 Unincorporated Areas of Tulsa County. Approximately 218 ft upstream of E 111th St ...... +679 +680

* National Geodetic Vertical Datum. + North American Vertical Datum. # Depth in feet above ground. ** BFEs to be changed include the listed downstream and upstream BFEs, and include BFEs located on the stream reach between the ref- erenced locations above. Please refer to the revised Flood Insurance Rate Map located at the community map repository (see below) for exact locations of all BFEs to be changed. Send comments to William R. Blanton, Jr., Chief, Engineering Management Branch, Mitigation Directorate, Federal Emergency Management Agency, 500 C Street, SW., Washington, DC 20472. ADDRESSES City of Collinsville Maps are available for inspection at 106 N. 12th St., Collinsville, OK 74021. City of Glenpool Maps are available for inspection at 14522 Broadway, Glenpool, OK 74033. City of Jenks Maps are available for inspection at 2111 N. Elm St., Jenks, OK 74037. City of Owasso Maps are available for inspection at 207 South Cedar St., Owasso, OK 74055. City of Sand Springs Maps are available for inspection at 216 North Lincoln, Sand Springs, OK 74063. City of Tulsa Maps are available for inspection at 2317 South Jackson, ste. 302, Tulsa, OK 74103. Town of Bixby Maps are available for inspection at 116 West Needles St., Bixby, OK 74008. Town of Skiatook Maps are available for inspection at 100 North Broadway, Skiatook, OK 74070. Unincorporated Areas of Tulsa County Maps are available for inspection at 633 W. 3rd. Ste 140, Tulsa, OK 74127.

(Catalog of Federal Domestic Assistance No. DEPARTMENT OF HOMELAND proposed BFE modifications for the 97.022, ‘‘Flood Insurance.’’) SECURITY communities listed in the table below. Dated: October 29, 2007. The purpose of this notice is to seek Federal Emergency Management David I. Maurstad, general information and comment Agency regarding the proposed regulatory flood Federal Insurance Administrator of the elevations for the reach described by the National Flood Insurance Program, 44 CFR Part 67 Department of Homeland Security, Federal downstream and upstream locations in Emergency Management Agency. [Docket No. FEMA–B–7746] the table below. The BFEs and modified [FR Doc. E7–21595 Filed 11–1–07; 8:45 am] BFEs are a part of the floodplain Proposed Flood Elevation management measures that the BILLING CODE 9110–12–P Determinations community is required either to adopt AGENCY: Federal Emergency or show evidence of having in effect in Management Agency, DHS. order to qualify or remain qualified for participation in the National Flood ACTION: Proposed rule. Insurance Program (NFIP). In addition, SUMMARY: Comments are requested on these elevations, once finalized, will be the proposed Base (1 percent annual- used by insurance agents, and others to chance) Flood Elevations (BFEs) and calculate appropriate flood insurance

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premium rates for new buildings and 60.3, are the minimum that are required. impact assessment has not been the contents in those buildings. They should not be construed to mean prepared. DATES: Comments are to be submitted that the community must change any Regulatory Flexibility Act. As flood on or before January 31, 2008. existing ordinances that are more elevation determinations are not within ADDRESSES: The corresponding stringent in their floodplain the scope of the Regulatory Flexibility preliminary Flood Insurance Rate Map management requirements. The Act, 5 U.S.C. 601–612, a regulatory (FIRM) for the proposed BFEs for each community may at any time enact flexibility analysis is not required. community are available for inspection stricter requirements of its own, or Executive Order 12866, Regulatory at the community’s map repository. The pursuant to policies established by other Planning and Review. This proposed respective addresses are listed in the Federal, State, or regional entities. rule is not a significant regulatory action table below. These proposed elevations are used to under the criteria of section 3(f) of You may submit comments, identified meet the floodplain management Executive Order 12866, as amended. by Docket No. FEMA–B–7746, to requirements of the NFIP and are also Executive Order 13132, Federalism. William R. Blanton, Jr., Chief, used to calculate the appropriate flood This proposed rule involves no policies Engineering Management Branch, insurance premium rates for new that have federalism implications under Mitigation Directorate, Federal buildings built after these elevations are Executive Order 13132. Emergency Management Agency, 500 C made final, and for the contents in these Executive Order 12988, Civil Justice Street, SW., Washington, DC 20472, buildings. Reform. This proposed rule meets the (202) 646–3151, or (e-mail) Comments on any aspect of the Flood applicable standards of Executive Order [email protected]. Insurance Study and FIRM, other than 12988. the proposed BFEs, will be considered. List of Subjects in 44 CFR Part 67 FOR FURTHER INFORMATION CONTACT: A letter acknowledging receipt of any William R. Blanton, Jr., Chief, comments will not be sent. Administrative practice and Engineering Management Branch, Administrative Procedure Act procedure, Flood insurance, Reporting Mitigation Directorate, Federal Statement. This matter is not a and recordkeeping requirements. Emergency Management Agency, 500 C rulemaking governed by the Accordingly, 44 CFR part 67 is Street, SW., Washington, DC 20472, Administrative Procedure Act (APA), 5 proposed to be amended as follows: (202) 646–3151 or (e-mail) U.S.C. 553. FEMA publishes flood [email protected]. elevation determinations for notice and PART 67—[AMENDED] SUPPLEMENTARY INFORMATION: The comment; however, they are governed 1. The authority citation for part 67 Federal Emergency Management Agency by the Flood Disaster Protection Act of continues to read as follows: (FEMA) proposes to make 1973, 42 U.S.C. 4105, and the National Flood Insurance Act of 1968, 42 U.S.C. Authority: 42 U.S.C. 4001 et seq.; determinations of BFEs and modified Reorganization Plan No. 3 of 1978, 3 CFR, BFEs for each community listed below, 4001 et seq., and do not fall under the 1978 Comp., p. 329; E.O. 12127, 44 FR 19367, in accordance with section 110 of the APA. 3 CFR, 1979 Comp., p. 376. Flood Disaster Protection Act of 1973, National Environmental Policy Act. 42 U.S.C. 4104, and 44 CFR 67.4(a). This proposed rule is categorically § 67.4 [Amended] These proposed BFEs and modified excluded from the requirements of 44 2. The tables published under the BFEs, together with the floodplain CFR part 10, Environmental authority of § 67.4 are proposed to be management criteria required by 44 CFR Consideration. An environmental amended as follows:

* Elevation in feet (NGVD) + Elevation in feet (NAVD) Location of referenced # Depth in feet above Flooding source(s) elevation ** ground Communities affected Effective Modified

Montezuma County, Colorado, and Incorporated Areas

Carpenter Wash ...... Downstream Study Limit—Cortez Corporate Bound- None +6034 City of Cortez. ary/North Broadway. Upstream Study Limit—500 Feet Upstream (South- None +6162 west) of Empire Street. Denny Lake ...... Downstream Study Limit—Cortez Corporate Bound- None +6120 City of Cortez. ary/Hawkins Street. Upstream Study Limit—Empire Street ...... None +6134 Dolores River ...... Downstream Study Limit—2nd Street/Dolores Cor- None +6932 Town of Dolores, Unincor- porate Boundary. porated Areas of Montezema County. Upstream Study Limit—Breanna Lane/Dolores Cor- None +6962 porate Boundary. Downstream Study Limit—Confluence With Lost Can- None +6930 Unincorporated Areas of yon Creek. Montezuma County, Town of Dolores. Upstream Study Limit—Montezuma/Dolores County None +8446 Line. Glade Draw...... Downstream Study Limit—1600 Feet Upstream None +5970 City of Cortez. (North) of McElmo Creek. Upstream Study Limit—200 Feet Upstream (North) of None +6139 7th Street.

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* Elevation in feet (NGVD) + Elevation in feet (NAVD) Location of referenced # Depth in feet above Flooding source(s) elevation ** ground Communities affected Effective Modified

Industrial Wash ...... Downstream Study Limit—Confluence With Carpenter None +6046 City of Cortez. Wash. Upstream Study Limit—Cortez Corporate Boundary ... None +6055 Lower Cornett Draw ...... Downstream Study Limit—Confluence With Carpenter None +6074 City of Cortez. Wash. Upstream Study Limit—Cortez Corporate Boundary ... None +6117 Mancos River—Lower Reach Downstream Study Limit—Confluence with Chicken None +6816 Unincorporated Areas of Creek. Montezuma County, Town of Mancos. Upstream Study Limit—7200 Feet Upstream of Con- None +6920 fluence With Chicken Creek/FEMA Cross Section N. Mancos River—Upper Reach Downstream Study Limit—200 Feet Upstream of None +7054 Unincorporated Areas of Business 160 and Montezuma Street. Montezuma County, Town of Mancos. Upstream Study Limit—700 Feet Upstream of High- None +7116 way 160. South Central ...... Downstream Study Limit—700 Feet Upstream (North) None +6021 City of Cortez. of McElmo Creek. Upstream Study Limit—200 Feet Downstream (South) None +6143 of 4th Street. Walmart Tributary...... Downstream Study Limit—1200 Feet Upstream None +6068 City of Cortez, Unincor- (Northeast) of McElmo Creek. porated Areas of Montezema County. Upstream Study Limit—100 Feet Downstream (South) None +6140 of Main Street. West Dolores River ...... Downstream Study Limit—Confluence with Dolores None +7366 Unincorporated Areas of River.. Montezema County Upstream Study Limit—Montezuma/Dolores County None +7546 Line. West South Central ...... Downstream Study Limit—Confluence with South None +6046 City of Cortez, Unincor- Central. porated Areas of Montezema County. Upstream Study Limit—7th Street ...... None +6134

* National Geodetic Vertical Datum. # Depth in feet above ground. + North American Vertical Datum. ** BFEs to be changed include the listed downstream and upstream BFEs, and include BFEs located on the stream reach between the ref- erenced locations above. Please refer to the revised Flood Insurance Rate Map located at the community map repository (see below) for exact locations of all BFEs to be changed. Send comments to William R. Blanton, Jr., Chief, Engineering Management Branch, Mitigation Directorate, Federal Emergency Management Agency, 500 C Street, SW., Washington, DC 20472. ADDRESSES City of Cortez Maps are available for inspection at City Hall, 210 E. Main Street, Cortez, CO 81321. Town of Dolores Maps are available for inspection at Town Hall, 420 Central Avenue, Dolores, CO 81321. Town of Mancos Maps are available for inspection at Town Hall, 117 North Main Street, Mancos, CO 81328. Unincorporated Areas of Montezuma County Maps are available for inspection at County Courthouse, 109 West Main Street, Cortez, CO 81321.

Middlesex County, Connecticut, and Incorporated Areas

Carr Brook ...... From confluence with Connecticut River ...... +24 +25 Town of Portland. To approximately 1,130 feet upstream from Strickland +24 +25 Road. Tributary A ...... From confluence with Carr Brook ...... +24 +25 Town of Portland. To approximately 0.45 mile upstream of Bartlett +24 +25 Street. Chestnut Brook ...... From mouth at Mattabesset River ...... +22 +23 Town of Cromwell. To approximately 40 feet upstream of Route 9 ...... +22 +23 Coginchaug River ...... At confluence with Mattabesset River ...... +22 +23 City of Middletown. Approximately 450 feet upstream of State Route 66 +22 +23 (Washington Street). Coles Road Brook ...... From mouth at Mattabesset River ...... +22 +23 Town of Cromwell. To approximately 26 feet downstream of Route 372 ... +22 +23

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* Elevation in feet (NGVD) + Elevation in feet (NAVD) Location of referenced # Depth in feet above Flooding source(s) elevation ** ground Communities affected Effective Modified

Connecticut River ...... Approximately 1.17 miles downstream of confluence +10 +11 Town of Cromwell, City of of Clark Creek. Middletown, Town of East Haddam, Town of East Hampton, Town of Haddam, Town of Port- land. Approximately 0.59 mile upstream of confluence of +24 +25 Hales Brook. Cromwell Creek ...... From confluence with Connecticut River ...... +22 +24 Town of Cromwell. To approximately 1,300 feet upstream of South Street +23 +24 East Swamp Brook ...... At confluence with Swamp Brook ...... +22 +23 City of Middletown. Approximately 350 feet upstream of Tiger Lane ...... +22 +23 Hales Brook ...... From confluence with Connecticut River ...... +24 +25 Town of Portland. To approximately 0.76 mile upstream of confluence ... +24 +25 Mattabesset River ...... At confluence with Connecticut River ...... +22 +23 City of Middletown, Town of Cromwell. Approximately 500 feet downstream of Berlin Road ... +22 +23 Mill Creek ...... At confluence with Connecticut River ...... +13 +15 Town of Haddam. Approximately 1,200 feet upstream of Route 9A ...... +14 +15 Miner Brook ...... At confluence with Mattabesset River ...... +22 +23 City of Middletown. Moodus River ...... At confluence with Salmon River ...... +11 +14 Town of East Haddam. At downstream side of Johnsonville Road ...... +11 +14 Ponset Brook ...... At confluence with Connecticut River ...... +16 +17 Town of Haddam. Approximately 0.40 mile upstream of confluence with +16 +17 Connecticut River. Reservoir Brook ...... From confluence with Connecticut River ...... +24 +25 Town of Portland. To approximately 25 feet downstream of Route 17 ..... +24 +25 Salmon River ...... At confluence with Connecticut River ...... +11 +14 Town of Haddam, Town of East Haddam. At downstream side of Leesville Dam ...... +11 +14 Sawmill Brook ...... At confluence with Mattabesset River ...... +22 +23 City of Middletown. Approximately 1,270 feet upstream of confluence with +22 +23 Mattabesset River. Shunpike Creek ...... Mouth at Mattabesset River ...... +22 +23 Town of Cromwell. To approximately 0.26 mile upstream of mouth at +22 +23 Mattabesset River. Succor Brook ...... At confluence with Connecticut River ...... +10 +12 Town of East Haddam. Approximately 125 feet upstream of Lumber Yard +11 +12 Road. Sumner Brook ...... At confluence with Connecticut River ...... +22 +23 City of Middletown. At upstream side of State Routes 9 and 17 culvert ..... +22 +23 Swamp Brook ...... At confluence with Mattabesset River ...... +22 +23 City of Middletown. At confluence of East Swamp and West Swamp +22 +23 Brooks. West Swamp Brook ...... At upstream side of Kaplan Drive ...... +22 +23 City of Middletown. At confluence with Swamp Brook ...... +22 +23 Willow Brook ...... From mouth at Mattabesset River ...... +22 +23 Town of Cromwell. To East View Drive ...... +22 +23

* National Geodetic Vertical Datum. # Depth in feet above ground. + North American Vertical Datum. ** BFEs to be changed include the listed downstream and upstream BFEs, and include BFEs located on the stream reach between the ref- erenced locations above. Please refer to the revised Flood Insurance Rate Map located at the community map repository (see below) for exact locations of all BFEs to be changed. Send comments to William R. Blanton, Jr., Chief, Engineering Management Branch, Mitigation Directorate, Federal Emergency Management Agency, 500 C Street, SW., Washington, DC 20472. ADDRESSES City of Middletown Maps are available for inspection at City of Middletown Planner’s Office, 245 deKoven Drive, Middletown, CT. Town of Cromwell Maps are available for inspection at Town of Cromwell Planner’s Office, 41 West Street, Cromwell, CT. Town of East Haddam Maps are available for inspection at Town of East Haddam Planner’s Office, 7 Main Street, East Haddam, CT. Town of East Hampton Maps are available for inspection at Town of East Hampton Planning Administrator’s Office, 20 East High Street, East Hampton, CT. Town of Haddam Maps are available for inspection at Town of Haddam Engineer’s Office, 30 Field Park Drive, Haddam, CT.

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* Elevation in feet (NGVD) + Elevation in feet (NAVD) Location of referenced # Depth in feet above Flooding source(s) elevation ** ground Communities affected Effective Modified

Town of Portland Maps are available for inspection at Town of Portland Planner’s Office, 33 East Main Street, Portland, CT.

Gadsden County, Florida, and Incorporated Areas

Holley Branch ...... Approximately 2,500 feet upstream of the confluence None +86 Unincorporated Areas of with Ochlockonee River. Gadsden County, City of Midway. Approximately 4,300 feet upstream of Dupont Road ... None +123 Holley Branch Unnamed At the confluence with Holley Branch ...... None +91 Unincorporated Areas of Tributary. Gadsden County, City of Midway. Approximately 4,400 feet upstream of the confluence None +101 with Holley Branch. Lake Talquin (Unnamed Trib- Approximately 1,100 feet upstream of the confluence None +75 Unincorporated Areas of utary). with Lake Talquin. Gadsden County. Approximately 1.8 miles upstream of the confluence None +120 with Lake Talquin. Monroe Creek ...... Approximately 1,400 feet upstream of the confluence None +86 Unincorporated Areas of with Little River. Gadsden County, City of Midway. Approximately 800 feet upstream of U.S. Highway 90 None +139 Mosquito Creek Unnamed Just upstream of Martin Luther King Jr. Boulevard ..... None +77 City of Chattahoochee. Tributary. Just downstream of East River Road ...... None +103 Ochlockonee River Unnamed Approximately 4,200 feet upstream of the confluence None +100 Unincorporated Areas of Tributary. with Ochlockonee River. Gadsden County. Approximately 1.6 miles upstream of the confluence None +156 of Unnamed Tributary to Ochlockonee River Unnamed Tributary. South Mosquito Creek ...... Approximately 1,670 feet upstream of the confluence None +81 Unincorporated Areas of with Mosquito Creek (just upstream of the Gadsden Gadsden County. County/City of Chattahoochee corporate limit). Approximately 2,400 feet upstream of the confluence None +81 with South Mosquito Creek Unnamed Tributary. South Mosquito Creek Approximately 200 feet upstream of the confluence None +81 Unincorporated Areas of Unnamed Tributary. with South Mosquito Creek. Gadsden County, City of Chattahoochee. Approximately 4,100 feet upstream of Depot Road ..... None +118 Tanyard Branch ...... Approximately 1,200 feet upstream of the confluence None +118 Unincorporated Areas of with Quincy Creek. Gadsden County, City of Quincy. Approximately 180 feet upstream of Seventh Street ... None +182 Unnamed Tributary 1 ..... At the confluence with Tanyard Branch ...... None +130 City of Quincy. Approximately 150 feet upstream of Circle Drive ...... None +162 Unnamed Tributary 2 ..... At the confluence with Tanyard Branch ...... None +131 Unincorporated Areas of Gadsden County, City of Quincy. Approximately 4,500 feet upstream of the confluence None +146 with Tanyard Branch. Unnamed Tributary to At the confluence with Ochlockonee River Unnamed None +130 Unincorporated Areas of Ochlockonee River Tributary. Gadsden County, Town Unnamed Tributary. of Havana. Approximately 2,350 feet upstream of State Highway None +152 12.

* National Geodetic Vertical Datum. # Depth in feet above ground. + North American Vertical Datum. ** BFEs to be changed include the listed downstream and upstream BFEs, and include BFEs located on the stream reach between the ref- erenced locations above. Please refer to the revised Flood Insurance Rate Map located at the community map repository (see below) for exact locations of all BFEs to be changed. Send comments to William R. Blanton, Jr., Chief, Engineering Management Branch, Mitigation Directorate, Federal Emergency Management Agency, 500 C Street, SW., Washington, DC 20472. ADDRESSES City of Chattahoochee Maps are available for inspection at Chattahoochee City Hall, 22 Jefferson Street, Chattahoochee, FL. City of Midway Maps are available for inspection at Midway City Hall, 50 Martin Luther King Boulevard, Midway, FL.

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* Elevation in feet (NGVD) + Elevation in feet (NAVD) Location of referenced # Depth in feet above Flooding source(s) elevation ** ground Communities affected Effective Modified

City of Quincy Maps are available for inspection at Quincy City Hall, 404 West Jefferson Street, Quincy, FL. Town of Havana Maps are available for inspection at Havana Town Hall, 711 North Main Street, Havana, FL. Unincorporated Areas of Gadsden County Maps are available for inspection at Gadsden County Administration Building, 5B East Jefferson Street, Quincy, FL.

Hillsborough County, Florida, and Incorporated Areas

Backwater from Cypress Approximately 900 feet southwest of the intersection None +30 Unincorporated Areas of Creek. of Clubhouse Drive and Kings Boulevard. Hillsborough County. Ponding Area ...... Approximately 400 feet northwest of the intersection None +53.8 Unincorporated Areas of of Ojai Avenue and Hacienda Drive. Hillsborough County. Approximately 400 feet northwest of the intersection None +19.1 Unincorporated Areas of of Kings Green Drive and Vilmont Greens Drive. Hillsborough County. Approximately 200 feet east of the intersection of None +29.1 Unincorporated Areas of 36th Street and Myrtle Tree Lane. Hillsborough County. Approximately 100 feet east of the intersection of None +29.9 Unincorporated Areas of Vilmont Greens Drive and Kensington Greens Drive. Hillsborough County. Approximately 370 feet northeast of the intersection None +35.6 Unincorporated Areas of of Radison Avenue and Radison Lake Court. Hillsborough County. Approximately 500 feet northeast of the intersection None +35.6 Unincorporated Areas of of Kings Boulevard and McDaniel Street. Hillsborough County. Approximately 400 feet southeast of the intersection None +36.5 Unincorporated Areas of of Olive Branch Drive and Oxford Park Drive. Hillsborough County. Approximately 500 feet southeast of the intersection None +37.8 Unincorporated Areas of of Vista Greens Drive and New Point Loop. Hillsborough County. Approximately 1,600 feet east of the intersection of None +33 Unincorporated Areas of Vista Greens Drive and New Point Loop. Hillsborough County. Approximately 600 feet southwest of the intersection None +59.1 Unincorporated Areas of of Chipper Drive and Pebble Beach Boulevard. Hillsborough County. Approximately 600 feet southwest of the intersection None +51.4 Unincorporated Areas of of Council Drive and Pebble Beach Boulevard. Hillsborough County. Approximately 300 feet southwest of the intersection None +34 Unincorporated Areas of of Foxhunt Drive and Finsbury Circle. Hillsborough County. Approximately 300 feet southwest of the intersection None +31 Unincorporated Areas of of Foxhunt Drive and Foxglove Circle. Hillsborough County. Approximately 800 feet southeast of the intersection None +44.7 Unincorporated Areas of of Nebraska Avenue and 139th Avenue. Hillsborough County. Approximately 1,300 feet southeast of the intersection None +39.3 Unincorporated Areas of of Nebraska Avenue and 139th Avenue. Hillsborough County. Approximately 300 feet northeast of the intersection None +43.4 Unincorporated Areas of of Lucerne Drive and 143rd Avenue. Hillsborough County. Approximately 200 feet northeast of the intersection None +43.8 Unincorporated Areas of of Skipper Road and 16th Street. Hillsborough County. Approximately 800 feet northwest of the intersection None +52.7 Unincorporated Areas of of Ojai Avenue and El Rancho Drive. Hillsborough County. Approximately 500 feet southeast of the intersection None +42.7 Unincorporated Areas of of Emerald Lake Drive and Del Webb Boulevard. Hillsborough County. Approximately 400 feet south of the intersection of None +37 Unincorporated Areas of Foxhunt Drive and Finsbury Circle. Hillsborough County.

* National Geodetic Vertical Datum. # Depth in feet above ground. + North American Vertical Datum. ** BFEs to be changed include the listed downstream and upstream BFEs, and include BFEs located on the stream reach between the ref- erenced locations above. Please refer to the revised Flood Insurance Rate Map located at the community map repository (see below) for exact locations of all BFEs to be changed. Send comments to William R. Blanton, Jr., Chief, Engineering Management Branch, Mitigation Directorate, Federal Emergency Management Agency, 500 C Street, SW., Washington, DC 20472. ADDRESS Unincorporated Areas of Hillsborough County Maps are available for inspection at Hillsborough County Department of Planning and Growth Management, 5701 East Hillsborough Avenue, Suite 1140, Tampa, FL.

Leon County, Florida, and Incorporated Areas

Northeast Drainage Ditch Approximately 200 feet upstream of the confluence of +90 +91 City of Tallahassee. Tributary 1. Northeast Drainage Ditch.

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* Elevation in feet (NGVD) + Elevation in feet (NAVD) Location of referenced # Depth in feet above Flooding source(s) elevation ** ground Communities affected Effective Modified

Just downstream of Lonnbladh Road ...... +90 +95

* National Geodetic Vertical Datum. # Depth in feet above ground. + North American Vertical Datum. ** BFEs to be changed include the listed downstream and upstream BFEs, and include BFEs located on the stream reach between the ref- erenced locations above. Please refer to the revised Flood Insurance Rate Map located at the community map repository (see below) for exact locations of all BFEs to be changed. Send comments to William R. Blanton, Jr., Chief, Engineering Management Branch, Mitigation Directorate, Federal Emergency Management Agency, 500 C Street, SW., Washington, DC 20472. ADDRESS City of Tallahassee Maps are available for inspection at Tallahassee City Hall, 300 South Adams Street, Tallahassee, FL.

Taylor County, Florida, and Incorporated Areas

Aucilla River ...... At U.S. Highway 98 ...... None +10 Unincorporated Areas of Taylor County. At the Taylor/Madison County boundary ...... None +45 Pimple Creek...... At the confluence with Spring Creek ...... +36 +37 City of Perry. Approximately 400 feet downstream of Cherry Street +42 +41 Pimple Creek East Branch ... Just upstream of Johnson Stripling Road ...... +43 +44 City of Perry. Approximately 1,000 feet upstream of Johnson +43 +44 Stripling Road. Rocky Creek ...... At the confluence with Spring Street ...... None +26 Unincorporated Areas of Taylor County. Approximately 1,300 feet upstream of U.S. Highway None +56 221.

* National Geodetic Vertical Datum. # Depth in feet above ground. + North American Vertical Datum. ** BFEs to be changed include the listed downstream and upstream BFEs, and include BFEs located on the stream reach between the ref- erenced locations above. Please refer to the revised Flood Insurance Rate Map located at the community map repository (see below) for exact locations of all BFEs to be changed. Send comments to William R. Blanton, Jr., Chief, Engineering Management Branch, Mitigation Directorate, Federal Emergency Management Agency, 500 C Street, SW., Washington, DC 20472. ADDRESSES City of Perry Maps are available for inspection at Perry City Hall, 224 South Jefferson Street, Perry, FL. Unincorporated Areas of Taylor County Maps are available for inspection at Taylor County Building/Planning Department, 201 East Green Street, Perry, FL.

Union County, Florida, and Incorporated Areas

Santa Fe River Unnamed Approximately 2,000 feet upstream of the confluence None +73 Town of Worthington Tributary. with the Santa Fe River. Springs, Unincorporated Areas of Union County. Approximately 1,940 feet upstream of Southwest 43rd None +113 Trail.

* National Geodetic Vertical Datum. # Depth in feet above ground. + North American Vertical Datum. ** BFEs to be changed include the listed downstream and upstream BFEs, and include BFEs located on the stream reach between the ref- erenced locations above. Please refer to the revised Flood Insurance Rate Map located at the community map repository (see below) for exact locations of all BFEs to be changed. Send comments to William R. Blanton, Jr., Chief, Engineering Management Branch, Mitigation Directorate, Federal Emergency Management Agency, 500 C Street, SW., Washington, DC 20472. ADDRESSES Town of Worthington Springs Maps are available for inspection at Worthington Springs City Hall, State Road 121 3rd Avenue, Worthington Springs, FL. Unincorporated Areas of Union County Maps are available for inspection at Union County Office of Emergency Management, 58 Northwest 1st Street, Lake Butler, FL.

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* Elevation in feet (NGVD) + Elevation in feet (NAVD) Location of referenced # Depth in feet above Flooding source(s) elevation ** ground Communities affected Effective Modified

Haralson County, Georgia, and Incorporated Areas

Cochran Creek ...... Approximately 950 feet downstream from Dallas Road None +1157 Unincorporated Areas of Haralson County, City of Buchanan. Approximately 750 feet upstream from Moore Street .. None +1199

* National Geodetic Vertical Datum. # Depth in feet above ground. + North American Vertical Datum. ** BFEs to be changed include the listed downstream and upstream BFEs, and include BFEs located on the stream reach between the ref- erenced locations above. Please refer to the revised Flood Insurance Rate Map located at the community map repository (see below) for exact locations of all BFEs to be changed. Send comments to William R. Blanton, Jr., Chief, Engineering Management Branch, Mitigation Directorate, Federal Emergency Management Agency, 500 C Street, SW., Washington, DC 20472. ADDRESSES City of Buchanan Maps are available for inspection at 4300 Highway 120, Buchanan, GA 30113. Unincorporated Areas of Haralson County Maps are available for inspection at 155 Van Wert Street, Buchanan, GA 30113.

Bourbon County, Kansas, and Incorporated Areas

Marmaton River ...... At the confluence of Mill Creek ...... +800 +801 Unincorporated Areas of Bourbon County. Approximately 500 feet upstream of Sterwarts Dam ... +804 +805

* National Geodetic Vertical Datum. # Depth in feet above ground. + North American Vertical Datum. ** BFEs to be changed include the listed downstream and upstream BFEs, and include BFEs located on the stream reach between the ref- erenced locations above. Please refer to the revised Flood Insurance Rate Map located at the community map repository (see below) for exact locations of all BFEs to be changed. Send comments to William R. Blanton, Jr., Chief, Engineering Management Branch, Mitigation Directorate, Federal Emergency Management Agency, 500 C Street, SW., Washington, DC 20472. ADDRESS Unincorporated Areas of Bourbon County Maps are available for inspection at 210 South National Avenue, Fort Scott, KS 66701.

Erie County, New York, and Incorporated Areas

Buffalo River ...... At the confluence with Lake Erie ...... +580 +581 City of Buffalo. A point located approximately 200 feet upstream from +580 +581 the Railroad bridge. Cazenovia Creek ...... At a point approximately 175 feet upstream of Bailey +585 +584 City of Buffalo. Road. At a point approximately 830 feet upstream from the +598 +597 Golf Course Bridge. Ellicott Creek ...... At a point approximately 1,070 feet upstream from the +573 +574 Town of Amherst, Village confluence of Ellicott Creek North Diversion Chan- of Williamsville. nel. A point located approximately 230 feet downstream of +684 +683 Interstate 90. Ellicott Creek North Diversion At a point located approximately 1,190 feet upstream +573 +574 Town of Amherst. Channel. of North Ellicott Creek Road. At the upstream confluence with Ellicott Creek ...... +575 +577 Ellicott Creek Pfohl Park Di- At the downstream confluence with Ellicott Creek ...... +575 +577 Town of Amherst. version Channel. At the upstream confluence with Ellicott Creek ...... +576 +577 Lake Erie ...... Entire shoreline ...... +580 +581 City of Buffalo. Ransom Creek ...... A point located approximately 5 feet upstream of Glen +581 +582 Town of Amherst, Town of Oakes Drive. Clarence. A point located approximately 120 feet upstream of None +652 Knauss Road. Scajaquada Creek ...... A point located on the upstream side of the East- +573 +578 City of Buffalo. bound on-ramp to Interstate 190. At exiting of the Scajaquada Drain ...... +608 +611 Spicer Creek ...... A point located approximately 1,625 feet upstream of +570 +571 Town of Grand Island. East River Road.

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* Elevation in feet (NGVD) + Elevation in feet (NAVD) Location of referenced # Depth in feet above Flooding source(s) elevation ** ground Communities affected Effective Modified

A point located approximately 3,350 feet upstream of None +585 Harvey Road.

* National Geodetic Vertical Datum. # Depth in feet above ground. + North American Vertical Datum. ** BFEs to be changed include the listed downstream and upstream BFEs, and include BFEs located on the stream reach between the ref- erenced locations above. Please refer to the revised Flood Insurance Rate Map located at the community map repository (see below) for exact locations of all BFEs to be changed. Send comments to William R. Blanton, Jr., Chief, Engineering Management Branch, Mitigation Directorate, Federal Emergency Management Agency, 500 C Street, SW., Washington, DC 20472. ADDRESSES City of Buffalo Maps are available for inspection at Buffalo City Hall, 65 Niagara Square, Buffalo, NY. Town of Amherst Maps are available for inspection at Amherst Town Hall, 5583 Main Street, Williamsville, NY. Town of Clarence Maps are available for inspection at Clarence Town Engineer’s Office, 6221 Goodridge, Clarence, NY. Town of Grand Island Maps are available for inspection at Grand Island Town Hall, 2255 Baseline Road, Grand Island, NY. Village of Williamsville Maps are available for inspection at Williamsville Village Hall, 5565 Main Street, Williamsville, NY.

Avery County, North Carolina, and Incorporated Areas

Elk River ...... At the North Carolina/Tennessee state boundary ...... None +2693 Unincorporated Areas of Avery County, Town of Banner Elk. Approximately 0.5 mile downstream of Glove Factory +3672 +3673 Lane. Tributary 1 ...... At the North Carolina/Tennessee state boundary ...... None +2772 Unincorporated Areas of Avery County. Approximately 0.7 mile upstream of North Carolina/ None +3198 Tennessee state boundary.

* National Geodetic Vertical Datum. # Depth in feet above ground. + North American Vertical Datum. ** BFEs to be changed include the listed downstream and upstream BFEs, and include BFEs located on the stream reach between the ref- erenced locations above. Please refer to the revised Flood Insurance Rate Map located at the community map repository (see below) for exact locations of all BFEs to be changed. Send comments to William R. Blanton, Jr., Chief, Engineering Management Branch, Mitigation Directorate, Federal Emergency Management Agency, 500 C Street, SW., Washington, DC 20472. ADDRESSES Town of Banner Elk Maps are available for inspection at Banner Elk Town Hall, 200 Park Avenue, Banner Elk, NC Unincorporated Areas of Avery County Maps are available for inspection at Avery County Courthouse, 200 Montezuma Street, Newland, NC.

Providence County, Rhode Island, and Incorporated Areas

Blackstone River ...... Just downstream of Exchange Street ...... +33 +34 City of Central Falls, City of Pawtucket, City of Woonsocket, Town of Cumberland, Town of Lincoln, Town of North Smithfield. Approximately 2,100 feet upstream of the confluence +159 +158 of Slaterville River Branch.

* National Geodetic Vertical Datum. # Depth in feet above ground. + North American Vertical Datum. ** BFEs to be changed include the listed downstream and upstream BFEs, and include BFEs located on the stream reach between the ref- erenced locations above. Please refer to the revised Flood Insurance Rate Map located at the community map repository (see below) for exact locations of all BFEs to be changed. Send comments to William R. Blanton, Jr., Chief, Engineering Management Branch, Mitigation Directorate, Federal Emergency Management Agency, 500 C Street, SW., Washington, DC 20472.

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* Elevation in feet (NGVD) + Elevation in feet (NAVD) Location of referenced # Depth in feet above Flooding source(s) elevation ** ground Communities affected Effective Modified

ADDRESSES City of Central Falls Maps are available for inspection at City Hall, 580 Broad Street, Central Falls, RI 02863. City of Pawtucket Maps are available for inspection at City Hall, 137 Roosevelt Avenue, Pawtucket, RI 02860. City of Woonsocket Maps are available for inspection at City Hall, 169 Main Street, Woonsocket, RI 02895. Town of Cumberland Maps are available for inspection at Town Hall, 45 Broad Street, Cumberland, RI 02864. Town of Lincoln Maps are available for inspection at Town Hall, 100 Old River Road, Lincoln, RI 02865. Town of North Smithfield Maps are available for inspection at Town Hall, 575 Smithfield Road, North Smithfield, RI 02896.

Rutland County, Vermont, and Incorporated Areas

Clarendon River ...... Approximately 1,700 feet upstream of confluence with +488 +487 Town of Rutland. Otter Creek. At the confluence with Otter Creek ...... +488 +487 Curtis Brook ...... At the confluence with East Creek ...... +664 +663 Town of Rutland. Approximately 500 feet upstream of confluence with +668 +667 East Creek. East Creek ...... At the confluence with Otter Creek ...... +531 +532 City of Rutland, Town of Rutland. Approximately 1.07 miles upstream of East Pittsford +757 +752 Road. Homer Stone Brook ...... At the confluence with Otter Creek ...... +633 +630 Town of Wallingford. Approximately 75 feet upstream of confluence with +633 +632 Otter Creek. Lake St. Catherine (Little Entire shoreline within the Town of Poultney ...... None +486 Town of Poultney. Lake). Moon Brook ...... At the downstream side of Granger Street ...... +534 +533 City of Rutland. Approximately 2,964 feet upstream of Sharon Drive ... +691 +699 Otter Creek ...... At upstream side of Center Rutland Dam ...... +516 +515 Town of Clarendon, City of Rutland, Town of Danby, Town of Rutland, Town of Wallingford. Approximately 1.09 miles upstream of confluence of +643 +642 Homer Stone Brook. Roaring Brook ...... At the confluence with Otter Creek ...... +569 +567 Town of Wallingford. Approximately 165 feet upstream of confluence with +572 +571 Otter Creek.

* National Geodetic Vertical Datum. # Depth in feet above ground. + North American Vertical Datum. ** BFEs to be changed include the listed downstream and upstream BFEs, and include BFEs located on the stream reach between the ref- erenced locations above. Please refer to the revised Flood Insurance Rate Map located at the community map repository (see below) for exact locations of all BFEs to be changed. Send comments to William R. Blanton, Jr., Chief, Engineering Management Branch, Mitigation Directorate, Federal Emergency Management Agency, 500 C Street, SW., Washington, DC 20472. ADDRESSES City of Rutland Maps are available for inspection at Rutland City Clerk’s Office, 1 Strongs Avenue, Rutland, VT. Town of Clarendon Maps are available for inspection at Clarendon Town Hall, 279 Middle Road, North Clarendon, VT. Town of Danby Maps are available for inspection at Danby Town Hall, 130 Brook Road, Danby, VT. Town of Poultney Maps are available for inspection at Poultney Town Clerk’s Office, 9 Main Street, Poultney, VT. Town of Rutland Maps are available for inspection at Rutland Town Clerk’s Office, 181 Business Route 4, Center Rutland, VT. Town of Wallingford Maps are available for inspection at Wallingford Town Clerk’s Office, 75 School Street, Wallingford, VT.

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(Catalog of Federal Domestic Assistance No. at the community’s map repository. The rulemaking governed by the 97.022, ‘‘Flood Insurance.’’) respective addresses are listed in the Administrative Procedure Act (APA), 5 Dated: October 30, 2007. table below. U.S.C. 553. FEMA publishes flood David I. Maurstad, You may submit comments, identified elevation determinations for notice and Federal Insurance Administrator of the by Docket No. FEMA–B–7743, to comment; however, they are governed National Flood Insurance Program, William R. Blanton, Jr., Chief, by the Flood Disaster Protection Act of Department of Homeland Security, Federal Engineering Management Branch, 1973, 42 U.S.C. 4105, and the National Emergency Management Agency. Mitigation Directorate, Federal Flood Insurance Act of 1968, 42 U.S.C. [FR Doc. E7–21610 Filed 11–1–07; 8:45 am] Emergency Management Agency, 500 C 4001 et seq., and do not fall under the BILLING CODE 9110–12–P Street, SW., Washington, DC 20472, APA. (202) 646–3151, or (e-mail) National Environmental Policy Act. [email protected]. This proposed rule is categorically DEPARTMENT OF HOMELAND FOR FURTHER INFORMATION CONTACT: excluded from the requirements of 44 SECURITY William R. Blanton, Jr., Chief, CFR part 10, Environmental Consideration. An environmental Federal Emergency Management Engineering Management Branch, impact assessment has not been Agency Mitigation Directorate, Federal Emergency Management Agency, 500 C prepared. 44 CFR Part 67 Street SW., Washington, DC 20472, Regulatory Flexibility Act. As flood (202) 646–3151 or (e-mail) elevation determinations are not within [Docket No. FEMA–B–7743] [email protected]. the scope of the Regulatory Flexibility SUPPLEMENTARY INFORMATION: The Act, 5 U.S.C. 601–612, a regulatory Proposed Flood Elevation flexibility analysis is not required. Determinations Federal Emergency Management Agency (FEMA) proposes to make Executive Order 12866, Regulatory AGENCY: Federal Emergency determinations of BFEs and modified Planning and Review. This proposed Management Agency, DHS. BFEs for each community listed below, rule is not a significant regulatory action ACTION: Proposed rule. in accordance with section 110 of the under the criteria of section 3(f) of Flood Disaster Protection Act of 1973, Executive Order 12866, as amended. SUMMARY: Comments are requested on 42 U.S.C. 4104, and 44 CFR 67.4(a). Executive Order 13132, Federalism. the proposed Base (1 percent annual- These proposed BFEs and modified This proposed rule involves no policies chance) Flood Elevations (BFEs) and BFEs, together with the floodplain that have federalism implications under proposed BFE modifications for the management criteria required by 44 CFR Executive Order 13132. communities listed in the table below. 60.3, are the minimum that are required. Executive Order 12988, Civil Justice The purpose of this notice is to seek They should not be construed to mean Reform. This proposed rule meets the general information and comment that the community must change any applicable standards of Executive Order regarding the proposed regulatory flood existing ordinances that are more 12988. elevations for the reach described by the stringent in their floodplain downstream and upstream locations in management requirements. The List of Subjects in 44 CFR Part 67 the table below. The BFEs and modified community may at any time enact Administrative practice and BFEs are a part of the floodplain stricter requirements of its own, or procedure, Flood insurance, Reporting management measures that the pursuant to policies established by other and recordkeeping requirements. community is required either to adopt Federal, State, or regional entities. or show evidence of having in effect in Accordingly, 44 CFR part 67 is These proposed elevations are used to proposed to be amended as follows: order to qualify or remain qualified for meet the floodplain management participation in the National Flood requirements of the NFIP and are also PART 67—[AMENDED] Insurance Program (NFIP). In addition, used to calculate the appropriate flood these elevations, once finalized, will be insurance premium rates for new 1. The authority citation for part 67 used by insurance agents, and others to buildings built after these elevations are continues to read as follows: calculate appropriate flood insurance made final, and for the contents in these Authority: 42 U.S.C. 4001 et seq.; premium rates for new buildings and buildings. the contents in those buildings. Reorganization Plan No. 3 of 1978, 3 CFR, Comments on any aspect of the Flood 1978 Comp., p. 329; E.O. 12127, 44 FR 19367, DATES: Comments are to be submitted Insurance Study and FIRM, other than 3 CFR, 1979 Comp., p. 376. on or before January 31, 2008. the proposed BFEs, will be considered. ADDRESSES: The corresponding A letter acknowledging receipt of any § 67.4 [Amended] preliminary Flood Insurance Rate Map comments will not be sent. 2. The tables published under the (FIRM) for the proposed BFEs for each Administrative Procedure Act authority of § 67.4 are proposed to be community are available for inspection Statement. This matter is not a amended as follows:

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*Elevation in feet (NGVD) +Elevation in feet (NAVD) Location on Ref- #Depth in feet above Flooding Source(s) erenced Elevation** ground Communities Affected Effective Modified

Hartford County, Connecticut (All Jurisdictions)

Connecticut River ... At confluence with +28 +26 Town of East Hartford, Town of East Windsor, Town of Enfield, Dividend Brook. Town of Glastonbury, City of Hartford, Town of Rocky Hill, Town of South Windsor, Town of Suffield, Town of Wethersfield, Town of Windsor, Town of Windsor Locks.

At Connecticut/Mas- +56 +57 sachusetts state boundary.

* National Geodetic Vertical Datum. + North American Vertical Datum. # Depth in feet above ground. ** BFEs to be changed include the listed downstream and upstream BFEs, and include BFEs located on the stream reach between the ref- erenced locations above. Please refer to the revised Flood Insurance Rate Map located at the community map repository (see below) for exact locations of all BFEs to be changed. Send comments to William R. Blanton, Jr., Chief, Engineering Management Branch, Mitigation Directorate, Federal Emergency Management Agency, 500 C Street SW., Washington, DC 20472. ADDRESSES Town of East Hartford Maps are available for inspection at 740 Main Street, East Hartford, CT 06108. Town of East Windsor Maps are available for inspection at East Windsor Town Hall, 11 Rye Street, Broad Brook, CT 06016. Town of Enfield Maps are available for inspection at Enfield Town Engineer’s Office, 820 Enfield Street, Enfield, CT 06082. Town of Glastonbury Maps are available for inspection at Town Hall, 2155 Main Street, Glastonbury, CT 06033. City of Hartford Maps are available for inspection at Department of Public Works, 525 Main Street, Hartford, CT 06103. Town of Rocky Hill Maps are available for inspection at 761 Old Main Street, Rocky Hill, CT 06067. Town of South Windsor Maps are available for inspection at South Windsor Town Hall, 1540 Sullivan Avenue, South Windsor, CT 06074. Town of Suffield Maps are available for inspection at Town Clerk’s Office, 83 Mountain Road, Suffield, CT 06078. Town of Wethersfield Maps are available for inspection at 505 Dean Silas Highway, Wethersfield, CT 06109. Town of Windsor Maps are available for inspection at Windsor Town Hall, 275 Broad Street, Windsor, CT 06095. Town of Windsor Locks Maps are available for inspection at Windsor Locks Town Hall, 50 Church Street, Windsor Locks, CT 06096.

(Catalog of Federal Domestic Assistance No. FEDERAL COMMUNICATIONS Commission seeks comment on those 97.022, ‘‘Flood Insurance.’’) COMMISSION whose primary language is not English, Dated: October 29, 2007. and persons with disabilities, to 47 CFR Part 11 David I. Maurstad, determine how these communities might best be served by EAS. The Federal Insurance Administrator of the [EB Docket No. 04–296, FCC 07–109] National Flood Insurance Program, Commission also seeks comment on Department of Homeland Security, Federal Review of the Emergency Alert System whether emergency alerts transmitted Emergency Management Agency. by local authorities should be AGENCY: Federal Communications [FR Doc. E7–21607 Filed 11–1–07; 8:45 am] transmitted, and various ways that Commission. BILLING CODE 9110–12–P performance of EAS operation may be ACTION: Notice of proposed rulemaking. assessed.

SUMMARY: In this document the DATES: Written comments are due on or Commission seeks comment on several before December 3, 2007 and reply issues relating to the Emergency Alert comments are due on or before System (EAS), in order to ensure that December 17, 2007. EAS rules better protect the life and property of all Americans. Recognizing ADDRESSES: You may submit comments, the need of all Americans to be alerted identified by EB Docket No. 04–296, by in the event of an emergency, the any of the identified methods:

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• Federal eRulemaking Portal: http:// languages be transmitted in certain permitted to activate the alert? Should www.regulations.gov. Follow the areas? We seek comments on the the expansion of mandatory state and instructions for submitting comments. technical, economic, practical, and legal local alerts be limited to certain types of • Federal Communications issues, including the Commission’s alerts? We seek comment on whether Commission’s Web Site: http:// authority, involved in making the Commission should specify the www.fcc.gov/cgb/ecfs/. Follow the emergency information accessible to types of emergency alerts that these instructions for submitting comments. persons whose primary language is not local officials should be permitted to • Mail: U.S. Postal Service first-class, English. We would especially welcome activate? Should only certain classes of Express, and Priority mail must be comments on state-level or other efforts EAS Participants be required to transmit addressed to 445 12th Street, SW., designed to address these issues. We such alerts by entities other than the Washington, DC 20554. note, for example, that Florida has governor? Does CAP allow for proper • People with Disabilities: Contact the implemented a program to promote the delivery of such alerts, or should such FCC to request reasonable provision of emergency information to alerts be mandatory only in the context accommodations (accessible format non-English speakers in that state, and of Next Generation EAS? What other documents, sign language interpreters, that California and Texas have considerations should govern the CART, etc.) by e-mail: [email protected] addressed the issue in their EAS plans appropriate use of a mandatory alerting or phone 202–418–0530 or TTY: 202– filed with this Commission. We direct process by entities other than a 418–0432. the Public Safety and Homeland governor? We seek comment generally For detailed instructions for submitting Security Bureau to convene a meeting— on how this type of requirement should comments and additional information or series of meetings—as soon as be implemented. on the rulemaking process, see the possible concerning EAS as it relates to Assessing EAS Operation SUPPLEMENTARY INFORMATION section of the needs of non-English speakers. The this document. Bureau should thereafter submit into the 4. We seek comment on several FOR FURTHER INFORMATION CONTACT: record a progress report on these options for ensuring that EAS operates Thomas Beers, Policy Division, Public discussions within 30 days of the as designed in an emergency, including Safety and Homeland Security Bureau, Order’s release. whether we should require: (i) (202) 418–1170, or TTY (202) 418–7233. Persons with Disabilities Additional testing of the EAS, and specifically CAP; (ii) station SUPPLEMENTARY INFORMATION: This is a 2. In the FNPRM we reexamine the certification of compliance; and (iii) summary of the Federal best way to make EAS and other Communications Commission’s Further assessments of EAS performance after emergency information accessible to an alert has been triggered. We will Notice of Proposed Rulemaking persons with disabilities. We request (FNPRM) in EB Docket No. 04–296, FCC revisit the issue of performance comments on this subject, including, standards if it appears that they are 07–108, adopted on May 31, 2007, and but not necessarily limited to the released on July 12, 2007. warranted. In particular, we seek following key issues: (i) Presentation of comments on the technical, economic, Non-English Speakers the audio feed in text format, and vice- practical, and legal issues involved. versa; (ii) making emergency 1. In the FNPRM, the Commission information available to various devices I. PROCEDURAL MATTERS seeks comment on how non-English commonly used by persons with A. Ex-Parte Rules—Permit-but-Disclose speakers may best be served by national, disabilities; and (iii) providing Proceeding state and local EAS. In particular, we emergency messages in multiple formats invite comment on how localities with to meet the needs of persons with 5. This proceeding shall be treated as non-English speakers should be disabilities. We also seek comment on a ‘‘permit-but-disclose’’ proceeding in identified. In which markets should the interaction between our part 11 accordance with the Commision’s ex special emergency alert rules apply? rules and section 79.2 of our rules. We parte rules. Persons making oral ex Should state and local EAS plans welcome comments on the technical, parte presentations are reminded that designate a ‘‘Local Primary economic, practical, and legal issues, memoranda summarizing the Multilingual’’ station to transmit including the Commission’s authority, presentations must contain summaries emergency information the relevant involved in making emergency of the substance of the presentations foreign language in local areas where a information accessible to persons with and not merely a listing of the subjects substantial proportion of the population disabilities. discussed. More than a one- or two- has a fluency in a language other than sentence description of the views and English? How should we quantify the Other Local Official Alerts arguments presented is generally ‘‘substantial proportion’’? Should at 3. Our action enables state governors required. Other rules pertaining to oral least one broadcast station in every (or their designees) to initiate state-level and written presentations are set forth market, or some subset of markets, be and geo-targeted alerts for mandatory in section 1.1206(b) of the Commission’s required to monitor and rebroadcast transmission by EAS Participants. Since rules. emergency information carried by a EAS activations to date have been ‘‘Local Primary Multilingual’’ station. overwhelmingly related to weather and B. Comment Dates And, should stations that remain on the state and local alerts, we seek comment 6. Pursuant to §§ 1.415 and 1.419 of air during an emergency be required to on whether EAS Participants should be the Commission’s rules, 47 CFR 1.415, broadcast emergency information in the required to receive and transmit alerts 1.419, interested parties may file relevant foreign language to the extent initiated by government entities other comments and reply comments on or that the ‘‘Local Primary Multilingual’’ than a state governor. Should local, before the dates indicated on the first station loses transmission capability. county, tribal, or other state page of this document. Comments may What criteria should the originator of an governmental entities be allowed to be filed using (1) the FCC’s Electronic EAS message use in determining which initiate mandatory state and local alerts? Comment Filing System (ECFS), (2) the languages to require EAS Participants to How should the Commission decide Federal Government’s eRulemaking transmit? Should more than two which public officials should be Portal, or (3) by filing paper copies. See

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Electronic Filing of Documents in (braille, large print, electronic files, Description and Estimate of the Number Rulemaking Proceedings, 63 FR 24,121 audio format), send an e-mail to of Small Entities To Which Rules Will (1998). [email protected] or call the Consumer & Apply 7. Electronic Filers: Comments may be Governmental Affairs Bureau at 202– 19. The RFA directs agencies to filed electronically using the Internet by 418–0530 (voice), 202–418–0432 (TTY). provide a description of, and, where accessing the ECFS: http://www.fcc.gov/ feasible, an estimate of, the number of cgb/ecfs or the Federal eRulemaking C. Paperwork Reduction Act small entities that may be affected by Portal: http://www.regulations.gov. 15. This document does not contain the rules adopted herein. The RFA Filers should follow the instructions proposed information collection(s) provided on the website for submitting subject to the Paperwork Reduction Act generally defines the term ‘‘small comments. of 1995 (PRA), Public Law 104–13. In entity’’ as having the same meaning as 8. For ECFS filers, if multiple dockets addition, therefore, it does not contain the terms ‘‘small business,’’ ‘‘small or rulemaking numbers appear in the any new or modified ‘‘information organization,’’ and ‘‘small governmental caption of this proceeding, filers must collection burden for small business jurisdiction.’’ In addition, the term transmit one electronic copy of the concerns with fewer than 25 ‘‘small business’’ has the same meaning comments for each docket or employees,’’ pursuant to the Small as the term ‘‘small business concern’’ rulemaking number referenced in the Business Paperwork Relief Act of 2002, under the Small Business Act. A ‘‘small caption. In completing the transmittal Public Law 107–198, see 44 U.S.C. business concern’’ is one which: (1) Is screen, filers should include their full 3506(c)(4). independently owned and operated; (2) name, U.S. Postal Service mailing is not dominant in its field of operation; address, and the applicable docket or II. INITIAL REGULATORY and (3) satisfies any additional criteria rulemaking number. Parties may also FLEXIBILITY ANALYSIS established by the Small Business submit an electronic comment by 16. As required by the Regulatory Administration (SBA). Internet e-mail. To get filing Flexibility Act of 1980, as amended Description of Projected Reporting, instructions, filers should send an e- (RFA), the Commission has prepared Recordkeeping, and Other Compliance mail to [email protected], and include the this present Initial Regulatory Requirements following words in the body of the Flexibility Analysis (IRFA) of the message, ‘‘get form.’’ A sample form and possible significant economic impact on 20. There are potential reporting or directions will be sent in response. a substantial number of small entities by recordkeeping requirements proposed in 9. Paper Filers: Parties who choose to the policies and rules proposed in this the FNPRM. For example, the file by paper must file an original and FNPRM. Written public comments are Commission is considering whether to four copies of each filing. If more than requested on this IRFA. Comments must adopt performance standards and one docket or rulemaking number be identified as responses to the IRFA reporting obligations for EAS appears in the caption of this and must be filed by the deadlines for participants. The proposals set forth in proceeding, filers must submit two comments on the first page of the the FNPRM are intended to advance our additional copies for each additional FNPRM. The Commission will send a public safety mission and enhance the docket or rulemaking number. copy of the FNPRM, including this performance of the EAS while reducing 10. Filings can be sent by hand or IRFA, to the Chief Counsel for Advocacy regulatory burdens wherever possible. messenger delivery, by commercial of the Small Business Administration Steps Taken To Minimize the overnight courier, or by first-class or (SBA). In addition, the FNPRM and Significant Economic Impact on Small overnight U.S. Postal Service mail IRFA (or summaries thereof) will be Entities, and Significant Alternatives (although we continue to experience published in the Federal Register. Considered delays in receiving U.S. Postal Service mail). All filings must be addressed to Need for, and Objectives of, the 21. The RFA requires an agency to the Commission’s Secretary, Office of Proposed Rules describe any significant alternatives that the Secretary, Federal Communications 17. In the FNPRM, we seek comment it has considered in developing its Commission. on four areas where the EAS rules might approach, which may include the 11. The Commission’s contractor will be amended. Recognizing the need of all following four alternatives (among receive hand-delivered or messenger- Americans to be alerted in the event of others): ‘‘(1) The establishment of delivered paper filings for the an emergency, the Commission invites differing compliance or reporting Commission’s Secretary at 236 comments first on non-English speakers requirements or timetables that take into Massachusetts Avenue, NE., Suite 110, and second on persons with disabilities account the resources available to small Washington, DC 20002. The filing hours to determine how these communities entities; (2) the clarification, at this location are 8 a.m. to 7 p.m. All might best be served by EAS. Third, the consolidation, or simplification of hand deliveries must be held together Commission invites comment on compliance and reporting requirements with rubber bands or fasteners. Any whether emergency alerts transmitted under the rule for such small entities; envelopes must be disposed of before by local authorities should be (3) the use of performance rather than entering the building. transmitted. Fourth, the Commission design standards; and (4) an exemption 12. Commercial overnight mail (other invites comment on various ways that from coverage of the rule, or any part than U.S. Postal Service Express Mail the performance of EAS operations may thereof, for such small entities.’’ and Priority Mail) must be sent to 9300 be assessed. 22. The FNPRM seeks comment on East Hampton Drive, Capitol Heights, how the Commission may better protect Legal Basis MD 20743. the lives and property of Americans. In 13. U.S. Postal Service first-class, 18. Authority for the actions proposed commenting on this goal, commenters Express, and Priority mail must be in this FNPRM may be found in sections are invited to propose steps that the addressed to 445 12th Street, SW., 1, 4(i), 4(o), 303(r), 403, 624(g) and 706 Commission may take to minimize any Washington, DC 20554. of the Communications Act of 1934, as significant economic impact on small 14. To request materials in accessible amended, (Act) 47 U.S.C. 151, 154(i), entities. When considering proposals formats for people with disabilities 154(j), 154(o), 303(r), 544(g) and 606. made by other parties, commenters are

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invited to propose significant • Federal Rulemaking Portal: Go to impact of the rules on a substantial alternatives that serve the goals of these http://www.regulations.gov. Follow the number of such small entities. proposals. We expect that the record online instructions for submitting B. Review Schedule will develop to demonstrate significant comments. alternatives. • Mail: Docket Management Facility: The Department of Transportation U.S. Department of Transportation, 1200 Federal Rules That May Duplicate, (DOT) published its Semiannual New Jersey Avenue, SE., West Building Overlap, or Conflict With the Proposed Regulatory Agenda on November 22, Ground Floor, Room W12–140, Rules 1999, listing in Appendix D (64 FR Washington, DC 20590–0001 64684) those regulations that each 23. None. • Hand Delivery or Courier: West operating administration will review III. ORDERING CLAUSES Building Ground Floor, Room W12–140, under section 610 during the next 12 1200 New Jersey Avenue, SE., between months. Appendix D also contains 24. The Commission’s Consumer and 9 a.m. and 5 p.m. ET, Monday through DOT’s 10-year review plan for all of its Governmental Affairs Bureau, Reference Friday, except Federal holidays. existing regulations. Information Center, shall send a copy of • Fax: 202–493–2251 The National Highway Traffic Safety this Further Notice of Proposed Instructions: For detailed instructions Administration (NHTSA, ‘‘we’’) has Rulemaking including the Initial on submitting comments and additional divided its rules into 10 groups by Regulatory Flexibility Analysis, to the information see the Comments heading subject area. Each group will be Chief Counsel for Advocacy of the Small of the Supplementary Information reviewed once every 10 years, Business Administration. section of this document. Note that all undergoing a two-stage process—an Federal Communications Commission. comments received will be posted Analysis Year and a Review Year. For without change to http:// Marlene H. Dortch, purposes of these reviews, a year will www.regulations.gov, including any Secretary. coincide with the fall-to-fall publication personal information provided. Please [FR Doc. 07–5331 Filed 11–1–07; 8:45 am] schedule of the Semiannual Regulatory see the Privacy Act heading below. BILLING CODE 6712–01–P Agenda. Thus, Year 1 (1998) began in Privacy Act: Anyone is able to search the fall of 1998 and ended in the fall of the electronic form of all comments 1999; Year 2 (1999) began in the fall of received into any of our dockets by the DEPARTMENT OF TRANSPORTATION 1999 and ended in the fall of 2000; and name of the individual submitting the so on. National Highway Traffic Safety comment (or signing the comment, if Administration submitted on behalf of an association, During the Analysis Year, we will business, labor union, etc.). You may request public comment on and analyze 49 CFR Parts 571 and 579 review DOT’s complete Privacy Act each of the rules in a given year’s group Statement in the Federal Register to determine whether any rule has a [Docket No. NHTSA–07–29294] published on April 11, 2000 (65 FR significant impact on a substantial number of small entities and, thus, Federal Motor Vehicle Safety 19477–78) or you may visit http:// DocketsInfo.dot.gov. requires review in accordance with Standards; Small Business Impacts of section 610 of the Regulatory Flexibility Motor Vehicle Safety FOR FURTHER INFORMATION CONTACT: Act. In each fall’s Regulatory Agenda, Juanita Kavalauskas, Office of AGENCY: National Highway Traffic we will publish the results of the Regulatory Analysis, Office of analyses we completed during the Safety Administration (NHTSA), Regulatory Analysis and Evaluation, Department of Transportation (DOT). previous year. For rules that have National Highway Traffic Safety subparts, or other discrete sections of ACTION: Notice of regulatory review; Administration, U.S. Department of request for comments. rules that do have a significant impact Transportation, 1200 New Jersey on a substantial number of small SUMMARY: NHTSA seeks comments on Avenue, SE., Washington, DC 20590 entities, we will announce that we will the economic impact of its regulations (telephone 202–366–2584, fax 202–366– be conducting a formal section 610 on small entities. As required by Section 3189). review during the following 12 months. 610 of the Regulatory Flexibility Act, we SUPPLEMENTARY INFORMATION: The section 610 review will are attempting to identify rules that may I. Section 610 of the Regulatory determine whether a specific rule have a significant economic impact on Flexibility Act should be revised or revoked to lessen a substantial number of small entities. its impact on small entities. We will We also request comments on ways to A. Background and Purpose consider: (1) The continued need for the make these regulations easier to read Section 610 of the Regulatory rule; (2) the nature of complaints or and understand. The focus of this notice Flexibility Act of 1980 (Pub. L. 96–354), comments received from the public; (3) is rules that specifically relate to as amended by the Small Business the complexity of the rule; (4) the extent passenger cars, multipurpose passenger Regulatory Enforcement Fairness Act of to which the rule overlaps, duplicates, vehicles, trucks, buses, trailers, 1996 (Pub. L. 104–121), requires or conflicts with other federal rules or incomplete vehicles, motorcycles, and agencies to conduct periodic reviews of with State or local government rules; motor vehicle equipment. final rules that have a significant and (5) the length of time since the rule DATES: You should submit comments economic impact on a substantial has been evaluated or the degree to early enough to ensure that Docket number of small business entities. The which technology, economic conditions, Management receives them not later purpose of the reviews is to determine or other factors have changed in the area than January 2, 2008. whether such rules should be continued affected by the rule. At the end of the ADDRESSES: You may submit comments without change, or should be amended Review Year, we will publish the results [identified by DOT Docket ID Number or rescinded, consistent with the of our review. The following table NHTSA–07–29294] by any of the objectives of applicable statutes, to shows the 10-year analysis and review following methods: minimize any significant economic schedule:

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NHTSA SECTION 610 REVIEW PLAN

Year Regulations to be reviewed Analysis year Review year

1 ...... 49 CFR parts 501 through 526 and 571.213 ...... 1998 1999 2 ...... 49 CFR 571.131, 571.217, 571.220, 571.221, and 571.222 ...... 1999 2000 3 ...... 49 CFR 571.101 through 571.110 and 571.135 ...... 2000 2001 4 ...... 49 CFR parts 529 through 579, except part 571 ...... 2001 2002 5 ...... 49 CFR 571.111 through 571.129 and parts 580 through 588 ...... 2002 2003 6 ...... 49 CFR 571.201 through 571.212 ...... 2003 2004 7 ...... 49 CFR 571.214 through 571.219, except 571.217 ...... 2004 2005 8 ...... 49 CFR parts 591 through 594 ...... 2005 2006 9 ...... 49 CFR 571.223 through 571.500 and part 579 ...... 2007 2008 10 ...... 23 CFR parts 1200 and 1300 and new parts and subparts under 23 CFR ...... 2008 2009

C. Regulations Under Analysis sections of 49 CFR parts 571.223 During Year 9, we will conduct a through 571.500 and part 579. preliminary assessment of the following

Section Title

571.223 ...... Rear impact guards. 571.224 ...... Rear impact protection. 571.225 ...... Child restraint anchorage systems. 571.301 ...... Fuel system integrity. 571.302 ...... Flammability of interior materials. 571.303 ...... Fuel system integrity of compressed natural gas vehicles. 571.304 ...... Compressed natural gas fuel container integrity. 571.305 ...... Electric-powered vehicles: electrolyte spillage and electrical shock protection. 571.401 ...... Interior trunk release. 571.403 ...... Platform lift systems for motor vehicles. 571.404 ...... Platform lift installations in motor vehicles. 571.500 ...... Low-speed vehicles. Part 579 ...... Reporting of information and communications about potential defects.

We are seeking comments on whether business or organization, and why you • Could we improve clarity by adding any requirements in 49 CFR 571.223 believe the economic impact is tables, lists, or diagrams? through 571.500 and part 579 have a significant. • What else could we do to make the significant economic impact on a If the agency determines that there is rule easier to understand? substantial number of small entities. a significant economic impact on a If you have any responses to these ‘‘Small entities’’ include small substantial number of small entities, it questions, please include them in your businesses, not-for-profit organizations will ask for comment in a subsequent comments on this document. that are independently owned and notice during the Review Year on how B. Review Schedule operated and are not dominant in their these impacts could be reduced without fields, and governmental jurisdictions reducing safety. In conjunction with our section 610 with populations under 50,000. reviews, we will be performing plain Business entities are generally defined II. Plain Language language reviews over a ten-year period as small businesses by Standard A. Background and Purpose on a schedule consistent with the Industrial Classification (SIC) code, for section 610 review schedule. We will the purposes of receiving Small Executive Order 12866 and the review 49 CFR 571.223 through 571.500 Business Administration (SBA) President’s memorandum of June 1, and part 579 to determine if these assistance. Size standards established by 1998, require each agency to write all regulations can be reorganized and/or SBA in 13 CFR 121.201 are expressed rules in plain language. Application of rewritten to make them easier to read, either in number of employees or the principles of plain language understand, and use. We encourage annual receipts in millions of dollars, includes consideration of the following interested persons to submit draft unless otherwise specified. The number questions: regulatory language that clearly and • of employees or annual receipts Have we organized the material to simply communicates regulatory indicates the maximum allowed for a suit the public’s needs? requirements, and other • concern and its affiliates to be Are the requirements in the rule recommendations, such as for putting considered small. If your business or clearly stated? information in tables that may make the organization is a small entity and if any • Does the rule contain technical regulations easier to use. of the requirements in 49 CFR 571.223 language or jargon that is not clear? Comments through 571.500 or part 579 have a • Would a different format (grouping significant economic impact on your and order of sections, use of headings, How do I prepare and submit business or organization, please submit paragraphing) make the rule easier to comments? a comment to explain how and to what understand? Your comments must be written and degree these rules affect you, the extent • Would more (but shorter) sections in English. To ensure that your of the economic impact on your be better? comments are correctly filed in the

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Docket, please include the docket close of business on the comment DEPARTMENT OF TRANSPORTATION number of this document in your closing date indicated above under comments. DATES. To the extent possible, we will Surface Transportation Board Your comments must not be more also consider comments that Docket than 15 pages long. (49 CFR 553.21.) We Management receives after that date. 49 CFR Parts 1114, 1121, 1150, and established this limit to encourage you 1180 to write your primary comments in a How can I read the comments submitted [STB Ex Parte No. 575 (Sub-No. 1)] concise fashion. However, you may by other people? attach necessary additional documents You may read the comments received Disclosure of Rail Interchange to your comments. There is no limit on Commitments the length of the attachments. by Docket Management at the address Please submit two copies of your given above under ADDRESSES. The AGENCY: Surface Transportation Board, comments, including the attachments, hours of the Docket are indicated above DOT. in the same location. to Docket Management at the address ACTION: Notice of proposed rulemaking. given above under ADDRESSES. You may also see the comments on Please note that pursuant to the Data the Internet. To read the comments on SUMMARY: The Surface Transportation Quality Act, in order for substantive the Internet, take the following steps: Board is requesting comments on data to be relied upon and used by the proposed rules to require that parties agency, it must meet the information (1) Go to the Federal Docket seeking to exempt, or to invoke class quality standards set forth in the OMB Management System (FDMS) at http:// exemptions covering, transactions and DOT Data Quality Act guidelines. regulations.gov. involving the sale or lease of railroad Accordingly, we encourage you to (2) FDMS provides two basic methods lines, identify provisions in their consult the guidelines in preparing your of searching to retrieve dockets and agreements that restrict the ability of the comments. OMB’s guidelines may be docket materials that are available in the purchaser or tenant railroad to accessed at http://www.whitehouse.gov/ system: (a) ‘‘Quick Search’’ to search interchange traffic with rail carriers omb/fedreg/reproducible.html. DOT’s using a full-text search engine, or (b) other than the seller or landlord railroad guidelines may be accessed at http:// ‘‘Advanced Search,’’ which displays (interchange commitments). The dmses.dot.gov/submit/ various indexed fields such as the proposed rules also provide a procedure DataQualityGuidelines.pdf. docket name, docket identification whereby shippers or other affected parties may obtain access to such How can I be sure that my comments number, phase of the action, initiating provisions. The Board is taking this were received? office, date of issuance, document title, action to facilitate the case-specific If you wish Docket Management to document identification number, type of document, Federal Register reference, review of the reasonableness of notify you upon its receipt of your interchange commitments and to CFR citation, etc. Each data field in the comments, enclose a self-addressed, facilitate the Board’s monitoring of their advanced search may be searched stamped postcard in the envelope usage. containing your comments. Upon independently or in combination with DATES: Opening comments may be filed receiving your comments, Docket other fields, as desired. Each search yields a simultaneous display of all by any interested member of the public Management will return the postcard by by January 2, 2008. Reply comments available information found in FDMS mail. may be filed by January 22, 2008. Since that is relevant to the requested subject How do I submit confidential business OMB is required to make a decision or topic. information? concerning the STB’s request for (3) You may download the comments. If you wish to submit any information approval of this information collection However, since the comments are under a claim of confidentiality, you between 30 and 60 days after November should submit three copies of your imaged documents, instead of word 2, 2007, a comment to OMB is best complete submission, including the processing documents, the ‘‘pdf’’ assured of having its full effect if OMB information you claim to be confidential versions of the documents are word receives it by December 3, 2007. business information, to the Chief searchable. ADDRESSES: Any comments submitted in Counsel, NHTSA, U.S. Department of Please note that even after the this proceeding must refer to STB Ex Transportation, 1200 New Jersey comment closing date, we will continue Parte No. 575 (Sub-No. 1) and may be Avenue, SE., Washington, DC 20590. In to file relevant information in the submitted either via the Board’s e-filing addition, you should submit two copies, Docket as it becomes available. Further, format or in the traditional paper from which you have deleted the some people may submit late comments. format. Any person using e-filing must claimed confidential business Accordingly, we recommend that you attach a document and otherwise information, to Docket Management at periodically check the Docket for new comply with the instructions found on the Board’s http://www.stb.dot.gov Web the address given above under material. ADDRESSES. When you send a comment site, at the ‘‘E-FILING’’ link. Any person containing information claimed to be Joseph Carra, submitting a filing in the traditional confidential business information, you Associate Administrator for the National paper format must submit an original should include a cover letter setting Center for Statistics and Analysis. and 10 paper copies of the filing (and forth the information specified in our [FR Doc. E7–21628 Filed 11–1–07; 8:45 am] also an electronic version) to: Surface Transportation Board, 395 E Street, SW., confidential business information BILLING CODE 4910–59–P regulation. (49 CFR part 512.) Washington, DC 20423–0001. Because all comments will be posted to the Will the agency consider late Board’s Web site, persons filing them comments? with the Board need not serve them on We will consider all comments that other participants but must furnish a Docket Management receives before the hard copy on request to any participant.

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Send comments to OMB at the Office of The additional information below is List of Subjects Information and Regulatory Affairs, included to assist those who may wish 49 CFR Part 1114 Office of Management and Budget, 725 to submit comments pertinent to review 17th Street, NW., Washington, DC under the Paperwork Reduction Act. Administrative practice and 20503, Attention: Desk Officer for STB. procedure. Description of Collection FOR FURTHER INFORMATION CONTACT: 49 CFR Parts 1121 and 1150 Title: Contracts to be Submitted When Joseph H. Dettmar, (202) 245–0395. Rail Carriers Seek Exemption to Acquire Administrative practice and [Federal Information Relay Service (Through Purchase or Lease) and/or procedure, Railroads. (FIRS) for the hearing impaired: 1–800– Operate a Rail Line. 49 CFR Part 1180 877–8339.] OMB Control Number: 2140–XXXX. SUPPLEMENTARY INFORMATION: STB Form Number: None. Administrative practice and Additional information and background Type of Review: New collection. procedure, Railroads, Reporting and on the proposed regulations, including Respondents: Noncarriers and carriers recordkeeping requirements. the basis for the Board’s proposed seeking an exemption to acquire Authority: 49 U.S.C. 721, 5 U.S.C. 553. regulations, appear in the decision in (through purchase or lease) and/or Decided: October 29, 2007. Review of Rail Access and Competition operate a rail line, if the transaction By the Board, Chariman Nottingham, Vice Issues—Renewed Petition of the Western creates an interchange commitment. Chairman Buttrey, and Commissioner Coal Traffic League, STB Ex Parte No. Number of Respondents: 65 Mulvey. 575, et al., which is being served on the (potential). Vernon A. Williams, date of publication of this notice, and is Estimated Time Per Response: Less Secretary. available on the Board’s Web site at than 15 minutes. For the reasons set forth in the http://www.stb.dot.gov. Frequency: On occasion. preamble, parts 1114, 1121, 1150, and Total Burden Hours (annually To purchase a copy of the full 1180, of title 49, chapter X, of the Code including all respondents): 16 hours. decision, write to, e-mail or call: ASAP of Federal Regulations are proposed to Total ‘‘Non-hour Burden’’ Cost: None Document Solutions, 9332 Annapolis be amended as follows: identified. Rd., Suite 103, Lanham, MD 20706; e- Needs and Uses: Under 49 U.S.C. mail [email protected]; telephone PART 1114—APPELLATE 10502, noncarriers and carriers may PROCEDURES (202) 306–4004. [Assistance for the seek an exemption from the prior hearing impaired is available through approval requirements of sections 1. The authority citation for part 1114 FIRS at 1–800–877–8339.] 10901, 10902, and 11323 to acquire continues to read as follows: The proposed collection of (through purchase or lease) and operate Authority: 5 U.S.C. 559; 49 U.S.C. 721. information in the proposed revisions to a rail line. The proposed collection of our regulations for exempting the sale or 2. Amend § 1114.30 by adding agreements with interchange paragraph (d) to read as follows: lease of railroad lines is being submitted commitments is intended to facilitate to the OMB for review as required under the Board’s monitoring of their usage. § 1114.30 Production of documents and the PRA, 44 U.S.C. 3507(d) and OMB Retention Period: Information in this records and entry upon land for inspection regulations at 5 CFR 1320.11. Pursuant report will be maintained in the Board’s and other purposes. to the Paperwork Reduction Act (PRA) confidential file for 10 years, after * * * * * and Office of Management and Budget which it is transferred to the National (d) Agreements Containing (OMB) regulations at 5 CFR Archives. Interchange Commitments. In any 1320.8(d)(3), the Board also seeks proceeding involving the reasonableness comments regarding the collection of Small Entities of provisions related to a rail carrier sale information that would be required in The Board certifies that the proposed or lease agreement that serve to induce the proposed revisions to our revisions to our regulations, if adopted, a party to the agreement to interchange regulations for exempting the sale or will not have a significant effect on a traffic with another party to the lease of railroad lines. Specifically, the substantial number of small entities agreement, rather than with a third- Board seeks comments on: (1) Whether within the meaning of the Regulatory party connecting carrier, whether by the collection of information proposed Flexibility Act (5 U.S.C. 601 et seq.). outright prohibition, per-car penalty, here is necessary for the proper The regulations will not have a adjustment in the purchase price or performance of the functions of the significant effect on small entities rental, positive economic inducement, Board, including whether the collection because they require merely that a party or other means, a party to the has practical utility; (2) the accuracy of seeking an exemption for the lease or proceeding may obtain a confidential, the Board’s burden estimates; (3) ways sale of trackage identify the existence of complete version of the agreement, with to enhance the quality, utility, and any interchange commitment and give the prior approval of the Board. The clarity of the information collected; and the Board a copy of the document that party seeking such approval must file an (4) ways to minimize the burden of the creates it. The provision of copies of an appropriate motion containing a draft collection of information on the existing document will involve only protective order and undertaking(s) that respondents, including the use of limited additional copying expense. will ensure the agreement is kept automated collection techniques or Moreover, the regulations will not affect confidential. The motion seeking other forms of information technology, a substantial number of small entities approval may be filed at any time after when appropriate. Information pertinent because they will only apply to small the initial complaint or petition, to these issues is included. Pursuant to railroads that become parties to future including before the answer to the the PRA and OMB regulations, the STB line sales or leases that involve complaint or petition is due. A reply to is submitting a request to OMB for interchange commitments. such a motion must be filed within 10 approval of this information collection. Board decisions, notices, filings, and days thereafter. The motion will be Submit comments on the four questions hearings transcripts are also available on considered by the Board in an expedited above to both the STB and OMB. our Web site at http://www.stb.dot.gov. manner.

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PART 1121—RAIL EXEMPTION proposed acquisition or operation of a (2) To obtain information about an PROCEDURES rail line or change of operators involves interchange commitment for use in a a provision or agreement that may limit proceeding before the Board, a shipper 3. The authority citation for part 1121 future interchange with a third-party or other affected party may be granted continues to read as follows: connecting carrier, whether by outright access to the confidential documents Authority: 49 U.S.C. 10502 and 10704. prohibition, per-car penalty, adjustment filed pursuant to paragraph (h)(1) of this 4. Amend § 1121.3 by adding in the purchase price or rental, positive section by filing, and serving upon the paragraph (d) to read as follows: economic inducement, or other means petitioner, a ‘‘Motion for Access to (‘‘interchange commitment’’), the Confidential Documents,’’ containing: § 1121.3 Content. following additional information must (i) An explanation of the party’s need * * * * * be provided: for the information; and (d) Transactions Imposing (i) The existence of that provision or (ii) An appropriate draft protective Interchange Commitments. (1) If a agreement and the affected interchange order and confidentiality undertaking(s) proposed acquisition or operation of a points must be identified; and that will ensure that the documents are rail line involves a provision or (ii) A confidential, complete version kept confidential. agreement that may limit future of the document(s) containing or interchange with a third-party addressing that provision or agreement, PART 1180—RAILROAD ACQUISITION, connecting carrier, whether by outright which may be filed with the Board CONTROL, MERGER, prohibition, per-car penalty, adjustment under 49 CFR 1104.14(a) and will be CONSOLIDATION PROJECT, in the purchase price or rental, positive kept confidential without need for the TRACKAGE RIGHTS, AND LEASE economic inducement, or other means filing of an accompanying motion for a PROCEDURES (‘‘interchange commitment’’), the protective order under 49 CFR 8. The authority citation for part 1180 following additional information must 1104.14(b). continues to read as follows: be provided: (2) To obtain information about an (i) The existence of that provision or interchange commitment for use in a Authority: 5 U.S.C. 553 and 559; 11 U.S.C. 1172; 49 U.S.C. 721, 10502, 11323–11325. agreement and the affected interchange proceeding before the Board, a shipper points must be identified; and or other affected party may be granted 9. Amend § 1180.4 by adding (ii) A confidential, complete version access to the confidential documents paragraph (g)(4) to read as follows: filed pursuant to paragraph (h)(1) of this of the document(s) containing or § 1180.4 Procedures. addressing that provision or agreement, section by filing, and serving upon the which may be filed with the Board petitioner, a ‘‘Motion for Access to (g) Notice of exemption. * * * under 49 CFR 1104.14(a) and will be Confidential Documents,’’ containing: (4) Transactions Imposing kept confidential without need for the (i) An explanation of the party’s need Interchange Commitments. (i) If a filing of an accompanying motion for a for the information; and proposed acquisition or operation of a protective order under 49 CFR (ii) An appropriate draft protective rail line involves a provision or 1104.14(b). order and confidentiality undertaking(s) agreement that may limit future (2) To obtain information about an that will ensure that the documents are interchange with a third-party interchange commitment for use in a kept confidential. connecting carrier, whether by outright proceeding before the Board, a shipper 7. Amend § 1150.43 by adding prohibition, per-car penalty, adjustment or other affected party may be granted paragraph (h) to read as follows: in the purchase price or rental, positive access to the confidential documents economic inducement, or other means § 1150.43 Information to be contained in (‘‘interchange commitment’’), the filed pursuant to paragraph (d)(1) of this notice for small line acquisitions. section by filing, and serving upon the following additional information must * * * * * petitioner, a ‘‘Motion for Access to be provided: (h) Transactions Imposing Confidential Documents,’’ containing: (A) The existence of that provision or Interchange Commitments. (1) If a (i) An explanation of the party’s need agreement and the affected interchange proposed acquisition or operation of a for the information; and points must be identified; and (ii) An appropriate draft protective rail line or change of operators involves (B) A confidential, complete version order and confidentiality undertaking(s) a provision or agreement that may limit of the document(s) containing or that will ensure that the documents are future interchange with a third-party addressing that provision or agreement, kept confidential. connecting carrier, whether by outright which may be filed with the Board prohibition, per-car penalty, adjustment under 49 CFR 1104.14(a) and will be PART 1150—CERTIFICATE TO in the purchase price or rental, positive kept confidential without need for the CONSTRUCT, ACQUIRE, OR OPERATE economic inducement, or other means filing of an accompanying motion for a RAILROAD LINES (‘‘interchange commitment’’), the protective order under 49 CFR following additional information must 1104.14(b). 5. The authority citation for part 1150 be provided: (ii) To obtain information about an continues to read as follows: (i) The existence of that provision or interchange commitment for use in a Authority: 49 U.S.C. 721(a), 10502, 10901, agreement and the affected interchange proceeding before the Board, a shipper and 10902. points must be identified; and or other affected party may be granted (ii) A confidential, complete version 6. Amend § 1150.33 by adding access to the confidential documents of the document(s) containing or paragraph (h) to read as follows: filed pursuant to § 1180.4(g)(4)(i) of this addressing that provision or agreement, section by filing, and serving upon the § 1150.33 Information to be contained in which may be filed with the Board petitioner, a ‘‘Motion for Access to notice—transactions that involve creation under 49 CFR 1104.14(a) and will be Confidential Documents,’’ containing: of Class III carriers. kept confidential without need for the (A) An explanation of the party’s need * * * * * filing of an accompanying motion for a for the information; and (h) Transactions Imposing protective order under 49 CFR (B) An appropriate draft protective Interchange Commitments. (1) If a 1104.14(b). order and confidentiality undertaking(s)

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that will ensure that the documents are kept confidential. [FR Doc. E7–21569 Filed 11–1–07; 8:45 am] BILLING CODE 4915–01–P

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Notices Federal Register Vol. 72, No. 212

Friday, November 2, 2007

This section of the FEDERAL REGISTER Postal Mail/Commercial Delivery: Diaphorina citri Kuwayama, the Asian contains documents other than rules or Please send four copies of your citrus psyllid, and Trioza erytreae (del proposed rules that are applicable to the comment (an original and three copies) Guercio), the African citrus psyllid. It public. Notices of hearings and investigations, to Docket No. APHIS–2007–0135, can also be transmitted by grafting, by committee meetings, agency decisions and Regulatory Analysis and Development, dodder, and possibly by seed. Asian rulings, delegations of authority, filing of petitions and applications and agency PPD, APHIS, Station 3A–03.8, 4700 citrus psyllid can cause economic statements of organization and functions are River Road Unit 118, Riverdale, MD damage to citrus in groves and nurseries examples of documents appearing in this 20737–1238. Please state that your by direct feeding. Both adults and section. comment refers to Docket No. APHIS– nymphs feed on young foliage, 2007–0135. depleting the sap and causing galling or Reading Room: You may read any curling of leaves. High populations DEPARTMENT OF AGRICULTURE comments that we receive on the feeding on a citrus shoot can kill the environmental assessment in our growing tip. More importantly, this Animal and Plant Health Inspection reading room. The reading room is psyllid is able to transmit an Service located in room 1141 of the USDA endocellular bacterium, Candidatus [Docket No. APHIS–2007–0135] South Building, 14th Street and Liberobacter asiaticus, which causes Independence Avenue, SW., citrus greening disease. Asian citrus Citrus Greening and Asian Citrus Washington, DC. Normal reading room psyllid is currently present in Florida, Psyllid; Availability of an hours are 8 a.m. to 4:30 p.m., Monday Hawaii, Puerto Rico, Guam, and several Environmental Assessment through Friday, except holidays. To be counties in Texas. The African citrus sure someone is there to help you, psyllid is not known to be present in the AGENCY: Animal and Plant Health please call (202) 690–2817 before United States. Inspection Service, USDA. coming. On September 16, 2005, the Animal ACTION: Notice of availability and Other Information: Additional and Plant Health Inspection Service request for comments. information about APHIS and its imposed restrictions on the interstate programs is available on the Internet at movement of all citrus greening host SUMMARY: We are advising the public http://www.aphis.usda.gov. plant material and Asian citrus psyllid that an environmental assessment has FOR FURTHER INFORMATION CONTACT: Mr. host plant material from quarantined been prepared by the Animal and Plant Stephen R. Poe, Senior Operations areas in Florida in order to prevent the Health Inspection Service relative to a Officer, Emergency and Domestic artificial spread of citrus greening and of new Federal order that restricts the Programs, PPQ, APHIS, 4700 River Road Asian citrus psyllid. APHIS interstate movement of regulated Unit 134, Riverdale, MD 20737–1236; subsequently updated those restrictions articles from areas quarantined for citrus (301) 734–8899. by issuing a Federal order on May 3, greening disease and the Asian citrus SUPPLEMENTARY INFORMATION: 2006. This action was necessary due to psyllid. The environmental assessment the continuing spread of both Citrus documents our review and analysis of Background greening and Asian citrus psyllid. Since the potential environmental impacts Citrus greening, also known as that time, infestations of citrus greening associated with the implementation of huanglongbing, is considered to be one have been confirmed in a total of 28 the new Federal order. We are making of the most serious citrus diseases in the counties in Florida. Asian citrus psyllid this environmental assessment available world. Citrus greening is a bacterial has now been confirmed in several to the public for review and comment. disease that attacks the vascular system counties in Texas, and throughout the DATES: We will consider all comments of plants. The bacteria are phloem- States of Florida and Hawaii, the that we receive on or before December limited and cause yellow shoots, commonwealth of Puerto Rico, and the 3, 2007. blotchy mottling and chlorosis, reduced territory of Guam. APHIS is therefore ADDRESSES: You may submit comments foliage, and tip dieback of citrus plants. issuing a new Federal order that updates by either of the following methods: It greatly reduces production, destroys and replaces the previous Federal order Federal eRulemaking Portal: Go to the economic value of the fruit, and can regarding quarantines to prevent the http://www.regulations.gov, select kill trees. Once infected, there is no cure dissemination of citrus greening or ‘‘Animal and Plant Health Inspection for a tree with citrus greening disease. Asian citrus psyllid. Service’’ from the agency drop-down In areas of the world where citrus APHIS and the Florida Department of menu, then click ‘‘Submit.’’ In the greening is endemic, citrus trees decline Agriculture and Consumer Services Docket ID column, select APHIS–2007– and die within a few years and may have imposed restrictions on the 0135 to submit or view public never produce usable fruit. Citrus movement of certain material from comments and to view supporting and greening is widespread in Asia, Africa, counties in Florida where citrus related materials available and the Saudi Arabian Peninsula. It has greening is present. Even with these electronically. Information on using been reported in Sao Paulo, Brazil. It actions, citrus greening has continued to Regulations.gov, including instructions was first detected in the United States expand its range within the State of for accessing documents, submitting in Miami-Dade County, Florida, in 2005, Florida and Asian citrus psyllid has comments, and viewing the docket after and now has been confirmed in 28 been found throughout Florida and in the close of the comment period, is counties in Florida. other areas of the United States, creating available through the site’s ‘‘User Tips’’ Citrus greening is transmitted by two a greater range than had been link. insect vectors in the family Psyllidae: anticipated. In order to protect the

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domestic citrus industry, including the citrus greening regulatory program in expected in January 2008 and the final individual farmers who comprise the Florida immediately and issue a finding environmental impact statement is base of that industry, APHIS must act of no significant impact for the expected in May 2008. quickly to expand the Federal order. environmental assessment before the ADDRESSES: Send written comments to APHIS has completed an assessment comment period on the environmental Mark E. Van Every, Kawishiwi District of the environmental impacts assessment concludes. Nevertheless, all Ranger, Glacier Project EIS, 1393 Hwy anticipated from the implementation of comments received on the 169, Ely, MN 55731. Send electronic a new Federal order for the domestic environmental assessment will be comments to comments-eastern- quarantine of citrus greening disease evaluated and responded to after the [email protected]. and Asian citrus psyllid. There is now comment period has ended. FOR FURTHER INFORMATION CONTACT: scientific evidence showing that orange The environmental assessment may Susan Duffy, Glacier Project Leader, jasmine (Murraya paniculata) and be viewed on the Regulations.gov Web 1393 Hwy 169, Ely, MN 55731, related species are hosts of citrus site or in our reading room (see Telephone (218) 365–2097. greening as well as the Asian citrus ADDRESSES above for instructions for psyllid. Previously, orange jasmine was accessing Regulations.gov and SUPPLEMENTARY INFORMATION: regulated only as a host of the Asian information on the location and hours of Purpose and Need for Action citrus psyllid. The new Federal order the reading room). You may request The purpose of the Glacier Project is will add Murraya spp. to the citrus paper copies of the environmental to move the area towards the vegetation greening host list. The main difference assessment by calling or writing to the and landscape ecosystem desired in the new Federal order is the person listed under FOR FURTHER conditions described in the 2004 expansion of the citrus greening INFORMATION CONTACT. Please refer to the Superior National Land and Resource quarantined area in Florida and the title of the environmental assessment Management Plan. distinction made between citrus when requesting copies. greening and Asian citrus psyllid The environmental assessment has Proposed Action quarantine areas. been prepared in accordance with: (1) The Proposed Action would manage APHIS’ review and analysis of the The National Environmental Policy Act forest vegetation composition, structure, potential environmental impacts of 1969 (NEPA), as amended (42 U.S.C. and spatial patterns and the associated with the implementation of 4321 et seq.), (2) regulations of the transportation system associated with the new Federal order are documented Council on Environmental Quality for these activities. Proposed activities in detail in an environmental implementing the procedural provisions include: creating young forest on assessment titled ‘‘Movement of of NEPA (40 CFR parts 1500–1508), (3) approximately 5,500 acres, improving Regulated Articles from a Citrus USDA regulations implementing NEPA stand structure and within-stand Greening Quarantine Zone’’ (October (7 CFR part 1), and (4) APHIS’ NEPA diversity on approximately 2,500 acres, 2007). We are making this Implementing Procedures (7 CFR part and restoring stand conditions through environmental assessment available to 372). the public for review and comment. We a variety of non-harvest activities such will consider all comments that we Done in Washington, DC this 30th day of as planting, biomass removal, and receive on or before the date listed October 2007. conducting prescribed burns to reduce under the heading DATES at the Kevin Shea, risk of wildfire on approximately 5,200 beginning of this notice. Acting Administrator, Animal and Plant acres. The project has been specifically Due to the serious and destructive Health Inspection Service. designed to: nature of citrus greening disease, it is [FR Doc. E7–21679 Filed 11–1–07; 8:45 am] • Maintain existing patches of mature necessary to expand the number of BILLING CODE 3410–34–P forest greater than 300 acres that would counties in Florida from which the not lose interior forest qualities during movement of plants that are hosts of the next ten years. citrus greening is present in order to DEPARTMENT OF AGRICULTURE • Create one 300-plus-acre patch of prevent the further spread and young forest by harvesting a mature infestation. It is also necessary to Forest Service patch that will not meet interior forest expand the areas quarantined due to the characteristics in ten years. Superior National Forest, Kawishiwi • presence of Asian citrus psyllid so that Ranger District, MN, Glacier Project Reduce fragmentation by proposing host plants can be treated and inspected Environmental Impact Statement regeneration harvests adjacent to before being moved interstate. Since existing young stands, including those citrus greening is a highly injurious AGENCY: Forest Service, USDA. proposed to be harvested on other citrus disease, and the Asian citrus ACTION: Notice of intent to prepare an ownership. psyllid is harmful both as the insect Environmental Impact Statement. • Maintain and improve habitat vector of the disease and as a significant needed for threatened, endangered, and citrus pest in its own right, APHIS has SUMMARY: The Department of sensitive species. determined that it may be necessary to Agriculture, Forest Service, will prepare immediately address both the disease an environmental impact statement Possible Alternatives and the associated insect pest. This will (EIS) for the Glacier Project. The Alternative 1 is the no-action be accomplished by the restriction of proposed activities would manage forest alternative. Alternative 2, the Modified hosts of citrus greening from areas vegetation composition, structure, and Proposed Action, was developed based where the disease is present, and the spatial patterns (including habitat de- on the proposed action that was regulation and treatment of plants that fragmentation), and the transportation included in the Scoping Report and are hosts of the psyllid from those areas system associated with these activities. incorporates comments from the public where the insect is present and may be DATES: Comments concerning the scope and additional field information. spread through the movement of of the analysis must be received by Alternative 3 was developed to address infested nursery stock. Therefore, November 30, 2007. The draft the significant issues raised by the APHIS may have to begin the expanded environmental impact statement is public during the Scoping comment

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period. The Responsible Official access some treatment units to National Environmental Policy Act at 40 directed the interdisciplinary team to implement Forest Service activities. CFR 1503.3 in addressing these points. develop an alternative that would not Comments received, including the Comment Requested harvest or build roads directly adjacent names and addresses of those who to the BWCAW and would not harvest This notice of intent initiates the comment, will be considered part of the in an area perceived to be at higher risk scoping process which guides the public record on this proposal and will from non-native invasive species. development of the environmental be available for public inspection. impact statement. Written comments Responsible Official (Authority: 40 CFR 1501.7 and 1508.22; will be solicited through a notice that Forest Service Handbook 1909.15, Section Mark E. Van Every, Kawishiwi will be sent to the Glacier Project 21) District Ranger, 1393 Hwy 169, Ely MN, mailing list. Dated: October 26, 2007. 55731. Early Notice of Importance of Public Participation in Subsequent Mark E. Van Every, Nature of Decision To Be Made Environmental Review: A draft Kawishiwi District Ranger. An environmental analysis for the environmental impact statement will be [FR Doc. 07–5457 Filed 11–1–07; 8:45 am] Glacier Project will evaluate site- prepared for comment. The comment BILLING CODE 3410–11–M specific issues, consider management period on the draft environmental alternatives, and analyze the potential impact statement will be 45 days from effects of the proposed action and the date the Environmental Protection COMMITTEE FOR PURCHASE FROM alternatives. The scope of the project is Agency publishes the notice of PEOPLE WHO ARE BLIND OR limited to decisions concerning availability in the Federal Register. SEVERELY DISABLED activities within the Glacier Project Area The Forest Service believes, at this that meet the Purpose and Need, as well early stage, it is important to give Procurement List; Proposed Additions as desired conditions. An reviewers notice of several court rulings AGENCY: Committee for Purchase from environmental impact statement will related to public participation in the People Who Are Blind or Severely provide the Responsible Official, Mark environmental review process. First, Disabled. E. Van Every, with the information reviewers of draft environmental impact ACTION: needed to decide which actions, if any, statements must structure their Proposed Additions to the to approve. participation in the environmental Procurement List. review of the proposal so that it is SUMMARY: The Committee is proposing Scoping Process meaningful and alerts an agency to the to add to the Procurement List products reviewer’s position and contentions. The District Ranger mailed the Glacier and services to be furnished by Project Scoping Report to area Vermont Yankee Nuclear Power Corp. v. NRDC, 435 U.S. 519, 553 (1978). Also, nonprofit agencies employing persons landowners and other interested who are blind or have other severe individuals and groups in May 2007. environmental objections that could be raised at the draft environmental impact disabilities. Based on comments received during the Comments Must Be Received on or statement stage but that are not raised scoping period and additional Before: December 2, 2007. information gathered by resource until after completion of the final ADDRESSES: Committee for Purchase specialists, the District Ranger has environmental impact statement may be From People Who Are Blind or Severely directed the Glacier Project waived or dismissed by the court. City Disabled, Jefferson Plaza 2, Suite 10800, Interdisciplinary Team to develop an of Angoon v. Hodel, 803 F.2d 1016, 1421 Jefferson Davis Highway, Environmental Impact Statement. The 1022 (9th Cir. 1986) and Wisconsin Arlington, Virginia, 22202–3259. public will be notified that an EIS is Heritages, Inc. v. Harris, 490 F. Supp. FOR FURTHER INFORMATION OR TO SUBMIT being developed and will have an 1334, 1338 (E.D. Wis. 1980). Because of COMMENTS CONTACT: additional opportunity to submit these court rulings, it is very important Kimberly M. Zeich, comments before the Draft EIS will be that those interested in this proposed Telephone: (703) 603–7740, Fax: (703) completed. The public will be notified action participate by the close of the 45- 603–0655, or e-mail of the significant issues and possible day comment period so that substantive [email protected]. alternatives that will be used to disclose comments and objections are made SUPPLEMENTARY INFORMATION: This the effects of the project. A public available to the Forest Service at a time notice is published pursuant to 41 U.S.C meeting is planned during the comment when it can meaningfully consider them 47(a) (2) and 41 CFR 51–2.3. Its purpose period on the Draft EIS. and respond to them in the final is to provide interested persons an environmental impact statement. opportunity to submit comments on the Preliminary Issues To assist the Forest Service in proposed actions. For significant issues were identified identifying and considering issues and If the Committee approves the based on comments the public concerns on the proposed action, proposed additions, the entities of the submitted on the May 2007 Scoping comments on the draft environmental Federal Government identified in the Report. These issues involve vegetation impact statement should be as specific notice for each product or service will and associated road management as possible. It is also helpful if be required to procure the products and adjacent to the Boundary Waters Canoe comments refer to specific pages or services listed below from nonprofit Area Wilderness, project activities that chapters of the draft statement. agencies employing persons who are have the potential to affect lynx and Comments may also address the blind or have other severe disabilities. lynx habitat, concern about non-native adequacy of the draft environmental Regulatory Flexibility Act Certification invasive species, and impacts to Forest impact statement or the merits of the Plan Inventoried Roadless Areas. alternatives formulated and discussed in I certify that the following action will the statement. Reviewers may wish to not have a significant impact on a Permits or Licenses Required refer to the Council on Environmental substantial number of small entities. Easement or permission to cross non- Quality Regulations for implementing The major factors considered for this federal property may be needed to the procedural provisions of the certification were:

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1. If approved, the action will not HS2351 (All sizes) ADDRESSES: Committee for Purchase result in any additional reporting, Women’s Grey Colored Short Sleeve Polo w/ From People Who Are Blind or Severely recordkeeping or other compliance o Pocket OB12–GR (All sizes) Disabled, Jefferson Plaza 2, Suite 10800, requirements for small entities other Women’s Navy Colored Cargo Pants HS2351 1421 Jefferson Davis Highway, (All sizes) than the small organizations that will Women’s Navy Colored Labcoat 382 (All Arlington, Virginia 22202–3259. furnish the products and services to the sizes) FOR FURTHER INFORMATION CONTACT: Government. Women’s Navy Colored Long Sleeve Twill 2. If approved, the action will result Kimberly M. Zeich, Telephone: (703) 5790–NV (All sizes) 603–7740, Fax: (703) 603–0655, or in authorizing small entities to furnish Women’s Navy Colored Short Sleeve Polo w/ the products and services to the o Pocket OB12–NV (All sizes) e-mail [email protected]. Government. Women’s Navy Colored Side Elastic Pants E– SUPPLEMENTARY INFORMATION: On 3. There are no known regulatory 8578 (All sizes) September 14, 2007, the Committee for alternatives which would accomplish Women’s White Colored Long Sleeve Twill Purchase From People Who Are Blind the objectives of the Javits-Wagner- 5790–WT (All sizes) Women’s White Colored Short Sleeve Polo or Severely Disabled published notice O’Day Act (41 U.S.C. 46–48c) in w/o Pocket OB12–WH (All sizes) (72 FR 52542) of proposed additions to connection with the products and Women’s Wine Colored Long Sleeve Twill the Procurement List. services proposed for addition to the 5790–WN (All sizes) After consideration of the material Procurement List. Women’s Wine Colored Short Sleeve Polo w/ presented to it concerning capability of Comments on this certification are o Pocket OB12–WN (All sizes) qualified nonprofit agencies to provide invited. Commenters should identify the NPA: Human Technologies Corporation, the services and impact of the additions statement(s) underlying the certification Utica, NY. on the current or most recent on which they are providing additional Coverage: C-List for the total Government contractors, the Committee has information. requirements for U.S. Department of Agriculture, Minneapolis, MN. determined that the service listed below End of Certification Contracting Activity: U.S. Department of are suitable for procurement by the Agriculture, Animal and Plant Health The following products and services Federal Government under 41 U.S.C. Inspection Service (APHIS), Marketing 46–48c and 41 CFR 51–2.4. are proposed for addition to and Regulatory Programs Business Procurement List for production by the Services (MRPBS), Minneapolis, MN. Regulatory Flexibility Act Certification nonprofit agencies listed: Services I certify that the following action will Products Service Type/Location: Document not have a significant impact on a Men’s Charcoal Colored Cargo Pants HS2347 Destruction, Internal Revenue Service, substantial number of small entities. (All sizes) 227 N. Bronough Street, Tallahassee, FL. The major factors considered for this Men’s Grey Colored Short Sleeve Polo w/ NPA: Challenge Enterprises of North Florida, certification were: pocket 2101–GR (All sizes) Inc., Green Cove Springs, FL. Men’s Navy Colored Cargo Pants HS2347 (All Contracting Activity: Department of the 1. The action will not result in any sizes) Treasury, Internal Revenue Services, additional reporting, recordkeeping or Men’s Navy Colored Labcoat 380 (All sizes) Chamblee, GA. other compliance requirements for small Men’s Navy Colored Long Sleeve Twill 1790– Service Type/Location: Document entities other than the small NV (All sizes) Destruction, Southwest VA Consolidated organizations that will furnish the Men’s Navy Colored Short Sleeve Polo w/ Mail-Out Pharmacy (CMOP), 3675 E. service to the Government. pocket 2101–NV (All sizes) Britania Dr., Tucson, AZ. Men’s Navy Colored Side Elastic Pants E– NPA: Beacon Group SW, Inc., Tucson, AZ. 2. The action will result in 2578 (All sizes) Contracting Activity: Department of Veteran authorizing small entities to furnish the Men’s White Colored Long Sleeve Twill Affairs, Consolidated Mail-Out Pharmacy service to the Government. 1790–WT (All sizes) (CMOP), Tucson, AZ. Men’s White Colored Short Sleeve Polo w/ 3. There are no known regulatory pocket 2101–WH (All sizes) Kimberly M. Zeich, alternatives which would accomplish Men’s Wine Colored Long Sleeve Twill Director, Program Operations. the objectives of the Javits-Wagner- 1790–WN (All sizes) [FR Doc. E7–21605 Filed 11–1–07; 8:45 am] O’Day Act (41 U.S.C. 46–48c) in Men’s Wine Colored Short Sleeve Polo w/ connection with the service proposed BILLING CODE 6353–01–P pocket 2101–WN (All sizes) for addition to the Procurement List. Navy Colored 3–1 Parka w/reflective panels HS3334 (All sizes) End of Certification Unisex Grey Colored Hooded Sweatshirt COMMITTEE FOR PURCHASE FROM 1805H (All sizes) PEOPLE WHO ARE BLIND OR Accordingly, the following service is Unisex Grey Colored Sweatshirt 73157 (All SEVERELY DISABLED added to the Procurement List: sizes) Service Unisex Hunter Green Colored Hooded Procurement List; Addition Sweatshirt 1805H (All sizes) Service Type/Location: Mailroom Operations, Unisex Hunter Green Colored Sweatshirt AGENCY: Committee for Purchase From Hubert H. Humphrey Building (200 73157 (All sizes) People Who Are Blind or Severely Independence Avenue, SW.), Mary E. Unisex Long Sleeve Denim 3211DD (All Disabled. Switzer Building (330 C Street, SW.), sizes) ACTION: Addition to the Procurement Wilbur J. Cohen Building (330 Unisex Navy Colored Hooded Sweatshirt List. Independence Avenue, SW.), 1805H (All sizes) Washington, DC. Unisex Navy Colored Long Sleeve Polo w/ SUMMARY: This action adds to the NPA: Didlake, Inc., Manassas, VA. pocket 2108–NV (All sizes) Procurement List a service to be Contracting Activity: Department of Health Unisex Navy Colored Sweatshirt 73157 (All furnished by nonprofit agencies and Human Services—Program Support sizes) Center, Rockville, MD. Unisex Wine Colored Long Sleeve Polo w/ employing persons who are blind or pocket 2108–WN (All sizes) have other severe disabilities. This action does not affect current Women’s Charcoal Colored Cargo Pants EFFECTIVE DATE: December 2, 2007. contracts awarded prior to the effective

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date of this addition or options that may advance the President’s climate change Steel Point Lisas Ltd. v. United States, be exercised under those contracts. agenda and to support our business Slip Op. 07–106, (Ct. Int’l Trade) (July community by exploring practical steps 6, 2007). This case arises out of the Kimberly M. Zeich, government and industry can take to ITC’s final determination in the Director, Program Operations. speed the commercialization and antidumping duty investigation. See [FR Doc. E7–21606 Filed 11–1–07; 8:45 am] deployment of clean energy [Investigations Nos. 701–TA–417–419 BILLING CODE 6353–01–P technologies in the United States. and 731–TA–953, 954, 956–959, 961, The following issues will be explored and 962 (Final)] Carbon and Certain during the Conference: (1) The potential Alloy Steel Wire Rod From Brazil, DEPARTMENT OF COMMERCE to commercialize and deploy existing Canada, Germany, Indonesia, Mexico, clean energy technologies in the near Moldova, Trinidad and Tobago, and Department of Commerce ‘‘Charting future; and (2) international best Ukraine, 67 FR 66662 (November 1, Our Energy Future’’ Conference practices in promoting clean energy 2002) (‘‘Final Determination’’). The AGENCY: International Trade technologies. In addition, there will be judgment in this case was not in Administration, Department of focus sessions on the challenges and harmony with the ITC’s Final Commerce. opportunities of technology; financing; Determination. ACTION: Notice of meeting. public acceptance; commercialization; EFFECTIVE DATE: July 16, 2007. international cooperation; and FOR FURTHER INFORMATION CONTACT: SUMMARY: The U.S. Department of regulatory issues. Dennis McClure or Stephanie Moore, Commerce will host a one-day The Department invites applications AD/CVD Operations, Office 3, Import Conference during which experts from to participate in the Conference from Administration, International Trade the federal government, U.S. industry, industry leaders (CEO, President, or Administration, U.S. Department of academia, and public interest groups Senior Vice President level); state and Commerce, 14th Street and Constitution will explore and discuss strategies to local government officials; national and Avenue, NW, Washington DC 20230; promote the rapid uptake of clean state legislators; recognized experts from telephone: (202) 482–5973 or (202) 482– energy technologies in the United academia and think-tanks; and senior 3692, respectively. States, as set forth in the President’s government officials or business leaders Advanced Energy Initiative and to SUPPLEMENTARY INFORMATION: In representing international partners. A Caribbean Ispat Limited v. United follow up on the September 27–28 number of senior U.S. government Major Economies Meeting. States, 366 F. Supp. 2d 1300 (Ct. Int’l officials will attend. Trade 2005), the CIT affirmed the ITC’s DATES: Deadline for applications: Applicants should provide finding that subject imports from December 16, 2007. Date of the event: information regarding their Trinidad and Tobago caused material February 5, 2008. qualifications to participate in the event injury to the domestic industry. In ADDRESSES: To apply to participate in and make a valuable contribution. Caribbean Ispat Limited v. United the Conference, please contact Catherine Participants will be selected according States, 450 F.3d 1336 (Fed. Cir. 2006), Vial, Officeof Energy and Environmental to their ability to successfully advance the Court of Appeals for the Federal Industries; Room 4053; U.S. Department the goals of the Conference. Circuit (‘‘CAFC’’) reversed the CIT’s of Commerce; 14th & Pennsylvania judgment, and remanded the case to the Avenue, NW., Washington, DC 20230; Catherine Vail, CIT with instructions to further remand 202–482–2823; Acting Director, Office of Energy and the case to the ITC so that it may [email protected]. Environmental Industries, U.S. Department of Commerce. reconsider its causation analysis and FOR FURTHER INFORMATION CONTACT: [FR Doc. 07–5449 Filed 11–1–07; 8:45 am] directly address whether other dumped Catherine Vial, Office of Energy and BILLING CODE 3510–OR–P or fairly traded imports would have Environmental Industries; Room 4053; replaced the imports from Trinidad and U.S. Department of Commerce; 14th & Tobago without any beneficial effect on Pennsylvania Avenue, NW., DEPARTMENT OF COMMERCE domestic producers. Washington, DC 20230; 202–482–2823; On January 16, 2007, the ITC filed its [email protected]. International Trade Administration remand results with the CIT. In the remand results, the ITC determined that SUPPLEMENTARY INFORMATION: With his [A–274–804] Advanced Energy Initiative, President it was unable to find that imports from Bush established a vision of an energy Carbon and Certain Alloy Steel Wire other producers of subject merchandise future in the United States where clean Rod from Trinidad & Tobago: Notice of would not have replaced subject energy technologies ensure energy Court Decision Not In Harmony with imports from Trinidad and Tobago in security, mitigate climate change, and Final Determination of the the United States market. The ITC provide energy for robust economic Antidumping Duty Investigation further found that the United States is growth. In addition, with the Major not materially injured or threatened Economies Meeting on Climate Change AGENCY: Import Administration, with material injury by reason of the President created a venue to work International Trade Administration, imports of subject merchandise from with all of the world’s largest users of Department of Commerce. Trinidad and Tobago sold in the United energy and largest producers of SUMMARY: On July 6, 2007, the United States at less than fair value. greenhouse gas emissions, to establish a States Court of International Trade In its decision in Timken Co. v. new international approach on energy (‘‘CIT’’) affirmed the remand results United States, 893 F.2d 337, 341 (Fed. security and climate change in 2008 that made by the U.S. International Trade Cir. 1990) (‘‘Timken’’), the CAFC held will contribute to a global agreement by Commission (‘‘ITC’’) pursuant to the that, pursuant to section 516A(e) of the 2009 under the UN Framework CIT’s remand of the final determination Tariff Act of 1930, as amended (‘‘the Convention on Climate Change. of the antidumping duty investigation of Act’’), the Department must publish a The Department of Commerce is carbon and certain alloy steel wire rod notice of a court decision that is not ‘‘in hosting a one-day Conference to from Trinidad & Tobago. See Mittal harmony’’ with an ITC determination,

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and must suspend liquidation of entries extend that 245-day period to up to 365 The Petition pending a ‘‘conclusive’’ court decision. days if it determines it is not practicable On September 19, 2007, the The CIT’s decision in this case on July to complete the review within the Department of Commerce (the 6, 2007, constitutes a decision of the foregoing time period. ‘‘Department’’) received a petition filed The preliminary results of the court that is not in harmony with the in proper form by Appleton Papers Inc. administrative review of the ITC Final Determination. This notice is (the ‘‘petitioner’’) a domestic producer antidumping duty order on stainless published in fulfillment of the of lightweight thermal paper (‘‘LWTP’’). steel bar from France are currently publication requirements of Timken. In response to the Department’s scheduled to be completed on December Accordingly, the Department will requests, the petitioner provided timely 1, 2007. However, the Department finds suspend liquidation of subject information supplementing the petition that it is not practicable to complete the merchandise entered after the effective on September 28, October 2, and preliminary results in this date of this notice pending a final and October 23, 2007. administrative review within this time conclusive court decision. In accordance with section 702(b)(1) limit because additional time is needed This notice is issued and published in of the Tariff Act of 1930, as amended to fully analyze the sales and cost–of- accordance with section 516A(c)(1) of (‘‘the Act’’), the petitioner alleges that production questionnaire responses and the Act. manufacturers, producers, or exporters supplemental questionnaire responses Dated: October 26, 2007. of LWTP in the People’s Republic of submitted by the respondent, and to David M. Spooner, China ( the ‘‘PRC’’), receive conduct verifications of these responses. countervailable subsidies within the Assistant Secretary for Import Therefore, in accordance with section Administration. meaning of section 701 of the Act and 751(a)(3)(A) of the Act, the Department that such imports are materially [FR Doc. E7–21617 Filed 11–1–07; 8:45 am] is extending the time limit for injuring, or threatening material injury BILLING CODE 3510–DS–S completion of the preliminary results of to, an industry in the United States. this review by 120 days to March 30, The Department finds that the 2008. Because March 30, 2008, falls on DEPARTMENT OF COMMERCE petitioner filed the petition on behalf of a non–business day, the Department the domestic industry because it is an will complete the preliminary results of International Trade Administration interested party as defined in section this review no later than March 31, 771(9)(C) of the Act and the petitioner [A–427–820] 2008, which is the next business day has demonstrated sufficient industry after the 120-day extension period. The Notice of Extension of Time Limit for support with respect to the final results continue to be due 120 days Preliminary Results in Antidumping countervailing duty investigation (see after the publication of the preliminary Duty Administrative Review: Stainless ‘‘Determination of Industry Support for results. Steel Bar From France This notice is published pursuant to the Petition’’ section below). AGENCY: Import Administration, sections 751(a)(3)(A) and 777(i)(1) of the Period of Investigation Act and 19 CFR 351.213(h)(2). International Trade Administration, The period of investigation is January Department of Commerce. Dated: October 29, 2007. 1, 2006, through December 31, 2006. EFFECTIVE DATE: November 2, 2007. Stephen J. Claeys, Scope of the Investigation FOR FURTHER INFORMATION CONTACT: Deputy Assistant Secretaryfor Import David Goldberger at (202) 482–4136, Administration. The merchandise covered by each of Import Administration, AD/CVD [FR Doc. E7–21625 Filed 11–1–07; 8:45 am] this investigation includes certain Operations, Office 2, International Trade BILLING CODE 3510–DS–S lightweight thermal paper, which is Administration, U.S. Department of thermal paper with a basis weight of 70 Commerce, 14th Street and Constitution grams per square meter (‘‘g/m2’’) (with Avenue, NW., Washington, DC, 20230. DEPARTMENT OF COMMERCE a tolerance of ± 4.0 g/m2) or less; irrespective of dimensions;1 with or Extension Of Time Limit For International Trade Administration without a base coat2 on one or both Preliminary Results 3 [C–570–921] sides; with thermal active coating(s) on On April 27, 2007, the Department of one or both sides that is a mixture of the Commerce (the Department) published a Notice of Initiation of Countervailing dye and the developer that react and notice of initiation of administrative Duty Investigation: Lightweight form an image when heat is applied; reviews of antidumping duty orders that Thermal Paper from the People’s with or without a top coat;4 and without included the antidumping duty order on Republic of China stainless steel bar from France, covering 1 LWTP is typically produced in jumbo rolls that AGENCY: the period March 1, 2006, through Import Administration, are slit to the specifications of the converting February 28, 2007. See Initiation of International Trade Administration, equipment and then converted into finished slit Department of Commerce. rolls. Both jumbo rolls and converted rolls (as well Antidumping and Countervailing Duty as LWTP in any other forms, presentations, or EFFECTIVE DATE: Administrative Reviews, 72 FR 20986 November 2, 2007. dimensions) are covered by the scope of these (April 27, 2007). Pursuant to section FOR FURTHER INFORMATION CONTACT: investigations. 751(a)(3)(A) of the Tariff Act of 1930, as Scott Holland or Nancy Decker, AD/ 2 A base coat, when applied, is typically made of CVD Operations, Import clay and/or latex and like materials and is intended amended (the Act), the Department shall to cover the rough surface of the paper substrate make a preliminary determination in an Administration, International Trade and to provide insulating value. administrative review of an Administration, U.S. Department of 3 A thermal active coating is typically made of antidumping duty order within 245 Commerce, 14th Street and Constitution sensitizer, dye, and co-reactant. days after the last day of the anniversary Avenue, NW, Washington, DC 20230; 4 A top coat, when applied, is typically made of telephone: (202) 482–1279 and (202) polyvinyl acetone, polyvinyl alcohol, and/or like month of the date of publication of the materials and is intended to provide environmental order. The Act further provides, 482–0196, respectively. protection, an improved surface for press printing, however, that the Department may SUPPLEMENTARY INFORMATION: and/or wear protection for the thermal print head.

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an adhesive backing. Certain lightweight ‘‘Consultations with Officials from the most similar in characteristics and uses thermal paper is typically (but not Government of the People’s Republic of with, the article subject to an exclusively) used in point–of-sale China’’ (September 28, 2007) on file in investigation under this title.’’ Thus, the applications such as ATM receipts, the CRU of the Department of reference point from which the credit card receipts, gas pump receipts, Commerce, Room B–099. domestic like product analysis begins is and retail store receipts. The ‘‘the article subject to an investigation,’’ Determination of Industry Support for merchandise subject to these (i.e., the class or kind of merchandise to the Petitions investigations may be classified in the be investigated, which normally will be Harmonized Tariff Schedule of the Section 702(b)(1) of the Act requires the scope as defined in the petition). United States (‘‘HTSUS’’) under that a petition be filed by or on behalf With regard to the domestic like subheadings 4811.90.8040 and of the domestic industry. Section product, the petitioner does not offer a 4811.90.9090.5 Although HTSUS 702(c)(4)(A) of the Act provides that a definition of domestic like product subheadings are provided for petition meets this requirement if the distinct from the scope of the convenience and customs purposes, the domestic producers or workers who investigation. Based on our analysis of written description of the scope of this support the petition account for: (i) at the information submitted on the investigation is dispositive. least 25 percent of the total production record, we have determined that of the domestic like product; and (ii) lightweight thermal paper, both jumbo Comments on Scope of Investigation more than 50 percent of the production rolls and converted slit rolls, constitute During our review of the petition, we of the domestic like product produced a single domestic like product, which is discussed the scope with the petitioner by that portion of the industry defined further in the ‘‘Scope of the to ensure that it is an accurate reflection expressing support for, or opposition to, Investigation’’ section above, and we of the products for which the domestic the petition. Moreover, section have analyzed industry support in terms industry is seeking relief. Moreover, as 702(c)(4)(D) of the Act provides that, if of that domestic like product. For a discussed in the preamble to the the petition does not establish support discussion of the domestic like product regulations (Antidumping Duties; of domestic producers or workers analysis in this case, see the Countervailing Duties; Final Rule, 62 FR accounting for more than 50 percent of Countervailing Duty Investigation 27296, 27323 (May 19, 1997)), we are the total production of the domestic like Initiation Checklist: Lightweight setting aside a period for interested product, the Department shall: (i) poll Thermal Paper from the People’s parties to raise issues regarding product the industry or rely on other Republic of China (PRC Initiation coverage. The Department encourages information in order to determine if Checklist) at Attachment II, on file in all interested parties to submit such there is support for the petition, as the Central Records Unit, Room B–099 comments within 20 calendar days of required by subparagraph (A), or (ii) of the main Department of Commerce the publication of this notice. determine industry support using a building. Comments should be addressed to statistically valid sampling method. On October 9, 2007, the Department Import Administration’s Central Section 771(4)(A) of the Act defines extended the initiation deadline by 20 Records Unit (‘‘CRU’’), Room 1870, U.S. the ‘‘industry’’ as the producers as a days to poll the domestic industry in Department of Commerce, 14th Street whole of a domestic like product. Thus, accordance with section 702(c)(4)D) of and Constitution Avenue, NW, to determine whether a petition has the the Act, because it was ‘‘not clear from Washington, DC 20230. The period of requisite industry support, the statute the petitions whether the industry scope consultations is intended to directs the Department to look to support criteria have been met...’’ See provide the Department with ample producers and workers who produce the Notice of Extension of the Deadline for opportunity to consider all comments domestic like product. The International Determining the Adequacy of the and to consult with parties prior to the Trade Commission (ITC), which is Antidumping Duty Petitions: issuance of the preliminary responsible for determining whether Lightweight Thermal Paper from determinations. ‘‘the domestic industry’’ has been Germany, the Republic of Korea, and injured, must also determine what the People’s Republic of China; and the Consultations constitutes a domestic like product in Countervailing Duty Petition: Pursuant to section 702(b)(4)(A)(ii) of order to define the industry. While both Lightweight Thermal Paper from the the Act, the Department invited the Department and the ITC must apply People’s Republic of China, 72 FR 58639 representatives of the Government of the the same statutory definition regarding (October 16, 2007). PRC for consultations with respect to the domestic like product (section On October 12 and 15, 2007, we the countervailing duty petition. The 771(10) of the Act), they do so for issued polling questionnaires to all Department held these consultations in different purposes and pursuant to a known producers of jumbo rolls and Beijing, China, with representatives of separate and distinct authority. In converted slit rolls of lightweight the Government of the PRC on addition, the Department’s thermal paper identified in the September 28, 2007. See the determination is subject to limitations of petitions, submissions from other Memorandum to The File, entitled, time and information. Although this interested parties, and by the ITC. The may result in different definitions of the questionnaires are on file in the CRU in 5 HTSUS subheading 4811.90.8000 was a like product, such differences do not room B–099 of the main Department of classification used for LWTP until January 1, 2007. Effective that date, subheading 4811.90.8000 was render the decision of either agency Commerce building. We requested that replaced with 4811.90.8020 (for gift wrap, a non- contrary to law. See USEC, Inc. v. each company complete the polling subject product) and 4811.90.8040 (for ‘‘other,’’ United States, 132 F. Supp. 2d 1, 8 (CIT questionnaire, certify its response, and including LWTP). HTSUS subheading 4811.90.9000 2001), citing Algoma Steel Corp. Ltd. v. fax its response to the Department by was a classification for LWTP until July 1, 2005. Effective that date, subheading 4811.90.9000 was United States, 688 F. Supp. 639, 644 the due date. For a detailed discussion replaced with 4811.90.9010 (for tissue paper, a non- (CIT 1988), aff’d 865 F.2d 240 (Fed. Cir. of the responses received see PRC subject product) and 4811.90.9090 (for ‘‘other,’’ 1989), cert. denied 492 U.S. 919 (1989). Initiation Checklist at Attachment II. including LWTP). Petitioner indicated that, from Section 771(10) of the Act defines the Our analysis of the data indicates that time to time, LWTP also may have been entered under HTSUS subheading 3703.90, HTSUS heading domestic like product as ‘‘a product the domestic producers of lightweight 4805, and perhaps other subheadings of the HTSUS. which is like, or in the absence of like, thermal paper who support the petitions

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account for at least 25 percent of the necessary for an imposition of a duty industries in Guangdong Province total production of the domestic like under section 701(a) of the Act; and (2) 17. Export interest subsidy funds for product and more than 50 percent of the is accompanied by information enterprises located in Shenzhen production (by quantity and U.S. dollar reasonably available to the petitioner(s) City or Zhejiang Province sales value) of the domestic like product supporting the allegations. The 18. Loans and interest subsidies produced by that portion of the industry Department has examined the pursuant to the Liaoning Province’s expressing support for, or opposition to, countervailing duty petition on LWTP five-year framework the petition. See PRC Initiation from the PRC and finds that it complies Currency Programs Checklist at Attachment II. Accordingly, with the requirements of section 702(b) 19. Currency retention the Department determines that the of the Act. Therefore, in accordance For further information explaining why industry support requirements of with section 702(b) of the Act, we are the Department is investigating these section 702(c)(4)(A) of the Act have initiating a countervailing duty programs, see China Initiation Checklist. been met. Therefore, the Department investigation to determine whether We are not including in our determines that the petitioner filed the manufacturers, producers, or exporters investigation the following programs petition on behalf of the domestic of LWTP in the PRC receive alleged to benefit producers and industry because it is an interested party countervailable subsidies. For a exporters of the subject merchandise in as defined in section 771(9)(C) of the discussion of evidence supporting our the PRC: Act and it has demonstrated sufficient initiation determination, see PRC A. Currency manipulation industry support with respect to the Initiation Checklist. Petitioner alleges that the PRC countervailing duty investigation that it We are including in our investigation government’s policy of maintaining an is requesting the Department initiate. the following programs alleged in the undervalued RMB is an export subsidy See PRC Initiation Checklist at petition to have provided that provides either a direct transfer of Attachment II. countervailable subsidies to producers funds or the provision of a good or Injury Test and exporters of the subject service at less than adequate merchandise in the PRC: remuneration. Petitioner has not Because the PRC, is a ‘‘Subsidies Preferential Lending Agreement Country’’ within the sufficiently alleged the elements 1. Government Policy Lending necessary for the imposition of a meaning of section 701(b) of the Act, Program section 701(a)(2) of the Act applies to countervailing duty and did not support the allegation with reasonably available this investigation. Accordingly, the ITC 2. Loans provided pursuant to the information. Therefore, we do not plan must determine whether imports of the Northeast Revitalization Program to investigate the currency manipulation subject merchandise from the PRC 3. Loan guarantees from government– program. materially injure, or threaten material owned and controlled banks injury to, a U.S. industry. Income Tax Programs B. Provision Of Goods Or Services For 4. ‘‘Two Free, Three Half’’ program Less Than Adequate Remuneration Allegations and Evidence of Material 1. Electricity and natural gas Injury and Causation 5. Income tax exemption program for export–oriented foreign investment 2. Water The petitioner alleges that the U.S. enterprises (‘‘FIEs’’) 3. Papermaking chemicals industry producing the domestic like 6. Corporate income tax refund 4. Land product is being materially injured, or is program for reinvestment of FIE Respondent Selection threatened with material injury, by profits in export–oriented reason of the individual and cumulated enterprises For this investigation, the Department subsidized imports of the subject expects to select respondents based on merchandise. The petitioner contends 7. Local income tax exemption and U.S. Customs and Border Protection that the industry’s injured condition is reduction program for ‘‘productive’’ data for U.S. imports during the POI. We illustrated by reduced market share, FIEs intend to make our decision regarding increased inventories, lost sales, 8. Reduced income tax rates for FIEs respondent selection within 20 days of reduced production, reduced capacity based on location publication of this Federal Register and capacity utilization rate, reduced 9. Reduced income tax rate for notice. The Department invites shipments, underselling and price knowledge or technology intensive comments regarding the CBP data and depression or suppression, lost revenue, FIEs respondent selection within seven and a decline in financial performance. 10. Reduced income tax rate for high calendar days of publication of this We have assessed the allegations and or new technology FIEs Federal Register notice. supporting evidence regarding material 11. Preferential tax policies for Distribution of Copies of the Petition injury and causation, and we have research and development at FIEs determined that these allegations are 12. Income tax credits on purchases of In accordance with section properly supported by adequate domestically produced equipment 702(b)(4)(A)(i) of the Act, a copy of the evidence and meet the statutory by domestically–owned companies public version of the petition has been requirements for initiation. See PRC Indirect Tax Programs and Import provided to the Government of the PRC. Initiation Checklist at Attachment III Tariff Program As soon as and to the extent practicable, (Injury). 13. Export payments characterized as we will attempt to provide a copy of the VAT rebates public version of the petition to each Initiation of Countervailing Duty 14. VAT and tariff exemptions on exporter named in the petition, Investigation imported equipment consistent with 19 CFR 351.203(c)(2). Section 702(b) of the Act requires the Grant Programs ITC Notification Department to initiate a countervailing 15. State Key Technology Renovation duty proceeding whenever an interested Program Fund We have notified the ITC of our party files a petition on behalf of an Provincial Subsidy Programs initiation, as required by section 702(d) industry that; (1) alleges the elements 16. Funds for ‘‘outward expansion’’ of of the Act.

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Preliminary Determination by the ITC related to a specific submission package, Recently, cryptanalysts have found The ITC will preliminarily determine, contact Ms. Shu-jen Chang, National collisions on the MD4, MD5, and SHA– within 25 days after the date on which Institute of Standards and Technology, 0 algorithms; moreover, a method for it receives notice of the initiation, 100 Bureau Drive—Stop 8930, finding SHA–1 collisions with less than whether there is a reasonable indication Gaithersburg, MD 20899–8930; the expected amount of work has been that imports of subsidized LWTP from telephone: 301–975–2940 or via fax at published, although at this time SHA– the PRC are causing material injury, or 301–975–8670, e-mail: shu- 1 collisions have not yet been threatening to cause material injury, to [email protected]. demonstrated. Although there is no a U.S. industry. See section 703(a)(2) of SUPPLEMENTARY INFORMATION: This specific reason to believe that a practical the Act. A negative ITC determination notice contains the following sections: attack on any of the SHA–2 family of hash functions is imminent, a successful will result in the investigation being 1. Background terminated; otherwise, the investigation collision attack on an algorithm in the 2. Requirements for Candidate Algorithm SHA–2 family could have catastrophic will proceed according to statutory and Submission Packages regulatory time limits. 2.A Cover Sheet effects for digital signatures. This notice is issued and published 2.B Algorithm Specifications and NIST has decided that it is prudent to pursuant to section 777(i) of the Act. Supporting Documentation develop a new hash algorithm to 2.C Optical Media augment and revise FIPS 180–2. The Dated: October 29, 2007. 2.D Intellectual Property Statements/ new hash algorithm will be referred to Stephen J. Claeys, Agreements/Disclosures as ‘‘SHA–3’’, and will be developed Acting Assistant Secretary for Import 2.E General Submission Requirements through a public competition, much like Administration. 2.F Technical Contacts and Additional the development of the Advanced [FR Doc. E7–21616 Filed 11–1–07; 8:45 am] Information Encryption Standard (AES). NIST BILLING CODE 3510–DS–S 3. Minimum Acceptability Requirements 4. Evaluation Criteria intends that SHA–3 will specify an 4.A Security unclassified, publicly disclosed algorithm(s), which is available DEPARTMENT OF COMMERCE 4.B Cost 4.C Algorithm and Implementation worldwide without royalties or other National Institute of Standards and Characteristics intellectual property restrictions, and is Technology 5. Initial Planning for the First SHA–3 capable of protecting sensitive Candidate Conference information for decades. Following the [Docket No.: 070911510–7512–01] 6. Plans for the Candidate Evaluation Process close of the submission period, NIST 6.A Overview intends to make all ‘‘complete and Announcing Request for Candidate 6.B Round 1 Technical Evaluation proper’’ (as defined in section 3) Algorithm Nominations for a New 6.C Round 2 Technical Evaluation submissions publicly available for Cryptographic Hash Algorithm 7. Miscellaneous review and comment. (SHA–3) Family Authority: This work is being initiated NIST does not currently plan to pursuant to NIST’s responsibilities under the AGENCY: National Institute of Standards Federal Information Security Management withdraw SHA–2 or remove it from the and Technology, Commerce. Act (FISMA) of 2002, Public Law 107–347. revised Secure Hash Standard; however, ACTION: Notice and request for it is intended that SHA–3 can be nominations for candidate hash 1. Background directly substituted for SHA–2 in algorithms. Modern, collision resistant hash current applications, and will functions were designed to create small, significantly improve the robustness of SUMMARY: This notice solicits fixed size message digests so that a NIST’s overall hash algorithm toolkit. nominations from any interested party digest could act as a proxy for a possibly Therefore, the submitted algorithms for for candidate algorithms to be very large variable length message in a SHA–3 must provide message digests of considered for SHA–3, and specifies digital signature algorithm, such as RSA 224, 256, 384 and 512 bits to allow how to submit a nomination package. It or DSA. These hash functions have substitution for the SHA–2 family. The presents the nomination requirements since been widely used for many other 160-bit hash value produced by SHA–1 and the minimum acceptability ‘‘ancillary’’ applications, including is becoming too small to use for digital requirements of a ‘‘complete and hash-based message authentication signatures, therefore, a 160-bit proper’’ candidate algorithm codes, pseudo random number replacement hash algorithm is not submission. The evaluation criteria that generators, and key derivation contemplated. will be used to appraise the candidate functions. Many cryptographic applications that algorithms are also described. A series of related hash functions are currently specified in FIPS and NIST DATES: Candidate algorithm nomination have been developed, such as MD4, Special Publications require the use of packages must be received by October MD5, SHA–0, SHA–1 and the SHA–2 a NIST-approved hash algorithm. These 31, 2008. Further details are available in family, (which includes 224, 256, 384 publications include: section 2. and 512-bit variants); all of these follow • FIPS 186–2, Digital Signature ADDRESSES: Candidate algorithm the Merkle-Damgard construct. NIST Standard; submission packages should be sent to: began the standardization of the SHA • FIPS 198, The Keyed-Hash Message Ms. Shu-jen Chang, Information hash functions in 1993, with a Authentication Code (HMAC); Technology Laboratory, Attention: Hash specification of SHA–0 in the Federal • SP 800–56A, Recommendation for Algorithm Submissions, 100 Bureau Information Processing Standards Pair-Wise Key Establishment Schemes Drive—Stop 8930, National Institute of Publication (FIPS PUBS) 180, the Secure Using Discrete Logarithm Cryptography; Standards and Technology, Hash Standard; subsequent revisions of and Gaithersburg, MD 20899–8930. the FIPS have replaced SHA–0 with • SP 800–90, Recommendation for FOR FURTHER INFORMATION CONTACT: For SHA–1 and added the SHA–2 family in Random Number Generation Using general information, send e-mail to FIPS 180–1 and FIPS 180–2, Deterministic Random Bit Generators [email protected]. For questions respectively. (DRBGs).

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The SHA–3 algorithm is expected to be deadline. Requests for the withdrawal of proof, and 2) a preliminary analysis, suitable for these applications. submission packages will only be such as possible attack scenarios for Since SHA–3 is expected to provide a honored until the submission deadline. collision-finding, first-preimage-finding, simple substitute for the SHA–2 family Due to the specific requirements of second-preimage-finding, length- of hash functions, certain properties of the submission package such as extension attack, multicollision attack, the SHA–2 hash functions must be Intellectual Property Statements / or any cryptographic attacks that have preserved, including the input Agreements / Disclosures as specified in been considered and their results. parameters; the output sizes; the section 2.D, e-mail submissions will not In addition, the submitted algorithm collision resistance, preimage be accepted for these statements or for may include a tunable security resistance, and second-preimage the initial submission package. parameter, such as the number of resistance properties; and the ‘‘one- However, e-mail submissions of rounds, which would allow the pass’’ streaming mode of execution. amendments to the initial submission selection of a range of possible security/ However, it is also desirable that the package will be allowed prior to the performance tradeoffs. If such a selected SHA–3 algorithm offer features submission deadline. parameter is provided, the submission or properties that exceed, or improve ‘‘Complete and proper’’ submission document must specify a recommended upon, the SHA–2 hash functions. For packages received in response to this value for each digest size specified in example, the selected SHA–3 algorithm notice will be posted at http:// Section 3, with justification. The may offer efficient integral options, such www.nist.gov/hash-competition for submission should also provide any as randomized hashing, that inspection. To be considered as a bounds that the designer feels are fundamentally improve security, or it ‘‘complete’’ submission package (and appropriate for the parameter, including may be parallelizable, more efficient to continue further in the hash algorithm a bound below which the submitter implement on some platforms, more consideration process), candidate expects cryptanalysis to become suitable for certain applications, or may algorithm submission packages must practical. The tunable parameter may be avoid some of the incidental ‘‘generic’’ contain the following (as described in used to produce weakened versions of properties (such as length extension) of detail below): the submitted algorithm for analysis, • the Merkle-Damgard construct that often Cover Sheet. and permit NIST to select a different • result in insecure applications. Algorithm Specifications and security/performance tradeoff than NIST expects SHA–3 to have a Supporting Documentation. originally specified by the submitter, in security strength that is at least as good • Optical Media. • light of discovered attacks or other as the hash algorithms currently Intellectual Property Statements/ analysis, and in light of the alternative specified in FIPS 180–2, and that this Agreements/Disclosures. • algorithms that are available. NIST will security strength will be achieved with General Submission Requirements. consult with the submitter of the significantly improved efficiency. NIST Each of these items is discussed in algorithm if it plans to select that also desires that the SHA–3 hash detail below. algorithm for SHA–3, but with a functions will be designed so that a 2.A Cover Sheet different parameter value than originally possibly successful attack on the SHA– specified by the submitter. Submissions 2 hash functions is unlikely to be A cover sheet shall contain the that do not include such a parameter applicable to SHA–3. The SHA–3 family following information: should include a weakened version of • Name of the submitted algorithm. should be suitably flexible for a wide the submitted algorithm for analysis, if • Principal submitter’s name, e-mail variety of implementations, even though at all possible. it may not operate with optimal address, telephone, fax, organization, NIST is open to, and encourages, efficiency in each and every potential and postal address. application. • Name(s) of auxiliary submitter(s). submissions of hash functions that For interoperability, NIST strongly • Name of the algorithm inventor(s)/ differ from the traditional Merkle- desires a single hash algorithm family developer(s). Damgard model, using other structures, (that is, that different size message • Name of the owner, if any, of the chaining modes, and possibly additional digests be internally generated in as algorithm. (normally expected to be the inputs. However, if a submitted similar a manner as possible) to be same as the submitter). algorithm cannot be used directly in selected for SHA–3. However, if more • Signature of the submitter. current applications of hash functions than one suitable candidate family is • (optional) Backup point of contact as specified in FIPS or NIST Special identified, and each provides significant (with telephone, fax, postal address, e- Publications, the submitted algorithm advantages, NIST may consider mail address). must define a compatibility construct recommending more than one family for with the same input and output 2.B Algorithm Specifications and parameters as the SHA hash functions inclusion in the revised Secure Hash Supporting Documentation Standard. such that it can replace the existing 2.B.1 A complete written SHA functions in current applications 2. Requirements for Candidate specification of the algorithm shall be without any loss of security. The Algorithm Submission Packages included, consisting of all necessary replacement of all SHA functions in any Candidate algorithm nomination mathematical operations, equations, standardized application by this packages must be received by October tables, diagrams, and parameters that compatibility construct shall require no 31, 2008. Submission packages received are needed to implement the algorithm. additional modification of the standard before August 31, 2008 will be reviewed The document shall include design application beyond the alteration of any for completeness by NIST; the rationale (e.g., the rationale for choosing algorithm specific parameters already submitters will be notified of any the specific number of rounds for present in the standard, such as deficiencies by September 30, 2008, computing the hashes) and an algorithm name and message block allowing time for deficient packages to explanation for all the important design length. Submissions may optionally be amended by the submission decisions that are made. It should also define other variants, constructs, or deadline. No amendments to packages include 1) any security argument that is iterated structures for specific useful will be permitted after the submission applicable, such as a security reduction applications.

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It should be noted that standards digest, etc.), and shall be in the exact 2.B.6 A statement that lists and which refer to a block length are format specified by NIST at http:// describes the advantages and limitations generally designed with the Merkle- www.nist.gov/hash-competition. of the algorithm shall be included. Such Damgard model in mind, and a number a. All applicable KATs shall be advantages and limitations may address of applications make additional included that can be used to exercise the ability to: assumptions—for example HMAC various features of the algorithm. A set a. Implement the algorithm in various implicitly assumes that the message of KATs shall be included for each environments, including—but not block length is larger than the message message digest size specified in section limited to: 8-bit processors (e.g., digest size. This is not to say that NIST 3. Required KATs include: smartcards), voice applications, satellite requires the candidate algorithm to i. If the candidate algorithm calculates applications, or other environments satisfy these assumptions, but in cases intermediate values (e.g., internal where low power, constrained memory, where the appropriate choice for a rounds) for a message digest or limited real-estate are factors. To parameter such as message block length computation, then the submitter shall demonstrate the efficiency of a is not obvious, the submission package include known answers for those hardware implementation of the must specify a value that will preserve intermediate values for a 1-block and a algorithm, the submitter may include a the security properties and functionality 2-block message digest computation for specification of the algorithm in a of any of the current standard each of the required message digest nonproprietary Hardware Description applications. sizes. Examples of providing such Language (HDL). 2.B.2 A statement of the algorithm’s intermediate values for the SHA family b. Use the algorithm with message estimated computational efficiency and of hash functions are available at: digest sizes other than those specified in memory requirements in hardware and http://www.nist.gov/ section 3. software across a variety of platforms CryptoToolkitExamples. If the submitter believes that the shall be included. At a minimum, the ii. If tables are used in the algorithm, algorithm has certain features that are submitter shall state efficiency estimates then a set of KAT vectors shall be deemed advantageous, then these for the ‘‘NIST SHA–3 Reference included to exercise every table entry. should be listed and described, along Platform’’ (specified in section 6.B) and Note: The submitter is encouraged to with supporting rationale. Some for 8-bit processors. (Efficiency include any other KATs that exercise examples of these features might estimates for other platforms may be different features of the algorithm (e.g., for include, for example: Mathematically included at the submitters’ discretion.) permutation tables, etc.). The purposes of (rather than empirically) designed these tests shall be clearly described in the tables, statistical basis for inter-round These estimates shall each include the file containing the test values. following information, at a minimum: mixing, etc. b. Four MCTs, to be specified at the a. Description of the platform used to 2.C Optical Media generate the estimate, in sufficient detail web site indicated below, shall be so that the estimates could be verified included, with message and message All electronic data shall be provided in the public evaluation process (e.g., digest values, for each of the message on a single CD-ROM or DVD labeled for software running on a PC, include digest sizes specified in section 3. with the submitter’s name, and the information about the processor, clock A link to a description of the required algorithm name. tests will be available at http:// speed, memory, operating system, etc.). 2.C.1 Reference Implementation For hardware estimates, a gate count (or www.nist.gov/hash-competition. A reference implementation shall be estimated gate count) should be Required submission data for the MCTs submitted in order to promote the included. will also be found at that location. b. Speed estimate for the algorithm on 2.B.4 A statement of the expected understanding of how the candidate the platform specified in section 6.B. At strength (i.e., work factor) of the algorithm may be implemented. This a minimum, the number of clock cycles algorithm shall be included, along with implementation shall consist of source required to: any supporting rationale, for each of the code written in ANSI C; appropriate 1. Generate one message digest, and security requirements specified in comments should be included in the 2. Set up the algorithm (e.g., build sections 4.A.ii and 4.A.iii, and for each code, and the code should clearly map internal tables) shall be specified for message digest size specified in section to the algorithm description included each message digest size required in the 3. under section 2.B.1. Since this Minimum Acceptability Requirements 2.B.5 An analysis of the algorithm implementation is intended for section (section 3) of this with respect to known attacks (e.g., reference purposes, clarity in announcement. differential cryptanalysis) and their programming is more important than c. Any available information on results shall be included. efficiency. tradeoffs between speed and memory. To prevent the existence of possible The reference implementation shall 2.B.3 A series of Known Answer ‘‘trap-doors’’ in an algorithm, the be capable of fully demonstrating the Tests (KATs) and Monte Carlo Tests submitter shall explain the provenance operation of the candidate algorithm. (MCTs) shall be included as specified of any constants or tables used in the The reference implementation shall below. All of these KAT and MCT algorithm, with justification of why support all message digest sizes values shall be submitted electronically, these were not chosen to make some specified in section 3. Additionally, it in separate files, on a CD–ROM or DVD attack easier. must support all other message digest as described in section 2.C.3. Each file The submitter shall provide a list of sizes that are claimed to be supported shall be clearly labeled with header known references to any published by the algorithm. information listing: materials describing or analyzing the NIST will specify a set of 1. Algorithm name, security of the submitted algorithm. The cryptographic service calls, namely a 2. Test name, submission of copies of these materials cryptographic API, for the ANSI C 3. Description of the test, and (accompanied by a waiver of copyright implementations, which will be made 4. Message digest size being tested. or permission from the copyright holder available at http://www.nist.gov/hash- All values within the file shall be for the SHA–3 public evaluation competition. All ANSI C submissions clearly labeled (e.g., message, message purposes) is encouraged. shall implement that API so that the

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NIST test system can be compatible descriptions of the required tests, as these available within three months with all the submissions. well as a list of the values that must be after publication of this notice. Separate source code for provided. 2.D Intellectual Property Statements/ implementing the required KATs with The required format for the test Agreements/Disclosures the reference implementation shall also vectors will be specified by NIST at be included. This code shall be able to http://www.nist.gov/hash-competition. Each submitted algorithm must be process input specified in the format The test values shall be provided in available worldwide on a royalty free indicated by NIST (on the web site as a directory labeled: \KAT_MCT. basis during the period of the hash referred to under section 2.B.3) and run function competition. In order to ensure 2.C.4 Supporting Documentation the required tests. this and minimize any intellectual The reference implementation shall To facilitate the electronic property issues, the following series of be provided in a directory labeled: distribution of submissions to all signed statements are required for a \Reference Implementation. interested parties, copies of all written submission to be considered complete: materials must also be submitted in Statement by the Submitter, Statement 2.C.2 Optimized Implementations electronic form in PDF. Submitters are by Patent (and Patent Application) Two optimized implementations of encouraged to use the thumbnail and Owner(s) (if applicable), and Statement the candidate algorithm shall be bookmark features, to have a clickable by Reference/Optimized submitted—one implementation that is table of contents (if applicable), and to Implementations’ Owner(s). Note for the optimized for a 32-bit platform, and include other links within the PDF as last two statements, separate statements another for a 64-bit platform. The appropriate. must be completed if multiple optimized implementations shall be This electronic version of the individuals are involved. specified in the ANSI C programming supporting documentation shall be 2.D.1 Statement by the Submitter language. These implementations will provided in a directory labeled: I, llll (print submitter’s full be evaluated on 32- and 64-bit \Supporting Documentation. name) do hereby declare that, to the platforms. 2.C.5 General Requirements for best of my knowledge, the practice of General Requirements for Both Optical Media the algorithm, reference Optimized Implementations: implementation, and optimized • Both of the optimized For the portions of the submissions implementations that I have submitted, implementations shall support the that may be provided electronically, the known as llll (print name of message digest sizes specified in section information shall be provided on a algorithm), may be covered by the 3. single CD-ROM or DVD using the ISO following U.S. and/or foreign patents: • Separate source code for 9660 format. This disc shall have the llll (describe and enumerate or implementing the required KATs and following structure: • \README. state ‘‘none’’ if appropriate). MCTs with the optimized I do hereby declare that I am aware • \Reference Implementation. implementations shall also be included. of no patent applications that may cover • \Optimized_32 bit. This code shall be able to process the the practice of my submitted algorithm, • \Optimized_64 bit. input specified in the format indicated reference implementation or optimized • \KAT_MCT. by NIST (on the Web site as referred to implementations.—OR—I do hereby • \Supporting Documentation. under section 2.B.3) and run the declare that the following pending required tests. The ‘‘README’’ file shall list all files • patent applications may cover the The submitter shall provide the that are included on this disc with a practice of my submitted algorithm, optimized implementations in two brief description of each. reference implementation or optimized separate directories labeled: All optical media presented to NIST implementations:llll (describe and Æ \Optimized_32 bit must be free of viruses or other enumerate). Æ \Optimized_64 bit malicious code. The submitted media I do hereby understand that my respectively. will be scanned for the presence of such submitted algorithm may not be selected • Additionally, submitters may, at code. If malicious code is found, NIST for inclusion in the Secure Hash their discretion, submit revised will notify the submitter and ask that a Standard. I also understand and agree optimized implementations (for both the clean version of the optical media be re- that after the close of the submission 32- and 64-bit implementations) for use submitted. period, my submission may not be in the Round 2 evaluation process, NIST will define a set of withdrawn from public consideration allowing additional time for cryptographic service calls for the ANSI for SHA–3. I further understand that I improvements. These must be received C implementations. These calls will be will not receive financial compensation prior to the beginning of the Round 2 used by the NIST test software to make from the U.S. Government for my evaluation; submitters will be notified appropriate calls to the optimized and submission. I certify that, to the best of of the specific deadline, as appropriate. reference implementations, so that the my knowledge, I have fully disclosed all Note that the optimized test software does not have to be patents and patent applications relating implementations on file with NIST at rewritten for each submitted algorithm. to my algorithm. I also understand that the close of the initial submission Therefore, both the optimized and the U.S. Government may, during the period will be the ones used by NIST in reference implementations are required course of the lifetime of the SHS or the Round 1 evaluation. to conform to these specific calls. The during the FIPS public review process, implementations shall be supplied in modify the algorithm’s specifications 2.C.3 Test Values—Known Answer source code so that NIST can compile (e.g., to protect against a newly Tests and Monte Carlo Tests and link them appropriately with the discovered vulnerability). Should my The files on the CD–ROM or DVD test software. The two selected sets of submission be selected for SHA–3, I shall contain all of the test values required calls will be available at the hereby agree not to place any required under section 2.B.3 of this following location: http://www.nist.gov/ restrictions on the use of the algorithm, announcement. That section includes hash-competition. NIST intends to make intending it to be available on a

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worldwide, non-exclusive, royalty-free to verify the availability of the candidate hash algorithm shall meet the basis. submission on a royalty free basis following minimum acceptability I do hereby agree to provide the worldwide. requirements: statements required by Sections 2.D.2 1. The algorithm shall be publicly and 2.D.3, below, for any patent or 2.D.3 Statement by Reference/ Optimized Implementations’ Owner(s) disclosed and available worldwide patent application identified to cover without royalties or any intellectual the practice of my algorithm, reference The following must also be included: property restrictions. llll implementation or optimized I, (print full name), am the 2. The algorithm shall be implementations and the right to use owner of the submitted reference implementable in a wide range of such implementations for the purposes implementation and optimized hardware and software platforms. implementations and hereby grant the of the SHA–3 evaluation process. 3. The candidate algorithm shall be I understand that NIST will announce U.S. Government and any interested capable of supporting message digest the selected algorithm(s) and proceed to party the right to use such sizes of 224, 256, 384, and 512 bits, and publish the draft FIPS for public implementations for the purposes of the shall support a maximum message comment. If my algorithm (or the SHA–3 evaluation process, length of at least 264–1 bits. Submitted derived algorithm) is not selected for notwithstanding that the algorithms may support other message SHA–3 (including those that are not implementations may be copyrighted. digest sizes and maximum message selected for the second round of public Signed: evaluation), I understand that all rights, lengths, and such features will be taken Title: into consideration during the analysis including use rights of the reference and Dated: and evaluation period. optimized implementations, revert back Place: to the submitter (and other owner[s], as (End of minimum acceptability appropriate). Additionally, should the 2.E General Submission Requirements requirements). NIST welcomes both domestic and U.S. Government not select my A candidate algorithm submission international submissions; however, in algorithm for SHA–3 at the time NIST package that is complete (as defined order to facilitate analysis and ends the competition, all rights revert to above) and whose algorithm meets the evaluation, it is required that the the submitter (and other owner[s] as minimum acceptability requirements (as submission packages be in English. This appropriate). defined immediately above) will be requirement includes the cover sheet, Signed: deemed to be a ‘‘complete and proper’’ algorithm specification and supporting Title: submission. A submission that is Dated: documentation, source code, and deemed otherwise at the close of the Place: intellectual property information. Any submission period will receive no required information that is submitted 2.D.2 Statement by Patent (and Patent further consideration. Submissions that in a language other than English shall Application) Owner(s) are ‘‘complete and proper’’ will be render the submission package posted at http://www.nist.gov/hash- If there are any patents (or patent ‘‘incomplete.’’ Optional supporting competition for public review. applications) identified by the materials (e.g., journal articles) in submitter, including those held by the another language may be submitted. 4. Evaluation Criteria submitter, the following statement must Classified and/or proprietary In order to provide a basis for the be signed by each and every owner of submissions will not be accepted. the patent and patent applications above analysis and evaluation of hash identified. 2.F Technical Contacts and Additional algorithms submitted to be considered I, llll (print full name), of Information for SHA–3, evaluation criteria will be llll (print full postal address), am For technical inquiries, send e-mail to used to review candidate algorithms. the owner or authorized representative [email protected], or contact Mr. NIST will form an internal selection of the owner (print full name, if different William Burr, National Institute of panel composed of NIST employees to than the signer) of the following Standards and Technology, 100 Bureau analyze the candidate algorithms; the patent(s) and or patent application(s): Drive—Stop 8930, Gaithersburg, MD evaluation process will be discussed in llll (enumerate), and do hereby 20899–8930; telephone: 301–975–2914 section 6. All of NIST’s analysis results agree to grant to any interested party if or via fax at 301–975–8670, e-mail: will be made publicly available. the algorithm known as llll (print [email protected] (Attn: Hash Although NIST will be performing its name of algorithm) is selected for SHA– Algorithm Competition Questions). own analyses of the candidate 3, an irrevocable nonexclusive royalty- Answers to germane questions will be algorithms, NIST strongly encourages free license to practice the referenced posted at http://www.nist.gov/hash- public evaluation and publication of the algorithm, reference implementation or competition. Questions and answers results, including any complete or the optimized implementations. that are not pertinent to this partial analysis of a candidate algorithm Furthermore, I agree to grant the same announcement may not be posted. NIST or component of an algorithm (e.g., the rights in any other patent application or will endeavor to answer all questions in compression function or iterative patent granted to me or my company a timely manner. structure), and whether the result is that may be necessary for the practice positive or negative. NIST will take into of the referenced algorithm, reference 3. Minimum Acceptability account its own analysis, as well as the implementation, or the optimized Requirements public comments that are received in implementations. Those packages that are deemed to be response to the posting of the ‘‘complete Signed: ‘‘complete’’ will be evaluated for the and proper’’ submissions, to make its Title: inclusion of a ‘‘proper’’ candidate decision on the selection of SHA–3. Dated: algorithm. To be considered as a Candidate algorithms with Place: ‘‘proper’’ candidate algorithm submission packages deemed to be Note that the U.S. Government may submission (and continue further in the ‘‘complete and proper’’ will be conduct research as may be appropriate SHA–3 Development Process), a compared, based on the following

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factors (ranked in the order of relative and randomization value r2 that yield their resistance against attacks importance): the same randomized hash value. discovered during the evaluation process, and for their likelihood of 4.A Security iii. Additional Security Requirements of resistance against future attacks. the Hash Functions The security provided by an algorithm v. Other Consideration Factors is the most important factor in the In addition to the specific evaluation. Algorithms will be judged requirements mentioned above, NIST In addition to the evaluation factors on the following factors: expects the SHA–3 algorithm of message mentioned above, the quality of the digest size n to meet the following security arguments/proofs, the clarity of i. Applications of the Hash Functions security requirements at a minimum. the documentation of the algorithm, the Algorithms having the same hash These requirements are believed to be quality of the analysis on the algorithm length will be compared for the security satisfiable by fairly standard hash performed by the submitters, the that may be provided in a wide variety algorithm constructions; any result that simplicity of the algorithm, and the of cryptographic applications, including shows that the candidate algorithm does confidence of NIST and the digital signatures (FIPS 186–2), key not meet these requirements will be cryptographic community in the derivation (NIST Special Publication considered to be a serious attack. algorithm’s long-term security may all 800–56A), hash-based message • Collision resistance of be considered. authentication codes (FIPS 198), approximately n/2 bits, • 4.B Cost deterministic random bit generators (SP Preimage resistance of As described in section 2.C.2, 800–90), and additional applications approximately n bits, • submitters of hash algorithms may that may be brought up by NIST or by Second-preimage resistance of submit revised optimized the public during the evaluation approximately n-k bits for any message k implementations for use in the Round 2 process. Claimed applications of the shorter than 2 bits, • evaluation process. In the following hash functions will be evaluated for Resistance to length-extension discussion, it should be noted that all their practical importance if this attacks, and • technical evaluations are performed evaluation is necessary for comparing Any m-bit hash function specified either on the optimized the submitted hash algorithms. by taking a fixed subset of the candidate function’s output bits is expected to implementations that are received ii. Specific Requirements When Hash meet the above requirements with m initially, or on the revised Functions Are Used To Support HMAC, replacing n. (Note that an attacker can implementations that are received Pseudo Random Functions (PRFs), and choose the m-bit subset specifically to before the beginning of Round 2. Randomized Hashing allow a limited number of precomputed i. Computational efficiency: The evaluation of the computational NIST requires that the selected SHA– message digests to collide, but once the efficiency of the candidate algorithms 3 support HMAC, PRFs, and subset has been chosen, finding will be applicable to both hardware and randomized hashing. Each candidate additional violations of the above software implementations. The Round 1 algorithm must have at least one properties is expected to be as hard as analysis by NIST will focus primarily on construction to support HMAC as a PRF; described above.) Increasing the second preimage software implementations; hardware it may have additional constructions for resistance property and resistance implementations will be addressed other, non-HMAC based PRFs, or for use against other attacks, such as more thoroughly during the Round 2 in a randomized hashing scheme. The multicollision attacks, will be viewed analysis. following criteria will be used to positively by NIST; however, this could Computational efficiency essentially evaluate each candidate algorithm of also have performance implications. refers to the speed of the algorithm. The message digest size n in such Submitters should be prepared to argue computational efficiency will be constructions. analyzed using each submission’s • for their overall security/performance When the candidate algorithm is trade-offs. optimized implementations on a variety used with HMAC to construct a PRF as of platforms as specified in Section 6.B, specified in the submitted package, that iv. Evaluations Relating to Attack and for a variety of input message PRF must resist any distinguishing Resistance lengths. The data in the submission n/2 attack that requires much fewer than 2 Hash algorithms will be evaluated packages and public comments on each queries and significantly less against attacks or observations that may algorithm’s efficiency (particularly for computation than a preimage attack. threaten existing or proposed various platforms and applications) will • Any additional PRF constructions applications, or demonstrate some also be taken into consideration by specified for use with the candidate fundamental flaw in the design, such as NIST. algorithm must provide the security that exhibiting nonrandom behavior and ii. Memory requirements: The memory is claimed in the submission document. failing statistical tests. required to implement a candidate • If a construct is specified for the use Claimed attacks will be evaluated for algorithm—for both hardware and of the candidate algorithm in a their practicality and for their impact on software implementations of the randomized hashing scheme, the applications. Attacks that violate the algorithm—will also be considered construct must, with overwhelming security of an existing FIPS or NIST during the evaluation process. The probability, provide n bits of security Special Publication’s use of a hash Round 1 analysis will focus primarily against the following attack: The function will be given more weight than on software implementations; hardware attacker chooses a message, M1. The attacks that violate the security of other implementations will be addressed specified construct is then used on M1 applications; and attacks on rare or more thoroughly during Round 2. with a randomization value r1 that has obscure applications may be given Memory requirements will include been randomly chosen without the relatively little weight. such factors as gate counts for hardware attacker’s control after the attacker has Hash algorithms will be evaluated not implementations, and code size and supplied M1. Given r1, the attacker then only for their resistance against RAM requirements for software attempts to find a second message M2 previously known attacks, but also for implementations.

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Testing will be performed by NIST and all presentations, discussions and algorithms will be returned to their using the optimized implementations technical papers presented at the SHA– respective submitters. provided by the submitters. Memory 3 Candidate Conferences, as well as Before the start of the Round 2 requirement estimates (for different other pertinent papers and presentations evaluation period, the submitters of the platforms and environments) that are made at other cryptographic research Round 2 candidate algorithms will have included in the submission package or conferences and workshops. NIST will the option of providing updated the revised optimization package will issue a report on each SHA–3 Candidate optimized implementations for use also be taken into consideration by Conference, make a final selection and during the second phase of evaluation. document the technical rationale for NIST. Input from the public evaluations During the course of the Round 1 that selection in a final report, as NIST of each algorithm’s memory evaluations, it is conceivable that some did in the selection of AES. The requirements (particularly for various small deficiencies may be identified in following is an overview of the platforms and applications) will also be even some of the most promising taken into consideration by NIST. envisioned SHA–3 candidate review process. candidates. Therefore, for the Round 2 4.C Algorithm and Implementation evaluations, small modifications to the Characteristics 6.A Overview submitted algorithms will be permitted i. Flexibility: Candidate algorithms Following the close of the call for for either security or efficiency with greater flexibility will meet the candidate algorithm submission purposes. Submitters may submit minor needs of more users than less flexible packages, NIST will review the received changes (no substantial redesigns), algorithms, and therefore, are preferable. packages to determine which are along with a supporting explanation/ However, some extremes of ‘‘complete and proper,’’ as described in justification that must be received by functionality are of little practical use sections 2 and 3 of this notice. NIST NIST prior to the beginning of Round 2. (e.g., extremely short message digest will post all ‘‘complete and proper’’ (Submitters will be notified by NIST of lengths)—for those cases, preference submissions at http://www.nist.gov/ the exact deadline.) NIST will will not be given. hash-competition for public inspection. determine whether or not the proposed Some examples of ‘‘flexibility’’ may To help inform the public, the First modification would significantly affect include (but are not limited to) the SHA–3 Candidate Conference will be the design of the algorithm, requiring a following: held at the start of the public comment major re-evaluation; if such is the case, a. The algorithm has a tunable process to allow submitters to publicly the modification will not be accepted. If parameter which allows the selection of explain and answer questions regarding modifications are submitted, new a range of possible security/performance their submissions. reference and optimized tradeoffs. Round 1 will consist of a twelve- implementations and written b. The algorithm can be implemented month public review of the first round descriptions shall be provided by the securely and efficiently on a wide candidate algorithms. During the Round start of Round 2. This will allow a variety of platforms, including 1 public review, NIST intends to public review of the modified constrained environments, such as evaluate the candidate algorithms as algorithms during the entire course of smart cards. outlined in Section 6.B. NIST will the Round 2 evaluation. review the public evaluations of the c. Implementations of the algorithm Note: All proposed changes for Round 2 candidate algorithms’ cryptographic can be parallelized to achieve higher must be proposed by the submitter; no strengths and weaknesses, and will use performance efficiency. proposed changes (to the algorithm or ii. Simplicity: A candidate algorithm these to narrow the candidate pool for implementations) will be accepted from a will be judged according to its relative more careful study and analysis during third party. design simplicity. Round 2. Because of limited resources, and also Round 2 will consist of a twelve to 5. Initial Planning for the First SHA–3 to avoid moving evaluation targets (i.e., fifteen month public review of the Candidate Conference modifying the submitted algorithms Round 2 candidate algorithms. During An open public conference will be undergoing public review), NIST will the public review, NIST will evaluate held shortly after the end of the NOT accept modifications to the the candidate algorithms as outlined in submission period, at which the submitted algorithms during Round 1. the two sections below. After the end of submitter of each complete and proper For informational and planning the public review period, NIST intends submission package will be invited to purposes, near the end of the Round 1 to hold the Third SHA–3 Candidate publicly discuss and explain their public evaluation process, NIST intends Conference. (The exact date is to be candidate algorithm. The to hold the Second SHA–3 Candidate scheduled.) documentation for these candidate Conference. Its purpose will be to Following the Third SHA–3 algorithms will be made available at the publicly discuss the SHA–3 candidate Candidate Conference, NIST will select Conference. Details of the conference algorithms, and to provide NIST with the algorithm(s) for SHA–3. The will be posted at http://www.nist.gov/ information for narrowing the field of selected algorithm(s) will be hash-competition. algorithms to be considered for SHA–3. NIST plans to narrow the field of incorporated into a draft FIPS, which 6. Plans for the Candidate Evaluation candidates to approximately five will be announced in the Federal Process candidate algorithms for further analysis Register for public comment. NIST plans to form an internal during Round 2, based upon its own It should be noted that this schedule selection panel composed of NIST analysis, public comments, and all other for the SHA–3 development is employees for the technical evaluations available information. It is envisioned somewhat tentative, depending upon of the candidate algorithms. This panel that this narrowing will be done the type, quantity, and quality of the will analyze the submitted algorithms, primarily on security, efficiency, and submissions. Specific conference dates review public comments that are intellectual property considerations. For and public comment periods will be received in response to the posting of those candidate algorithms not selected announced at appropriate times in the the ‘‘complete and proper’’ submissions, for Round 2, the rights to use the future.

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6.B Round 1 Technical Evaluation Note: The same platform and compilers If necessary, NIST may also insert from Round 1 will be used for Round 2 NIST will invite public comments on additional rounds of such technical unless indicated on http://www.nist.gov/ evaluations. all complete and proper submissions. hash-competition. NIST’s Round 1 analysis is intended, at • NIST does not intend to select a a minimum, to be performed as follows: i. Message digest sizes: Round 2 wholly distinct algorithm for each of the i. Correctness check: The KAT and testing by NIST will be performed on minimally required message digest MCT values included with the the required message digest sizes as sizes. It is strongly recommended that submission will be used to test the specified in section 3. Note: If the no submission be so constructed. correctness of the reference and submitter chooses to submit updated • NIST will not target a specific optimized implementations, once they optimized implementations prior to the application or platform for are compiled. (It is more likely that beginning of Round 2, then some of the implementing the candidate hash NIST will perform this check of the tests performed in Round 1 may be algorithms, as the evaluation of reference code—and possibly the performed again using the new candidate algorithms takes place. One optimized code as well—even before optimized implementations. This will factor that will be taken into accepting the submission package as be done to obtain updated consideration for each candidate ‘‘complete and proper.’’) measurements. algorithm is its flexibility—the ability to ii. Efficiency testing: Using the ii. Efficiency testing: Using the implement the algorithm securely and submitted optimized implementations, submitted optimized implementations, efficiently on a wide variety of NIST intends to perform various NIST intends to perform various platforms and applications (see Section computational efficiency tests for the computational efficiency tests, 4.C). minimum message digest sizes specified including the calculation of the time • Since SHA–3 is intended to required to compute message digests for in section 3, including the calculation of the time required to compute message augment the existing NIST-approved various length messages. hash algorithm toolkit, which includes iii. Other testing: Other features of the digests for various length messages. NIST welcomes comments regarding the SHA–2 family of hash functions, candidate algorithms may be examined NIST does not intend to select an by NIST. the efficiency of the candidate algorithms when implemented in additional ‘‘backup’’ hash algorithm for Platform and Compilers hardware. NIST may specify the finalist SHA–3. If circumstances arise (e.g., a discovery of a significant security flaw) The above tests will initially be algorithms using a Hardware that could not be satisfactorily performed by NIST with the following Description Language, to compare the addressed by modifying the selected tools, at a minimum. estimated hardware efficiency of the i. NIST Reference Platform: Wintel candidate algorithms. SHA–3 algorithm, NIST would likely personal computer, with an Intel Core 2 NIST may perform efficiency testing consider the other finalist algorithms. If Duo Processor, 2.4GHz clock speed, 2GB using additional platforms. NIST a significant period of time has elapsed RAM, running Windows Vista Ultimate welcomes public input regarding since the hash algorithm selection, NIST 32-bit (x86) and 64-bit (x64) Edition. efficiency testing on additional would likely examine other algorithms ii. Compiler (Note that the selection of platforms. that may have been developed in the this compiler is for use by NIST in iii. Other testing: Other features of the intervening period. Rounds 1 and 2, and does not constitute candidate algorithms may be examined • Exportability decisions regarding a direct or implied endorsement by by NIST. If appropriate, analyses from submissions and, eventually, products NIST.): The ANSI C compiler in the the Second SHA–3 Candidate implementing the selected SHA–3 Microsoft Visual Studio 2005 Conference and the public evaluation algorithm(s) will be made by the Professional Edition. during Round 1 may warrant the testing appropriate U.S. Government regulatory At a minimum, NIST intends to of specific features. authorities. NIST is a non-regulatory perform an efficiency analysis on the 7. Miscellaneous agency of the U.S. Department of reference platform; however, NIST Commerce. invites the public to conduct similar This section is intended to address • If no appropriate algorithms are tests and compare results on additional some of the questions/comments raised submitted in response to this call, NIST platforms (e.g., 8-bit processors, Digital in the review of the draft evaluation expressly reserves the right to cease this Signal Processors, dedicated CMOS, criteria. process and examine other possible • When evaluating algorithms, NIST etc.). courses of action. will make every effort to obtain public • Note: Any changes to the intended input and will encourage the review of Submitters are strongly encouraged platform/compiler will be noted on http:// the candidate algorithms by outside to submit only one algorithm each www.nist.gov/hash-competition. organizations; however, the final (presumably the one in which the decision as to which algorithm(s) will submitter has the greatest confidence). 6.C Round 2 Technical Evaluation be selected for SHA–3 is the The submission of similar, yet distinct, At the end of the Round 1 technical responsibility of NIST. algorithms by the same submitter may evaluation and the Second SHA–3 • NIST intends to develop a delay the public evaluation process and Candidate Conference, NIST intends to validation program for hash algorithm may well raise public questions as to the narrow the field of candidate algorithms conformance testing, with the goal of submitter’s level of confidence in his/ to approximately five candidates, in having testing available by the time her candidates. order to focus the remaining efforts of SHA–3 is incorporated into the revised • For conference and resource both NIST and the public. NIST intends Secure Hash Standard. allocation planning purposes, it would to perform its own analysis of the • NIST does NOT have a fixed be appreciated if those planning to submissions, and make that information timetable for the completion of the hash submit candidates could notify the publicly available. NIST’s Round 2 function competition. NIST reserves the individuals listed in the FOR FURTHER analysis will, at a minimum, be right to extend the length of the INFORMATION CONTACT Section as soon as performed as follows. technical review period for each round. possible.

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Appreciation Dated: October 29, 2007. of the formats specified above. NIST extends its appreciation to all Tracey L. Thompson, Comments will be posted to NTIA’s submitters and those providing public Acting Director, Office of Sustainable website at http://www.ntia.doc.gov/ comments during the SHA–3 Fisheries, National Marine Fisheries Service. ntiahome/domainname/ development process. [FR Doc. E7–21543 Filed 11–1–07; 8:45 am] jpamidtermreview.html. BILLING CODE 3510–22–S Dated: October 29, 2007. FOR FURTHER INFORMATION CONTACT: For Richard F. Kayser, questions about this Notice contact: Acting Deputy Director, NIST. DEPARTMENT OF COMMERCE Suzanne R. Sene, National Telecommunications and Information [FR Doc. E7–21581 Filed 11–1–07; 8:45 am] National Telecommunications and Administration, U.S. Department of BILLING CODE 3510–13–P Information Administration Commerce, 1401 Constitution Avenue, N.W., Room 4701, Washington, DC [Docket No. 071023616–7617–01] DEPARTMENT OF COMMERCE 20230; telephone: (202) 482–3167; or The Continued Transition of the email: [email protected] Please direct National Oceanic and Atmospheric Technical Coordination and media inquiries to the Office of Public Administration Management of the Internet’s Domain Affairs, NTIA, at (202) 482–7002. RIN 0648–XD70 Name and Addressing System: SUPPLEMENTARY INFORMATION: Midterm Review of the Joint Project Background: A July 1, 1997 Executive North Pacific Fishery Management Agreement Memorandum directed the Secretary of Commerce to privatize the domain name Council; Notice of Plan Team Meetings AGENCY: National Telecommunications system (DNS) in a manner that increases and Information Administration, U.S. AGENCY: National Marine Fisheries competition and facilitates international Department of Commence Service (NMFS), National Oceanic and participation in its management.1 In Atmospheric Administration (NOAA), ACTION: Notice of Inquiry order to fulfill this Presidential Commerce. SUMMARY: The United States Department directive, the Department of Commerce ACTION: Meetings. of Commerce’s National in June 1998, issued a statement of Telecommunications and Information policy on the privatization of the SUMMARY: The North Pacific Fishery Administration (NTIA) seeks comments Internet Domain Name System (DNS), Management Council’s Gulf of Alaska 2 on the continued transition to the known as the DNS White Paper. This (GOA) and Bering Sea/Aleutian Islands private sector of the technical document articulated four primary (BS/AI) groundfish plan teams will meet coordination and management of the functions for global DNS coordination in Seattle. Internet’s domain name and addressing and management: DATES: November 13–16, 2007. The system (DNS). NTIA and the Internet 1. To set policy for and direct the meetings will begin at 9 a.m. on Corporation for Assigned Names and allocation of IP number blocks; Tuesday, November 13, and continue Numbers (ICANN) signed a Joint Project 2. To oversee the operation of the through Friday November 16. Agreement (JPA) on September 29, Internet root server system; ADDRESSES: Alaska Fisheries Science 2006. It called for a midpoint review of 3. To oversee policy for determining Center, 7600 Sand Point Way N.E., ICANN’s progress towards becoming a the circumstances under which new top Building 4, Observer Training Room more stable organization with greater level domains (TLDs) would be added to (GOA Plan Team) and Traynor Room transparency and accountability in its the root server system; and (BS/AI Plan Team), Seattle, Washington. procedures and decision making. The 4. To coordinate the assignment of Council address: North Pacific Department of Commerce seeks other technical protocol parameters as Fishery Management Council, 605 W. comment regarding the progress needed to maintain universal 4th Ave., Suite 306, Anchorage, AK achieved on the Responsibilities connectivity on the Internet. 99501–2252. identified in the JPA. In the DNS White Paper, the DATES: Comments are due on or before FOR FURTHER INFORMATION CONTACT: Jane Department of Commerce concluded February 15, 2008. DiCosimo or Diana Stram, NPFMC, 907– that these functions were relevant to the 271–2809. ADDRESSES: Written comments may be state of the DNS and should be SUPPLEMENTARY INFORMATION: submitted by mail to Suzanne R. Sene, primarily performed through private Office of International Affairs, National Agenda sector management. To this end, the Telecommunications and Information Department of Commerce stated that it Principal business is to prepare and Administration, 1401 Constitution was prepared to enter into agreement review the stock assessments for Avenue, N.W., Room 4701, Washington, with a new not-for-profit corporation groundfish fisheries in the BSAI and DC 20230. Paper submissions should formed by private sector Internet GOA and recommend catch include a three and one-half inch stakeholders. Private sector interests specifications for 2008/2009. Agenda computer diskette in HTML, ASCII, formed the Internet Corporation for posted on website at: http:// Word or WordPerfect format (please Assigned Names and Numbers (ICANN) www.fakr.noaa.gov/npfmc/ specify version). Diskettes should be for this purpose. In the fall of 1998, the labeled with the name and Special Accommodations Department of Commerce entered into a organizational affiliation of the filer, and Memorandum of Understanding (MOU) These meetings are physically the name of the word processing with ICANN, a California non-profit accessible to people with disabilities. program used to create the document. corporation, to transition technical DNS Requests for sign language Alternatively, comments may be interpretation or other auxiliary aids submitted electronically to 1 Memorandum on Electronic Commerce, 2 Pub. should be directed to Gail Bendixen, [email protected]. Papers 898 (July 1, 1997). 907–271–2809, at least 5 working days Comments provided via electronic mail 2 Management of Internet Names and Addresses, prior to the meeting date. should also be submitted in one or more 63 Fed. Reg. 31,741 (June 10, 1998).

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coordination and management functions When references are made to studies, and other appropriate experts with to the private sector.3 research, and other empirical data that respect to the operational and security On June 30, 2005 NTIA released the are not widely published, please matters, both physical and network, U.S. Principles on the Internet’s Domain provide copies of the referenced relating to the secure and stable Name and Addressing System, which materials with the submitted comments. coordination of the root zone; ensure state: the United States Government 1. In the JPA, ICANN agreed to appropriate contingency planning; intends to preserve the security and undertake the following with respect to maintain clear processes in root zone stability of the DNS by maintaining its security and stability: ‘‘ICANN shall changes. ICANN will work to formalize historic role in authorizing changes or coordinate, at the overall level, the relationships with root name server modifications to the authoritative root global Internet’s systems of unique operators.’’9 What progress do you zone file; governments have legitimate identifiers, and in particular to ensure believe ICANN has achieved with regard interest in the management of their the stable and secure operation of the to this Responsibility since October 1, country code top level domains Internet’s unique identifier systems.’’6 2006? If you believe that progress has (ccTLD); ICANN is the appropriate What progress do you believe ICANN been made, please explain how and technical manager of the Internet’s DNS; has achieved with regard to this why? Could more be done by ICANN in and dialogue related to Internet Responsibility since October 1, 2006? If this area? governance should continue in relevant you believe that progress has been 5. In the JPA, ICANN agreed to multiple fora.4 made, please explain how and why? undertake the following with respect to On May 23, 2006, NTIA issued a Could more be done by ICANN in this TLD management: ‘‘ICANN shall Notice of Inquiry and announced a area? maintain and build on processes to Public Meeting on The Continued 2. In the JPA, ICANN agreed to ensure that competition, consumer Transition of the Technical undertake the following with respect to interests, and Internet DNS stability and Coordination and Management of the transparency: ‘‘ICANN shall continue to security issues are identified and Internet Domain Name and Addressing develop, test and improve processes and considered in TLD management System.5 The public consultation procedures to encourage improved decisions, including the consideration resulted in over 700 contributions from transparency, accessibility, efficiency, and implementation of new TLDs and individuals, private corporations, trade and timeliness in the consideration and the introduction of IDNs. ICANN will associations, non-governmental entities adoption of policies related to technical continue to develop its policy and foreign governments. It showed coordination of the Internet DNS, and development processes, and will further broad support for continuing the funding for ICANN operations. ICANN develop processes for taking into transition of the coordination of the will innovate and aspire to be a leader account recommendations from technical management of the DNS to the in the area of transparency for ICANN’s advisory committees and private sector and the continued organizations involved in private sector supporting organizations and other involvement of the DOC in this management.’’7 What progress do you relevant expert advisory panels and transition. On September 29, 2006, believe ICANN has achieved with regard organizations. ICANN shall continue to NTIA and ICANN signed a Joint Project to this Responsibility since October 1, enforce existing policy relating to Agreement (JPA) extending the current 2006? If you believe that progress has WHOIS, such existing policy requires Memorandum of Understanding been made, please explain how and that ICANN implement measures to between the Department and ICANN. why? Could more be done by ICANN in maintain timely, unrestricted and public The JPA called for a midpoint review of this area? access to accurate and complete WHOIS ICANN’s progress towards becoming a 3. In the JPA, ICANN agreed to information, including registrant, more stable organization with greater undertake the following with respect to technical, billing and administrative transparency and accountability in its accountability: ‘‘ICANN shall continue contact information. ICANN shall procedures and decision making. to develop, test, maintain, and improve continue its efforts to achieve stable on accountability mechanisms to be agreements with country-code top-level REQUEST FOR COMMENT: responsive to global Internet domain (ccTLD) operators.’’10 What Given the requirement of a midterm stakeholders in the consideration and progress do you believe ICANN has review in the JPA, NTIA seeks adoption of policies related to the achieved with regard to this comments on the progress achieved on technical coordination of the Internet Responsibility since October 1, 2006? If the Responsibilities included in the JPA. DNS, including continuing to improve you believe that progress has been The questions below are intended to openness and accessibility for enhanced made, please explain how and why? assist in identifying the issues and participation in ICANN’s bottom-up Could more be done by ICANN in this should not be construed as a limitation participatory policy development area? on comments that may be submitted. processes.’’8 What progress do you 6. In the JPA, ICANN agreed to believe ICANN has achieved with regard undertake the following with respect to 3 Memorandum of Understanding Between the to this Responsibility since October 1, the multi-stakeholder model: ‘‘ICANN U.S. Department of Commerce and the Internet shall maintain and improve multi- Corporation for Assigned Names and Numbers 2006? If you believe that progress has (November 25, 1998), available at http:// been made, please explain how and stakeholder model and the global www.ntia.doc.gov/ntiahome/domainname/icann- why? Could more be done by ICANN in participation of all stakeholders, memorandum.htm. this area? including conducting reviews of its 4U.S. Department of Commerce, U.S. Principles 4. In the JPA, ICANN agreed to existing advisory committees and on the Internet’s Domain Name and Addressing System (June 30, 2005), http://www.ntia.doc.gov/ undertake the following with respect to supporting organizations, and will ntiahome/domainname/ root server security and relationships: continue to further the effectiveness of usdnsprinciplesl06302005.htm. ‘‘ICANN shall continue to coordinate the bottom-up policy development 5U.S. Department of Commerce,Notice of Inquiry, with the operators of root name servers processes. ICANN will strive to increase Notice of Public Meeting: The Continued Transition engagement with the Private Sector by of the Technical Coordination and Management of the Internet Domain Name and Addressing System 6See JPA Annex A, ¶ 1. to the private sector. http://www.ntia.doc.gov/ 7Id at ¶ 2. 9Id at ¶ 4. ntiahome/domainname/dnstransition.html. 8Id at ¶ 3. 10Id at ¶ 5.

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developing additional mechanisms for regard to this Responsibility since origin only after reaching an agreement involvement of those affected by the October 1, 2006? If you believe that with the other NAFTA countries on the ICANN policies.’’11 What progress do progress has been made, please explain modification. CITA hereby solicits you believe ICANN has achieved with how and why? Could more be done by public comments on this request, in regard to this Responsibility since ICANN in this area? particular with regard to whether acrylic October 1, 2006? If you believe that 10. In the JPA, ICANN agreed to staple fiber of HTSUS subheading progress has been made, please explain undertake the following with respect to 5503.30 can be supplied by the how and why? Could more be done by its corporate administrative structure: domestic industry in commercial ICANN in this area? ‘‘ICANN shall conduct a review of, and quantities in a timely manner. 7. In the JPA, ICANN agreed to shall make necessary changes in, Comments must be submitted by undertake the following with respect to corporate administrative structure to December 3, 2007 to the Chairman, the role of governments: ‘‘ICANN shall ensure stability, including devoting Committee for the Implementation of work with the Government Advisory adequate resources to contract Textile Agreements, Room 3001, United Committee Members to review the enforcement, taking into account States Department of Commerce, GAC’s role within ICANN so as to organizational and corporate governance Washington, DC 20230. facilitate effective consideration of GAC ‘‘best practices.’’15 What progress do FOR FURTHER INFORMATION CONTACT: advice on the public policy aspects of you believe ICANN has achieved with Robert Carrigg, International Trade the technical coordination of the regard to this Responsibility since Specialist, Office of Textiles and Internet.’’12 What progress do you October 1, 2006? If you believe that Apparel, U.S. Department of Commerce, believe ICANN has achieved with regard progress has been made, please explain (202) 482-3400. to this Responsibility since October 1, how and why? Could more be done by SUPPLEMENTARY INFORMATION: 2006? If you believe that progress has ICANN in this area? been made, please explain how and Authority: Section 204 of the Agricultural Dated: October 30, 2007. Act of 1956, as amended (7 USC 1854); why? Could more be done by ICANN in John M. R. Kneuer, Section 202(q) of the North American Free this area? Assistant Secretary for Communications and Trade Agreement Implementation Act (19 8. In the JPA, ICANN agreed to Information. USC 3332(q)); Executive Order 11651 of undertake the following with respect to March 3, 1972, as amended. [FR Doc. E7–21626 Filed 11–1–07; 8:45 am] IP addressing: ‘‘ICANN shall continue to work collaboratively on a global and BILLING CODE 3510–60–S BACKGROUND: regional level so as to incorporate Under the North American Free Trade Regional Internet Registries’ policy- Agreement (NAFTA), NAFTA countries making activities into the ICANN COMMITTEE FOR THE are required to eliminate customs duties processes while allowing them to IMPLEMENTATION OF TEXTILE on textile and apparel goods that qualify continue their technical work. ICANN AGREEMENTS as originating goods under the NAFTA rules of origin, which are set out in shall continue to maintain legal Request for Public Comment on Short Annex 401 to the NAFTA. The NAFTA agreements with the RIRs (and such Supply Petition under the North provides that the rules of origin for other appropriate organizations) American Free Trade Agreement 13 textile and apparel products may be reflecting this work.’’ What progress (NAFTA) do you believe ICANN has achieved amended through a subsequent with regard to this Responsibility since October 29, 2007. agreement by the NAFTA countries. See October 1, 2006? If you believe that AGENCY: The Committee for the Section 202(q) of the NAFTA progress has been made, please explain Implementation of Textile Agreements Implementation Act. In consultations how and why? Could more be done by (CITA). regarding such a change, the NAFTA ICANN in this area? ACTION: Request for Public Comments countries are to consider issues of 9. In the JPA, ICANN agreed to concerning a request for modification of availability of supply of fibers, yarns, or undertake the following with respect to the NAFTA rules of origin for knit pile fabrics in the free trade area and corporate responsibility: ‘‘ICANN shall fabric made from acrylic staple fiber. whether domestic producers are capable maintain excellence and efficiency in of supplying commercial quantities of operations, including good governance, SUMMARY: On October 29, 2007, the the good in a timely manner. The organizational measures to maintain Chairman of CITA received a request Statement of Administrative Action stable, international private sector from Monterey Mills, alleging that (SAA) that accompanied the NAFTA organization, and shall maintain certain acrylic staple fibers, not carded, Implementation Act stated that any relevant technical and business combed or otherwise processed for interested person may submit to CITA a experience for members of the Board of spinning, classified under subheading request for a modification to a particular Directors, executive management, and 5503.30 of the Harmonized Tariff rule of origin based on a change in the staff. ICANN will implement Schedule of the United States (HTSUS), availability in North America of a appropriate mechanisms that foster cannot be supplied by the domestic particular fiber, yarn or fabric and that participation in ICANN by global industry in commercial quantities in a the requesting party would bear the Internet stakeholders, such as providing timely manner and requesting that CITA burden of demonstrating that a change educational services and fostering consider whether the North American is warranted. NAFTA Implementation information sharing for constituents and Free Trade Agreement (NAFTA) rule of Act, SAA, H. Doc. 103-159, Vol. 1, at promoting best practices among origin for knit pile fabrics, classified 491 (1993). The SAA provides that CITA industry segments.’’14 What progress do under HTSUS subheading 6001.10, may make a recommendation to the you believe ICANN has achieved with should be modified to allow the use of President regarding a change to a rule of non-North American acrylic staple fiber. origin for a textile or apparel good. SAA 11Id at ¶ 6. The President may proclaim a at 491. The NAFTA Implementation Act 12Id at ¶ 7. modification to the NAFTA rules of provides the President with the 13Id at ¶ 8. authority to proclaim modifications to 14Id at ¶ 9. 15Id at ¶ 10. the NAFTA rules of origin as are

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necessary to implement an agreement DEPARTMENT OF DEFENSE 41 CFR 102–3.140(C) and section with one or more NAFTA country on 10(a)(3) of the Federal Advisory such a modification. See section 202(q) Office of the Secretary Committee Act, and the procedures of the NAFTA Implementation Act. described in this notice. Written On October 29, 2007, the Chairman of Defense Health Board (DHB) Meeting statement should be not longer than two CITA received a request from Monterey AGENCY: Department of Defense. type-written pages and must address the Mills, alleging that certain acrylic staple ACTION: Notice of meeting. following detail: The issue, discussion, fibers, not carded, combed or otherwise and a recommended course of action. processed for spinning, classified under SUMMARY: Pursuant to the Federal Supporting documentation may also be subheading 5503.30 of the Harmonized Advisory Committee Act of 1972 (5 included as needed to establish the Tariff Schedule of the United States U.S.C. Appendix as amended), the appropriate historical context and to (HTSUS), cannot be supplied by the Sunshine in the Government Act of provide any necessary background domestic industry in commercial 1976 (5 U.S.C. 552b, as amended), and information. quantities in a timely manner and 41 CFR 102–3.150, and in accordance requesting that CITA consider whether Individuls desiring to submit a with section 10(a)(2) of Public Law, the written statement may do so through the the North American Free Trade following meeting is announced: Board’s Designated Federal Officer at Agreement (NAFTA) rule of origin for Name of Committee: Defense Health the address detailed below at any point. knit pile fabrics, classified under Board (DHB). However, if the written statement is not HTSUS subheading 6001.10, should be Dates: December 11 and 12, 2007. modified to allow the use of non-North received at least 10 calendar days prior Times: December 11, 2007. to the meeting, which is subject to this American acrylic staple fiber. 8 a.m.–12:15 p.m. (Open Session). CITA is soliciting public comments notice, then it may not be provided to 1:30 p.m.–4:15 p.m. (Open Session). or considered by the Defense Health regarding this request, particularly with December 12, 2007. Board until the next open meeting. respect to whether the acrylic staple 8:30 a.m.–12 p.m. (Open Session). fiber described above can be supplied The Designated Federal Officer will by the domestic industry in commercial Place of Meeting: Sheraton Crystal City, 1800 Jefferson Davis Highway, review all timely submissions with the quantities in a timely manner. Defense Health Board Chairperson, and Comments must be received no later Arlington, Virginia 22202. Purpose of the Meeting: The purpose ensure they are provided to members of than December 3, 2007. Interested the Defense Health Board before the persons are invited to submit six copies of the meeting is to address and deliberate pending and new Board meeting that is subject to this notice. of such comments or information to the After reviewing the written comments, Chairman, Committee for the issues and provide briefings for Board members on topics related to ongoing the Chairperson and the Designated Implementation of Textile Agreements, Federal Officer may choose to invite the Room 3100, U.S. Department of Board business. Agenda: The Board will deliberate the submitter of the comments to orally Commerce, 14th and Constitution findings and recommendations of the present their issue during an open Avenue, N.W., Washington, DC 20230. portion of this meeting or at a future If a comment alleges that these acrylic Task Force on the Future of Military meeting. staple fibers can be supplied by the Health Care and receive an update on domestic industry in commercial the Department’s efforts to reengineer The Designated Federal Officer, in quantities in a timely manner, CITA will the Disability Evaluation Program. The consultation with the Defense Health closely review any supporting Board will receive reports from the Board Chairperson, may, if desired, allot documentation, such as a signed Psychological Health and Traumatic a specific amount of time for members statement by a manufacturer stating that Brain Injury External Advisory of the public to present their issues for it produces fiber that is the subject of Subcommittees. The Board will also review and discussion by the Defense the request, including the quantities that deliberate recommendations regarding Health Board. Emergency Blood Transfusion Safety can be supplied and the time necessary FOR FURTHER INFORMATION CONTACT: to fill an order, as well as any relevant and discuss DoD’s convalescent plasma treatment guidelines development. Colonel Roger L. Gibson, Executive information regarding past production. Secretary, Defense Health Board, Five CITA will protect any business Pandemic influenza preparedness and Skyline Place, 5111 Leesburg Pike, confidential information that is marked Chlamydia infection control will also be Room 810, Falls Church, Virginia business confidential from disclosure to discussed. 22041–3206, (703) 681–3279, Ext 123, the full extent permitted by law. CITA On December 12, 2007, the board will Fax: (703–681–3321, will make available to the public non- hold a short preparatory session before ([email protected]). Additional confidential versions of the request and the beginning of the open meeting and information, agenda updates, and non-confidential versions of any public an administrative session after the open comments received with respect to a meeting is adjourned. The preparatory meeting registration are available online request in room 3100 in the Herbert and administrative sessions are closed at the Defense Health Board Web site, Hoover Building, 14th and Constitution to the public. http://www.ha.osd.mil/dhb. The public Avenue, N.W., Washington, DC 20230. Pursuant to 5 U.S.C. 552b, as is encouraged to register for the meeting. Persons submitting comments on a amended, and 41 CFR 102–3.140 Written statements may be mailed to the request are encouraged to include a non- through 102–3.165 and subject above address, e-mailed to confidential version and a non- availability of space, the Defense Health [email protected] of faxed to (703) 681– confidential summary. Board meeting from 8 a.m. to 4:15 p.m. 3321. on December 11, 2007 and from 8:30 Dated: October 29, 2007. R. Matthew Priest, a.m. to 12 p.m. on December 12, 2007 Chairman, Committee for the Implementation is open to the public. Any member of L.M. Bynum, of Textile Agreements. the public wishing to provide input to Liaison Officer, Department of Defense. [FR Doc. E7–21627 Filed 11–1–07; 8:45 am] the Defense Health Board should submit [FR Doc. 07–5455 Filed 11–1–07; 8:45 am] BILLING CODE 3510–DS a written statement in accordance with BILLING CODE 5501–06–M

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DEPARTMENT OF DEFENSE may be submitted at any time. However, administrative transfer of NVRA if individual comments pertain to a regulations previously adopted and Office of the Secretary specific topic being discused at a maintained by the FEC. These planned meeting then these statements regulations are currently located at 11 Meeting of the Uniform Formulary must be submitted no later than five (5) CFR Part 8. In accordance with the Beneficiary Advisory Panel business days prior to the meeting in Administrative Procedures Act (APA), AGENCY: Assistant Secretary of Defense question. The Designated Federal this administrative transfer of the (Health Affairs), Department of Defense. Officer will review all submitted written regulations would make no substantive statements and provide copies to all the changes to the FEC regulations and ACTION: Notice of meeting. committee members. would be made without public SUMMARY: Under the provisions of the Public Comments: In addition to comment. The only changes made Federal Advisory Committee Act of written statements, the Panel will set would be technical, such as the address 1972 (5 U.S.C., Appendix, as amended) will set aside one (1) hour for individual and contact information for the and the Sunshine in the Government or interested groups to address the responsible agency. Following this Act of 1976 (U.S.C. 522b, as amended) Panel. To ensure consideration of their administrative transfer of the the Department of Defense announces comments, individuals and interested regulations, the EAC would begin efforts the following Federal Advisory groups should submit written to substantively amend the rules. This Committee Meeting. statements as outlined in this notice. rulemaking process would include Name of Committee: Uniform Additionally, they will be afforded the substantial public involvement, Formulary Beneficiary Advisory Panel opportunity to address the Panel. including public notice and comment (hereafter referred to as the Panel). Registration for addressing the Panel in pursuant to the APA. The EAC currently Date of Meeting: Thursday, January on a first-come, first-serve basis. Those seeks public comment on whether the 10, 2008. wishing to address the Panel will be agency should administratively transfer Location: Naval Heritage Center given no more than five (5) minutes to regulations previously adopted and Theater, 701 Pennsylvania Avenue NW., present their comments, and at the end maintained by the FEC regarding the Washington, DC 20004. of the one (1) hour time period no NVRA, currently located at 11 CFR Part 8, and then substantively amend those Time: 8 a.m. to 4 p.m. further public comments will be rules. Please note that the EAC does not Purpose of Meeting: The Panel will accepted. seek substantive comment on the review and comment on FOR FURTHER INFORMATION CONTACT: content of the existing regulations or recommendations made to the Director, Major Travis Watson, Designated potential modifications to the TRICARE Management Activity, by the Federal Officer, Uniform Formulary regulations. Pharmacy and Therapeutics (P&T) Beneficiary Advisory Panel, Skyline 5, Committee regarding the Uniform Suite 810–5111 Leesburg Pike, Falls DATES: Comments must be received on Formulary. Church, Virginia 22041–3206, or before 4 p.m. on December 3, 2007. Meeting Agenda: Sign-In; Welcome Telephone: (703) 681–2890—Fax: (703) ADDRESSES: Comments must be and Opening Remarks; Opportunity for 681–1940, E-mail Address: submitted in either electronic or written Public Citizen Comments; Scheduled [email protected]. form. Comments may be submitted Therapeutic Class Reviews—Targeted Dated: October 26, 2007. online at http://www.eac.gov. Immunomodulatory Biologics (TIBs), L.M. Bynum, Commenters are encouraged to submit comments electronically to ensure BPH Alpha Blockers (BPH-ABs), Alternate OSD Federal Register Liaison Adrenergic Blocking Agents (ABAs) and Officer. timely receipt and consideration. Written comments should be sent to: Designated Newly Approved Drugs; [FR Doc. 07–5456 Filed 11–1–07; 8:45 am] Panel Discussions and Vote, and NVRA Comments, Election BILLING CODE 5001–06–M comments following each therapeutic Administration Support Division, U.S. class review. Election Assistance Commission, 1225 Meeting Accessibility: Pursuant to 5 New York Ave., NW., Suite 1100, ELECTION ASSISTANCE COMMISSION U.S.C. 552b, as amended, and 41 CFR Washington, DC 20005. 102–3.140 through 102–3.165, and the [Notice 2007–42] FOR FURTHER INFORMATION CONTACT: Mr. availability of space this meeting is Edgardo Corte´s, Election Research open to the public. Seating is limited Consideration of Administrative Specialist, (202) 566–3100 or toll-free and will be provided only to the first Transfer of national Voter Registration (866) 747–1471. 220 people signing in. All persons must Act Regulations SUPPLEMENTARY INFORMATION: The sign in legibly. AGENCY: Election Assistance National Voter Registration Act of 1993 Written Statements: Pursuant to 41 Commission. (NVRA), Pub. L. 93–31, 197 Stat. 77, 42 CFR 102–3.105(j) and 102.3.140, the ACTION: Notice: Request for Public U.S.C. 1973gg–1 et. seq, at 42 U.S.C. public or interested organizations may Comment. 1973gg–7(a) required the Federal submit written statements to the Election Commission (FEC) to issue membership of the Panel at any time or SUMMARY: The Help America Vote Act of regulations to develop a national mail in response to the stated agenda of a 2002 (Pub. L. 107–252, 116 Stat. 1727, voter registration form for elections to planned meeting. Written statements 42 U.S.C. 15532) transferred authority to Federal office, and to submit to should be submitted to the Panel’s promulgate regulations under the Congress no later than June 30 of each Designated Federal Officer. The National Voter Registration Act of 1993 odd-numbered year (beginning June 30, Designated Federal Officer’s contact (NVRA) (Pub. L. 93–31, 197 Stat. 77, 42 1995) a report that assesses the impact information can be obtained from the U.S.C. 1973gg–1 et. seq. at 41 U.S.C. of the NVRA and recommends GSA’s FACA Database—http:// 1973gg–7(a)) from the Federal Election improvements in Federal and State www.fido.gov/facadatabase/public.asp. Commission (FEC) to the Election procedures, forms, and other matters Written statements that do not pertain Assistance Commission (EAC). The EAC affected by the NVRA. The FEC to the scheduled meeting of the Panel is presently considering the published an Advance Notice of

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Proposed Rulemaking in connection initiate a rule making process under 5 Filed Date: 09/17/2007. with the NVRA rulemaking on U.S.C. 553 independent of the FEC Accession Number: 20070919–0058. September 30, 1993 (58 FR 51132), and rules. In either scenario, EAC will Comment Date: 5 p.m. Eastern Time Notice of Proposed Rulemaking on follow all the rulemaking requirements on Tuesday, October 9, 2007. March 10, 1994 (59 FR 11211). of the APA, which allows for extensive Docket Numbers: ER07–1371–000. Following a public notice and comment public comment and transparency in the Applicants: Sierra Pacific Power rulemaking, the FEC issued rules regulatory process. Company; Nevada Power Company. implementing these requirements on Description: Sierra Pacific Power Co June 23, 1994. 59 FR 32323. Thomas R. Wilkey, Executive Director, U.S. Election Assistance and Nevada Power Co submits a change Section 802 of the Help America Vote in the rates for transmission services Act of 2002 (HAVA), Pub. L. 107–252, Commission. [FR Doc. 07–5447 Filed 10–30–07; 9:30 am] under the SPR Operating Companies’ 116 Stat. 1727, 42 U.S.C. 15532, open-access transmission tariff, FERC BILLING CODE 6820–KF–M transferred the FEC’s responsibilities Third Revised Volume 1. under the NVRA to the Election Filed Date: 09/14/2007. Assistance Commission (EAC) but it did Accession Number: 20070918–0167. DEPARTMENT OF ENERGY not transfer the FEC’s previously Comment Date: 5 p.m. Eastern Time adopted regulations. In order to carry on Friday, October 5, 2007. out the functions listed in section 9(a) Federal Energy Regulatory of the NVRA [42 U.S.C. 1973gg–7(a)], Commission Docket Numbers: ER07–1373–000. the EAC must promulgate regulations. Applicants: California Independent The EAC currently seeks public Combined Notice of Filings # 1 System Operator Corp. comment on whether the agency should Description: California Independent September 20, 2007. System Operator Corp submits an administratively transfer regulations Take notice that the Commission previously adopted and maintained by unexecuted Operating Agreement with received the following electric rate PacifiCorp. the FEC regarding the NVRA. The filings: administrative transfer would move the Filed Date: 09/14/2007. Docket Numbers: ER98–2157–010; Accession Number: 20070918–0136. existing FEC regulations (11 CFR Part 8) ER03–9–009. to the EAC’s Code of Federal Comment Date: 5 p.m. Eastern Time Applicants: Western Resources, Inc.; on Friday, October 5, 2007. Regulations site and only make Kansas Gas and Electric Company. technical changes to the mailing address Description: Westar Energy, Inc and Docket Numbers: ER07–1375–000. and contact information for the agency. Kansas Gas and Electric Co submits Applicants: Midwest Independent EAC believes that good cause exists for Fifth Revised Sheet 1 et al to FERC Transmission System Operator, Inc. adopting the FEC rules as final EAC Electric Tariff, Third Revised Volume 6, Description: Midwest Independent rules without public notice and to be effective 9/18/07. Transmission System Operator, Inc comment under 5 U.S.C. 553 because Filed Date: 09/17/2007. submits an unexecuted Large Generator this rule only reflects an administrative Accession Number: 20070919–0065. Interconnection Agreement with transfer of functions required by HAVA. Comment Date: 5 p.m. Eastern Time Interstate Power and Light Co et al. No substantive changes will be made to on Tuesday, October 9, 2007. Filed Date: 09/14/2007. the rules, which have already been Accession Number: 20070918–0138. Docket Numbers: ER99–1757–013. subject to public notice and comment. Comment Date: 5 p.m. Eastern Time Applicants: The Empire District Similarly, because this final rule is a on Friday, October 5, 2007. Electric Company. recodification of existing regulations, it Description: The Empire District Docket Numbers: ER07–1376–000. would not be subject to the effective Electric Co submits Fifth Revised Sheet Applicants: New York Independent date limitation of 5 U.S.C. 5539d). After 1 et al to FERC Electric Tariff, First System Operator, Inc. the proposed administrative transfer of Description: New York Independent the regulations, the EAC would take Revised Volume 3, to be effective 9/18/ 07. System Operator, Inc submits an steps to substantively amend the rules, informational filing re the Joint which would significantly involve the Filed Date: 09/17/2007. Accession Number: 20070919–0059. Operating Agreement executed on 5/20/ public and include an opportunity for Comment Date: 5 p.m. Eastern Time 07 et al. public notice and comment pursuant to on Tuesday, October 9, 2007. Filed Date: 09/14/2007. the Administrative Procedures Act Docket Numbers: ER06–819–006. Accession Number: 20070918–0139. (APA). Comment Date: 5 p.m. Eastern Time Again, the EAC is seeking comment Applicants: Consolidated Edison on Friday, October 5, 2007. on its proposed plan to first Energy Massachusetts, Inc. and administratively transfer and then Consolidated Edison Energy, Inc. Docket Numbers: ER07–1382–000. substantively amend the NVRA rules Description: ERRATA to Correct Applicants: Duke Energy Carolinas, located at 11 CFR Part 8. At this time, Compliance Filing of Refund Report of LLC. the EAC does not seek comment on the Consolidated Edison Energy Description: Duke Energy Carolinas, substance of the regulations. As such, Massachusetts, Inc., et al. LLC submits a long-term firm this notice and request for public Filed Date: 09/14/2007. Transmission Service Agreement with comment is not required by or made Accession Number: 20070914–5012. Cargill Power Markets, LLC. pursuant to the APA. Comment Date: 5 p.m. Eastern Time Filed Date: 09/18/2007. After review of the public comments on Friday, October 5, 2007. Accession Number: 20070919–0060. received pursuant to this notice, the Docket Numbers: ER07–1355–001. Comment Date: 5 p.m. Eastern Time EAC will decide whether to Applicants: Avista Energy, Inc. on Tuesday, October 9, 2007. administratively transfer the regulations Description: Avista Energy, Inc Docket Numbers: ER07–1383–000; and then substantively modify them, as submits an errata to the notice of ER07–1384–000. described above. If this process is not Cancellation of Market-Base Rate Applicants: Duke Energy Shared adopted, the EAC will alternatively Schedule filed 9/7/07. Services, Inc.

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Description: Duke Energy Shared (866) 208–3676 (toll free). For TTY, call 0038. Such deliveries are only accepted Services, Inc submits a notice of (202) 502–8659. during the Docket’s normal hours of operation, and special arrangements cancellation. Nathaniel J. Davis, Sr., Filed Date: 09/18/2007. should be made for deliveries of boxed Acting Deputy Secretary information. Accession Number: 20070919–0061. [FR Doc. E7–21645 Filed 11–1–07; 8:45 am] Instructions: Direct your comments to Comment Date: 5 p.m. Eastern Time BILLING CODE 6717–01–P Docket ID No. EPA–HQ–OAR–2002– on Tuesday, October 9, 2007. 0038. EPA’s policy is that all comments received will be included in the public Any person desiring to intervene or to ENVIRONMENTAL PROTECTION docket without change and may be protest in any of the above proceedings AGENCY made available online at must file in accordance with Rules 211 www.regulations.gov, including any [EPA–HQ–OAR–2002–0038; FRL–8490–7] and 214 of the Commission’s Rules of personal information provided, unless Practice and Procedure (18 CFR 385.211 Agency Information Collection the comment includes information and 385.214) on or before 5 p.m. Eastern claimed to be Confidential Business time on the specified comment date. It Activities; Proposed Collection; Comment Request; Requirements for Information (CBI) or other information is not necessary to separately intervene Control Technology Determinations whose disclosure is restricted by statute. again in a subdocket related to a from Major Sources in Accordance Do not submit information that you compliance filing if you have previously with Clean Air Act Sections, Sections consider to be CBI or otherwise intervened in the same docket. Protests 112(g) and 112(j); EPA ICR No. 1648.06, protected through www.regulations.gov, will be considered by the Commission OMB Control No. 2060–0266 or e-mail. Send or deliver information in determining the appropriate action to identified as CBI only to the following be taken, but will not serve to make AGENCY: Environmental Protection address: Mr. Roberto Morales, OAQPS protestants parties to the proceeding. Agency (EPA). Document Control Officer, U.S. EPA Anyone filing a motion to intervene or ACTION: Notice. (C404–02), Attention Docket ID No. protest must serve a copy of that EPA–HQ–OAR–2002–0038, Research document on the Applicant. In reference SUMMARY: In compliance with the Triangle Park, NC 27711. Clearly mark to filings initiating a new proceeding, Paperwork Reduction Act (44 U.S.C. the part or all of the information that interventions or protests submitted on 3501, et seq.), this document announces you claim to be CBI. The or before the comment deadline need that EPA is planning to submit a request www.regulations.gov Web site is an not be served on persons other than the to reinstate an Information Collection ‘‘anonymous access’’ system, which Request (ICR) to the Office of Applicant. means EPA will not know your identity Management and Budget (OMB). The or contact information unless you The Commission encourages existing ICR expired on May 31, 2005. provide it in the body of your comment. electronic submission of protests and Before submitting the ICR to OMB for If you send an e-mail comment directly interventions in lieu of paper, using the review and approval, EPA is soliciting to EPA without going through , your e- FERC Online links at http:// comments on specific aspects of the mail address will be automatically www.ferc.gov. To facilitate electronic proposed information collection as captured and included as part of the service, persons with Internet access described below. comment that is placed in the public who will eFile a document and/or be DATES: Comments must be submitted on docket and made available on the listed as a contact for an intervenor or before January 2, 2008. Internet. If you submit an electronic must create and validate an ADDRESSES: Submit your comments, comment, EPA recommends that you eRegistration account using the identified by Docket ID No. EPA–HQ– include your name and other contact eRegistration link. Select the eFiling OAR–2002–0038, by one of the information in the body of your link to log on and submit the following methods: comment and with any disk or CD–ROM intervention or protests. • www.regulations.gov: Follow the you submit. If EPA cannot read your comment due to technical difficulties Persons unable to file electronically on-line instructions for submitting and cannot contact you for clarification, should submit an original and 14 copies comments. • E-mail: [email protected], EPA may not be able to consider your of the intervention or protest to the comment. Electronic files should avoid Federal Energy Regulatory Commission, Attention Docket ID No. EPA–HQ– OAR–2002–0038. the use of special characters, any form 888 First St., NE., Washington, DC • of encryption, and be free of any defects 20426. Fax: (202) 566–9744, Attention Docket ID No. EPA–HQ–OAR–2002– or viruses. The filings in the above proceedings 0038. FOR FURTHER INFORMATION CONTACT: Rick are accessible in the Commission’s • Mail: U.S. Environmental Colyer, U.S. EPA, Office of Air Quality eLibrary system by clicking on the Protection Agency, EPA Docket Center, Planning and Standards, Sector Policy appropriate link in the above list. They Air and Radiation Docket and and Programs Division, Program Design are also available for review in the Information Center, 1200 Pennsylvania Group, D205–02, Research Triangle Commission’s Public Reference Room in Ave., NW., Mail Code 2822T, Park, North Carolina 27711, telephone Washington, DC There is an Washington, DC 20460, Attention number (919) 541–5262, e-mail eSubscription link on the Web site that Docket ID No. EPA–HQ–OAR–2002– [email protected]. enables subscribers to receive e-mail 0038. SUPPLEMENTARY INFORMATION: notification when a document is added • Hand Delivery: U.S. Environmental How Can I Access the Docket and/or to a subscribed dockets(s). For Protection Agency Docket Center, Public Submit Comments? assistance with any FERC Online Reading Room, EPA West Building service, please e-mail Room 3334, 1301 Constitution Ave., EPA has established a public docket [email protected] or call NW., Washington, DC, 20460, Attention for this ICR under docket ID number Docket ID No. EPA–HQ–OAR–2002– EPA–HQ–OAR–2002–0038. The docket

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is available for online viewing at 3. Provide copies of any technical structural clay products manufacturing; www.regulations.gov, or in person information and/or data you used that clay ceramics manufacturing; and viewing at the EPA Docket Center, support your views. industrial, commercial, and institutional Public Reading Room, EPA West, Room 4. If you estimate potential burden or boilers and process heaters. Previous 3334, 1301 Constitution Avenue, NW., costs, explain how you arrived at the MACT standards for these source Washington, DC. The Public Reading estimate that you provide. categories have been vacated by the U.S. Room is open from 8 a.m. to 4:30 p.m., 5. Offer alternative ways to improve Court of Appeals for the District of Monday through Friday, excluding legal the collection activity. Columbia Circuit. Sources previously holidays. The telephone number for the 6. Make sure to submit your subject or that would have been subject Public Reading Room is (202) 566–1744, comments by the deadline identified to those MACT standards would be and the telephone number for the Air under DATES. those entities affected by this ICR. Docket is (202) 566–1742. 7. To ensure proper receipt by EPA, Owners and operators of affected Use www.regulations.gov to obtain a be sure to identify the docket ID number sources must submit title V permit copy of the draft collection of assigned to this action in the subject applications or amendments and information, submit or view public line on the first page of your response. comply with terms and conditions comments, access the index listing of You may also provide the name, date, established under those permits or the contents of the docket, and to access and Federal Register citation. modifications related to case-by-case MACT. The terms and conditions can those documents in the public docket To What Information Collection include performance testing, that are available electronically. Once in Activity or ICR Does this Apply? the system, select ‘‘search,’’ then key in monitoring, recordkeeping, and Affected entities: Entities potentially the docket ID number identified in this reporting. Because the time it will take affected by this action are major sources document. to develop and amend permits and time of hazardous air pollutants (HAPs) in allowed for compliance with the case- What Information is EPA Particularly the following source categories: by-case MACT for existing sources will Interested in? Polyvinyl chloride and copolymers exceed the term of this ICR, it is not Pursuant to section 3506(c)(2)(A) of production; brick and structural clay anticipated that this ICR will cover the Paperwork Reduction Act (PRA), products manufacturing; clay ceramics those activities. We anticipate that this EPA is soliciting comments and manufacturing; and industrial, ICR will cover any activities involving information to enable it to: commercial, and institutional boilers the development and submittal of Part and process heaters. A major source is (i) Evaluate whether the proposed 1 and Part 2 permit applications, the one that has the potential to emit more collection of information is necessary permitting authority’s development of than 10 tons per year of any HAP, 25 for the proper performance of the the permit terms and conditions and tons per year for the total of all HAP, or functions of the Agency, including permit review and approval. amounts exceeding any lesser quantity whether the information will have Burden Statement: Burden means the cutoff established pursuant to practical utility; total time, effort, or financial resources § 112(a)(1) of the CAA. (ii) Evaluate the accuracy of the expended by persons to generate, Title: Information Collection Request maintain, retain, or disclose or provide Agency’s estimate of the burden of the for Requirements for Control proposed collection of information, information to or for a Federal agency. Technology Determinations from Major This includes the time needed to review including the validity of the Sources in Accordance with Clean Air methodology and assumptions used; instructions to; develop, acquire, install, Act Sections, Sections 112(g) and 112(j). and utilize technology and systems for (iii) Enhance the quality, utility, and ICR numbers: EPA ICR No. 1648.06, the purposes of collecting, validating, clarity of the information to be OMB Control No. 2060–0266. and verifying information, processing collected; and ICR status: The previous ICR expired and maintaining information, and (iv) Minimize the burden of the on May 31, 2005. An Agency may not disclosing and providing information; collection of information on those who conduct or sponsor, and a person is not adjust the existing ways to comply with are to respond, including the use of required to respond to, a collection of any previously applicable instructions appropriate automated electronic, information, unless it displays a and requirements which have mechanical, or other technological currently valid OMB control number. subsequently changed; train personnel collection techniques or other forms of The OMB control numbers for EPA’s to be able to respond to a collection of information technology, e.g., permitting regulations in title 40 of the CFR, after information; search data sources; electronic submission of responses. In appearing in the Federal Register when complete and review the collection of particular, EPA is requesting comments approved, are listed in 40 CFR part 9, information; and transmit or otherwise from very small businesses (those that are displayed either by publication in disclose the information. employ less than 25) or examples of the Federal Register or by other The ICR Supporting Statement specific additional efforts that EPA appropriate means, such as on the provides an explanation of the Agency’s could make to reduce the paperwork related collection instrument or form, if estimate, that is only briefly burden for very small businesses applicable. The display of OMB control summarized here: affected by this collection. numbers in certain EPA regulation is Estimated total number of potential What Should I Consider when I Prepare consolidated in 40 CFR part 9. respondents: 20,000. my Comments for EPA? Abstract: The regulations governing Frequency of response: One time. section 112(j) case-by-case MACT Estimated total average number of You may find the following determinations were promulgated on responses for each respondent: One title suggestions helpful for preparing May 20, 1994 (59 FR 26449), and V application or amendment (Part 1 and comments: amended last on May 30, 2003 (68 FR Part 2 application combined). 1. Explain your views as clearly as 32586). Estimated total annual burden hours: possible and provide specific examples. The affected entities of this ICR are 1,127,333. 2. Describe any assumptions that you major sources of polyvinyl chloride and Estimated total annual costs: used. copolymers production; brick and $65,636,200.

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Are There Changes in the Estimates DATES: The Cadmus Group, Inc. will be required under both the Safe Drinking from the Last Approval? given access to this information on or Water Act and the Clean Water Act. The previous ICR covered only Part 1 before November 9, 2007. This contract involves no applications. This ICR covers both Part FOR FURTHER INFORMATION CONTACT: subcontractors. 1 and Part 2 applications as well as the Felicia Croom, Information Technology OPP has determined that the contract and Resources Management Division permitting authorities’ review and described in this document involves approval of those applications, (7502P), Office of Pesticide Programs, work that is being conducted in development of case-by-case MACT, Environmental Protection Agency, 1200 connection with FIFRA, in that public notice and comment, and Pennsylvania Ave., NW., Washington, pesticide chemicals will be the subject issuance of the final permit. The burden DC 20460–0001; telephone number: between the previous ICR and this ICR (703) 305–0786; e-mail address: of certain evaluations to be made under are very significant primarily because [email protected]. this contract. These evaluations may be they cover different activities. used in subsequent regulatory decisions SUPPLEMENTARY INFORMATION: under FIFRA. What is the Next Step in the Process for I. General Information Some of this information may be this ICR? A. Does this Action Apply to Me? entitled to confidential treatment. The EPA will consider any comments information has been submitted to EPA received and amend the ICR as This action applies to the public in under sections 3, 4, 6, and 7 of FIFRA appropriate. The final ICR package will general. As such, the Agency has not and under sections 408 and 409 of then be submitted to OMB for review attempted to describe all the specific FFDCA. and approval pursuant to 5 CFR entities that may be affected by this 1320.12. At that time, EPA will issue action. If you have any questions In accordance with the requirements another Federal Register notice regarding the applicability of this action of 40 CFR 2.307(h)(3), the contract with pursuant to 5 CFR 1320.5(a)(1)(iv) to to a particular entity, consult the person The Cadmus Group, Inc., prohibits use announce the submission of the ICR to listed under FOR FURTHER INFORMATION of the information for any purpose not OMB and the opportunity to submit CONTACT. specified in the contract; prohibits additional comments to OMB. If you disclosure of the information to a third B. How Can I Get Copies of this have any questions about this ICR or the party without prior written approval Document and Other Related approval process, please contact the from the Agency; and requires that each Information? person listed under FOR FURTHER official and employee of the contractor INFORMATION CONTACT. 1. Docket. EPA has established a sign an agreement to protect the Dated: October 29, 2007. docket for this action under docket information from unauthorized release Joseph A. Sierra, identification (ID) number EPA–HQ– and to handle it in accordance with the OPP–2007–0038. Publicly available Acting Director, Collection Strategies FIFRA Information Security Manual. In Division. docket materials are available either in addition, The Cadmus Group, Inc. is the electronic docket at http:// [FR Doc. E7–21608 Filed 11–1–07; 8:45 am] required to submit for EPA approval a www.regulations.gov, or, if only BILLING CODE 6560–50–P security plan under which any CBI will available in hard copy, at the Office of be secured and protected against Pesticide Programs (OPP) Regulatory unauthorized release or compromise. No ENVIRONMENTAL PROTECTION Public Docket in Rm. S–4400, One information will be provided to The Potomac Yard (South Bldg.), 2777 S. AGENCY Cadmus Group, Inc. until the Crystal Drive, Arlington, VA. The hours requirements in this document have [EPA–HQ–OPP–2007–0038; FRL–8155–3] of operation of this Docket Facility are been fully satisfied. Records of from 8:30 a.m. to 4 p.m., Monday The Cadmus Group, Inc.; Transfer of through Friday, excluding legal information provided to The Cadmus Data holidays. The Docket Facility telephone Group, Inc. will be maintained by EPA Project Officers for this contract. All AGENCY: Environmental Protection number is (703) 305–5805. information supplied to The Cadmus Agency (EPA). 2. Electronic access. You may access Group, Inc. by EPA for use in ACTION: Notice. this Federal Register document electronically through the EPA Internet connection with this contract will be SUMMARY: This notice announces that under the ‘‘Federal Register’’ listings at returned to EPA when The Cadmus pesticide related information submitted http://www.epa.gov/fedrgstr. Group, Inc. has completed its work. to EPA’s Office of Pesticide Programs II. Contractor Requirements List of Subjects (OPP) pursuant to the Federal Insecticide, Fungicide, and Rodenticide Under Contract No. EP–C–07–022, the Environmental protection, Business Act (FIFRA) and the Federal Food, Drug, contractor will review and evaluate the and industry, Government contracts, and Cosmetic Act (FFDCA), including most recent toxicity, occurrence and Government property, Security information that may have been claimed exposure information for atrazine and measures. as Confidential Business Information triazines (simazine and propazine) and (CBI) by the submitter, will be other pesticides in water to support Dated: October 26, 2007. transferred to The Cadmus Group, Inc. health effect reviews under the Safe Oscar Morales, in accordance with 40 CFR 2.307(h)(3) Drinking Water Act and the Clean Water Acting Director, Office of Pesticide Programs. and 2.308(i)(2). The Cadmus Group, Inc. Act. Access by The Cadmus Group Inc. [FR Doc. E7–21598 Filed 11–1–07; 8:45 am] has been awarded multiple contracts to to this information will enable the BILLING CODE 6560–50–S perform work for OPP, and access to Office of Water to have increased this information will enable The support and use of the best available, Cadmus Group, Inc. to fulfill the peer reviewed science to support obligations of the contract. decisions and develop the analyses

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ENVIRONMENTAL PROTECTION for Deep-Draft Wharf and Fill Weekly receipt of Environmental AGENCY Improvements, Implementation, Piti, Impact Statements. Guam. Filed 10/22/2007 through 10/26/2007. [ER–FRL–6692–6] Summary: EPA expressed Pursuant to 40 CFR 1506.9. EIS No. 20070452, Draft EIS, BLM, CO, Environmental Impact Statements and environmental objections about Canyons of the Ancients National Regulations; Availability of EPA significant impacts to the marine Monument Resource Management Comments environment and coral reefs including the permanent loss of 29 acres of coral Plan, To Address Future Management Availability of EPA comments reef and impacts on up to 150 acres of Options for Approximately 165.00 prepared pursuant to the Environmental marine habitat. EPA recommended Acres of Land, Dolores and Review Process (ERP), under section evaluation of less damaging alternatives Montezuma Counties, CO, Comment 309 of the Clean Air Act and section for the fill/creation of operational Period Ends: 01/25/2008, Contact: 102(2)(c) of the National Environmental backlands and a comprehensive Heather Muselow 970–882–5600. Policy Act as amended. Requests for approach for compensatory mitigation. EIS No. 20070453, Draft EIS, BLM, UT, copies of EPA comments can be directed Rating EO2. Monticello Field Office Resource to the Office of Federal Activities at EIS No. 20070274, ERP No. DS–COE– Management Plan, To Guide the 202–564–7167. D30005–MD, Atlantic Coast of Management of Public Land, Southern An explanation of the ratings assigned Maryland Shoreline Protection two-third of San Juan County and to draft environmental impact Project, Proposed Dredging of Several small portion on the Northern statements (EISs) was published in FR New Offshore Shoals to Provide Sand boundary within Grand County, UT, dated April 6, 2007 (72 FR 17156). for Borrow Sources from 2010 to Comment Period Ends: 01/30/2008, DRAFT EISs 2044, Ocean City, Worcester County, Contact: Gary Torres 435–587–1524. MD. EIS No. 20070454, Draft EIS, BIA, WY, EIS No. 20070286, ERP No. D–BLM– Summary: EPA expressed Riverton Dome coal Bed Natural Gas J65331–WY, Kemmerer Field Office environmental concerns about impacts (CBNG) and Conventional Gas Planning Area, Resource Management to offshore shoals. Rating EC1. Development Project, Construction of Plan, Implementation, Lincoln, Well Pads, Roads, Pipelines, and Sweetwater and Uinta Counties, WY. FINAL EISs Production Facilities, Wind River Summary: EPA expressed EIS No. 20070381, ERP No. F–AFS– Indian Reservation (WEIR), Fremont environmental concerns about impacts L65508–AK, Kenai Winter Access Count, WY, Comment Period Ends: from cumulative emissions leading to Project, Develop a Winter Access 01/02/2008, Contact: Ray Nation 307– visibility impairments and/or Management Plan for 2006/2007 332–3718. exceedances of air quality standards. EIS No. 20070455, Draft EIS, SFW, CA, EPA recommended broad Winter Season, Implementation, Seward Ranger District, Chugach Coyote Spring Investment Multi implementation of air mitigation species Conservation Plan, Issuing a measures. Rating EC2. National Forest, Located on the Kenai Peninsula in Southcentral, AK. 40-year Incidental Take Permit for EIS No. 20070295, ERP No. D–AFS– Summary: EPA’s previous issues have Five Species, Clark and Lincoln J39036–CO, Hunter Reservoir been resolved; therefore, EPA does not Counties, CA, Comment Period Ends: Enlargement Project, Reconstruction object to the action as proposed. 01/02/2008, Contact: Mary Grim 916– and Enlargement, Ute Water EIS No. 20070417, ERP No. F–FHW– 414–6464. Conservancy District, U.S. Army COE EIS No. 20070456, Final EIS, DOE, PA, C40337–DC, 11th Street Bridge section 404 Permit, Grand Mesa Gilbert on Coal-to-Clean Fuels and Project, Anacostia Freeway I–295/DC National Forest, Mesa County, CO. Power Project, Construction and 295, to the Southeast/Southwest Summary: EPA has identified the Operation a New Demonstration Freeway (I–695) Improvements, potential for significant adverse impacts Plant, Preferred Alternative Selected, Funding, NPDES Permit, US Army to wetlands that would be Schuylkill County, PA, Wait Period COE section 10 and 404 Permits, environmentally unsatisfactory. Major Ends: 12/03/2007, Contact: Janice L. Washington, DC. issues include the limited range of Bell 1–866–576–8240. alternatives for meeting the proposed Summary: EPA does not object to the EIS No. 20070457, Final EIS, UAF, MA, action and lack of adequate alternative proposed project. Final Recommendations and analysis, and adverse impacts to 32 Dated: October 30, 2007. Associated Actions for the 104th acres of a fen/montane wetland Ken Mittelholtz, Fighter Wing Massachusetts Air complex, an aquatic resource of national Environmental Protection Specialist, Office National Guard, Base Realignment importance. Rating EU3. of Federal Activities. and Closure, Implementation, EIS No. 20070313, ERP No. D–NOA– [FR Doc. E7–21612 Filed 11–1–07; 8:45 am] Westfield-Barnes Airport, Westfield, E91019–00, Amendment 2 to the BILLING CODE 6560–50–P MA, Wait Period Ends: 12/03/2007, Consolidated Atlantic Highly Contact: Robert Dogan 301–836–8859. Migratory Species Fishery EIS No. 20070458, Final EIS, FHW, CT, Management Plan, To Implement ENVIRONMENTAL PROTECTION CT 82/85/11 Corridor Transportation Management Measures that Prevent AGENCY Improvements, Selected Preferred Overfishing and Rebuild Overfished Alternative, is a Modification of [ER–FRL–6692–5] Stocks, Implementation, Exclusive Alternative 4(E), Funding and COE Economic Zone (EEZ) of the Atlantic Environmental Impacts Statements; Section 404 Permit, In the Towns of Ocean, Gulf of Mexico and Caribbean Notice of Availability Salem, Montville, East Lyme and Sea. Waterford, CT, Wait Period Ends: 12/ Summary: EPA does not object to the Responsible Agency: Office of Federal 03/2007, Contact: Bradley D. Keazer proposed action. Rating LO. Activities, General Information (202) 860–659–6703 Ext. 3009. EIS No. 20070339, ERP No. D–COE– 564–7167 or http://www.epa.gov/ EIS No. 20070459, Final EIS, FRC, SC, K39110–GU, Apra Harbor Master Plan compliance/nepa/. Santee Cooper Hydroelectric Project

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(FERC. No. 199), Relicensing for Dated: October 30, 2007. without change and may be made Existing 130-megawatt (MW), Santee Ken Mittelholtz, available on-line at http:// and Cooper Rivers, Berkeley, Environmental Protection Specialist, Office www.regulations.gov, including any Calhoun, Clarendon, Orangeburg and of Federal Activities. personal information provided, unless Sumter Counties, SC, Wait Period [FR Doc. E7–21590 Filed 11–1–07; 8:45 am] the comment includes information Ends: 12/03/2007, Contact: Monte BILLING CODE 6560–50–P claimed to be Confidential Business Terhaar 202–502–6035. Information (CBI) or other information whose disclosure is restricted by statute. EIS No. 20070460, Final EIS, FRC, WI, ENVIRONMENTAL PROTECTION Do not submit information that you Guardian Expansion and Extension AGENCY consider to be CBI or otherwise Project, Construction and Operation protected through regulations.gov or e- [EPA–HQ–OPP–2007–0588; FRL–8154–4] Natural Gas Pipeline Facilities, mail. The regulations.gov website is an Jefferson, Dodge, Fond du Lac, Acrolein Human Health Risk ‘‘anonymous access’’ system, which Calument, Brown, Walworth, Assessment; Notice of Availability means EPA will not know your identity Outagamie Counties, WI, Wait Period or contact information unless you Ends: 12/03/2007, Contact: Andy AGENCY: Environmental Protection provide it in the body of your comment. Black 1–866–208–3372. Agency (EPA). If you send an e-mail comment directly EIS No. 20070461, Final EIS, IBR, 00, ACTION: Notice. to EPA without going through Colorado River Interim Guidelines for regulations.gov, your e-mail address SUMMARY: This notice announces the Lower Basin Shortages and will be automatically captured and availability of EPA’s human health risk Coordinated Operations for Lake included as part of the comment that is assessment, and related documents for Powell and Lake Mead, placed in the docket and made available the pesticide acrolein, and opens a on the Internet. If you submit an Implementation, Colorado River, CO public comment period on these and CA, Wait Period Ends: 12/03/ electronic comment, EPA recommends documents (Phase 3 of 6–Phase that you include your name and other 2007, Contact: Nan Yoder 702–595– Process). The public is encouraged to contact information in the body of your 9851. suggest risk management ideas or comment and with any disk or CD-ROM EIS No. 20070462, Final EIS, MMS, 00, proposals to address the risks identified. you submit. If EPA cannot read your Eastern Planning Area Outer EPA is developing a Reregistration comment due to technical difficulties Continental Shelf (OCS) Oil and Gas Eligibility Decision (RED) for acrolein and cannot contact you for clarification, Lease Sale 224, Gulf of Mexico through a 6–Phase public participation EPA may not be able to consider your Offshore Marine Environment and process that the Agency uses to involve comment. Electronic files should avoid Coastal Parshes/Counties of LA, MS, the public in developing pesticide the use of special characters, any form AL, and North Western Florida, Wait reregistration decisions. Through this of encryption, and be free of any defects Period Ends: 12/03/2007, Contact: Dr. process, EPA is ensuring that all or viruses. Sally Valdes 703–787–1707. pesticides meet current health and Docket: All documents in the docket safety standards. are listed in the docket index available EIS No. 20070463, Draft EIS, CGD/ DATES: Comments must be received on in regulations.gov. To access the MARAD, FL, Calypso Liquefied or before January 2, 2008. electronic docket, go to http:// Natural Gas (LNG) Deepwater Port ADDRESSES: Submit your comments, www.regulations.gov, select ‘‘Advanced License Application, Proposes to Search,’’ then ‘‘Docket Search.’’ Insert Own, Construct, and Operate a identified by docket identification (ID) number EPA–HQ–OPP–2007–0588, by the docket ID number where indicated Deepwater Port, Outer Continental one of the following methods: and select the ‘‘Submit’’ button. Follow Shelf (OCS) in the OCS NG 17–06 • Federal eRulemaking Portal: http:// the instructions on the regulations.gov (Bahamas) Lease Area, 8 to 10 miles www.regulations.gov. Follow the on-line website to view the docket index or off the East Coast of Florida to the instructions for submitting comments. access available documents. Although Northeast of Port Everglades, FL, • Mail: Office of Pesticide Programs listed in the index, some information is Comment Period Ends: 12/17/2007, (OPP) Regulatory Public Docket (7502P), not publicly available, e.g., CBI or other Contact: Mary Kate Jager 202–372– Environmental Protection Agency, 1200 information whose disclosure is 1454. Pennsylvania Ave., NW., Washington, restricted by statute. Certain other material, such as copyrighted material, Amended Notices DC 20460–0001. • Delivery: OPP Regulatory Public is not placed on the Internet and will be EIS No. 20070385, Draft EIS, FHW, 00, Docket (7502P), Environmental publicly available only in hard copy Peace Bridge Expansion Project, Protection Agency, Rm. S–4400, One form. Publicly available docket Capacity Improvements to the Peace Potomac Yard (South Bldg.), 2777 S. materials are available either in the Bridge, Plazas and Connecting Crystal Dr., Arlington, VA. Deliveries electronic docket at http:// Roadways, U.S. Coast Guard Bridge are only accepted during the Docket’s www.regulations.gov, or, if only available in hard copy, at the OPP Permit, U.S. Army COE Section 10 normal hours of operation 8:30 a.m. to Regulatory Public Docket in Rm. S– and 404 Permits. City of Buffalo, Erie 4 p.m., Monday through Friday, 4400, One Potomac Yard (South Bldg.), County, NY and Town of Fort Erie, excluding legal holidays. Special arrangements should be made for 2777 S. Crystal Dr., Arlington, VA. The Ontario, Canada, Comment Period hours of operation of this Docket Ends: 11/13/2007, Contact: Amy deliveries of boxed information. The Docket Facility telephone number is Facility are from 8:30 a.m. to 4 p.m., Jackson-Grove 518–431–4131. (703) 305–5805. Monday through Friday, excluding legal Revision of Fr Notice Published 09/ Instructions: Direct your comments to holidays. The Docket Facility telephone 14/2007: Extending Comment Period docket ID number EPA–HQ–OPP–2007– number is (703) 305–5805. from 10/29/2007 to 11/13/2007. 0588. EPA’s policy is that all comments FOR FURTHER INFORMATION CONTACT: received will be included in the docket Amaris Johnson, Special Review and

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Reregistration Division (7508P), Office v. If you estimate potential costs or Agency’s risk assessment methodologies of Pesticide Programs, Environmental burdens, explain how you arrived at and assumptions as applied to this Protection Agency, 1200 Pennsylvania your estimate in sufficient detail to specific pesticide. Ave., NW., Washington, DC 20460– allow for it to be reproduced. Through this notice, EPA also is 0001; telephone number: (703) 305– vi. Provide specific examples to providing an opportunity for interested 9542; fax number: (703) 308–7070; e- illustrate your concerns and suggest parties to provide risk management alternatives. mail address: [email protected]. proposals or otherwise comment on risk vii. Explain your views as clearly as SUPPLEMENTARY INFORMATION: management for acrolein. Risks of possible, avoiding the use of profanity concern associated with the use of I. General Information or personal threats. acrolein include: A. Does this Action Apply to Me? viii. Make sure to submit your comments by the comment period 1. Exposure to workers during This action is directed to the public deadline identified. application periods, and in general, and may be of interest to a wide range of stakeholders including II. Background 2. Bystanders during post-application periods. environmental, human health, and A. What Action is the Agency Taking? agricultural advocates; the chemical In targeting these risks of concern, the industry; pesticide users; and members EPA is releasing for public comment Agency solicits information on effective of the public interested in the sale, its human health risk assessment and and practical risk reduction measures. related documents for acrolein, an distribution, or use of pesticides. Since EPA seeks to achieve environmental others also may be interested, the aldehyde, and soliciting public comment on risk management ideas or justice, the fair treatment and Agency has not attempted to describe all meaningful involvement of all people, the specific entities that may be affected proposals. Acrolein is primarily used in irrigation canals and reservoirs to treat regardless of race, color, national origin, by this action. If you have any questions or income, in the development, regarding the applicability of this action aquatic weeds, such as pondweed. Its secondary use is in oil fields, as a implementation, and enforcement of to a particular entity, consult the person environmental laws, regulations, and listed under FOR FURTHER INFORMATION biocide to remove bacteria during policies. To help address potential CONTACT. petroleum production. EPA developed the human health risk assessment and environmental justice issues, the B. What Should I Consider as I Prepare risk characterization for acrolein as a Agency seeks information on any groups My Comments for EPA? part of its public process for making its or segments of the population who, as 1. Submitting CBI. Do not submit this pesticide reregistration eligibility a result of their location, cultural information to EPA through decision. Through this program, EPA is practices, or other factors, may have regulations.gov or e-mail. Clearly mark ensuring that pesticides meet current atypical, unusually high exposure to the part or all of the information that standards under the Federal Insecticide, acrolein, compared to the general you claim to be CBI. For CBI Fungicide, and Rodenticide Act population. information in a disk or CD-ROM that (FIFRA). The ecological risk assessment EPA is applying the principles of you mail to EPA, mark the outside of the for acrolein was posted in the docket for public participation to all pesticides disk or CD-ROM as CBI and then the Phase 3 public comment period on undergoing reregistration and tolerance identify electronically within the disk or July 25, 2007. This comment period reassessment. The Agency’s Pesticide CD-ROM the specific information that is closed on September 23, 2007. The Tolerance Reassessment and claimed as CBI. In addition to one Agency intends to review the comments Reregistration; Public Participation complete version of the comment that for both the ecological and human Process, published in the Federal includes information claimed as CBI, a health risk assessments, revise the risk Register on May 14, 2004 (69 FR 26819) copy of the comment that does not assessments if appropriate from (FRL–7357–9), explains that in contain the information claimed as CBI comments received, and provide an conducting these programs, the Agency must be submitted for inclusion in the additional public comment period on is tailoring its public participation public docket. Information so marked both the ecological and human health process to be commensurate with the will not be disclosed except in risk assessments for acrolein. level of risk, extent of use, complexity Acrolein is registered as a non-food accordance with procedures set forth in of the issues, and degree of public use aquatic herbicide used primarily in 40 CFR part 2. concern associated with each pesticide. irrigation canals. It is a non-specific 2. Tips for preparing your comments. For acrolein the full, 6–Phase process biocide that treats aquatic weeds by When submitting comments, remember with 2 comment periods and ample breaking down their cell walls. Acrolein to: opportunity for public consultation i. Identify the document by docket ID is formulated as a liquid, and is metered seems appropriate in view of its large number and other identifying directly into irrigation canals or number of users in the Pacific information (subject heading, Federal reservoirs. Northwest, multiple incidents, complex Register date and page number). EPA is providing an opportunity, issues, acute toxicity, and numerous ii. Follow directions. The Agency may through this notice, for interested affected stakeholders. ask you to respond to specific questions parties to provide comments and input or organize comments by referencing a on the Agency’s human health risk All comments should be submitted Code of Federal Regulations (CFR) part assessment for acrolein. Such comments using the methods in ADDRESSES, and or section number. and input could address, for example, must be received by EPA on or before iii. Explain why you agree or disagree; the availability of additional data to the closing date. Comments will become suggest alternatives and substitute further refine the risk assessments, such part of the Agency Docket for acrolein. language for your requested changes. as residue data on root and tuber crops, Comments received after the close of the iv. Describe any assumptions and air monitoring data, and residential comment period will be marked ‘‘late.’’ provide any technical information and/ bystander exposure and risk EPA is not required to consider these or data that you used. information, or could address the late comments.

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B. What is the Agency’s Authority for I. General Information FR 45415) (FRL–8084–1), EPA revoked Taking this Action? inert ingredient tolerance exemptions A. Does this Action Apply to Me? Section 4(g)(2) of FIFRA, as amended, because insufficient data were available directs that, after submission of all data You may be potentially affected by to the Agency to make the safety concerning a pesticide active ingredient, this action if you are an agricultural determination required by FFDCA ‘‘the Administrator shall determine producer, food manufacturer, or section 408(c)(2). In making the FFDCA whether pesticides containing such pesticide manufacturer. Potentially reassessment safety determination, EPA active ingredient are eligible for affected entities may include, but are considered the validity, completeness, reregistration,’’ before calling in not limited to: and reliability of the data that are • Crop production (NAICS code 111). available to the Agency [FFDCA section product-specific data on individual end- • use products and either reregistering Animal production (NAICS code 408 (b)(2)(D)] and the available information concerning the special products or taking other ‘‘appropriate 112). • susceptibility of infants and children regulatory action.’’ Food manufacturing (NAICS code 311). (including developmental effects from List of Subjects • Pesticide manufacturing (NAICS in utero exposure) [FFDCA section 408 Environmental protection, Pesticides code 32532). (b)(2)(C)]. Data gaps existed for these and pests. This listing is not intended to be inert ingredients in areas that were exhaustive, but rather provides a guide critical to reassessment. Without these Dated: October 23, 2007. for readers regarding entities likely to be data, the assessment of possible effects Steve Bradbury, affected by this action. Other types of to infants and children could not be Director, Special Review and Reregistration entities not listed in this unit could also made. EPA concluded it had insufficient Division, Office of Pesticide Programs. be affected. The North American data to make the safety finding of [FR Doc. E7–21438 Filed 11–1–07; 8:45 am] Industrial Classification System FFDCA section 408(c)(2) and revoked the inert ingredient tolerance BILLING CODE 6560–50–S (NAICS) codes have been provided to assist you and others in determining exemptions identified in the final rule whether this action might apply to under 40 CFR 180.910, 180.920, ENVIRONMENTAL PROTECTION certain entities. To determine whether 180.930, and 180.940, with the AGENCY you or your business may be affected by revocations effective two years after the this action, you should carefully date of publication. The tolerance [EPA–HQ–OPP–2007–1060; FRL–8155–4] examine the applicability provisions in exemptions will expire on August 9, 2008. Pesticide Inert Ingredients: Support Unit II. If you have any questions Status of Revoked Tolerance regarding the applicability of this action B. What Information Is Provided In This Exemptions to a particular entity, consult the person Notice? listed under FOR FURTHER INFORMATION EPA has received communications AGENCY: Environmental Protection CONTACT. Agency (EPA). from pesticide registrants and inert B. How Can I Get Copies of this ingredient manufacturers expressing ACTION: Notice. Document and Other Related interest in supporting certain inert SUMMARY: EPA has received notice from Information? ingredient tolerance exemptions that various companies of their intention to 1. Docket. EPA has established a were revoked in the final rule of August submit data in order to support the docket for this action under docket 9, 2008. EPA developed voluntary reinstatement of a number of inert identification (ID) number EPA–HQ– guidance describing how interested ingredient tolerance exemptions that OPP–2007–1060. Publicly available parties could support these revoked were revoked because of insufficient docket materials are available either in tolerance exemptions, including data, revocations effective as of August the electronic docket at http:// consultations with the Agency and how 9, 2008, in a final rule published in the www.regulations.gov, or, if only they can demonstrate support, including Federal Register on August 9, 2006 (71 available in hard copy, at the Office of identifying test materials and providing FR 45415). This notice identifies the Pesticide Programs (OPP) Regulatory evidence that a laboratory has been tolerance exemptions that the Public Docket in Rm. S–4400, One hired to conduct the study. The companies indicate they will be Potomac Yard (South Bldg.), 2777 S. voluntary guidance document, entitled supporting with the submission of data. Crystal Dr., Arlington, VA. The hours of ‘‘Guidance for Supporting the Inert The information in this notice is for operation of this Docket Facility are Ingredients Subject to the Revocation informational purposes only and does from 8:30 a.m. to 4 p.m., Monday Notice of August 9, 2006’’, is available not affect the previous revocations. through Friday, excluding legal on EPA’s website at http:// Based on the review of the submitted holidays. The Docket Facility telephone www.epa.gov/opprd001/inerts/. In the interest of keeping the data, EPA will conduct rulemaking to number is (703) 305–5805. stakeholders informed about activities establish new tolerance exemptions 2. Electronic access. You may access that may impact these revoked tolerance where appropriate. this Federal Register document exemptions, EPA is publishing in this FOR FURTHER INFORMATION CONTACT: electronically through the EPA Internet notice the support status of each of the under the ‘‘Federal Register’’ listings at Kerry Leifer, Registration Division revoked tolerance exemptions by http://www.epa.gov/fedrgstr. (7505P), Office of Pesticide Programs, indicating whether the Agency has Environmental Protection Agency, 1200 II. Background received a demonstration of support Pennsylvania Ave., NW., Washington, (such as described in the guidance A. Background on the Revocation of DC 20460–0001; telephone number: document discussed above). (703) 308–8811; fax number: (703) 605– Pesticide Inert Ingredient Tolerance Be advised that the information 0781; e-mail address: Exemptions on August 9, 2006 provided in this notice does not [email protected]. In a final rule published in the guarantee or in any way bind the SUPPLEMENTARY INFORMATION: Federal Register on August 9, 2006 (71 Agency to reinstate tolerance

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exemptions, establish new tolerance those described in the voluntary of ethylene oxide. (No Demonstration of exemptions, or grant extensions to guidance document (discussed above). Support) expiring tolerance exemptions. EPA On the other hand, under § 180.910, the c. a-Alkyl (C6-C14)-w- cannot guarantee that the parties will, in entry for the tolerance exemption hydroxypoly(oxypropylene) block fact, submit any data at all. expression ‘‘v. Sodium lauryl glyceryl copolymer with polyoxyethylene; Additionally, it is possible that the data ether sulfonate’’ ends with ‘‘(No polyoxypropylene content is 1-3 moles; submitted to support a tolerance Demonstration of Support)’’, which polyoxyethylene content is 4-12 moles; exemption may not support a safety means the EPA has not received average molecular weight (in amu) is finding under FFDCA section 408(c)(2). communication from a party concerning approximately 635. (Demonstration of In these cases, the tolerance exemption support of the exemption and/or has not Support) will not be reinstated nor will a new one received a sufficient demonstration of d. a-(p-tert-Butylphenyl)-w- be established. The information being support. Tolerance exemptions that are hydroxypoly (oxyethylene) mixture of published here is designed simply to not supported by the submission of dihydrogen phosphate and inform interested stakeholders about the adequate data will expire on August 9, monohydrogen phosphate esters and the tolerance exemptions for which the 2008. If EPA determines that specific corresponding ammonium calcium, Agency has received a demonstration of tolerance exemptions scheduled to magnesium, monoethanolamine, support. EPA recommends that you expire are supported by adequate data, potassium, sodium, and zinc salts of the contact the chemical suppliers to the Agency intends to conduct phosphate esters; the poly(oxyethylene) confirm their plans for supporting a rulemaking to reinstate the exemptions content averages 4-12 moles. (No tolerance exemption. or create new tolerance exemptions for Demonstration of Support) It is important to note that several the affected commodities. EPA e. a-(o,p-Dinonylphenyl)-w- parties have indicated that they may recommends that you contact the hydroxypoly (oxyethylene) mixture of want to support only a portion of a chemical suppliers to confirm their dihydrogen phosphate and tolerance exemption expression that plans for supporting a tolerance monohydrogen phosphate esters and the includes a range of chemicals. At this exemption. corresponding ammonium, calcium, time, EPA does not know exactly what Also, the final rule published in the magnesium, monoethanolamine, range of chemicals within a tolerance Federal Register on August 9, 2006 (71 potassium, sodium, and zinc salts of the exemption will eventually be supported FR 45415) revoked two inert ingredient phosphate esters; the nonyl group is a by data. Until the data are submitted tolerance exemptions that were propylene trimer isomer and the and reviewed, EPA will not know what inadvertently removed from the CFR poly(oxyethylene) content averages 4-14 portion, if any, of a current tolerance some time ago but are considered to be moles. (No Demonstration of Support) exemption can be reinstated. If the an active tolerance exemptions under §§ f. a-(o,p-Dinonylphenyl)-w- results of the data permit, a supported 180.910 and 180.930. The support status hydroxypoly (oxyethylene) produced by exemption may be reinstated in whole, of these tolerance exemptions is found condensation of 1 mole of or a new tolerance exemption may be at the end of §§ 180.910 and 180.930. dinonylphenol (nonyl group is a established if only a part of a revoked propylene trimer isomer) with an In addition to the revocation of exemption is supported by the data. average of 4-14 or 140-160 moles of tolerance exemptions for insufficient Again, contact the chemical suppliers to ethylene oxide. (No Demonstration of data, an administrative revocation was confirm their plans for supporting a Support) tolerance exemption. Unit III. of this completed for seven redundant and g. Dodecylbenzenesulfonic acid, document provides the tolerance incorrect tolerance exemptions under 40 amine salts. (No Demonstration of exemptions the parties assert they are CFR part 180 in the final rule published Support) supporting. in the Federal Register on August 9, h. a-(p-Dodecylphenyl)-w- 2006 (71 FR 45415). These tolerance hydroxypoly (oxyethylene) produced by III. Support Status of Revoked exemptions were revoked on the date of the condensation of 1 mole of Tolerance Exemptions publication of the final rule. These dodecylphenol (dodecyl group is a The following provides the support seven tolerance exemptions appear in propylene tetramer isomer) with an status of each of the inert ingredient the list below so as to maintain the average of 4-14 or 30-70 moles of tolerance exemptions revoked because original order of the list of tolerance ethylene oxide; if a blend of products is of insufficient data. The tolerance exemptions as given in the final rule used, the average number of moles of exemptions are presented below in the and facilitate the reader’s ability to ethylene oxide reacted to produce any order they appeared in the final rule determine the support status of each of product that is a component of the published in the Federal Register on the tolerance exemptions revoked for blend shall be in the range of 4-14 or 30- August 9, 2006 (71 FR 45415). The insufficient data. The status of the seven 70. (No Demonstration of Support) support status has been added to the exemptions is indicated as i. Ethylene oxide adducts of 2,4,7,9- end of each tolerance exemption ‘‘(Administrative Revocation is tetramethyl-5-decynediol, the ethylene expression. For example, under Complete)’’. oxide content averages 3.5, 10, or 30 § 180.910, the entry for the tolerance Under § 180.910: moles. (Demonstration of Support) exemption expression ‘‘y. Sodium j. a-Lauryl-w- mono-, di-, and tributyl a. a-Alkyl (C9-C18-w- hydroxypoly(oxyethylene), average naphthalenesulfonates’’ ends with hydroxypoly(oxyethylene) with molecular weight (in amu) of 600. ‘‘(Demonstration of Support)’’, which poly(oxyethylene) content of 2-30 (Demonstration of Support) means that the EPA has received moles. (Demonstration of Support) k. a-Lauryl-w- communication from a party that they b. a-(p-Alkylphenyl)-w- hydroxypoly(oxyethylene) sulfate, intend to submit data supporting hydroxypoly(oxyethylene) produced by sodium salt; the poly(oxyethylene) reinstatment of all or part of the the condensation of 1 mole of content is 3-4 moles. (Demonstration of tolerance exemption and the parties alkylphenol (alkyl is a mixture of Support) have taken measures to demonstrate propylene tetramer and pentamer l. Manganous oxide. (No their support to the Agency such as isomers and averages C13) with 6 moles Demonstration of Support)

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m. a-(p-Nonylphenyl)-w- hydroxypoly(oxyethylene) produced by moles; poly(oxyproplene) content is 1-3 hydroxypoly(oxyethylene) mixture of the condensation of 1 mole of p-(1,1,3,3- moles. (No Demonstration of Support) dihydrogen phosphate and tetramethylbutyl)phenol with a range of e. a-Alkyl(C12-C18)-w-hydroxypoly monohydrogen phosphate esters and the 1-14 or 30-70 moles of ethylene oxide: (oxyethylene/oxypropylene) hetero corresponding ammonium, calcium, if a blend of products is used, the polymer in which the oxyethylene magnesium, monoethanolamine, average range number of moles of content averages 13-17 moles and the potassium, sodium, and zinc salts of the ethylene oxide reacted to produce any oxypropylene content averages 2-6 phosphate esters; the nonyl group is a product that is a component of the moles. (Demonstration of Support) propylene trimer isomer and the poly blend shall be in the range of 1-14 or 30- f. a-Alkyl (C10-C16)-w- (oxyethylene) content averages 4-14 70. (Demonstration of Support) hydroxypoly(oxyethylene)poly moles or 30 moles. (Demonstration of dd. a-[p-(1,1,3,3-Tetramethylbutyl) (oxypropylene) mixture of di- and Support) phenyl]-w-hydroxypoly(oxyethylene) monohydrogen phosphate esters and the n. a-(p-Nonylphenyl)-w- produced by the condensation of 1 mole corresponding ammonium, calcium, hydroxypoly(oxyethylene) sulfate, of p-(1,1,3,3-tetramethylbutyl) phenol magnesium, monoethanolamine, ammonium, calcium, magnesium, with an average of 4-14 or 30-70 moles potassium, sodium, and zinc salts of the potassium, sodium, and zinc salts; the of ethylene oxide; if a blend of products phosphate esters; the combined nonyl group is a propylene trimer is used, the average number of moles of poly(oxyethylene) poly(oxypropylene) isomer and the poly(oxyethylene) ethylene oxide reacted to produce any content averages 3-20 moles. content averages 4 moles. product that is a component of the (Demonstration of Support) (Demonstration of Support) blend shall be in the range of 4-14 or 30- g. a-Alkyl (C12-C18)-w- o. Polyglyceryl phthalate ester of 70. (Administrative Revocation is hydroxypoly(oxyethylene/ coconut oil fatty acids. (No Complete). oxypropylene) hetero polymer in which Demonstration of Support) ee. Tridecylpoly(oxyethylene) acetate, the oxyethylene content is 8-12 moles p. Poly(methylene-p-tert- sodium salt; where the ethylene oxide and the oxypropylene content is 3-7 butylphenoxy)- poly(oxyethylene) content averages 6-7 moles. (No moles. (Demonstration of Support) ethanol; the poly(oxyethylene) content Demonstration of Support) h. a-Alkyl (C12-C15)-w- averages 4-12 moles. (No Demonstration In the final rule published in the hydroxypoly(oxyethylene/ of Support) Federal Register on August 9, 2006 (71 oxypropylene) hetero polymer in which q. Poly(methylene-p- FR 45415), the Agency revoked one the oxyethylene content is 8-13 moles nonylphenoxy)poly(oxyethylene) other inert ingredient tolerance and the oxypropylene content is 7-30 ethanol; the poly(oxyethylene) content exemption that was inadvertently moles. (Demonstration of Support) averages 4-12 moles. (No Demonstration removed from the CFR some time ago i. a-Alkyl (C21-C71)-w-hydroxypoly of Support) but is considered to be an active (oxyethylene) in which the r. Secondary alkyl (C11-C15) tolerance exemption under § 180.910: poly(oxyethylene) content is 2 to 91 poly(oxyethylene) acetate, sodium salt; ‘‘a-Alkyl(C12-C15)-w- moles and molecular weight range from the ethylene oxide content averages 5 hydroxypoly(oxyethylene) sulfate, 390 to 5,000. (Demonstration of moles. (No Demonstration of Support) ammonium, calcium, magnesium, Support) s. Sodium potassium, sodium, and zinc salts; the j. n-Alkyl(C8-C18)amine acetate. diisobutylnaphthalenesulfonate. poly(oxyethylene) content averages 3 (Demonstration of Support) (Demonstration of Support) moles.’’ (Demonstration of Support) k. Amine salts of alkyl (C8-C24) t. Sodium benzenesulfonic acid (butylamine, dodecylphenoxybenzenedisulfonate. Under § 180.920: dimethylaminopropylamine, mono- and (Demonstration of Support) a. a-Alkyl (C12-C18)-w- diisopropylamine, mono- , di- , and u. Sodium hydroxypoly(oxyethylene) copolymers triethanolamine). (Demonstration of isopropylisohexylnaphthalenesulfonate. with poly(oxypropylene); Support) (No Demonstration of Support) polyoxyethylene content averages 3-12 l. N-(Aminoethyl) ethanolamine salt v. Sodium lauryl glyceryl ether moles and polyoxypropylene content 2- of dodecylbenzenesulfonic acid. (No sulfonate. (No Demonstration of Demonstration of Support) Support) 9 moles. (Demonstration of Support) b. a-Alkyl (C -C )-w- m. N,N-Bis[a-ethyl-w- w. Sodium monoalkyl and dialkyl (C - 10 16 8 hydroxypoly(oxyethylene) alkylamine; C ) phenoxybenzenedisulfonate hydroxypoly(oxyethylene) mixture of 16 the poly(oxyethylene) content averages mixtures containing not less than 70% dihydrogen phosphate and of the monoalkylated product. monohydrogen phosphate esters and the 3 moles; the alkyl groups (C14-C18) are (Demonstration of Support) corresponding ammonium, calcium, derived from tallow, or from soybean or x. Sodium mono- and magnesium, monoethanolamine, cottonseed oil acids. (Demonstration of dimethylnaphthalenesulfonates, potassium, sodium, and zinc salts of the Support) molecular weight (in amu) 245-260. phosphate esters; the poly(oxyethylene) n. N,N-Bis(2- (Demonstration of Support) content averages 3-20 moles. hydroxyethyl)alkylamine, where the y. Sodium mono-, di-, and tributyl (Demonstration of Support) alkyl groups (C8-C18) are derived from naphthalenesulfonates. (Demonstration c. a-Alkyl (C12-C15)-w- coconut, cottonseed, soya, or tallow of Support) hydroxypoly(oxyethylene) acids. (Demonstration of Support) z. Sodium mono-, di-, and sulfosuccinate, isopropylamine and N- o. N,N-Bis 2-(w- triisopropyl naphthalenesulfonate. hydroxyethyl isopropylamine salts of; hydroxypolyoxyethylene) ethyl) (Demonstration of Support) the poly(oxyethylene) content averages alkylamine; the reaction product of 1 aa. Sodium N-oleoyl-N-methyltaurine. 3-12 moles. (No Demonstration of mole N,N-bis(2- (Demonstration of Support) Support) hydroxyethyl)alkylamine and 3-60 bb. Sodium sulfite. (Demonstration of d. a-Alkyl(C10-12)-w- moles of ethylene oxide, where the alkyl Support) hydroxpoly(oxyethylene) group (C8-C18) is derived from coconut, cc. a-[p-(1,1,3,3- poly(oxypropylene) copolymer; cottonseed, soya, or tallow acids. Tetramethylbutyl)phenyl]-w- poly(oxyethylene) content is 11-15 (Demonstration of Support)

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p. N,N-Bis-2-(w- ff. Naphthalenesulfonic acid- c. a-Alkyl (C8-C10) hydroxypolyoxyethylene/ formaldehyde condensate, ammonium hydroxypoly(oxypropylene) block polyoxypropylene) ethyl alkylamine; and sodium salts. (Demonstration of polymer with polyoxyethylene; the reaction product of 1 mole of N,N- Support) polyoxypropylene content averages 3 bis(2-hydroxyethyl alkylamine) and 3- gg. Partial sodium salt of N-lauryl-a- moles and polyoxyethylene content 60 moles of ethylene oxide and iminodipropionic acid. (Demonstration averages 5-12 moles. (Demonstration of propylene oxide, where the alkyl group of Support) Support) (C8-C18) is derived from coconut, hh. Poly(methylene-p- d. a-Alkyl (C6-C14)-w- cottonseed, soya, or tallow acids. nonylphenoxy)poly(oxypropylene) hydroxypoly(oxypropylene) block (Demonstration of Support) propanol; the poly(oxy-propylene) copolymer with polyoxyethylene; q. Butoxytriethylene glycol content averages 4-12 moles. (No polyoxypropylene content is 1-3 moles; phosphate. (No Demonstration of Demonstration of Support) polyoxyethylene content is 7-9 moles; Support) ii. Primary n-alkylamines, where the average molecular weight (in amu) r. Cyclohexanol. (No Demonstration of alkyl group (C8-C18) is derived from approximately 635. (No Demonstration Support) coconut, cottonseed, soya, or tallow of Support) s. a-(Di-sec- acids. (Demonstration of Support) e. a-(p-Alkylphenyl)-w-hydroxypoly butyl)phenylpoly(oxypropylene) block jj. Sodium butyl (oxyethylene) produced by the polymer with poly(oxyethylene); the naphthalenesulfonate. (Administrative condensation of 1 mole of alkylphenol poly(oxypropylene) content averages 4 Revocation is Complete). (alkyl is a mixture of propylene tetramer moles, the poly(oxyethylene) content kk. Sodium 1,4-dicyclohexyl and pentamer isomers and averages C13) averages 5 to 12 moles, the molecular. sulfosuccinate. (No Demonstration of with 6 moles of ethylene oxide. (No (Demonstration of Support) Support) Demonstration of Support) t. Disodium 4-isodecyl sulfosuccinate. ll. Sodium 1,4-dihexyl sulfosuccinate. f. Amine salts of alkyl (C8-C24) (No Demonstration of Support) (Demonstration of Support) benzenesulfonic acid (butylamine; u. Dodecylphenol. (No Demonstration mm. Sodium 1,4-diisobutyl dimethylamino propylamine; mono- of Support) sulfosuccinate. (Demonstration of and diisopropyl- amine; and mono- , di- v. a-Dodecylphenol-w- Support) , and triethanolamine). (Demonstration hydroxypoly(oxyethylene/ nn. Sodium 1,4-dipentyl of Support) oxypropylene) hetero polymer where sulfosuccinate. (Demonstration of g. a-(p-tert- Butylphenyl)-w- ethylene oxide content is 11-13 moles Support) hydroxypoly(oxyethylene) mixture of and oxypropylene content is 14-16 oo. Sodium 1,4-ditridecyl dihydrogen phosphate and moles, molecular weight (in amu) sulfosuccinate. (No Demonstration of monohydrogen phosphate esters and the averages 600 to 965. (No Demonstration Support) corresponding ammonium, calcium, of Support) pp. Sodium mono- and dimethyl magnesium, monoethanolamine, w. Isopropylbenzenesulfonic acid and naphthalenesulfonate; molecular weight potassium, sodium, and zinc salts of the its ammonium, calcium, magnesium, (in amu) 245-260. (Administrative phosphate esters; the poly(oxyethylene) potassium, sodium, and zinc salts. (No Revocation is Complete). content averages 4-12 moles. (No Demonstration of Support) qq. Sulfosuccinic acid ester with N- Demonstration of Support) x. (3-Lauramidopropyl) (2,-hydroxy-propyl) oleamide, ammonia h. a-(o,p-Dinonylphenyl)-w- trimethylammonium methyl sulfate. (No and isopropylamine salts of. (No hydroxypoly (oxyethylene) mixture of Demonstration of Support) Demonstration of Support) dihydrogen phosphate and y. Linoleic diethanolamide (CAS Reg. rr. Tall oil diesters with monohydrogen phosphate esters and the No. 56863–02–6). (Demonstration of polypropylene glycol (CAS Reg. No. corresponding ammonium, calcium, Support) 68648–12–4). (No Demonstration of magnesium, monoethanolamine, z. Methyl bis(2-hydroxyethyl)alkyl Support) potassium, sodium, and zinc salts of the ammonium chloride, where the carbon ss. N,N,N′,N′′–Tetrakis–(2- phosphate esters; the nonyl group is a chain (C8-C18) is derived from coconut, hydroxypropyl) ethylenediamine. propylene trimer isomer and the cottonseed, soya, or tallow acids. (Demonstration of Support) poly(oxyethylene) content averages 4-14 (Demonstration of Support) tt. a-[p-(1,1,3,3- moles. (No Demonstration of Support) aa. a,a′-[Methylenebis]-4-(1,1,3,3- Tetramethylbutyl)phenyl]-w- i. a-(o,p-Dinonylphenyl)-w- tetramethylbutyl)-o-phenylene bis[w- hydroxypoly(oxyethylene) mixture of hydroxypoly (oxyethylene), produced hydroxypoly(oxyethylene)] having 6-7.5 dihydrogen phosphate and by the condensation of 1 mole of moles of ethylene oxide per hydroxyl monohydrogen phosphate esters and the dinonylphenol (nonyl group is a group. (No Demonstration of Support) corresponding sodium salts of the propylene trimer isomer) with an bb. Methylnaphthalenesulfonic acid— phosphate esters; the poly(oxyethylene) average of 4-14 moles of ethylene oxide. formaldehyde condensate, sodium salt. content averages 6 to 10 moles. (No (No Demonstration of Support) (Demonstration of Support) Demonstration of Support) j. Dodecylbenzenesulfonic acid, cc. Methyl poly(oxyethylene) alkyl amine salts. (No Demonstration of ammonium chloride, where the Under § 180.930: Support) poly(oxyethylene) content is 3-15 moles a. a-Alkyl (C9-C18)-w-hydroxy k. a-(p-Dodecylphenyl)-w- and the alkyl group (C8-C18) is derived poly(oxyethylene): the hydroxypoly (oxyethylene) produced by from coconut, cottonseed, soya, or poly(oxyethylene) content averages 2-20 the condensation of 1 mole of tallow acids. (Demonstration of moles. (No Demonstration of Support) dodecylphenol (dodecyl group is a Support) b. a-Alkyl (C12-C15)-w- propylene tetramer isomer) with an dd. Methyl violet 2B. (No hydroxypoly(oxyethylene/ average of 4-14 or 30-70 moles of Demonstration of Support) oxypropylene) hetero polymer in which ethylene oxide; if a blend of products is ee. Morpholine salt of the oxyethylene content is 8-13 moles used, the average number of moles of dodecylbenzenesulfonic acid. (No and the oxypropylene content is 7-30 ethylene oxide reacted to produce any Demonstration of Support) moles. (Demonstration of Support) product that is a component of the

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blend shall be in the range of 4-14 or 30- averages 4-12 moles. (No Demonstration ll. Tridecylpoly(oxyethylene) acetate 70 moles. (No Demonstration of of Support) sodiums salt; where the ethylene oxide Support) y. Poly(methylene-p- content averages 6-7 moles. (No l. Ethylene oxide adducts of 2,4,7,9- nonylphenoxy)poly(oxyethylene) Demonstration of Support) tetramethyl-5-decynediol, the ethylene ethanol; the poly(oxyethylene) content In the final rule published in the oxide content averages 3.5, 10, or 30 averages 4-12 moles. (No Demonstration Federal Register on August 9, 2006 (71 moles. (Demonstration of Support) of Support) FR 45415), the Agency revoked one m. Ethyl vinyl acetate (CAS Reg. No. z. Poly(methylene-p- other inert ingredient tolerance 24937–78–8). (Administrative nonylphenoxy)poly(oxypropylene) exemption that was inadvertently Revocation is Complete). propanol; the poly(oxypropylene) removed from the CFR some time ago n. a–Lauryl–w- content averages 4-12 moles. (No but is considered to be an active hydroxypoly(oxyethylene), average Demonstration of Support) tolerance exemption under § 180.930: molecular weight (in amu) of 600. (No aa. Secondary alkyl (C11-C15) ‘‘a-Alkyl (C12-C15)-w- Demonstration of Support) poly(oxyethylene) acetate, sodium salt; hydroxypoly(oxyethylene) sulfate and o. a-Lauryl-w- the ethylene oxide content averages 5 its ammonium, calcium, magnesium, hydroxypoly(oxyethylene), sulfate, moles. (No Demonstration of Support) potassium, sodium, and zinc salts; the sodium salt; the poly(oxyethylene) bb. Sodium poly(oxyethylene) content averages 3 content is 3-4 moles. (No Demonstration butylnaphthalenesulfonate. moles.’’ (Demonstration of Support) of Support) (Administrative Revocation is Under § 180.940: p. Manganous oxide. (No Complete). Demonstration of Support) cc. Sodium Under paragraph (a): q. a-(Methylene (4-(1,1,3,3- diisobutylnaphthalenesulfonate. (No i. a-Alkyl(C10-C14)-w- hydroxypoly tetramethylbutyl)-o-phenylene) bis-w- Demonstration of Support) (oxyethylene) poly(oxypropylene) hydroxypoly(oxyethylene) having 6-7.5 dd. Sodium average molecular weight (in amu), 768 moles of ethylene oxide per hydroxyl isopropylisohexylnaphthalenesulfonate. to 837. (No Demonstration of Support) a w group. (Administrative Revocation is (No Demonstration of Support) ii. -Alkyl(C12-C18)- hydroxypoly (oxyethylene) poly(oxypropylene) Complete). ee. Sodium average molecular weight (in amu), 950 r. Mono-, di-, and isopropylnaphthalenesulfonate. to 1120. (No Demonstration of Support) trimethylnaphthalenesulfonic acids- (Demonstration of Support) Under paragraph (b): formaldehyde condensates, sodium ff. Sodium monoalkyl and diakyl (C - 8 i. a-Lauroyl-w-hydroxypoly salts. (No Demonstration of Support) C ) phenoxybenzenedisulfonate 13 (oxyethylene) with an average of 8-9 s. Naphthalenesulfonic acid and its mixtures containing not less than 70% moles ethylene oxide, average molecular sodium salt. (No Demonstration of of the monoalkylated product. (No weight (in amu), 400. (No Support) Demonstration of Support) Demonstration of Support) t. a-(p-Nonylphenyl)-w- gg. Sodium mono- and ii. Oxirane, methyl-, polymer with hydroxypoly(oxyethylene) mixture of dimethylnaphthalenesulfonate, oxirane, ether with (1,2- dihydrogen phosphate and molecular weight (in amu) 245-260. ethanediyldinitrilo)tetrakis [propanol] monohydrogen phosphate esters and the (Demonstration of Support) (4:1). (No Demonstration of Support) corresponding ammonium, calcium, hh. Sodium mono-, di-, and Under paragraph (c): magnesium, monoethanolamine, tributylnaphthalenesulfonates. i. a-Alkyl(C10-C14)-w-hydroxypoly potassium, sodium, and zinc salts of the (Demonstration of Support) (oxyethylene) poly (oxypropylene) phosphate esters; the nonyl group is a ii. Sodium N-oleoyl-N-methyl taurine. average molecular weight (in amu), 768 propylene trimer isomer and the (Demonstration of Support) to 837. (No Demonstration of Support) poly(oxyethylene) content averages 4-14 jj. a-[p-(1,1,3,3- ii. a-Alkyl(C11-C15)-w-hydroxypoly moles. (Demonstration of Support) Tetramethylbutyl)phenyl]-w- (oxyethylene) with ethylene oxide u. a-(p-Nonylphenyl)-w- hydroxypoly(oxyethylene) produced by content 9 to 13 moles. (Demonstration of hydroxypoly(oxyethylene) sulfate, and the condensation of 1 mole of p (1,1,3,3- Support) its ammonium, calcium, magnesium, tetramethylbutyl)phenol with a range of iii. a-Alkyl(C12-C15)-w-hydroxypoly potassium, sodium, and zinc salts; the 1-14 or 30-70 moles of ethylene oxide: (oxyethylene) polyoxypropylene, nonyl group is a propylene trimer if a blend of products is used, the average molecular weight (in amu), 965. isomer and the poly(oxyethylene) average range number of moles of (No Demonstration of Support) content averages 4 moles. ethylene oxide reacted to produce any iv. a-Alkyl(C12-C18)-w-hydroxypoly (Demonstration of Support) product that is a component of the (oxyethylene) poly(oxypropylene) v. a-(p-Nonylphenyl)-w- blend shall be in the range of 1-14 or 30- average molecular weight (in amu), 950 hydroxypoly(oxyethylene) sulfate, and 70. (No Demonstration of Support) to 1120. (No Demonstration of Support) its ammonium, calcium, magnesium, kk. a-[p-(1,1,3,3- v. a-Lauroyl-w-hydroxypoly monoethanolamine, potassium, sodium, Tetramethylbutyl)phenyl]-w- (oxyethylene) with an average of 8-9 and zinc salts; the nonyl group is a hydroxypoly(oxyethylene) produced by moles ethylene oxide, average molecular propylene trimer isomer and the the condensation of 1 mole of p-(1,1,- weight (in amu), 400. (No poly(oxyethylene) content averages 4-14 3,3-tetramethylbutyl) phenol with an Demonstration of Support) or 30-90 moles of ethyiene oxide. (No average of 4-14 or 30-70 moles of vi. Naphthalene sulfonic acid, sodium Demonstration of Support) ethylene oxide; if a blend of products is salt. (No Demonstration of Support) w. Polyglyceryl phthalate esters of used, the average number of moles of vii. Naphthalene sulfonic acid sodium coconut oil fatty acids. (Demonstration ethylene oxide reacted to produce any salt, and its methyl, dimethyl and of Support) product that is a component of the trimethyl derivatives. (Demonstration of x. Poly(methylene-p-tert- blend shall be in the range of 4-14 or 30- Support) butylphenoxy)poly(oxyethylene) 70. (Administrative Revocation is viii. Naphthalene sulfonic acid ethanol; the poly(oxyethylene) content Complete). sodium salt, and its methyl, dimethyl

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and trimethyl derivatives alkylated at EPA’s policy is that all comments FOR FURTHER INFORMATION CONTACT: The 3% by weight with C6-C9 linear olefins. received will be included in the docket person listed at the end of the pesticide (Demonstration of Support) without change and may be made petition summary of interest. ix. Oxirane, methyl-, polymer with available on-line at http:// SUPPLEMENTARY INFORMATION: oxirane, ether with (1,2- www.regulations.gov, including any ethanediyldinitrilo)tetrakis [propanol] personal information provided, unless I. General Information (4:1). (No Demonstration of Support) the comment includes information A. Does this Action Apply to Me? List of Subjects claimed to be Confidential Business You may be potentially affected by Information (CBI) or other information Environmental protection. this action if you are an agricultural whose disclosure is restricted by statute. producer, food manufacturer, or Dated: October 24, 2007. Do not submit information that you pesticide manufacturer. Potentially Lois Rossi, consider to be CBI or otherwise affected entities may include, but are Director, Registration Division, Office of protected through regulations.gov or e- not limited to: Pesticide Programs. mail. The regulations.gov website is an • Crop production (NAICS code 111). [FR Doc. E7–21594 Filed 11–1–07; 8:45 am] ‘‘anonymous access’’ system, which • Animal production (NAICS code means EPA will not know your identity BILLING CODE 6560–50–S 112). or contact information unless you • Food manufacturing (NAICS code provide it in the body of your comment. 311). ENVIRONMENTAL PROTECTION If you send an e-mail comment directly • Pesticide manufacturing (NAICS AGENCY to EPA without going through code 32532). regulations.gov, your e-mail address This listing is not intended to be [EPA–HQ–OPP–2007–1015; FRL–8153–8] will be automatically captured and exhaustive, but rather provides a guide Notice of Filing of Pesticide Petitions included as part of the comment that is for readers regarding entities likely to be for Residues of Pesticide Chemicals in placed in the docket and made available affected by this action. Other types of or on Various Commodities on the Internet. If you submit an entities not listed in this unit could also electronic comment, EPA recommends be affected. The North American AGENCY: Environmental Protection that you include your name and other Industrial Classification System Agency (EPA). contact information in the body of your (NAICS) codes have been provided to ACTION: Notice. comment and with any disk or CD-ROM assist you and others in determining you submit. If EPA cannot read your whether this action might apply to SUMMARY: This notice announces the comment due to technical difficulties certain entities. If you have any initial filing of pesticide petitions and cannot contact you for clarification, questions regarding the applicability of proposing the establishment or EPA may not be able to consider your this action to a particular entity, consult modification of regulations for residues comment. Electronic files should avoid the person listed at the end of the of pesticide chemicals in or on various the use of special characters, any form pesticide petition summary of interest. commodities. of encryption, and be free of any defects B. What Should I Consider as I Prepare DATES: Comments must be received on or viruses. or before December 3, 2007. My Comments for EPA? Docket: All documents in the docket ADDRESSES: Submit your comments, 1. Submitting CBI. Do not submit this are listed in the docket index available identified by docket identification (ID) information to EPA through in regulations.gov. To access the number EPA–HQ–OPP–2007–1015 and regulations.gov or e-mail. Clearly mark electronic docket, go to http:// the pesticide petition number (PP) of the part or all of the information that www.regulations.gov, select ‘‘Advanced interest, by one of the following you claim to be CBI. For CBI Search,’’ then ‘‘Docket Search.’’ Insert methods: information in a disk or CD-ROM that • Federal eRulemaking Portal: http:// the docket ID number where indicated you mail to EPA, mark the outside of the www.regulations.gov. Follow the on-line and select the ‘‘Submit’’ button. Follow disk or CD-ROM as CBI and then instructions for submitting comments. the instructions on the regulations.gov identify electronically within the disk or • Mail: Office of Pesticide Programs website to view the docket index or CD-ROM the specific information that is (OPP) Regulatory Public Docket (7502P), access available documents. Although claimed as CBI. In addition to one Environmental Protection Agency, 1200 listed in the index, some information is complete version of the comment that Pennsylvania Ave., NW., Washington, not publicly available, e.g., CBI or other includes information claimed as CBI, a DC 20460–0001. information whose disclosure is copy of the comment that does not • Delivery: OPP Regulatory Public restricted by statute. Certain other contain the information claimed as CBI Docket (7502P), Environmental material, such as copyrighted material, must be submitted for inclusion in the Protection Agency, Rm. S–4400, One is not placed on the Internet and will be public docket. Information so marked Potomac Yard (South Bldg.), 2777 S. publicly available only in hard copy. will not be disclosed except in Crystal Dr., Arlington, VA. Deliveries Publicly available docket materials are accordance with procedures set forth in are only accepted during the Docket’s available electronically at http:// 40 CFR part 2. normal hours of operation (8:30 a.m. to www.regulations.gov, or, if only 2. Tips for preparing your comments. 4 p.m., Monday through Friday, available in hard copy, at the OPP When submitting comments, remember excluding legal holidays). Special Regulatory Public Docket in Rm. S– to: arrangements should be made for 4400, One Potomac Yard (South Bldg.), i. Identify the document by docket ID deliveries of boxed information. The 2777 S. Crystal Dr., Arlington, VA. The number and other identifying Docket Facility telephone number is hours of operation of this Docket information (subject heading, Federal (703) 305–5805. Facility are from 8:30 a.m. to 4 p.m., Register date and page number). Instructions: Direct your comments to Monday through Friday, excluding legal ii. Follow directions. The Agency may EPA–HQ–OPP–2007–1015 and the holidays. The Docket Facility telephone ask you to respond to specific questions pesticide petition number of interest. number is (703) 305–5805. or organize comments by referencing a

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Code of Federal Regulations (CFR) part proposes to amend the tolerance Dated: October 24, 2007. or section number. exemption in 40 CFR 180.1111 for Janet L. Andersen, iii. Explain why you agree or disagree; residues of the fungicide Bacillus Director, Biopesticides and Pollution suggest alternatives and substitute subtilis GB03 tolerance in or on all raw Prevention Division, Office of Pesticide language for your requested changes. agricultural commodities when applied Programs. iv. Describe any assumptions and as a seed treatment for growing [FR Doc. E7–21601 Filed 11–1–07; 8:45 am] provide any technical information and/ agricultural crops in accordance with BILLING CODE 6560–50–S or data that you used. good agricultural practice. Because this v. If you estimate potential costs or petition is a request for an exemption burdens, explain how you arrived at ENVIRONMENTAL PROTECTION from the requirement of a tolerance your estimate in sufficient detail to AGENCY without numerical limitations, no allow for it to be reproduced. [EPA–HQ–OAR–2004–0076; FRL–8490–4] vi. Provide specific examples to analytical method is required. Contact: Susanne Cerrelli, (703) 308–8077, illustrate your concerns and suggest Final Notice of Data Availability for [email protected]. alternatives. EGU NOX Annual and NOX Ozone vii. Explain your views as clearly as B. New Exemptions from Tolerance Season Allocations for the Clean Air possible, avoiding the use of profanity Interstate Rule Federal Implementation or personal threats. 2. PP 7F7254. Syngenta Seeds, Inc., Plan Trading Programs viii. Make sure to submit your P.O. Box 12257, 3054 E. Cornwallis Rd., comments by the comment period Research Triangle Park, NC 27709, AGENCY: Environmental Protection deadline identified. proposes to establish an exemption from Agency (EPA). ACTION: Notice of data availability II. Docket ID Numbers the requirement of a tolerance for residues of the plant-incorporated (NODA). When submitting comments, please protectant, Bacillus thuringiensis use the docket ID number and the SUMMARY: On March 15, 2006, EPA pesticide petition number of interest, as Vip3Aa proteins in all plants when used promulgated Federal Implementation shown in the table. as plant-incorporated protectants in all Plans (FIPs) for all States covered by the crops and agricultural commodities. Clean Air Interstate Rule (CAIR). The Syngenta’s original petition requested PP Number Docket ID Number CAIR FIPs will regulate electric an exemption for Bacillus thuringiensis generating units (EGUs) in the affected PP 7F7236 EPA–HQ–OPP–2007–1020 Vip3Aa19 and Vip3Aa20 proteins in all States and achieve the emission plants; however, this original request reductions required by CAIR until each PP 7F7254 EPA–HQ–OPP–2007–0830 was amended by Syngenta in a letter to affected State has an approved CAIR the Agency dated September 6, 2007 to State Implementation Plan (SIP) to PP 7F7249 EPA–HQ–OPP–2007–1025 Bacillus thuringiensis Vip3Aa proteins achieve the reductions. EPA will in all plants. The petition includes a withdraw a State’s FIP in coordination III. What Action is the Agency Taking? reference to a description of the with approval of a full CAIR SIP EPA is printing notice of the filing of analytical methods available to EPA for implementing the requirements of CAIR. pesticide petitions received under the detection and measurement of the The CAIR FIP indicates that the section 408 of the Federal Food, Drug, pesticide chemical residues or an Administrator will determine by order and Cosmetic Act (FFDCA), 21 U.S.C. explanation of why no such method is the CAIR NOX allowance allocations. In the CAIR FIP, EPA stated that it would 346a, proposing the establishment or needed. Contact: Alan Reynolds, (703) publish a NODA with NO allowance modification of regulations in 40 CFR 605–0515, [email protected]. X part 180 for residues of pesticide allocations for 2009 through 2014, chemicals in or on various food 3. PP 7F7249. Plasma Power Limited provide the public with the opportunity commodities. EPA has determined that of India, c/o OMC Ag Consulting, 828 to object to the allocations and the pesticide petitions described in this Tanglewood Lane, East Lancing, MI underlying data, and then publish a notice contain data or information 48823, proposes to establish an final NODA (adjusted if necessary). On regarding the elements set forth in exemption from the requirement of a August 4, 2006, EPA published a FFDCA section 408(d)(2); however, EPA tolerance for residues of the insecticide, preliminary NODA in the Federal has not fully evaluated the sufficiency Plasma Neem OilTM Manufacturing Use Register and accepted objections to the of the submitted data at this time or Product in or on all food commodities. data through an electronic docket. This whether the data support granting of the Because this petition is a request for an action constitutes the final NODA and pesticide petitions. Additional data may exemption from the requirement of a indicates the existing units receiving be needed before EPA rules on these tolerance without numerical limitations, CAIR NOX allowances under the FIPs pesticide petitions. no analytical method is required. and the quantity of allowances to be Pursuant to 40 CFR 180.7(f), a Contact: Driss Benmhend, (703) 308– allocated to each unit. These FIP summary of each of the petitions 9525, [email protected]. allowances will only be recorded for included in this notice, prepared by the sources located in States that do not petitioner, is included in a docket EPA List of Subjects have an approved SIP in place. Most has created for each rulemaking. The States have an approved SIP in place, docket for each of the petitions is Environmental protection, and the State determined allowances available on-line at http:// Agricultural commodities, Feed will be recorded for sources in these www.regulations.gov. additives, Food additives, Pesticides states. and pests, Reporting and recordkeeping In this NODA, the EPA is making A. Amendment to Existing Tolerance available to the public the Agency’s Exemption requirements. final determination of the NOX annual 1. PP 7F7236. Growth Products Ltd., and NOX ozone season allocations P.O. Box 1259, White Plains, NY 10602, under the CAIR FIPs that EPA is making

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to individual existing units under the other information whose disclosure is SUPPLEMENTARY INFORMATION: CAIR FIP NOX annual and NOX ozone restricted by statute. Certain other Outline season trading programs for 2009 material, such as copyrighted material, through 2014, as well as the data is not placed on the Internet and will be 1. General Information relating to those allocations. The NODA publicly available only in hard copy 2. What Is This Action? references, or presents in tables, all form. Publicly available docket 3. How Are the Data in this NODA Related to the CAIR FIP NO Allowance these data and the NOX annual and NOX materials are available either X ozone season allowance allocations electronically in www.regulations.gov or Allocations? calculated using the data and the in hard copy at the EPA Docket Center, 4. What Are the Sources of the EPA’s Data? allocation formulas finalized in the EPA West, Room 3334, 1301 5. How Do I Interpret the Data Tables CAIR FIPs for existing units for 2009 Constitution Avenue, NW., Washington, Presented Through This NODA? through 2014. DC. The Public Reading Room is open 6. Is the EPA Requesting Objections to These Data? DATES: The recordation deadline for from 8:30 a.m. to 4:30 p.m., Monday 7. What Data Is EPA Making Available? 2009 CAIR FIP NOX allowances is through Friday, excluding legal September 30, 2007. EPA intends to holidays. The telephone number for the 8. Where Can I Get the Data Discussed in This NODA? record CAIR FIP NOX allowances in the Public Reading Room is (202) 566–1744, fall of 2007. EPA is close to taking final and the telephone number for the Air 1. General Information action on many SIPs. Because it is EPA’s Docket is (202) 566–1742. preference to have States determine This action relates to §§ 97.141 and FOR FURTHER INFORMATION CONTACT: allowances, EPA is trying to finalize 97.341 of the CAIR FIP. These sections General questions concerning this these approvals before allocating FIP indicate that the Administrator will action and technical questions allowances, so wherever possible, State- determine by order the CAIR NO concerning heat input or fuel data X determined allowances will be allocated allowance allocations. In the CAIR FIP, should be addressed to Brian Fisher, to sources. EPA stated that it would publish a Docket: The EPA has established a USEPA Headquarters, Ariel Rios Building, 1200 Pennsylvania Ave., Mail NODA with NOX allowance allocations docket for this action under Docket ID for 2009 through 2014 (71 FR 25352). No. EPA–HQ–OAR–2004–0076. All Code 6204 J, Washington, DC 20460. documents in the docket are listed in Telephone at (202) 343–9633, e-mail at Does This Action Apply to Me? the www.regulations.gov index. [email protected]. Although listed in the index, some If mailing by courier, address package Categories and entities potentially information is not publicly available, to Brian Fisher, 1310 L St., NW., RM regulated by this action include the i.e., confidential business information or #713G, Washington, DC 20005. following:

Category NAICS code Examples of potentially regulated entities

Industry ...... 221112 ...... Fossil fuel-fired electric utility steam generating units. Federal Government ...... 221122 ...... Fossil fuel-fired electric utility steam generating units. State/local/Tribal govern- 221122 ...... Fossil fuel-fired electric utility steam generating units ment. owned by municipalities. 921150 ...... Fossil fuel-fired electric utility steam generating units in Indian Country.

This table is not intended to be for existing units have not already been the inventory does not reflect a final exhaustive, but rather provides a guide allocated. determination of which units are subject for readers regarding entities likely to be The CAIR FIP rule states units will be to the CAIR FIPs. regulated by this action. If you have any subject to the CAIR FIP trading Cogeneration Unit Exemption questions regarding the applicability of programs (i.e, to the CAIR FIP SO2, NOX this action to a particular entity, review annual, or NOX ozone season programs, Certain cogeneration units meeting §§ 97.102, 97.104, and 97.105 in the as appropriate) if they are a stationary, the general applicability requirements CAIR FIP concerning NOX annual fossil-fuel-fired boiler or stationary, are exempt from the CAIR FIP trading emissions and §§ 97.302, 97.304, and fossil-fuel-fired combustion turbine programs. Cogeneration units are units 97.305 in the CAIR FIP concerning NOX serving at any time on or after having equipment used to produce ozone season emissions. You may also November 15, 1990 or the start-up of the electricity and useful thermal energy for consult the person listed in the unit’s combustion chamber, a generator industrial, commercial, heating, or preceding section under FOR FURTHER with nameplate capacity of more than cooling purposes through sequential use INFORMATION CONTACT. 25 MWe producing electricity for sale. of energy and meeting certain operating The NOX allowance allocations in this Certain cogeneration units or solid and efficiency standards. Any NODA are for existing units. Existing waste incineration units meeting these cogeneration unit not serving at any units are units that commenced general applicability requirements are time (since the later of November 15, operation before January 1, 2001. New exempt from the CAIR FIPs and are 1990 or the start-up of the unit) a units, which commence operation on or described below. The inventory of generator with a nameplate capacity after January 1, 2001, will initially existing potential CAIR units, which greater than 25 MWe, supplying more receive allowances through the new unit comprises the units allocated than 1⁄3 potential electric output set aside. Once new units have allowances under this NODA, is based capacity, and more than 219,000 Mw- established a five-year baseline, they on EPA’s preliminary application of the hrs, annually to any utility power will be incorporated into the calculation general applicability requirements and distribution system for sale is exempt for allowances for existing units for these exemptions. As discussed in the from the requirements of the CAIR FIP future years to the extent the allowances preliminary NODA and in this action, trading rules. Otherwise, a cogeneration

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unit meeting the general applicability meeting the general applicability used to calculate the NOX allowance requirements is subject to the CAIR requirements and commencing allocation to the identified existing FIPs. operation on or after January 1, 1985, for potential CAIR units under the CAIR The CAIR FIP defined ‘‘cogeneration which the average annual fuel FIPs, and the resulting allowance unit’’ as a stationary, fossil-fuel-fired consumption of non-fossil fuels for the allocations themselves for 2009–2014.1 boiler or stationary, fossil-fuel-fired first 3 calendar years of operation The inventory of existing potential combustion turbine: exceeds 80 percent and the average CAIR units was proposed, and is (1) Having equipment used to produce annual fuel consumption of non-fossil finalized, only for the purpose of electricity and useful thermal energy for fuels during any 3 consecutive calendar making allocations for 2009–2014. The industrial, commercial, heating, or years after 1990 exceeds 80 percent, is inventory, and the data on which the cooling purposes through the sequential not subject to the CAIR FIP cap- and inventory is based, can be revised in use of energy; and trade program. The inventory of existing future NODAs addressing allocations. (2) Producing during the 12-month potential CAIR units, and the allocation Furthermore, the inclusion of a unit in period starting on the date the unit first tables in this action that are based on the inventory (and thus in the FIP produces electricity and during any the inventory, reflect EPA’s preliminary allocations for 2009–2014) does not calendar year after the calendar year in application of the solid waste constitute a determination that the unit which the unit first produces incineration unit exemption. is subject to the requirements of the electricity— CAIR FIPs; similarly, the exclusion of a (i) For a topping-cycle cogeneration 2. What Is This Action? unit from the inventory (and thus from unit, In the March 15, 2006 final action on the allowance allocations for 2009– (A) Useful thermal energy not less the CAIR FIP, the EPA finalized NOX 2014) does not constitute a than 5 percent of total energy output; annual and ozone season trading determination that the unit is not and programs for EGUs as the federal covered by the CAIR FIPs. However, (B) Useful power that, when added to implementation remedy for CAIR. The EPA has made specific determinations one-half of useful thermal energy EPA decided to adopt, as the FIP for for certain individual units, for which produced, is not less then 42.5 percent each State in the CAIR region, the model objections concerning the inclusion in of total energy input, if useful thermal cap-and-trade programs in the final or exclusion from the inventory were energy produced is 15 percent or more CAIR, modified slightly to allow for submitted in response to this NODA or of total energy output, or not less than federal instead of State implementation for which a request for an applicability 45 percent of total energy input, if (as revised March 15, 2006). determination was submitted under useful thermal energy produced is less These programs include a NOX annual § 97.104(c) or 97.304(c) are covered by than 15 percent of total energy output. trading program and NOX ozone season a CAIR FIP. These determinations are (ii) For a bottoming-cycle trading program. As explained in the binding, subject to any conditions set cogeneration unit, useful power not less CAIR FIP Notice of Final Rulemaking forth in the respective determinations than 45 percent of total energy input. (NFR), the FIP NOX annual and NOX and to any administrative appeals under Subsequent to the CAIR FIP ozone season trading programs require Part 78 of EPA’s regulations. Copies of rulemaking, EPA finalized another CAIR sources to hold allowances these determinations are included in the action that modified the definition of sufficient to cover their emissions for docket for this NODA. ‘‘cogeneration unit’’ (and made other each control period. A CAIR NOX EPA notes that, in some cases where revisions to the definitions under the annual allowance will authorize the objections to the inclusion of a unit in CAIR FIPs) to exclude energy input from emission of a ton of NOX during a or exclusion of a unit from the inventory biomass fuel when calculating calendar year, and a CAIR NOX ozone were submitted in response to this efficiency of cogeneration units that are season allowance will authorize the NODA or where a request for an boilers. This makes it possible for some emission of a ton of NOX during an applicability determination was additional cogeneration units that co- ozone season (May 1 through September submitted under § 97.104(c) or fire biomass to qualify for exemption 30). 97.304(c), EPA issued an applicability from the CAIR FIP rules. The inventory In the CAIR FIP NFR, EPA adopted determination that is used in developing of existing potential CAIR units and the the State NOX annual and NOX ozone the final inventory, and is included in allocation tables in this action that are season emission budgets for each State the docket, for this NODA. However, in based on the inventory reflect EPA’s covered by a CAIR FIP (see Tables V– some cases EPA was unable to complete preliminary application of the revised 1 and V–2 in the CAIR FIP NFR); these the applicability determination in time cogeneration unit definition and the are the same State emission budgets as for issuance of this NODA. In the latter other revisions to the definitions under finalized in the CAIR. For each State cases, the units are being included in the CAIR FIPs. covered by the CAIR FIP NOX trading the inventory of potential existing CAIR programs, the State NO budgets are the Solid Waste Incinerator Exemption X units and allocated allowances in this total amount of allowances that EPA NODA. However, EPA intends to A solid waste incineration unit will allocate to sources in that State for complete the process of issuing an meeting the general applicability use in the FIP NOX trading programs. applicability determination in each of requirements and commencing EPA determined the method for these cases in the relatively near future. operation before January 1, 1985, for allocating NOX annual and NOX ozone The inclusion of these units in the which the average annual fuel season allowances under the FIP inventory in no way indicates what consumption of non-fossil fuels during through a process that included 1985–1987 exceeded 80 percent and the extensive public participation. 1 EPA notes that if, subsequent to this NODA, a average annual fuel consumption of In this action, we are finalizing the determination is made that a source included in non-fossil fuels during any 3 inventory of existing units that currently this inventory is not subject to CAIR, then the consecutive calendar years after 1990 are potential CAIR units solely for Administrator will deduct any unused allocated allowances as established in the procedures set exceeds 80 percent, is not subject to the purposes of allocating allowances for forth in §§ 97.154(b) and 97.354(b), and transfer CAIR FIP cap-and-trade program. 2009–2014, the heat input, fuel type, them to a new unit set-aside for the appropriate Further, a solid waste incineration unit and resulting baseline heat input data State.

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applicability determination EPA will purposes only. As finalized in the CAIR As provided in the CAIR FIP NOX make and whether the units are subject and CAIR FIP NFRs, SIP submission annual and ozone season trading rules to the CAIR FIPs. In fact, as discussed deadlines are as follows: (see 40 CFR 97.141 and 97.341), EPA is below, the CAIR FIPs include • Full CAIR SIP revision: Submit SIP publishing this NODA with CAIR FIP procedures for addressing units that are revision by September 11, 2006 and NOX allocations for existing potential allocated CAIR FIP allowances but are initial set of NOX allocations (covering CAIR units for 2009 through 2014. This subsequently determined not to be at least 2009 through 2011) by October final NODA reflects EPA’s consideration subject to the CAIR FIPs. 31, 2006; of objections submitted to the 2006 This action explains what heat input • Abbreviated CAIR SIP revision 2: CAIR FIP NODA that addressed whether and fuel type data, and resulting Submit SIP revision by March 31, 2007 any individual unit is treated as an baseline heat inputs, are used in and initial set of NOX allocations existing potential CAIR unit eligible for calculating the allocation for each (covering at least 2009 through 2011) by allowance allocations in accordance potential existing unit and from where April 30, 2007. with the applicability provisions in these data came. The EPA published a In this action, EPA determines CAIR these trading rules (see 40 CFR 97.104 draft NODA in 2006 to provide NOX allocations covering 2009 through and 97.305) and whether any unit opportunity for the public (including 2014 under the CAIR FIPs. As finalized allocation is determined in accordance source owners and operators) to submit in the CAIR FIP NFR, the Agency will with the allocation provisions in these objections to the underlying data record EPA-determined CAIR NOX trading rules (see 40 CFR 97.142 and (including the resulting baseline heat allocations in source accounts one year 97.342). inputs and allocations). This action at a time for 2009 and 2010 in order to In the CAIR FIP NFR, EPA finalized incorporates data submitted through provide flexibility to States to determine an allocation approach for NOX annual those objections if the data were allocations for their sources. The final and ozone season allowances for determined to be the best available data. existing units (i.e., units commencing schedule for recording CAIR NOX Under the CAIR FIP trading rules (40 allocations under the FIP in source operation before January 1, 2001) and CFR 97.142(a)(3) and 97.342(a)(3)), we accounts is shown in Table VI–2 in the new units (i.e., units commencing explained that we determine what data CAIR FIP NFR preamble and operation on or after January 1, 2001) are the best available by ‘‘weighing the reproduced here for informational that is consistent with the example likelihood that data are accurate and purposes: methodology in the CAIR SIP model reliable and giving greater weight to trading rules. EPA used the NOX data submitted to a governmental entity TABLE I.—RECORDATION DEADLINES allocation method finalized in the FIP in compliance with legal requirements NFR to calculate the existing unit NO FOR CAIR FIP NO ALLOCATIONS X or substantiated by an independent X allocations in this NODA. This action entity.’’ For existing potential CAIR Deadline by which FIP NO does not address new unit allocations. units, this NODA represents the final X New unit allocation and recordation CAIR allocations are recorded determination of the heat input and fuel control (EPA-determined allocations or provisions under the CAIR FIP may be type data used in the allocations for State-determined allocations found in §§ 97.141, 97.341, 97.153 and period using abbreviated CAIR 2009–2014. Similarly, this NODA SIP revision) 97.353. See 71 FR 25356–58 for detailed represents the final determination of the description of the allocation method. 2009–2014 allocations themselves. 2009 ..... September 30, 2007.* EPA will publish a preliminary and However, EPA will issue NODAs in the 2010 ..... September 30, 2008. final NODA in 2009 for new unit future to address CAIR FIP allocations 2011 ..... September 30, 2009. allowance allocations for 2009. for 2009–2014 for new potential CAIR 2012 ..... September 30, 2009. The NOX allocation method in the units and for 2015 and thereafter for 2013 ..... September 30, 2009. CAIR FIP NFR was finalized through a existing and new potential CAIR units 2014 ..... December 1, 2010. process that involved significant public 2015 ..... December 1, 2011. and will provide an opportunity for participation. The NOX CAIR FIP NODA objections. 2016 ..... December 1, 2012. did not open the allocation method for The Agency’s preference is for States * EPA intends to records these allowances public comment. EPA provides a to make decisions about NOX in the Fall of 2007. summary of the NOX allocation method allocations for their sources. Although herein for informational purposes only. 3. How Are the Data in This NODA in this action EPA is determining NO Allocations in this NODA are for X Related to the CAIR FIP NO allocations for the CAIR FIP trading X existing units for the first 6 control Allowance Allocations? programs, we intend to record EPA- periods (2009 through 2014) of the CAIR determined allocations in allowance In the CAIR FIP NFR, EPA finalized NOX annual and NOX ozone season accounts only for sources located in a the schedule for determining and trading programs. The 2009 allowance State without a timely, approved CAIR recording NOX allocations. EPA also allocations will be recorded in the fall SIP revision or a timely, approved finalized a methodology for calculating of 2007. It is possible that future year abbreviated CAIR SIP revision providing unit level NOX allowances. This NODA allowance allocations (2010 through for State-determined allocations. In provides the unit level NOX allocations 2014) will differ from those in this future NODAs, EPA intends to for existing potential CAIR units for NODA as new potential CAIR units determine allowance allocations only 2009 through 2014 calculated using this develop baseline heat input values and for States subject to the FIP at that time. methodology, as well as the data used are treated as existing potential CAIR Deadlines for States to submit CAIR in determining the inventory of existing units, and as units that are not potential SIP revisions and associated NOX potential CAIR units and the heat input CAIR units become potential CAIR allocations and for EPA to record NOX and fuel type data and resulting baseline units. The NOX allocation method allocations in source accounts are as heat inputs, used in making the finalized in the CAIR FIP NFR allocates finalized in the CAIR (see 70 FR 25162, allowance calculations. by using annual heat input data from 25323 and 25326) and CAIR FIP (see 71 the years 2000 through 2004 to develop FR 25328, 25352–55). EPA discusses 2 See CAIR FIP NFR (71 FR 25352) for further baseline heat inputs. The annual heat these deadlines herein for informational discussion of abbreviated CAIR SIP revisions. input values are adjusted using fuel

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adjustment factors (1.0 for coal-fired sales data were not available after 2000 were identified based directly on the units, 0.6 for oil-fired units, and 0.4 for due to changes in the EIA form 860b. generator ID and prime mover type in units fired with all other fuels (e.g., Consequently, the exclusion of EIA form 860. natural gas)). The 3 highest annual heat generators for purposes of allocating From EIA form 860 EPA identified all input values for the unit are averaged to allowances in this NODA does not simple combustion turbines, at Acid determine the unit’s baseline heat input. necessarily mean that these generators Rain plants, with a nameplate capacity Finally, the total amount of allowances are excluded for purposes of greater than 25 MWe, a fossil fuel available for allocation each year to determining whether boilers or turbines energy source, and an online date prior existing units in a given State (i.e., 95% serving them are subject to the CAIR to January 1991. These simple of the State trading budget) is allocated FIPs. EPA believes, based on combustion turbines are potential CAIR to each individual unit in proportion to preliminary consideration of the units even though they may be non- the unit’s share of the total baseline heat applicability provisions of the CAIR Acid Rain units since they have input for all existing potential CAIR FIPS, that many of these units may not reported to EIA that they sell electricity units in the State. The same be subject to the CAIR FIPs. However, to a utility based on utility ownership methodology applies for ozone season if, on or after November 15, 1990, any or EIA form 860b data from 1999 and allowances, only ozone season heat of these generators produced electricity 2000 and serve a generator greater than input is used in place of annual heat that was sold, the units serving that 25 MWe. input. generator may be subject to the CAIR The resulting list of non-Acid Rain This NODA provides unit NOX FIPs. units was also checked against EPA’s allocations calculated according to the • From EIA form 860, EPA excluded National Electric Energy Data System method finalized in the CAIR FIP NFR. generators at municipal waste (NEEDS) database. The NEEDS database Section 8 of this NODA describes where combustors. The CAIR rule provides an contains a list of electric generating to locate the allocation tables. The heat exemption for solid waste incineration units used to construct the ‘‘model’’ input and fuel type data used to units similar to the Acid Rain Program plants that represent existing and exemption in 40 CFR Part 72. planned/committed units in EPA determine these allocations are • described in section 4 of this NODA. From EIA form 860b (1999 and modeling applications of the Integrated 2000), EPA excluded all generators at Planning Model (IPM). The NEEDs 4. What Are the Sources of EPA’s Data? facilities that were certified (in check resulted in the addition of a A. Development of the Inventory of accordance with Federal Energy number of non-Acid Rain pre-1991 Existing Potential CAIR Units Regulatory Commission (FERC) combined cycle combustion turbines at regulations) as qualifying cogeneration Acid Rain plants. Diagram 1 in the Technical Support facilities and that had annual, plant- EPA also included specific units in Document (TSD) provides a general wide sales of one third or less of the the inventory of existing potential CAIR overview of how the inventory of potential generating capacity, or had units based on objections and existing potential CAIR units was annual sales less than 219,000 MW-hrs, supporting data submitted to the EPA by developed. Any existing unit currently to an electric utility. This information the owners or operators of the units reporting monitoring data under the was only available at the plant level. involved. Acid Rain Program (referred to in this Since electricity sales data were not EPA notes, as discussed above, that NODA as ‘‘Acid Rain units’’) in a CAIR available at the unit level for other years inclusion of a unit in, or exclusion of a FIP State, except for an Acid Rain and a unit must meet these criteria unit from, the inventory of existing Program opt-in unit, was included as an annually to qualify for the cogeneration potential CAIR units (and thus the existing potential CAIR unit. The list of exemption, exclusion of generators for allocations for 2009–2014) reflects only Acid Rain units in the States was allocating allowances in this notice does a preliminary application of the generated from EPA’s Acid Rain not necessarily mean that boilers and applicability provisions of the CAIR Program database. Units not reporting combustion turbines serving the FIPs and does not constitute a monitoring data under the Acid Rain generators are not subject to the CAIR determination of whether the unit is Program (referred to in this NODA as FIPs. Moreover, FERC regulations subject to a CAIR FIP. The inventory ‘‘non-Acid Rain units’’) that are existing require, as part of the criteria for was developed in order to enable EPA potential CAIR units were identified qualifying cogeneration facilities that to calculate allowance allocations for using data reported by owners of facilities meet certain efficiency existing units, and the data that EPA generators to the Energy Information requirements to the extent natural gas or used in developing the inventory are not Administration (EIA) on forms 860 and oil is combusted. Under CAIR, a unit complete and have certain limitations. 767 or through objections submitted by must meet the efficiency requirements In contrast, the applicability on the the source owners and operators. with regard to all fuel types combusted, CAIR FIPs to individual units must be From the EIA form 860 database, EPA except, in the case of boilers, biomass. determined based on a complete review identified, for non-Acid Rain units, all Consequently, exclusion of generators of all relevant data, whether or not all generators with a nameplate capacity for allocating allowances in this notice such data were provided at the time the greater than 25 MWe served by a boiler does not necessarily mean that boilers inventory was developed, and final or turbine with a fossil fuel energy and combustion turbines serving the application of the applicability source. In determining whether a unit generators are not subject to the CAIR provisions to that data. In fact, because has a fossil fuel energy source, EPA FIPs. an inventory developed for purposes of applied the definition of ‘‘fossil fuel’’ in From the EIA form 767 database, EPA allowance allocation may not be entirely the CAIR FIPs (40 CFR 97.102 and identified as potential CAIR units all consistent with final applicability 97.302). From that list we then excluded boilers located at non-Acid Rain plants determinations, §§ 97.142(e) and generators as follows: (commencing operation before January 97.342(e) establish procedures to be • EPA excluded non-utility 1, 2001) serving the generators applied when the Administrator generators which did not sell electricity remaining on the generator list after the determines that a unit that has been to a utility based on EIA form 860b data above-described exclusions. Simple and allocated allowances turns out not to from 1999 and 2000. EIA form 860b combined cycle combustion turbines actually be a CAIR unit, i.e., not to

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actually be a unit subject to the a unit which burns any amount of coal reported heat input was used in requirements of a CAIR FIP. For in a year, and an oil-fired unit is a unit conjunction with information regarding example, if this determination is made which had more than 15% of its yearly the primary fuel for the year (reported after the allowance allocation is heat input from oil and burned no coal. in the monitoring plan) to calculate the recorded but before deductions for The use of primary fuel type will not fuel-adjusted heat input. compliance with the allowance-holding match the CAIR FIP definition in cases In addition, EPA also utilized requirement are made under where coal was burned in a year, but information provided as part of the §§ 97.154(b) and 97.354(b), the was not listed as the primary fuel, or CAIR rulemaking process. More Administrator will deduct the when more than 15% of a year’s heat specifically, EPA used annual heat allowances and transfer them to a new input was from oil, but oil was not input data submitted in response to unit set-aside for the appropriate State. listed as the primary fuel. EPA used the EPA’s Supplemental CAIR Proposal The public, including owners and primary fuel type, as a surrogate for the published in the Federal Register on operators of units that should have data necessary to apply the terms ‘‘coal- June 10, 2004. been, but were not included in the fired’’ and ‘‘oil-fired’’, because under Boilers inventory of existing potential CAIR the Acid Rain Program, more detailed units in the preliminary NODA, was fuel use data are reported only for units For 2000, fuel-adjusted annual and asked to submit objections, in response using non-continuous emission ozone season heat input were calculated to the August 4, 2006 NODA, informing monitoring methods. Because of this for each utility boiler based on EIA form EPA that the units should be added to limitation on the data used by EPA, the 767 monthly fuel use and heat content the inventory and allocated allowances, fuel-adjusted heat input calculated for data. The fuel-adjusted 2000 annual consistent with the applicability criteria some units may be lower than if the heat input was calculated at the plant in the CAIR FIP (in §§ 97.104 and calculation were based on more precise level for non-utility boilers based on EIA form 860b data. The fuel usage and 97.304). The data necessary for data. Owners and operators were asked heat content information in EIA form allowance allocations were also to be to provide, in response to the August 4, 860b is reported at the plant level, so provided. 2006 NODA, any available, more precise the fuel-adjusted heat input was first Applicability objections received in data on fuel use. Fuel type objections calculated for the plant and then response to the August 4, 2006 NODA, and EPA’s response are described in the apportioned equally to each boiler (at and EPA’s response concerning whether Response to Objections document. EPA the plant) that is a potential CAIR unit. to add the units or remove the units accepted the fuel type objections to the The ozone season heat input for non- from the inventory of existing potential fuel determinations based on utility boilers was based on multiplying CAIR units are described in the monitoring plan data in the preliminary the annual heat input by the fraction of Response to Objections Document and NODA. copies of the applicability the five ozone-season months to 12 determinations are included in the CAIR C. Annual and Ozone Season Fuel Heat annual months (5⁄12).5 FIP docket. Input Data for Non-Acid Rain Units Beginning in 2001, both utility and non-utility boilers reported using EIA A unit that is not allocated allowances EIA data, as well as Federal Energy form 767, so fuel-adjusted heat input because of its exclusion from the Regulatory Commission (FERC) form was calculated for each boiler based on inventory may ultimately be determined 423 data, were used to calculate annual to be a CAIR unit. Each CAIR unit is monthly fuel usage and heat content and ozone season fuel-adjusted heat data from that EIA form for the 2001 subject to the allowance-holding input for non-Acid Rain units.3 requirements of CAIR regardless of through 2004 period. The data sources and calculation Although data for 2000 was whether the unit is allocated any methods vary by the type of unit and allowances. developed as described above, EPA data year. The EIA and FERC databases decided not to use the 2000 data in B. Annual and Ozone Season Fuel Heat that were used were downloaded in certain cases, i.e., where a plant Input Data for Acid Rain Units October 2005 and are available on EIA’s included both existing potential CAIR EPA used heat input data reported by Web site at http://www.eia.doe.gov/ units and existing units that are not units under the Acid Rain Program for cneaf/electricity/page/data.html. treated as potential CAIR units. Since in For the August 4, 2006 NODA 2000 through 2004 in order to develop those cases the 2000 unit level heat inventory, we also replaced the annual and ozone season baseline heat input could not be determined for calculated ozone season heat input data input. Fuel-adjusted heat input was existing potential CAIR units alone with data reported to EPA under the calculated based on the reported heat without attributing to them heat input OTC NO Budget Program and the NO input and the primary fuel type (by X X that actually may be for units that are SIP Call NO Budget Trading Program, year) that was reported to EPA in the X not potential CAIR units and this if available. For the final inventory, unit’s Acid Rain Program monitoring additional heat input could be based on objections received, we also plan. For units that reported coal as significant, EPA decided, in those cases, replaced the calculated annual values their primary fuel for the year, EPA did to exclude the 2000 heat input data and with data reported to EPA for a full not adjust their heat input. For units use the average of the three highest twelve months under the OTC NO reporting oil as their primary fuel, EPA X annual heat input values during 2001 Budget Program and the NO SIP Call multiplied their heat input by 0.6. If the X NO Budget Trading Program.4 The primary fuel was not coal or oil, the heat X Some units only report ozone season quarters, and input for the year was multiplied by 0.4. therefore the heat input for these reflect less than 3 In some cases, heat input information was not a full year’s operation. For some units, the use of the primary available for all or a portion of the baseline period. 5 Plants that were sold in 2000 and changed status fuel type to identify the appropriate It was not clear whether this was the result of a unit from utility to non-utility sometimes reported using CAIR fuel adjustment factor may not not operating or a unit failing to report its both the utility and non-utility forms for that year. yield the same result as using the CAIR operations. A zero value was applied for heat input To avoid double counting of heat input in these in these cases. This may have resulted in an cases, EPA used only the data from utility form or FIP definition of ‘‘coal-fired’’ or ‘‘oil- incorrect baseline heat input for the unit involved. the data from the non-utility form for the plant, fired’’ to identify the appropriate factor. 4 Initially EPA did not use data reported under whichever set of data resulted in the higher heat Under the CAIR FIP, a coal-fired unit is the NOX Budget programs for non-Acid Rain units. input for the plant.

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through 2004 in calculating NOX heat input was calculated based on the 2006 NODA, and EPA’s response allowance allocations. In any case 5⁄12 fraction of ozone-season months to concerning whether to modify the where the use of unit level data (for annual months. baseline heat input, are described in the 2000 or for any other relevant period) In 2001 the EIA form 759 was Response to Objections Document. EPA will affect the calculation of the baseline renamed as form 906, with separate accepted objections that provided unit heat input of a unit, the owners and similar versions for non-utility and level data for units for which EPA has operators of the unit were given the utility plant prime mover level fuel relied on plant level EIA data. EPA also opportunity to provide EPA, in response usage. Data for the non-utility and accepted objections for units for which to the preliminary NODA, the unit level utility plants from these forms were EPA had used unit level EIA data, if the data. combined with the FERC form 423 heat objector identified that it had notified content data to calculate prime mover EIA of data issues. EPA also accepted Simple Combustion Turbines and level fuel-adjusted heat input. This heat input objections if the source Combined Cycle Units at Non-Acid Rain prime mover level annual and ozone provided an objection with new heat Plants season heat input was then apportioned input data and an explanation of why The following procedures were used equally to each simple combustion the newly submitted data constituted for simple combustion turbines and turbine or combined cycle turbine (at best available data. Also some objectors combined cycle units at non-Acid Rain the plant) that is a potential CAIR unit had pointed out an error in EPA’s plants, which include certain utility and by prime mover type as described calculation of 2002 through 2004 ozone non-utility plants.6 For 2000, data from earlier for the 2000 utility units. season boiler heat input that were based the EIA form 860b was used to calculate EIA combined the utility and non- on EIA form 767 data. EPA corrected the simple combustion turbine and utility reporting forms in 2002 and calculation error and has revised the combined cycle unit fuel-adjusted heat changed the format. The EIA form 906 EIA based ozone season heat input for input for the non-utility plants in a for 2002 through 2004 provided both those years. similar manner as the 2000 non-utility fuel usage and fuel heat input on a boiler calculation. Annual fuel-adjusted monthly basis. The annual and ozone 5. How Do I Interpret the Data Tables heat input was calculated at the plant season fuel-adjusted heat input was Presented Through This NODA? level. Data from the EIA form 759 and totaled for each of the non-utility and This section provides a brief FERC form 423 were used to calculate utility plants at the prime mover level description of the types of data included simple combustion turbine and and then apportioned equally to each in each table of this NODA. A more combined cycle heat input for the utility potential CAIR unit at the plant, as detailed description of the data tables plants. The EIA form 759 provided described above for the 2000 and 2001 may be found in the TSD titled ‘‘Data monthly fuel usage at the prime mover EIA form 759 and 906 data. Field Description for the Final CAIR FIP level (simple combustion turbine, NO Annual and NO Ozone-season Non-Acid Rain Simple Combustion X X combined cycle combustion turbine, Allocation Tables’’, which is available Turbines at Acid Rain Plants and combined cycle steam turbine), and in the docket and on the Web site the FERC form 423 provided gaseous The fuel-adjusted heat inputs for non- mentioned in Section 8. The CAIR and liquid fuel heat content for the Acid Rain simple combustion turbines Annual and Ozone Season NOX plants. The prime mover fuel-adjusted located at Acid Rain plants with no Allocation tables were created primarily heat input for the plant was apportioned Acid Rain combustion turbines were using data reported to EPA (under the equally to each potential CAIR unit at calculated and apportioned in a similar Acid Rain Program) and the EIA. For a the plant by prime mover type (with manner as described above for simple number of units, annual and ozone combined cycle combustion turbine and combustion turbines and combined season allocations were based on heat steam turbine heat inputs combined to cycle units at non-Acid Rain plants. input and fuel information provided in provide a single combined cycle heat Heat inputs, however, for non-Acid response to the August 4, 2006 NODA. input). To the extent the plant includes Rain combustion turbines located at In addition, for a small number of non- both potential CAIR units and units that plants with Acid Rain combustion Acid Rain units, annual allocations are not treated as potential CAIR units, turbines had to be calculated in a incorporated heat input information this approach may have resulted in different manner in order to not double provided by the source owner or calculated heat input values exceeding count heat input. At these plants the operator in response to EPA’s June 10, the actual heat input for the potential plant or prime mover level heat input, 2004 Supplemental CAIR Proposal. CAIR units. Unlike the boiler data, that calculated with EIA data as described Tables 1 and 2 contain the annual and required apportioning plant level data above, included heat input from both ozone season unit NOX allowance only for 2000, combustion turbine EIA the non-Acid Rain and Acid Rain allocations and the baseline heat input. data are only available at the plant level turbines. Since the baseline heat input Tables 3, 4, 5, and 6 contain the EIA, for all of the years. Therefore the for the Acid Rain turbines at the plant EPA, and objector data regarding heat approach taken for boilers, i.e., was taken from data reported to EPA input and primary fuel used to calculate exclusion of a year of plant level data under the Acid Rain Program, the Acid the annual allocations. Tables 7, 8, and when that data may be impacted by Rain data was subtracted from the total 9 contain additional EIA, EPA, and units not subject to CAIR, was not EIA-based combustion turbine and objector data used to calculate ozone available. In any case where the use of combined cycle heat input. The season allocations. unit level data (for 2000 or for any other remaining fuel-adjusted heat input was Some units (i.e., units not reporting relevant period) will affect calculation then apportioned equally to each of the under the Acid Rain Program, OTC NOX of the baseline heat input of a unit, the non-Acid Rain turbines. In some cases Budget Program, or NOX SIP Call NOX owners and operators were given the the difference between EIA and Acid Budget Trading Program during a opportunity to provide to the EPA, in Rain heat input was zero or even portion of the baseline period) use heat response to the preliminary NODA in negative resulting in zero heat input for input data available from both EIA and 2006, the unit level data. Ozone-season the non-Acid Rain units. EPA to compile the baseline heat input. Heat input and fuel type objections For these units the EIA annual heat 6 See note 2. received in response to the August 4, input data are used until the first full

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year of Acid Rain Program or NOX obtained in EIA databases for units that allowance allocations).’’ The TSD is Budget Program data are available. are not under these programs. The titled ‘‘Data Field Description for the Ozone season heat inputs used for the 2009–2014 allocations in the NODA, CAIR FIP NOX Annual and NOX Ozone ozone season allocation are from the calculated using these data, are also Season Allocation Tables (2009 through data reported under the Acid Rain final. 2014 allowance allocations).’’ The Program, OTC NOX Budget Program, In particular, this action makes Response to Objections document is and NOX SIP Call NOX Budget Trading available to the public: NOX annual and titled ‘‘Response to the Objections for Program, if available, in Table 8. NOX ozone season allocations for the Notice of Data Availability (NODA), Otherwise EIA data in Table 7 or source- individual units in CAIR States for the Proposed Allocation of NOX Allowances provided data in Table 9 were used. FIP; the adjusted heat input values for under the Clean Air Interstate Rule each unit for 2000 through 2004; the 6. Is the EPA Requesting Objections to (CAIR) Federal Implementation Plan baseline heat inputs used to calculate These Data? (FIP).’’ In addition, these files are in the the allocations; the other data used to CAIR FIP Docket (Docket ID no. EPA– EPA is not requesting objections to include units in, or exclude units from, HQ–OAR–2004–0076). the data in the data tables in this NODA. the inventory of existing potential CAIR Other data used in developing the This action constitutes a final action for units for which allocations are inventory of potential existing CAIR determining the CAIR FIP NOX calculated; and objector data received units can be found on the EIA Web site allowance allocations for existing units during the objection period that were through the link given in section 4 of for 2009–2014. used in the final inventory and this NODA. 7. What Data Is the EPA Making allowance determinations for units. Dated October 25, 2007. Available? In particular, EPA is making the following data available: Brian McLean, EPA has used the best data currently • EIA Annual Heat Input: EIA data Director, Office of Atmospheric Programs. available to develop an inventory of were used to obtain heat input and fuel [FR Doc. E7–21603 Filed 11–1–07; 8:45 am] existing units that currently are type data for those units that are subject BILLING CODE 6560–50–P potentially covered by the CAIR FIPs to the CAIR rule, but are not reporting and to calculate each existing unit’s annually under the Acid Rain Program, allowance allocations for 2009 through OTC NOX Budget Program, or the NOX FEDERAL DEPOSIT INSURANCE 2014. Through the NODA, EPA is SIP Call NOX Budget Trading Program. CORPORATION making available to the public, • EIA Ozone Season Heat Input. including unit owners and operators, • EPA Acid Rain Program Annual Sunshine Act; Notice of Agency the data used in developing the Heat Input. Meeting inventory of potential existing CAIR • EPA Acid Rain Program, OTC NOX units, the heat input and fuel type data Budget Program, and NOX SIP Call NOX Pursuant to the provisions of the and resulting baseline heat inputs used Budget Trading Program Ozone Season ‘‘Government in the Sunshine Act’’ (5 in the allocation calculations, and the Heat Input. U.S.C. 552b), notice is hereby given that allocations resulting from such • Unit NOX Annual Allowance the Federal Deposit Insurance calculations. Allocation Table. Corporation’s Board of Directors will As discussed above, the inventory of • Unit NOX Ozone Season Allocation meet in open session at 2 p.m. on existing potential CAIR units, and the Table. Monday, November 5, 2007, to consider data on which the inventory is based, • Objector data that were used in the following matters: are final for purposes of determining inventory and the final allocations. Summary Agenda: No substantive what units should be allocated discussion of the following items is allowances in this NODA and are not 8. Where Can I Get the Data Discussed anticipated. These matters will be final for purposes of future NODAs in This NODA? resolved with a single vote unless a concerning future allocations and for Tables 1 through 9, which include the member of the Board of Directors purposes of determining whether a unit allowance allocations, baseline heat requests that an item be moved to the is subject to the requirements of the input, adjusted heat input, and fuel type discussion agenda. CAIR FIPs.7 Further, the heat input and data, are available in an Excel file titled Disposition of minutes of previous fuel type data and resulting baseline ‘‘Final Data for EGU NOX Annual and Board of Directors’ meetings. heat inputs used in this NODA are final NOX Ozone Season Allocations for the Memorandum and resolution re: for purposes of determining CAIR NOX Clean Air Interstate Rule Federal Amendments to FDIC Rules and FIP allowances for 2009–2014. EPA Implementation Plan Trading Programs Regulations Relating to Suspension, intends to use, for the units in the (2009 through 2014 allowance Removal, and Prohibition in the Case of inventory in this NODA, these data allocations) on the CAMD Web site at Certain Criminal Offenses and Rules (including the baseline heat inputs) in http://www.epa.gov/airmarkets/cair/ and Regulations Applicable to calculating allocations in future NODA NODA. The ‘‘NODA’’ link will open a Proceedings Relating to Cease-and- addressing future years. These data Web page which contains this excel file, Desist Orders. include: EPA heat input and fuel type along with the NODA, Technical Discussion Agenda data under the Acid Rain Program for Support Document, Response to the years 2000 through 2004, under the Objections Document, and copies of the Memorandum and resolution re: Final NOX Budget Program (NBP) for 2000 applicability determinations made in Rule regarding Risk-Based Capital through 2002 for Ozone Transport connection with this NODA in PDF Standards: Advanced Capital Adequacy Commission (OTC) units, and under the format. The NODA is titled ‘‘Final Framework. NOX Budget Trading Program for 2003 Notice of Data Availability for EGU NOX Memorandum and resolution re: and 2004 for units under the NOX SIP Annual and NOX Ozone Season Interagency Notice of Proposed Call; and heat input and fuel data Allocations for the Clean Air Interstate Rulemaking Relating to the Accuracy Rule Federal Implementation Plan and Integrity of Information Furnished 7 See note 1. Trading Program (2009 through 2014 to Consumer Reporting Agencies and

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Consumers’ Right to Dispute Inaccurate holding companies may be obtained bank holding companies may be Information Provided to Credit from the National Information Center obtained from the National Information Reporting Agencies. website at www.ffiec.gov/nic/. Center website at www.ffiec.gov/nic/. Memorandum and resolution re: Unless otherwise noted, comments Unless otherwise noted, comments Designated Reserve Ratio for 2008. regarding each of these applications regarding the applications must be Memorandum re: Assessment Rates must be received at the Reserve Bank received at the Reserve Bank indicated for 2008. indicated or the offices of the Board of or the offices of the Board of Governors The meeting will be held in the Board Governors not later than November 29, not later than November 19, 2007. Room on the sixth floor of the FDIC 2007. A. Federal Reserve Bank of Chicago Building located at 550 17th Street, A. Federal Reserve Bank of Kansas (Burl Thornton, Assistant Vice NW., Washington, DC. City (Todd Offenbacker, Assistant Vice President) 230 South LaSalle Street, The FDIC will provide attendees with President) 925 Grand Avenue, Kansas Chicago, Illinois 60690–1414: auxiliary aids (e.g., sign language City, Missouri 64198–0001: 1. Seaway Bancshares, Inc., Chicago, interpretation) required for this meeting. 1. Goppert Financial Corp.; to acquire Illinois; to engage de novo in extending Those attendees needing such assistance 100 percent of the voting shares of credit and servicing loans, pursuant to should call (703) 562–6067 (Voice or Kanbanc, Inc., both of Overland Park, section 225.28(b)(1) of Regulation Y. TTY), to make necessary arrangements. Kansas, and thereby indirectly acquire B. Federal Reserve Bank of Requests for further information voting shares of Citizens State Bank of Minneapolis (Jacqueline G. King, concerning the meeting may be directed Pomona, Pomona, Kansas; Citizens Bank Community Affairs Officer) 90 to Mr. Robert E. Feldman, Executive of Norborne, Norborne, Missouri; and Hennepin Avenue, Minneapolis, Secretary of the Corporation, at (202) Farmers National Bank of Kansas, Minnesota 55480–0291: 898–7122. Walnut, Kansas. 1. State Bankshares, Inc., Fargo, North Applicant also has applied to acquire Dakota; to acquire 100 percent of the Dated: October 29, 2007. up to 100 percent of the voting shares voting shares of Lighthouse1 LLC, Federal Deposit Insurance Corporation. of The Lathrop Bank, Lathrop, Missouri, Minneapolis, Minnesota, and thereby Robert E. Feldman, and The Pleasant Hill Bank, Pleasant engage in data processing activities, Executive Secretary. Hill, Missouri. pursuant to section 225.28(b)(14) of [FR Doc. E7–21544 Filed 11–1–07; 8:45 am] Board of Governors of the Federal Reserve Regulation Y. BILLING CODE 6714–01–P System, October 30, 2007. Board of Governors of the Federal Reserve Robert deV. Frierson, System, October 30, 2007. Deputy Secretary of the Board. Robert deV. Frierson, FEDERAL RESERVE SYSTEM [FR Doc. E7–21572 Filed 11–1–07; 8:45 am] Deputy Secretary of the Board. Formations of, Acquisitions by, and BILLING CODE 6210–01–S [FR Doc. E7–21573 Filed 11–1–07; 8:45 am] Mergers of Bank Holding Companies BILLING CODE 6210–01–S The companies listed in this notice FEDERAL RESERVE SYSTEM have applied to the Board for approval, Notice of Proposals to Engage in DEPARTMENT OF HEALTH AND pursuant to the Bank Holding Company Permissible Nonbanking Activities or HUMAN SERVICES Act of 1956 (12 U.S.C. 1841 et seq.) to Acquire Companies that are (BHC Act), Regulation Y (12 CFR Part National Institutes of Health Engaged in Permissible Nonbanking 225), and all other applicable statutes Activities and regulations to become a bank National Institute on Alcohol Abuse holding company and/or to acquire the The companies listed in this notice And Alcoholism; Notice of Closed assets or the ownership of, control of, or have given notice under section 4 of the Meeting the power to vote shares of a bank or Bank Holding Company Act (12 U.S.C. Pursuant to section 10(d) of the bank holding company and all of the 1843) (BHC Act) and Regulation Y (12 Federal Advisory Committee Act, as banks and nonbanking companies CFR Part 225) to engage de novo, or to amended (5 U.S.C. Appendix 2), notice owned by the bank holding company, acquire or control voting securities or is hereby given of the following including the companies listed below. assets of a company, including the meeting. The applications listed below, as well companies listed below, that engages The meeting will be closed to the as other related filings required by the either directly or through a subsidiary or public in accordance with the Board, are available for immediate other company, in a nonbanking activity provisions set forth in sections inspection at the Federal Reserve Bank that is listed in § 225.28 of Regulation Y 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., indicated. The application also will be (12 CFR 225.28) or that the Board has as amended. The grant applications and available for inspection at the offices of determined by Order to be closely the discussions could disclose the Board of Governors. Interested related to banking and permissible for confidential trade secrets or commercial persons may express their views in bank holding companies. Unless property such as patentable material, writing on the standards enumerated in otherwise noted, these activities will be and personal information concerning the BHC Act (12 U.S.C. 1842(c)). If the conducted throughout the United States. individuals associated with the grant proposal also involves the acquisition of Each notice is available for inspection applications, the disclosure of which a nonbanking company, the review also at the Federal Reserve Bank indicated. constitute a clearly unwarranted includes whether the acquisition of the The notice also will be available for invasion of personal privacy. nonbanking company complies with the inspection at the offices of the Board of Name of Committee: National Institute on standards in section 4 of the BHC Act Governors. Interested persons may Alcohol Abuse and Alcoholism Special (12 U.S.C. 1843). Unless otherwise express their views in writing on the Emphasis Panel, Review of Conference Grant noted, nonbanking activities will be question whether the proposal complies Applications (R13/U13). conducted throughout the United States. with the standards of section 4 of the Date: November 27, 2007. Additional information on all bank BHC Act. Additional information on all Time: 1:30 p.m. to 5 p.m.

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Agenda: To review and evaluate grant Executive Blvd., Room 5B01, Bethesda, MD Dated: October 26, 2007. applications. 20892, (301) 435–6898, [email protected]. Jennifer Spaeth, Place: National Institute on Alcohol Abuse (Catalogue of Federal Domestic Assistance Director, Office of Federal Advisory and Alcoholism, 5635 Fishers Lane, 3039, Program Nos. 93.864, Population Research; Committee Policy. Rockville, MD 20852. (Telephone Conference 93.865, Research for Mothers and Children; [FR Doc. 07–5443 Filed 11–1–07; 8:45 am] Call). 93.929, Center for Medical Rehabilitation Contact Person: Abraham P. Bautista, PhD, Research; 93.209, Contraception and BILLING CODE 4140–01–M Chief, Extramural Project Branch Review, Infertility Loan Repayment Program, National National Institute On Alcohol Abuse & Institutes of Health, HHS) Alcoholism, National Institutes of Health, DEPARTMENT OF HEALTH AND 5635 Fishers Lane, Rm 3039, Rockville, MD Dated: October 26, 2007. HUMAN SERVICES 20852, 301–443–9737, Jennifer Spaeth, [email protected]. Director, Office of Federal Advisory National Institutes of Health (Catalogue of Federal Domestic Assistance Committee Policy. Program Nos. 93.271, Alcohol Research [FR Doc. 07–5442 Filed 11–1–07; 8:45 am] Center For Scientific Review; Notice of Career Development Awards for Scientists Closed Meetings and Clinicians; 93.272, Alcohol National BILLING CODE 4140–01–M Research Service Awards for Research Pursuant to section 10(d) of the Training; 93.273, Alcohol Research Programs; 93.891, Alcohol Research Center Grants, DEPARTMENT OF HEALTH AND Federal Advisory Committee Act, as National Institutes of Health, HHS) HUMAN SERVICES amended (5 U.S.C. Appendix 2), notice is hereby given of the following Dated: October 26, 2007. National Institutes of Health meetings. Jennifer Spaeth, The meetings will be closed to the Director, Office of Federal Advisory National Institute of General Medical Committee Policy. public in accordance with the Sciences; Notice of Closed Meeting provisions set forth in sections [FR Doc. 07–5441 Filed 11–1–07; 8:45 am] 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., BILLING CODE 4140–01–M Pursuant to section 10(d) of the as amended. The grant applications and Federal Advisory Committee Act, as the discussions could disclose amended (5 U.S.C. Appendix 2), notice confidential trade secrets or commercial DEPARTMENT OF HEALTH AND is hereby given of the following HUMAN SERVICES property such as patentable material, meeting. and personal information concerning National Institutes of Health The meeting will be closed to the individuals associated with the grant public in accordance with the applications, the disclosure of which National Institute of Child Health and provisions set forth in sections would constitute a clearly unwarranted Human Development; Notice of Closed 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., invasion of personal privacy. Meeting as amended. The grant applications and Name of Committee: Center for Scientific the discussions could disclose Review Special Emphasis Panel, Pursuant to section 10(d) of the confidential trade secrets or commercial Federal Advisory Committee Act, as Neurogenetics/Genomics. property such as patentable materials, Date: November 14, 2007. amended (5 U.S.C. Appendix 2), notice and personal information concerning Time: 8 a.m. to 5 p.m. is hereby given of the following individuals associated with the grant Agenda: To review and evaluate grant meeting. applications, the disclosure of which applications. The meeting will be closed to the would constitute a clearly unwarranted Place: Savoy Suites Hotel, 2505 Wisconsin public in accordance with the invasion of personal privacy. Avenue, NW., Washington, DC 20007. provisions set forth in sections Contact Person: Robert C. Elliott, PhD, 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Name of Committee: National Institute of Scientific Review Administrator, Center for as amended. The grant applications and General Medical Sciences Special Emphasis Scientific Review, National Institutes of the discussions could disclose Panel, R13 Conference Grant Applications. Health, 6701 Rockledge Drive, Room 3130, confidential trade secrets or commercial Date: November 26, 2007. MSC 7850, Bethesda, MD 20892, (301) 435– Time: 8:30 a.m. to 5 p.m. property such as patentable material, 3009, [email protected]. Agenda: To review and evaluate grant Name of Committee: Center for Scientific and personal information concerning applications. individuals associated with the grant Review Special Emphasis Panel, Place: National Institutes of Health, Neurotechnology. applications, the disclosure of which Natcher Building, 45 Center Drive, Bethesda, Date: November 15, 2007. would constitute a clearly unwarranted MD 20892. (Virtual Meeting) Time: 8 a.m. to 5 p.m. invasion of personal privacy. Contact Person: Margaret Weidman, PhD, Agenda: To review and evaluate grant Name of Committee: National Institute of Scientific Review Administrator, Office of applications. Child Health and Human Development Scientific Review, National Institute of Place: Savoy Suites Hotel, 2505 Wisconsin Special Emphasis Panel, Cross-disciplinary General Medical Sciences, National Institutes Avenue, NW., Washington, DC 20007. Training in the Language Science of of Health, 45 Center Drive, Room 3AN18B, Contact Person: Robert C. Elliott, PhD, Billingualism. Bethesda, MD 20892, 301–594–3663, Scientific Review Administrator, Center for Date: November 27, 2007. [email protected]. Scientific Review, National Institutes of Time: 3:30 p.m. to 5 p.m. (Catalogue of Federal Domestic Assistance Health, 6701 Rockledge Drive, Room 3130, Agenda: To review and evaluate grant Program Nos. 93.375, Minority Biomedical MSC 7850, Bethesda, MD 20892, (301) 435– applications. Research Support; 93.821, Cell Biology and 3009, [email protected]. Place: National Institutes of Health, 6100 Biophysics Research; 93.859, Pharmacology, Name of Committee: Center for Scientific Executive Boulevard, 5B01, Rockville, MD Physiology, and Biological Chemistry Review Special Emphasis Panel, Pathology 20852. (Telephone Conference Call) Research; 93.862, Genetics and Member Conflicts. Contact Person: Carla T. Walls, PhD, Developmental Biology Research; 93.88, Date: November 16, 2007. Scientific Review Administrator, Division of Minority Access to Research Careers; 93.96, Time: 10 a.m. to 12 p.m. Scientific Review, National Institute of Child Special Minority Initiatives, National Agenda: To review and evaluate grant Health, and Human Development, NIH, 6100 Institutes of Health, HHS) applications.

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Place: National Institutes of Health, 6701 DEPARTMENT OF HEALTH AND Proposed Project: Access to Recovery Rockledge Drive, Bethesda, MD 20892. HUMAN SERVICES (ATR) Program (OMB No. 0930–0266)— (Telephone Conference Call). Revision Contact Person: Shirley Hilden, PhD, Substance Abuse and Mental Health The Center for Substance Abuse Scientific Review Administrator, Center for Services Administration Scientific Review, National Institutes of Treatment (CSAT) is charged with implementing the Access to Recovery Health, 6701 Rockledge Drive, Room 4222, Agency Information Collection (ATR) program which will allow MSC 7814, Bethesda, MD 20892, (301) 435– Activities: Proposed Collection; 1198, [email protected]. grantees (States, Territories, the District Comment Request of Columbia and Tribal Organizations) a Name of Committee: Center for Scientific means to implement voucher programs Review Special Emphasis Panel, Small In compliance with Section for substance abuse clinical treatment Business: Biomaterials and Tissue 3506(c)(2)(A) of the Paperwork and recovery support services. The ATR Engineering. Reduction Act of 1995 concerning program is part of a Presidential Date: December 4–5, 2007. opportunity for public comment on Time: 6 a.m. to 10 p.m. initiative to: (1) Provide client choice proposed collections of information, the among substance abuse clinical Agenda: To review and evaluate grant Substance Abuse and Mental Health applications. treatment and recovery support service Services Administration (SAMHSA) providers, (2) expand access to a Place: National Institutes of Health, 6701 will publish periodic summaries of Rockledge Drive, Bethesda, MD 20892. comprehensive array of clinical proposed projects. To request more (Virtual Meeting). treatment and recovery support options Contact Person: Alexander Gubin, PhD, information on the proposed projects or (including faith-based programmatic Scientific Review Administrator, Center for to obtain a copy of the information options), and (3) increase substance Scientific Review, National Institutes of collection plans, call the SAMHSA abuse treatment capacity. Monitoring Health, 6701 Rockledge Drive, Room 4196, Reports Clearance Officer on (240) 276– outcomes, tracking costs, and MSC 7812, Bethesda, MD 20892, (301) 435– 1243. preventing waste, fraud and abuse to 2902, [email protected]. Comments are invited on: (a) Whether ensure accountability and effectiveness (Catalogue of Federal Domestic Assistance the proposed collections of information in the use of Federal funds are also important elements of the ATR program. Program Nos. 93.306, Comparative Medicine; are necessary for the proper Grantees, as a contingency of their 93.333, Clinical Research, 93.306, 93.333, performance of the functions of the award, are responsible for collecting 93.337, 93.393–93.396, 93.837–93.844, agency, including whether the data from their clients at intake, 93.846–93.878, 93.892, 93.893, National information shall have practical utility; Institutes of Health, HHS) discharge, and follow-up (at six months (b) the accuracy of the agency’s estimate post intake). Dated: October 26, 2007. of the burden of the proposed collection The primary purpose of this data Jennifer Spaeth, of information; (c) ways to enhance the collection activity is to meet the Director, Office of Federal Advisory quality, utility, and clarity of the reporting requirements of the Committee Policy. information to be collected; and (d) Government Performance and Results [FR Doc. 07–5444 Filed 11–1–07; 8:45 am] ways to minimize the burden of the Act (GPRA) by allowing SAMHSA to BILLING CODE 4140–01–M collection of information on quantify the effects and respondents, including through the use accomplishments of SAMHSA of automated collection techniques or programs. The following table is an other forms of information technology. estimated annual response burden for this effort.

ESTIMATES OF ANNUALIZED HOUR BURDEN 1

Responses Total annual Center/form/respondent Number of per Total Hours per re- Total hour Added burden 2 burden hours type respondents respondent responses sponse burden proportion

CSAT GPRA Client Outcome Measures for Access to Recovery Programs

Clients: Adults ...... 53,333 3 160,000 .33...... 52,800 .33 17,424

Client Subtotal .... 53,333 ...... 160,000 ...... 17,424 Data Extract: 3 Adult Records ...... 53,333 3 160,000 .16 ...... 25,600 ...... 25,600

Data Extract Sub- 53,333 ...... 160,000 ...... 25,600 total. Upload 4 ...... 24 grants ...... 160,000 1 hr. per 27 ...... 27 6,000 records.

Upload Subtotal 24 grants ...... 160,000 ...... 27

ATR Voucher Information and Voucher Transaction

Voucher information 53,333 1.5 80,000 .03...... 2,400 ...... 2,400 and transaction.

VerDate Aug<31>2005 15:58 Nov 01, 2007 Jkt 214001 PO 00000 Frm 00045 Fmt 4703 Sfmt 4703 E:\FR\FM\02NON1.SGM 02NON1 pwalker on PROD1PC71 with NOTICES Federal Register / Vol. 72, No. 212 / Friday, November 2, 2007 / Notices 62249

ESTIMATES OF ANNUALIZED HOUR BURDEN 1—Continued

Responses Total annual Center/form/respondent Number of per Total Hours per re- Total hour Added burden 2 burden hours type respondents respondent responses sponse burden proportion

Voucher informa- 53,333 ...... 80,000 ...... 2,400 tion and trans- action Subtotal.

Subtotal ...... 160,000 ...... 480,000 ...... 45,451

Total ...... 160,000 ...... 480,000 ...... 45,451 Notes: 1 This table represents the maximum additional burden if adult respondents provide three sets of responses/data. 2 Added burden proportion is an adjustment reflecting customary and usual business practices programs engage in (e.g., they already collect the data items). 3 Data Extract: Grant burden for capturing customary and usual data. 4 Upload: All ATR grants upload data.

Send comments to Summer King, certification under the Mandatory 2004 (69 FR 19644), the following SAMHSA Reports Clearance Officer, Guidelines. laboratories meet the minimum Room 7–1044, One Choke Cherry Road, If any laboratory has withdrawn from standards to conduct drug and specimen Rockville, MD 20857 AND e-mail her a the HHS National Laboratory validity tests on urine specimens: copy at [email protected]. Certification Program (NLCP) during the ACL Laboratories, 8901 W. Lincoln Written comments should be received past month, it will be listed at the end, Ave., West Allis, WI 53227, 414–328– within 60 days of this notice. and will be omitted from the monthly 7840/800–877–7016, (Formerly: Dated: October 29, 2007. listing thereafter. Bayshore Clinical Laboratory). This notice is also available on the Elaine Parry, ACM Medical Laboratory, Inc., 160 Internet at http:// Elmgrove Park, Rochester, NY 14624, Acting Director, Office of Program Services. www.workplace.samhsa.gov and http:// 585–429–2264. [FR Doc. E7–21583 Filed 11–1–07; 8:45 am] www.drugfreeworkplace.gov. Advanced Toxicology Network, 3560 BILLING CODE 4162–20–P FOR FURTHER INFORMATION CONTACT: Mrs. Air Center Cove, Suite 101, Memphis, Giselle Hersh or Dr. Walter Vogl, TN 38118, 901–794–5770/888–290– Division of Workplace Programs, 1150. DEPARTMENT OF HEALTH AND Aegis Sciences Corporation, 345 Hill HUMAN SERVICES SAMHSA/CSAP, Room 2–1035, 1 Choke Cherry Road, Rockville, Maryland Ave., Nashville, TN 37210, 615–255– Substance Abuse and Mental Health 20857; 240–276–2600 (voice), 240–276– 2400, (Formerly: Aegis Analytical Services Administration 2610 (fax). Laboratories, Inc.). Baptist Medical Center-Toxicology SUPPLEMENTARY INFORMATION: The Laboratory, 9601 I–630, Exit 7, Little Current List of Laboratories Which Mandatory Guidelines were developed Meet Minimum Standards To Engage in Rock, AR 72205–7299, 501–202–2783, in accordance with Executive Order (Formerly: Forensic Toxicology Urine Drug Testing for Federal 12564 and section 503 of Pub. L. 100– Agencies Laboratory Baptist Medical Center). 71. Subpart C of the Mandatory Clinical Reference Lab, 8433 Quivira AGENCY: Substance Abuse and Mental Guidelines, ‘‘Certification of Road, Lenexa, KS 66215–2802, 800– Health Services Administration, HHS. Laboratories Engaged in Urine Drug 445–6917. ACTION: Notice. Testing for Federal Agencies,’’ sets strict Diagnostic Services, Inc., dba DSI, standards that laboratories must meet in 12700 Westlinks Drive, Fort Myers, SUMMARY: The Department of Health and order to conduct drug and specimen FL 33913, 239–561–8200/800–735– Human Services (HHS) notifies Federal validity tests on urine specimens for 5416. agencies of the laboratories currently Federal agencies. To become certified, Doctors Laboratory, Inc., 2906 Julia certified to meet the standards of an applicant laboratory must undergo Drive, Valdosta, GA 31602, 229–671– Subpart C of the Mandatory Guidelines three rounds of performance testing plus 2281. for Federal Workplace Drug Testing an on-site inspection. To maintain that DrugScan, Inc., P.O. Box 2969, 1119 Programs (Mandatory Guidelines). The certification, a laboratory must Mearns Road, Warminster, PA 18974, Mandatory Guidelines were first participate in a quarterly performance 215–674–9310. published in the Federal Register on testing program plus undergo periodic, Dynacare Kasper Medical Laboratories,* April 11, 1988 (53 FR 11970), and on-site inspections. 10150–102 St., Suite 200, Edmonton, subsequently revised in the Federal Laboratories which claim to be in the Alberta, Canada T5J 5E2, 780–451– Register on June 9, 1994 (59 FR 29908), applicant stage of certification are not to 3702/800–661–9876. on September 30, 1997 (62 FR 51118), be considered as meeting the minimum ElSohly Laboratories, Inc., 5 Industrial and on April 13, 2004 (69 FR 19644). requirements described in the HHS Park Drive, Oxford, MS 38655, 662– A notice listing all currently certified Mandatory Guidelines. A laboratory 236–2609. laboratories is published in the Federal must have its letter of certification from Gamma-Dynacare Medical Register during the first week of each HHS/SAMHSA (formerly: HHS/NIDA) Laboratories,* A Division of the month. If any laboratory’s certification which attests that it has met minimum Gamma-Dynacare Laboratory is suspended or revoked, the laboratory standards. Partnership, 245 Pall Mall Street, will be omitted from subsequent lists In accordance with Subpart C of the London, ONT, Canada N6A 1P4, 519– until such time as it is restored to full Mandatory Guidelines dated April 13, 679–1630.

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Kroll Laboratory Specialists, Inc., 1111 MedTox Laboratories, Inc., 402 W. Lawrence Hospital & Healthcare Newton St., Gretna, LA 70053, 504– County Road D, St. Paul, MN 55112, System). 361–8989/800–433–3823, (Formerly: 651–636–7466/800–832–3244. St. Anthony Hospital Toxicology Laboratory Specialists, Inc.). MetroLab-Legacy Laboratory Services, Laboratory, 1000 N. Lee St., Kroll Laboratory Specialists, Inc., 450 1225 NE 2nd Ave., Portland, OR Oklahoma City, OK 73101, 405–272– Southlake Blvd., Richmond, VA 97232, 503–413–5295/800–950–5295. 7052. 23236, 804–378–9130, (Formerly: Minneapolis Veterans Affairs Medical Toxicology & Drug Monitoring Scientific Testing Laboratories, Inc.; Center, Forensic Toxicology Laboratory, University of Missouri Kroll Scientific Testing Laboratories, Laboratory, 1 Veterans Drive, Hospital & Clinics, 301 Business Loop Inc.). Minneapolis, MN 55417, 612–725– 70 West, Suite 208, Columbia, MO Laboratory Corporation of America 2088. 65203, 573–882–1273. Toxicology Testing Service, Inc., 5426 Holdings, 7207 N. Gessner Road, National Toxicology Laboratories, Inc., N.W. 79th Ave., Miami, FL 33166, Houston, TX 77040, 713–856–8288/ 1100 California Ave., Bakersfield, CA 305–593–2260. 800–800–2387. 93304, 661–322–4250/800–350–3515. One Source Toxicology Laboratory, Inc., U.S. Army Forensic Toxicology Drug Laboratory Corporation of America 1213 Genoa-Red Bluff, Pasadena, TX Testing Laboratory, 2490 Wilson St., Holdings, 69 First Ave., Raritan, NJ 77504, 888–747–3774 , (Formerly: Fort George G. Meade, MD 20755– 08869, 908–526–2400/800–437–4986, University of Texas Medical Branch, 5235, 301–677–7085. (Formerly: Roche Biomedical Clinical Chemistry Division; UTMB * Laboratories, Inc.). The Standards Council of Canada (SCC) Pathology-Toxicology Laboratory). voted to end its Laboratory Accreditation Laboratory Corporation of America Oregon Medical Laboratories, 123 Program for Substance Abuse (LAPSA) Holdings, 1904 Alexander Drive, International Way, Springfield, OR effective May 12, 1998. Laboratories certified Research Triangle Park, NC 27709, 97477, 541–341–8092. through that program were accredited to 919–572–6900/800–833–3984, Pacific Toxicology Laboratories, 9348 conduct forensic urine drug testing as (Formerly: LabCorp Occupational DeSoto Ave., Chatsworth, CA 91311, required by U.S. Department of Transportation (DOT) regulations. As of that Testing Services, Inc., CompuChem 800–328–6942, (Formerly: Centinela Laboratories, Inc.; CompuChem date, the certification of those accredited Hospital Airport Toxicology Canadian laboratories will continue under Laboratories, Inc., A Subsidiary of Laboratory). DOT authority. The responsibility for Roche Biomedical Laboratory; Roche Pathology Associates Medical conducting quarterly performance testing CompuChem Laboratories, Inc., A Laboratories, 110 West Cliff Dr., plus periodic on-site inspections of those Member of the Roche Group). Spokane, WA 99204, 509–755–8991/ LAPSA-accredited laboratories was Laboratory Corporation of America 800–541–7891x7. transferred to the U.S. HHS, with the HHS’ Holdings, 13112 Evening Creek Drive, Phamatech, Inc., 10151 Barnes Canyon NLCP contractor continuing to have an active Suite 100, San Diego, CA 92128, 858– Road, San Diego, CA 92121, 858–643– role in the performance testing and laboratory inspection processes. Other 668–3710/800–882–7272, (Formerly: 5555. Canadian laboratories wishing to be Poisonlab, Inc.). Physicians Reference Laboratory, 7800 considered for the NLCP may apply directly Laboratory Corporation of America West 110th St., Overland Park, KS to the NLCP contractor just as U.S. Holdings, 550 17th Ave., Suite 300, 66210, 913–339–0372/800–821–3627. laboratories do. Seattle, WA 98122, 206–923–7020/ Quest Diagnostics Incorporated, 3175 Upon finding a Canadian laboratory to 800–898–0180, (Formerly: DrugProof, Presidential Dr., Atlanta, GA 30340, be qualified, HHS will recommend that Division of Dynacare/Laboratory of 770–452–1590/800–729–6432, DOT certify the laboratory (Federal Pathology, LLC; Laboratory of (Formerly: SmithKline Beecham Register, July 16, 1996) as meeting the Pathology of Seattle, Inc.; DrugProof, Clinical Laboratories; SmithKline Bio- minimum standards of the Mandatory Division of Laboratory of Pathology of Science Laboratories). Guidelines published in the Federal Quest Diagnostics Incorporated, 400 Seattle, Inc.). Register on April 13, 2004 (69 FR Egypt Road, Norristown, PA 19403, Laboratory Corporation of America 19644). After receiving DOT 610–631–4600/877–642–2216, Holdings, 1120 Main Street, certification, the laboratory will be (Formerly: SmithKline Beecham Southaven, MS 38671, 866–827–8042/ included in the monthly list of HHS- Clinical Laboratories; SmithKline Bio- 800–233–6339, (Formerly: LabCorp certified laboratories and participate in Science Laboratories). Occupational Testing Services, Inc.; the NLCP certification maintenance Quest Diagnostics Incorporated, 7600 MedExpress/National Laboratory program. Center). Tyrone Ave., Van Nuys, CA 91405, 866–370–6699/818–989–2521, Elaine Parry, LabOne, Inc. d/b/a Quest Diagnostics, (Formerly: SmithKline Beecham 10101 Renner Blvd., Lenexa, KS Acting Director, Office of Program Services, Clinical Laboratories). SAMHSA. 66219, 913–888–3927/800–873–8845, S.E.D. Medical Laboratories, 5601 Office (Formerly: Quest Diagnostics [FR Doc. E7–21489 Filed 11–1–07; 8:45 am] Blvd., Albuquerque, NM 87109, 505– BILLING CODE 4160–20–P Incorporated; LabOne, Inc.; Center for 727–6300/800–999–5227. Laboratory Services, a Division of South Bend Medical Foundation, Inc., LabOne, Inc.). 530 N. Lafayette Blvd., South Bend, DEPARTMENT OF HOMELAND Marshfield Laboratories, Forensic IN 46601, 574–234–4176 x276. SECURITY Toxicology Laboratory, 1000 North Southwest Laboratories, 4645 E. Cotton Oak Ave., Marshfield, WI 54449, 715– Center Boulevard, Suite 177, Phoenix, Coast Guard 389–3734/800–331–3734. AZ 85040, 602–438–8507/800–279– MAXXAM Analytics Inc.,* 6740 0027. [Docket No. USCG–2007–0028] Campobello Road, Mississauga, ON, Sparrow Health System, Toxicology Navigation Safety Advisory Council; Canada L5N 2L8, 905–817–5700, Testing Center, St. Lawrence Campus, Meeting (Formerly: NOVAMANN (Ontario), 1210 W. Saginaw, Lansing, MI 48915, Inc.). 517–364–7400, (Formerly: St. AGENCY: Coast Guard, DHS.

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ACTION: Notice of meeting. meeting, please submit 20 copies to the emergency protective measures (Categories A Executive Director no later than and B) under the Public Assistance program SUMMARY: The Navigation Safety November 20, 2007. in the designated areas, Hazard Mitigation Advisory Council (NAVSAC) will meet throughout the State, and any other forms of to discuss various issues relating to the Information on Services for Individuals assistance under the Stafford Act that you safety of navigation. The meeting will be With Disabilities deem appropriate subject to completion of open to the public. For information on facilities or Preliminary Damage Assessments (PDAs), unless you determine that the incident is of DATES: NAVSAC will meet on Tuesday, services for individuals with disabilities or to request special assistance at the such unusual severity and magnitude that December 04, 2007, from 1 p.m. to 4 PDAs are not required to determine the need p.m.; Wednesday, December 05, 2007, meeting, contact the Executive Director for supplemental Federal assistance pursuant from 8:30 a.m. to 4 p.m.; and Thursday, as soon as possible. to 44 CFR 206.33(d). December 06, 2007 from 8:30 a.m. to Dated: October 29, 2007. Consistent with the requirement that 11:30 a.m. The meeting may close early Wayne A. Muilenburg, Federal assistance be supplemental, any if all business is finished. Written Captain, U.S. Coast Guard, Office of Federal funds provided under the Stafford material and requests to make oral Waterways Management. Act for Public Assistance, Hazard Mitigation, and Other Needs Assistance will be limited presentations should reach the Coast [FR Doc. E7–21588 Filed 11–1–07; 8:45 am] Guard on or before November 20, 2007. to 75 percent of the total eligible costs. BILLING CODE 4910–15–P Requests to have a copy of your material Federal funds provided under the Stafford distributed to each member of the Act for Public Assistance also will be limited to 75 percent of the total eligible costs, except committee should reach the Coast Guard DEPARTMENT OF HOMELAND on or before November 20, 2007. for any particular projects that are eligible for SECURITY a higher Federal cost-sharing percentage ADDRESSES: NAVSAC will meet in the under the FEMA Public Assistance Pilot Phoenix Park Hotel, 520 N. Capitol Federal Emergency Management Program instituted pursuant to 6 U.S.C. 777. Street, NW., Washington, DC 20001. Agency Further, you are authorized to make Send written material and requests to [FEMA–1731–DR] changes to this declaration to the extent make oral presentations to Mr. John allowable under the Stafford Act. Bobb, Commandant (CG–54121), U.S. California; Major Disaster and Related Coast Guard Headquarters, 2100 Second Determinations The time period prescribed for the Street, SW., Washington, DC 20593– implementation of section 310(a), AGENCY: 0001. This notice is available on our Federal Emergency Priority to Certain Applications for online docket, USCG–2007–0028 at Management Agency, DHS. Public Facility and Public Housing http://www.regulations.gov. ACTION: Notice. Assistance, 42 U.S.C. 5153, shall be for a period not to exceed six months after FOR FURTHER INFORMATION CONTACT: Mr. SUMMARY: This is a notice of the the date of this declaration. Mike Sollosi, Executive Director of Presidential declaration of a major NAVSAC, or Mr. John Bobb, Assistant to disaster for the State of California The Federal Emergency Management the Executive Director, telephone 202– (FEMA–1731–DR), dated October 24, Agency (FEMA) hereby gives notice that 372–1532, fax 202–372–1929 or e-mail 2007, and related determinations. pursuant to the authority vested in the Administrator, Department of Homeland at [email protected]. DATES: Effective Date: October 24, 2007. Security, under Executive Order 12148, SUPPLEMENTARY INFORMATION: Notice of FOR FURTHER INFORMATION CONTACT: the meeting is given under the Federal as amended, Michael J. Hall, of FEMA Peggy Miller, Disaster Assistance is appointed to act as the Federal Advisory Committee Act, 5 U.S.C. App. Directorate, Federal Emergency (Pub. L. 92–493). Coordinating Officer for this declared Management Agency, Washington, DC disaster. 20472, (202) 646–2705. Agenda of Meeting I do hereby determine the following SUPPLEMENTARY INFORMATION: Notice is The agenda for the December 4–6, hereby given that, in a letter dated areas of the State of California to have 2007 NAVSAC meeting is as follows: October 24, 2007, the President declared been affected adversely by this declared (1) Introduction and swearing-in of a major disaster under the authority of major disaster: new members. the Robert T. Stafford Disaster Relief Los Angeles, Orange, Riverside, San (2) VTS Program. and Emergency Assistance Act, 42 Bernardino, San Diego, Santa Barbara, and (3) Navigation Subcommittee Report. U.S.C. 5121–5206 (the Stafford Act), as Ventura Counties for Individual Assistance (4) NOAA Update. follows: and debris removal and emergency protective Procedural measures (Categories A and B) under the I have determined that the damage in Public Assistance program. The meeting is open to the public. certain areas of the State of California All counties within the State of California Please note that the meeting may close resulting from wildfires beginning on are eligible to apply for assistance under the early if all business is finished. At the October 21, 2007, and continuing, is of Hazard Mitigation Grant Program. sufficient severity and magnitude to warrant Chair’s discretion, members of the a major disaster declaration under the Robert (The following Catalog of Federal Domestic public may make oral presentations T. Stafford Disaster Relief and Emergency Assistance Numbers (CFDA) are to be used during the meeting. If you would like to Assistance Act, 42 U.S.C. 5121–5206 (the for reporting and drawing funds: 97.030, make an oral presentation at the Stafford Act). Therefore, I declare that such Community Disaster Loans; 97.031, Cora meeting, please notify the Executive a major disaster exists in the State of Brown Fund Program; 97.032, Crisis Director no later than November 20, California. Counseling; 97.033, Disaster Legal Services In order to provide Federal assistance, you Program; 97.034, Disaster Unemployment 2007. Written material for distribution Assistance (DUA); 97.046, Fire Management at the meeting should reach the Coast are hereby authorized to allocate from funds available for these purposes such amounts as Assistance; 97.048, Individual and Guard no later than November 20, 2007. you find necessary for Federal disaster Household Housing; 97.049, Individual and If you would like a copy of your assistance and administrative expenses. Household Disaster Housing Operations; material distributed to each member of You are authorized to provide Individual 97.050 Individual and Household Program— the committee in advance of the Assistance, assistance for debris removal and Other Needs, 97.036, Public Assistance

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Grants; 97.039, Hazard Mitigation Grant Consistent with the requirement that ACTION: Notice of funding availability Program.) Federal assistance be supplemental, any (NOFA); notice of extension of Federal funds provided under the Stafford application deadline. R. David Paulison, Act for Public Assistance will be limited to Administrator, Federal Emergency 75 percent of the total eligible costs. SUMMARY: On September 24, 2007, HUD Management Agency. In order to provide Federal assistance, you published its NOFA for the Brownfields [FR Doc. E7–21591 Filed 11–1–07; 8:45 am] are hereby authorized to allocate from funds Economic Development Initiative. BILLING CODE 9110–10–P available for these purposes such amounts as Because the initial deadline falls on you find necessary for Federal emergency December 24, 2007, a day on or near a assistance and administrative expenses. Further, you are authorized to make holiday, HUD has determined to extend DEPARTMENT OF HOMELAND the deadline. SECURITY changes to this declaration to the extent allowable under the Stafford Act. DATES: The application deadline date for Federal Emergency Management the BEDI NOFA competition is The Federal Emergency Management Agency December 28, 2007 at 11:59:59 p.m. Agency (FEMA) hereby gives notice that FOR FURTHER INFORMATION CONTACT: pursuant to the authority vested in the [FEMA–3279–EM] David Kaminsky, Office of Economic Administrator, Department of Homeland Development, Office of Community California; Emergency and Related Security, under Executive Order 12148, Planning and Development, Department Determinations as amended, Michael J. Hall, of FEMA of Housing and Urban Development, is appointed to act as the Federal 451 Seventh Street, SW., Room 7212, AGENCY: Federal Emergency Coordinating Officer for this declared Washington, DC 20410–7000; telephone Management Agency, DHS. emergency. 202–402–4612 (this is not a toll-free ACTION: Notice. The following areas of the State of number). Persons with speech or California have been designated as hearing impairments may access this SUMMARY: This is a notice of the adversely affected by this declared number through TTY by calling the toll- Presidential declaration of an emergency: free Federal Income Relay Service at emergency for the State of California 800–877–8339. (FEMA–3279–EM), dated October 23, Los Angeles, Orange, Riverside, San Bernardino, San Diego, Santa Barbara, and SUPPLEMENTARY INFORMATION: On 2007, and related determinations. Ventura Counties for emergency protective September 24, 2007, HUD published its EFFECTIVE DATE: October 23, 2007. measures (Category B), including direct NOFA for the Brownfields Economic FOR FURTHER INFORMATION CONTACT: Federal assistance, under the Public Development Initiative (BEDI) for Fiscal Peggy Miller, Disaster Assistance Assistance program. Year 2007 (72 FR 54324). The Directorate, Federal Emergency (The following Catalog of Federal Domestic competition was stated to close on Management Agency, Washington, DC Assistance Numbers (CFDA) are to be used December 24, 2007. In order to avoid 20472, (202) 646–2705. for reporting and drawing funds: 97.030, any problems or added difficulties that Community Disaster Loans; 97.031, Cora might arise from the close date falling SUPPLEMENTARY INFORMATION: Notice is Brown Fund Program; 97.032, Crisis on or near a holiday, HUD has hereby given that, in a letter dated Counseling; 97.033, Disaster Legal Services determined to extend the deadline date October 23, 2007, the President declared Program; 97.034, Disaster Unemployment by three days, to December 28, 2007, in an emergency declaration under the Assistance (DUA); 97.046, Fire Management order to facilitate the application authority of the Robert T. Stafford Assistance; 97.048, Individuals and process. Extending the deadline date Disaster Relief and Emergency Households Housing; 97.049, Individuals and will also permit applicants to have an Assistance Act, 42 U.S.C. 5121–5206 Households Disaster Housing Operations; 97.050, Individuals and Households additional three days to obtain (the Stafford Act), as follows: Program—Other Needs; 97.036, Public assistance from the Grants.gov desk help I have determined that the emergency Assistance Grants; 97.039, Hazard Mitigation at 800–518–GRANTS (this is a toll free conditions in certain areas of the State of Grant Program.) number). California resulting from wildfires beginning Potential applicants are advised that on October 21, 2007, and continuing, are of R. David Paulison, sufficient severity and magnitude to warrant Administrator, Federal Emergency the provisions of the BEDI NOFA that an emergency declaration under the Robert T. Management Agency. discuss timely receipt of applications Stafford Disaster Relief and Emergency [FR Doc. E7–21592 Filed 11–1–07; 8:45 am] continue to apply. Specifically, section Assistance Act, 42 U.S.C. 5121–5206 (the BILLING CODE 9110–10–P IV.F. of the BEDI NOFA (72 FR 54330) Stafford Act). Therefore, I declare that such provides that all applications must be an emergency exists in the State of California. received and validated by Grants.gov; or You are authorized to provide appropriate received no later than 11:59:59 on the assistance for required emergency measures, deadline date. In order to ensure timely authorized under Title V of the Stafford Act, DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT receipt, HUD strongly recommends to save lives, protect property and public applicants submit their electronic health and safety, and lessen or avert the applications 48–72 hours prior to the threat of a catastrophe in the designated [Docket No. FR–5142–N–02] areas. Specifically, you are authorized to deadline to ensure the application validation is processed prior to the provide assistance for emergency protective Notice of Funding Opportunity (NOFA) deadline. measures (Category B), including direct for the Brownfields Economic Federal assistance, under the Public Development Initiative for Fiscal Year Dated: October 23, 2007. Assistance program. This assistance excludes Nelson R. Brego´n, regular time costs for subgrantees’ regular 2007 Extension of Application Deadline employees. In addition, you are authorized to General Deputy Assistant Secretary for provide such other forms of assistance under AGENCY: Office of the Assistant Community Planning and Development. Title V of the Stafford Act as you may deem Secretary for Community Planning and [FR Doc. E7–21558 Filed 11–1–07; 8:45 am] appropriate. Development, HUD. BILLING CODE 4210–67–P

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DEPARTMENT OF HOUSING AND is: Department of Housing and Urban Dated: October 29, 2007. URBAN DEVELOPMENT Development, Washington, DC 20410– C. Allen Sachse, 0050. Executive Director, Delaware & Lehigh [Docket No. FR–5125–N–44] FOR FURTHER INFORMATION CONTACT: National Heritage Corridor Commission. Federal Property Suitable as Facilities Persons desiring any further information [FR Doc. 07–5451 Filed 11–1–07; 8:45 am] To Assist the Homeless about the Performance Review Board BILLING CODE 6820–PE–M and its members may contact Earnestine AGENCY: Office of the Assistant Pruitt, Director, Executive Personnel Secretary for Community Planning and Management Division, Department of DEPARTMENT OF THE INTERIOR Development, HUD. Housing and Urban Development, Fish and Wildlife Service ACTION: Notice. Washington, DC 20410. Telephone (202) SUMMARY: This Notice identifies 708–1381. (This is not a toll-free Endangered and Threatened Species unutilized, underutilized, excess, and number.) Permit Applications surplus Federal property reviewed by Dated: October 26, 2007. HUD for suitability for possible use to Roy A. Bernardi, AGENCY: Fish and Wildlife Service, assist the homeless. Deputy Secretary. Interior. EFFECTIVE DATE: November 2, 2007. [FR Doc. E7–21618 Filed 11–1–07; 8:45 am] ACTION: Notice of receipt of applications. FOR FURTHER INFORMATION CONTACT: BILLING CODE 4210–67–P Kathy Ezzell, Department of Housing SUMMARY: The following applicants have and Urban Development, 451 Seventh applied for scientific research permits to Street, SW., Room 7262, Washington, conduct certain activities with DEPARTMENT OF THE INTERIOR DC 20410; telephone (202) 708–1234; endangered species pursuant to section TTY number for the hearing- and Office of the Secretary 10(a)(1)(A) of the Endangered Species speech-impaired (202) 708–2565, (these Act of 1973, as amended. telephone numbers are not toll-free), or Delaware & Lehigh National Heritage DATES: To ensure consideration, written call the toll-free Title V information line Corridor Commission Meeting comments must be received on or before at 800–927–7588. AGENCY: Office of the Secretary, December 3, 2007. SUPPLEMENTARY INFORMATION: In accordance with the December 12, 1988 Department of Interior. ADDRESSES: Written comments should court order in National Coalition for the ACTION: Notice of meeting. be submitted to the Chief, Endangered Homeless v. Veterans Administration, Species Division, Ecological Services, SUMMARY: This notice announces an No. 88–2503–OG (D.D.C.), HUD P.O. Box 1306, Room 4102, upcoming meeting of the Delaware & publishes a Notice, on a weekly basis, Albuquerque, New Mexico 87103. Lehigh National Heritage Corridor identifying unutilized, underutilized, Documents and other information Commission. Notice of this meeting is excess and surplus Federal buildings submitted with these applications are required under the Federal Advisory and real property that HUD has available for review, subject to the Committee Act (Public Law 92–463). reviewed for suitability for use to assist requirements of the Privacy Act and Meeting Date and Time: Friday, the homeless. Today’s Notice is for the Freedom of Information Act. Documents November 9, 2007—1:30 p.m. to 4 p.m. purpose of announcing that no will be available for public inspection, additional properties have been ADDRESSES: Emrick Technology Center, by appointment only, during normal determined suitable or unsuitable this 2750 Hugh Moore Park Road, Easton, business hours at the U.S. Fish and week. PA 18042. Wildlife Service, 500 Gold Ave. SW., The agenda for the meeting will focus Room 4102, Albuquerque, New Mexico. Dated: October 25, 2007. on implementation of the Management Please refer to the respective permit Mark R. Johnston, Action Plan for the Delaware and number for each application when Deputy Assistant Secretary for Special Needs. Lehigh National Heritage Corridor and submitting comments. [FR Doc. 07–5386 Filed 11–1–07; 8:45 am] State Heritage Park. The Commission FOR FURTHER INFORMATION CONTACT: BILLING CODE 4210–67–M was established to assist the Commonwealth of Pennsylvania and its Chief, Endangered Species Division, political subdivisions in planning and P.O. Box 1306, Room 4102, DEPARTMENT OF HOUSING AND implementing an integrated strategy for Albuquerque, New Mexico 87103, (505) URBAN DEVELOPMENT protecting and promoting cultural, 248–6920. [Docket No. FR–4966–N–05] historic and natural resources. The SUPPLEMENTARY INFORMATION: Commission reports to the Secretary of The Performance Review Board the Interior and to Congress. Public Availability of Comments SUPPLEMENTARY INFORMATION: AGENCY: Office of the Deputy Secretary, The Before including your address, phone HUD. Delaware & Lehigh National Heritage number, e-mail address, or other Corridor Commission was established ACTION: Notice of Appointments. personal identifying information in your by Public Law 100–692, November 18, comment, you should be aware that SUMMARY: The Department of Housing 1988 and extended through Public Law your entire comment—including your and Urban Development announces the 105–355, November 13, 1998. personal identifying information—may appointments of Bryan A. Greene, James FOR FURTHER INFORMATION CONTACT: C. be made publicly available at any time. M. Martin, Jean Lin Pao, and Robert W. Allen Sachse, Executive Director, While you can ask us in your comment Young as members; and Camille E. Delaware & Lehigh National Heritage to withhold your personal identifying Acevedo and Jon L. Gant as alternate Corridor Commission, 2750 Hugh Moore information from public review, we members of the Departmental Park Road, Easton, PA 18042, (610) 923– cannot guarantee that we will be able to Performance Review Board. The address 3548. do so.

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Permit TE–166070 Dated: October 12, 2007. SUPPLEMENTARY INFORMATION: Christopher T. Jones, Availability of Documents Applicant: Hugo Stolte IV, San Antonio, Acting Regional Director, Region 2, Texas. Albuquerque, New Mexico. Copies of the draft Plan, draft IA and Applicant requests a new permit for [FR Doc. E7–21584 Filed 11–1–07; 8:45 am] draft EIS are available for public review research and recovery purposes to BILLING CODE 4310–55–P during regular business hours from 9 conduct presence/absence surveys for a.m. to 5 p.m. at the Nevada Fish and golden-cheeked warbler (Dendroica Wildlife Office in Las Vegas (see FOR chryoparia) within Texas. DEPARTMENT OF THE INTERIOR FURTHER INFORMATION CONTACT). Individuals wishing copies of the draft Permit TE–165220 Fish and Wildlife Service Plan, draft IA, and draft EIS should contact the Service by telephone (see Applicant: Donald Hockaday, South Coyote Springs Investment Multi- FOR FURTHER INFORMATION CONTACT) or Padre Island, Texas. Species Habitat Conservation Plan, by letter (see ADDRESSES). These Clark County and Lincoln County, NV Applicant requests a new permit for documents also are available on the research and recovery purposes to AGENCY: Fish and Wildlife Service, Nevada Fish and Wildlife Office Web conduct presence/absence surveys for Interior. site at http://www.fws.gov/nevada/ the following species: leatherback sea ACTION: Notice of availability and highlights/comment/ turtle (Dermochelys coriacea), green sea receipt of application. public_comment.html. turtle (Chelonia mydas), hawksbill sea turtle (Eretmochelys imbricata), Kemp’s SUMMARY: This notice announces the Background Information Ridley sea turtle (Lepidochelys kempii), availability of the draft Coyote Springs Section 9 of the Federal ESA of 1973, and loggerhead sea turtle (Caretta Investment Multi-Species Habitat as amended, and Federal regulations caretta) within Texas. Conservation Plan (Plan), draft prohibit the take of fish and wildlife Implementing Agreement (IA), and draft Permit TE–069848 species listed as endangered or Environmental Impact Statement (EIS) threatened (16 U.S.C. 1538). The term Applicant: Ross Rasmussen, Plano, for public review and comment. In ‘‘take’’ means to harass, harm, pursue, Texas. response to receipt of an application hunt, shoot, wound, kill, trap, capture, from Coyote Springs Investment LLC or collect, or to attempt to engage in any Applicant requests an amendment to (CSI; Applicant), we, the Fish and such conduct (16 U.S.C. 1532). Harm an existing permit for research and Wildlife Service (Service), are includes significant habitat modification recovery purposes to conduct presence/ considering the proposed action of or degradation that actually kills or absence surveys for black capped-vireo issuing a 40-year permit for five species. injures listed wildlife by significantly (Vireo atricapilla) within Oklahoma. The proposed permit would authorize impairing essential behavioral patterns, the take of individual species listed Permit No. TE–163400 including breeding, feeding, and under the Federal Endangered Species sheltering [50 CFR 17.3(c)]. Under Applicant: Joseph Bidwell, Oklahoma Act of 1973, as amended (Act). The limited circumstances, we may issue State University, Stillwater, Oklahoma. permit is needed because take of species permits to authorize incidental take of could occur during proposed urban listed fish or wildlife; i.e., take that is Applicant requests a new permit for development activities located in a incidental to, and not the purpose of, research and recovery purposes to 21,454-acre area in southern Lincoln otherwise lawful activity. Regulations conduct presence/absence surveys for County, Nevada. In addition, take of governing incidental take permits for Neosho madtom (Notutus placidus) species could occur during recreational threatened and endangered species are within Oklahoma. and resource management activities found in 50 CFR 17.32 and 17.22, Permit No. TE–046517 within the 13,767-acre proposed Coyote respectively. Springs Resource Management Area Although take of listed plant species Applicant: USGS New Mexico (CSRMA), an area leased by the is not prohibited under the Federal ESA, Cooperative Fish and Wildlife Research Applicant from the U.S. Bureau of Land and therefore cannot be authorized Unit, Las Cruces, New Mexico. Management (BLM), which would be under an incidental take permit, plant Applicant requests an amendment to managed for the conservation of the species may be included on a permit in an existing permit for research and desert tortoise (Gopherus agassizii) and recognition of the conservation benefits recovery purposes to conduct presence/ other covered species pending BLM provided to them under a habitat absence surveys for Bonytail chub (Gila approval, located in Clark and Lincoln conservation plan. All species included elegans) within New Mexico. counties, Nevada. on an incidental take permit would DATES: Written comments must be receive assurances under the Services Permit No. TE–166250 received by 5 p.m. on January 2, 2008. ‘‘No Surprises’’ regulation 50 CFR Applicant: Miami University, Oxford, ADDRESSES: Comments should be 17.22(b)(5) and 17.32(b)(5). Ohio. addressed to Robert D. Williams, Field We have received an application for Supervisor, Nevada Fish and Wildlife an incidental take permit for Applicant requests a new permit for Office, 1340 Financial Boulevard, Suite implementation of the Coyote Springs research and recovery purposes to 234, Reno, Nevada 89502–7147, fax Investment Multi-Species Habitat conduct presence/absence surveys and number (775) 861–6301. Conservation Plan. The application has collection for Noel’s Amphipod FOR FURTHER INFORMATION CONTACT: been prepared and submitted by Coyote (Gammarus desperatus), Koster’s Robert D. Williams, Field Supervisor, Springs Investment LLC (Applicant). Springsnail (Juturnia kosteri), and Nevada Fish and Wildlife Office, 4701 The Applicant has prepared the Plan to Roswell Springsnail (Pyrgulopsis N. Torrey Pines Drive, Las Vegas, satisfy the application requirements for roswellensis) within New Mexico. Nevada 89130, telephone (702) 515– a section 10(a)(1)(B) permit under the Authority: 16 U.S.C. 1531 et seq. 5230 and fax number (702) 515–5231. Federal ESA, of 1973, as amended.

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The Applicant seeks a 40-year proposed community, as development such as creation and use of walking and incidental take permit for covered build-out would be phased in over time. equestrian trails and a site to conduct activities within a proposed 21,454-acre The proposed Plan also is intended to research of covered species, as long as development area located in southern provide a coordinated process for the primary biological goals of the Plan Lincoln County, Nevada. The permitting and mitigating the take of are met and not compromised. Other development area extends covered species as an alternative to a conservation measures include: (1) approximately 9 miles north of the project-by-project approach. Develop and implement a long-term Lincoln County-Clark County line. The In order to comply with the protection plan for the Moapa dace and Plan also would cover approximately requirements of the Federal ESA, the Virgin River chub and secure associated 13,767 acres of land leased from the proposed Plan addresses a number of funding for implementation of the plan; BLM (approximately 7,548 acres) in required elements, including: species (2) payment of mitigation fees, based on Lincoln County and (approximately and habitat goals and objectives; a $800 per acre of disturbance, for the 6,219 acres) in Clark County. The leased evaluation of the effects of covered development of private land which lands would be managed for the activities on covered species, including would be used to fund research on the conservation of the desert tortoise and indirect and cumulative effects; a covered species and management of the other covered species pending BLM conservation strategy; a monitoring and CSRMA, and other mitigation measures approval, and designated as the Coyote adaptive management program; as described in the Plan; and (3) Springs Resource Management Area descriptions of changed circumstances creation of a wash buffer zone easement (CSRMA). and remedial measures; identification of within the development area. Land leased and owned by the funding sources; and an assessment of Applicant occupies most of the eastern alternatives to take of listed species. National Environmental Policy Act portion of Coyote Spring Valley The proposed development would be Compliance straddling the Pahranagat Wash and the phased over a number of years. Up to Proposed permit issuance triggers the Kane Springs Wash in Lincoln County. 2,000 acres would be developed for the need for compliance with the National This area is bordered by the Delamar first eight years. A report would be due Environmental Policy Act (NEPA). As Mountains to the north, the Meadow every two years that included an lead agency, the Service has prepared a Valley Mountains to the east, and U.S. assessment of the level of take in draft EIS which analyzes alternatives Highway 93 to the west. The leased land relation to the amount requested in the associated with issuance of the Permit. in Clark County is bordered by State Plan, and the implementation of The draft EIS also addresses issuance of Route 168 to the south. The surrounding conservation measures as outlined in a section 404 permit under the Clean land is primarily owned by the United the Plan. Every ten years until the Water Act by the U.S. Corps of States and is managed by either the expiration of the permit, a Engineers (Corps) for the proposed BLM or Service. South of the comprehensive assessment would be urban development on 21,454-acre land development area, CSI privately-owned conducted of the expected effects to and development of flood control lands are being developed in Clark covered species and implementation of facilities on approximately 3,331 acres County and are covered under the existing conservation measures. If the of the utility corridor on BLM land west existing Clark County Multi-Species expected potential effects to covered of U.S. Highway 93. The proposed flood Habitat Conservation Plan. species are significantly greater than the control facilities on BLM-administered The Applicant has requested a permit level assessed in the Plan, the Service land is not included as a covered for five animal species, two of which are will notify the Applicant of the need to activity in the Plan but would be subject currently listed as threatened or implement additional conservation to a section 7 formal consultation under endangered under the Federal ESA. measures. ESA. In addition, the draft EIS addresses Proposed covered species include two Proposed covered activities and the BLM’s reconfiguration of the land animal species, the federally listed as projects within the Plan fall within six holdings, the creation of the CSRMA, threatened desert tortoise (Mojave categories: community development and and, in consultation with the Service, population) and endangered Moapa construction activities; recreational entering into a management agreement dace (Moapa coriacea). Proposed facilities and open space; utility with the Applicant covering the covered species also include three infrastructure; water supply CSRMA. Cooperating agencies to the animal species that are not listed under infrastructure; flood control structures draft EIS include the Corps, BLM, and the Federal ESA at the current time: development and maintenance the U.S. Environmental Protection banded Gila monster (Heloderma (including stormwater management); Agency. suspectum cinctum), Virgin River chub and resource management features. The draft EIS analyzes three (Gila seminuda) (Muddy River The Plan’s conservation strategy was alternatives including the proposed population), and the Western burrowing designed to minimize and mitigate the Plan, described above. The proposed owl (Athene cunicularia hypugea). impacts of covered activities, contribute Plan is considered the Preferred If the proposed Plan is approved and to the recovery of listed covered species, Alternative (Restricted and Phased the permit issued, take authorization of and protect and enhance populations of Development of a New Town Consisting covered listed species would be non-listed covered species, as proposed. of a Planned Community with Resource effective at the time of permit issuance. The proposed conservation strategy Management Features). Two other Take of the currently non-listed covered provides for the establishment of the alternatives being considered by the species would be authorized concurrent CSRMA on approximately 13,767 acres Service include the following: with the species’ listing under the of leased land by the Applicant from the No Action Alternative: Under the No Federal ESA, should they be listed BLM (99-year lease with an automatic Action Alternative, the Service would during the duration of the permit. 99-year extension) in Clark and Lincoln not issue an incidental take permit for The proposed Plan is intended to be counties. The proposed CSRMA would implementation of the Coyote Springs a comprehensive document, providing be managed for the conservation of the Investment Multi-Species Habitat for regional species conservation and desert tortoise and other covered Conservation Plan in Clark and Lincoln habitat planning, while allowing the species. The CSRMA would also serve counties, Nevada. As a result, the applicant to better manage growth of the to achieve other complementary goals Applicant’s private lands in Lincoln

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County would likely be sold to address, or other personal identifying ADDRESSES), at 404/679–7163 individual landowners, who would be information in your comment, you (telephone) or 404/679–4082 (facsimile). responsible for obtaining individual should be aware that your entire For information on how to request incidental take permits pursuant to comment—including your personal documents for review or to submit your section 10 under ESA and individual identifying information—may be made comments, see ‘‘Public Document section 404 permits under the Clean publicly available at any time. While Review and Comment.’’ Water Act. Leased lands would remain you may ask us in your comment to SUPPLEMENTARY INFORMATION: We an island within the privately-owned withhold your personal identifying announce an EA for our Interagency land. Land leased by CSI from BLM in information from public review, we Florida Panther Response Plan. Our EA Lincoln County (7,548 acres) would cannot guarantee that we will be able to considers alternatives for managing continue to be available for the full suite do so. conflicts between humans and the of activities authorized in the Land The Service will evaluate the endangered Florida panther (Puma Lease Agreement. application, associated documents, and concolor coryi). One of the rarest large Alternative 1—Full and Immediate comments submitted to them to prepare mammals in the United States, this Development of a New Town Consisting a final EIS. A permit decision will be species is protected as endangered of a Planned Community without made no sooner than 30 days after the under the Endangered Species Act, as Resource Management Features: This publication of the final EIS and amended (16 U.S.C. 1531 et seq.; Act), alternative would result in the issuance completion of the Record of Decision. and Florida statutes. Because of the This notice is provided pursuant to of an incidental take permit pursuant to panther’s potential for extinction, section 10 of the ESA by the Service and section 10(a) of the Federal ESA and conflicts with humans raise issues that a section 404 permit under the Clean Service regulations for implementing require careful consideration and action Water Act by the Corps that would NEPA, as amended (40 CFR 1506.6). to conserve the species and protect the allow development of the entire CSI- Dated: October 17, 2007. public. owned private and leased lands in Ken McDermond, Florida panthers occur primarily in Lincoln County. The Applicant’s private Deputy Manager, California/Nevada southern Florida, with most individuals land would be available for Operations Office, Sacramento, CA. residing south of Lake Okeechobee. development, while lands leased by the [FR Doc. E7–21504 Filed 11–1–07; 8:45 am] Recovery actions over the past 25 years, Applicant from BLM would be available BILLING CODE 4310–55–P particularly genetic augmentation for activities specified in the Land Lease Agreement. All land owned and leased initiated in 1995, enabled the population to grow from 30–50 animals by the Applicant would be available for DEPARTMENT OF THE INTERIOR development activities immediately in 1995 to 80–100 animals in 2005. At the same time, the human population of upon issuance of an incidental take Fish and Wildlife Service permit and other required regulatory Collier County, where most panthers permits. Interagency Florida Panther Response reside, more than doubled in 14 years Plan (1990–2004), from 152,000 to 306,000. Public Involvement Because of increases in numbers of both A Notice of Intent (NOI) to prepare an AGENCY: Fish and Wildlife Service, people and panthers, urban-suburban EIS was published in the Federal Interior. areas now interface with panther Register for this project on December 4, ACTION: Notice of availability: plan and habitat, increasing the possibility of 2001 (66 FR 63065). The Plan described environmental assessment (EA); request human-panther interactions. in the 2001 NOI included privately- for public comment. Management guidelines are needed to owned, developable lands and leased provide more definitive guidance to SUMMARY: We, the Fish and Wildlife land in Lincoln and Clark counties, respond and manage panther and Service (Service), announce an EA for human interactions and to educate the Nevada. A second notice was published our Interagency Florida Panther on September 12, 2006 (71 FR 53704) public about appropriate behavior when Response Plan. Our EA considers living and recreating in panther habitat. because the amount of land included in alternatives for managing conflicts the Plan was modified. The Plan In accordance with mandates between humans and the endangered established under the National described in the second NOI includes Florida panther (Puma concolor coryi). private, developable lands in Lincoln Environmental Policy Act (NEPA), we DATES: County only, as well as leased land to We must receive any written are required to consider a full range of be used for conservation in Clark and comments on the EA at the Service’s reasonable alternatives for addressing Lincoln counties. Public scoping Field or Regional Office (see ADDRESSES) and responding to major public issues, meetings were held on September 26 on or before December 3, 2007. management concerns, and resource and 27, 2006, in Alamo and Moapa, ADDRESSES: Layne Hamilton, Refuge conservation opportunities associated Nevada, respectively. A NOI to reopen Manager, Florida Panther and Ten with issues arising from human-panther the public comment period and to Thousand Islands National Wildlife interactions. correct inaccurate contact information Refuges, 3860 Tollgate Blvd., Suite 300, We analyzed three alternatives. provided in the September 12, 2006 Naples, FL 34114, or Southeast Regional Alternative A (Preferred Action) notice was published on November 2, Office, Fish and Wildlife Service, 1875 proposes managing human-panther 2006 (71 FR 64555). Century Boulevard, Suite 420, Atlanta, interactions with an interagency GA 30345 (Attn: Elizabeth Souheaver). response team and an established plan Public Comments FOR FURTHER INFORMATION CONTACT: Ms. that prioritizes public safety and The Service and Applicant invite the Layne Hamilton, Refuge Manager, evaluates each situation by analyzing public to comment on the draft Plan, Florida Panther and Ten Thousand panther behavior and human activity. draft IA, and draft EIS during a 60-day Islands National Wildlife Refuges (see Alternative B (No Action) does not public comment period beginning on ADDRESSES), at 239/353–8442, extension utilize an interagency team or a the date of this notice. Before including 227 (telephone), or Ms. Elizabeth response plan, but responds to human- your address, phone number, e-mail Souheaver, Area IV Supervisor (see panther interactions on a case-by-case

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basis without established protocols or Plan in such requests. Documents will objective of the meeting will be to guidelines. Alternative C includes a also be available for public inspection discuss potential research initiatives response team and plan that differs from by appointment during normal business that may enhance alternative sea Alternative A by providing rigid hours at the Regional Office in Atlanta lamprey control techniques. The protocols based on frequency of panther (see ADDRESSES.) meeting is open to the public. sightings and proximity to human- If you wish to comment, you may occupied structures, without submit comments by any one of several DATES: The Workgroup will meet on considering panther behavior or methods. Please reference the EA Wednesday, December 5, 2007, from 5 influences of human activity on panther associated with the Interagency Florida p.m. to 8 p.m., with an alternate date of behavior. Panther Response Plan in such Monday, December 10, 2007, from 9 We have coordinated this proposal comments. You may mail comments to a.m. to 12 noon, should the meeting with the National Park Service, Florida the Service’s Regional Office in Atlanta need to be cancelled due to inclement Fish and Wildlife Conservation (see ADDRESSES), or you may comment weather. Any member of the public who Commission, and local Indian tribes. We via electronic mail (e-mail) to wants to find out whether the meeting announced the availability of our draft [email protected]. Please has been postponed may contact Stefi EA in the May 25, 2006, Federal also include your name and return Flanders of the U.S. Fish and Wildlife Register (71 FR 30156). We invited the address in your e-mail message. If you Service at 802–872–0629 ext. 10 public to submit written comments on do not receive a confirmation from us (telephone); or [email protected] the draft guidelines and response plan that we have received your e-mail (electronic mail) during regular business by July 24, 2006. Additionally, to message, contact us directly at either hours on the primary meeting date. improve the quality and credibility of telephone number listed under FOR the scientific information, we conducted FURTHER INFORMATION CONTACT. Finally, ADDRESSES: The meeting will be held at a formal peer review process for the you may hand deliver comments to the Rubenstein Ecosystem Science draft plan. The Florida Fish and either Service office listed under Laboratory, Room 207, 1 College Street, Wildlife Conservation Commission, ADDRESSES. University of Vermont, Burlington, VT; NPS, Miccosukee Tribe of Indians of Before including your address, phone telephone 802–859–3086. Florida, Seminole Indian Tribe, and the number, e-mail address, or other Service provided lists of possible peer personal identifying information in your FOR FURTHER INFORMATION CONTACT: reviewers, from which we selected six comment, you should be aware that Dave Tilton, Designated Federal Officer, peer reviewers. All but one peer your entire comment—including your Lake Champlain Sea Lamprey Control reviewer provided comments. We personal identifying information—may Alternatives Workgroup, Lake received five letters from the public be made publicly available at any time. Champlain Fish and Wildlife Resources and/or environmental community and While you can ask us in your comment Office, U.S. Fish and Wildlife Service, one letter from a tribe. We have to withhold your personal identifying 11 Lincoln Street, Essex Junction, VT included responses to specific information from public review, we 05452 (U.S. mail); 802–872–0629 comments in the EA appendices. cannot guarantee that we will be able to (telephone); or [email protected] Tribal and public comments; peer do so. (electronic mail). reviews; and discussions between us, the Florida Fish and Wildlife Authority: We provide this notice under SUPPLEMENTARY INFORMATION: We NEPA regulations at 40 CFR 1506.6. Commission, and NPS helped us publish this notice under section identify several issues and concerns. Dated: September 7, 2007. 10(a)(2) of the Federal Advisory Our revisions to the EA and plan Cynthia Dohner, Committee Act (5 U.S.C. App.). The include the following: (1) Discussion of Deputy Regional Director, Southeast Region. Workgroup’s specific responsibilities cultural resource impacts to the local [FR Doc. E7–21579 Filed 11–1–07; 8:45 am] are to provide advice regarding the tribes; (2) elimination of the first two BILLING CODE 4310–55–P implementation of sea lamprey control chapters of the Response Plan (Chapter methods alternative to lampricides, to 1: Florida Panther—Status, Biology and recommend priorities for research to be Recovery; Chapter 2: Living with DEPARTMENT OF THE INTERIOR conducted by cooperating organizations Florida Panthers); (3) reorganization of Fish and Wildlife Service and demonstration projects to be the plan to reduce redundancy and developed and funded by State and clarify management actions; (4) Lake Champlain Sea Lamprey Control Federal agencies, and to assist Federal separation of the section on depredation Alternatives Workgroup and State agencies with the from the other human-panther coordination of alternative sea lamprey interaction classifications (sighting(s), AGENCY: Fish and Wildlife Service, control research to advance the state of encounter(s), incidents, threat, attack), Interior. the science in Lake Champlain and the because depredations are distinctly ACTION: Notice of meeting. different from direct human-panther Great Lakes. interactions; and (5) inclusion of risk SUMMARY: We, the U.S. Fish and Dated: October 5, 2007. factor with each classification. Wildlife Service (Service), announce a Thomas J. Healy, meeting of the Lake Champlain Sea Acting Regional Director, U.S. Fish and Public Document Review and Comment Lamprey Control Alternatives Wildlife Service, Hadley, Massachusetts. If you wish to review the EA, you may Workgroup (Workgroup). The obtain a copy on the Internet at Workgroup’s purpose is to provide, in [FR Doc. E7–21582 Filed 11–1–07; 8:45 am] http://www.fws.gov/verobeach. You may an advisory capacity, recommendations BILLING CODE 4310–55–P also obtain a copy by writing the and advice on research and Service’s Southeast Regional Office in implementation of sea lamprey control Atlanta (see ADDRESSES.) Please techniques alternative to lampricide that reference the EA associated with the are technically feasible, cost effective, Interagency Florida Panther Response and environmentally safe. The primary

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DEPARTMENT OF THE INTERIOR • Fax: 703/358–2175. Include actions. A recovery crediting system can ‘‘Recovery Crediting comments’’ in the allow a Federal agency to accrue credit Fish and Wildlife Service subject line. for recovery actions in advance of FOR FURTHER INFORMATION CONTACT: effects resulting from any specific action Endangered and Threatened Wildlife Direct all questions or requests for with adverse effects. We expect this and Plants; Notice of Availability for additional information about the draft process to increase incentives for Draft Recovery Crediting Guidance guidance to Dr. Richard L. Sayers; Federal agencies to use their authorities AGENCY: Fish and Wildlife Service, Division of Consultation, Habitat to further the purposes of the ESA. Interior. Conservation Planning, Recovery, and The Service recognizes that recovery State Grants; U.S. Fish and Wildlife crediting is a mechanism with broad ACTION: Notice of availability. Service; 420 ARLSQ; Washington, DC potential application. The Service may expand recovery crediting to entities SUMMARY: We, the U.S. Fish and 20240 (703/358–2171). Individuals who Wildlife Service (Service), announce the are hearing-impaired or speech- other than Federal agencies or employ availability of a draft guidance impaired may call the Federal Relay additional methods for Federal agencies. document issued to promote Service at 1–800–877–8337 for TTY That is, we may be able to use credits implementation of the Endangered assistance, 24 hours a day, 7 days a as a measure of the benefit of Species Act. The document describes a week. conservation actions taken on Federal lands and we may consider other credit crediting framework for Federal SUPPLEMENTARY INFORMATION: agencies in carrying out recovery of trading systems, beyond conservation threatened and endangered species. The Background banks, for landowners who take text of the guidance is included in this The ultimate goal of the Endangered conservation actions on their own land notice. Under the draft guidance, Species Act of 1973, as amended (ESA) or other private lands. We invite Federal agencies could show more (16 U.S.C. 1531 et seq.), is the recovery comment on how these or other specifically how adverse effects of of endangered and threatened species arrangements may be provided for by agency activities to a listed species are and the ecosystems on which they this guidance and how these or other offset by beneficial actions taken depend. In administering the recovery arrangements may be provided for by elsewhere for that species. The provisions of the Act, the Service future guidance. combined effects of the adverse and collaborates with many partners, Viewing Documents beneficial actions would have to including Federal, State, and local The complete file for the recovery provide a net conservation benefit to the agencies, Tribal governments, crediting guidance as well as the species. We solicit comment from all conservation organizations, the business comments and materials we receive are interested parties on the contents of the community, and private landowners. available for inspection, by Effective recovery planning and draft guidance and likely effects of its appointment, during normal business implementation depend in part on implementation. hours at the Division of Consultation, creative processes and agreements with DATES: Comments from all interested Habitat Conservation Planning, Federal partners as well as other non- parties on the draft guidance document Recovery, and State Grants, Room 420, Federal partners in community-based must be received on or before December 4401 North Fairfax Drive, Arlington, VA recovery efforts. Examples of innovative 3, 2007. 22203–1601. conservation tools under the ESA ADDRESSES: The draft guidance may be include Safe Harbor Agreements, Draft Guidance downloaded from our Web site at Habitat Conservation Plans, Recovery The text of the draft guidance follows. http://www.fws.gov/endangered/policy/ Permits, and Conservation Banks. The oct.2007.html. To request a copy of the ultimate success of conservation and Draft Guidance on Recovery Crediting draft guidance, write to U.S. Fish and recovery of endangered and threatened for the Conservation of Threatened and Wildlife Service, 420 ARLSQ, species depends on a variety of Endangered Species Washington, DC 20240, Attention: innovations, such as these, that may be I. Introduction Recovery Crediting; or call 703/358– used in concert with one another or 2171. You may also send an e-mail alone. We expect Recovery Credit A. Purpose and Scope of Guidance request to [email protected]. Systems to complement them further. This document is intended to provide Specify whether you wish to receive a Additional information concerning guidance on the development, hard copy by U.S. mail or an electronic these tools is available through the management, and use of recovery copy by e-mail. sources listed above under ADDRESSES. credits as a measure for mitigating Send comments by any one of the The recovery credit approach adverse effects to and contributions to following methods. See ‘‘Viewing provides Federal agencies with an the recovery of species listed as Documents’’ and ‘‘Public Comments additional recovery tool developed threatened or endangered under the Solicited’’ under SUPPLEMENTARY using existing authorities. As described Endangered Species Act of 1973, as INFORMATION for important information. below, this tool was initially established amended (ESA). The guidance should • Mail: U.S. Fish and Wildlife in Texas to allow Fort Hood Military assist Service personnel in determining Service, 420 ARLSQ, Washington, DC Reservation to accrue credits for the applicability of recovery credits for 20240, Attention: Recovery Crediting. conservation measures that it arranged the conservation needs of a species, • Hand Delivery/Courier: Division of by contract with neighboring fulfill the purposes of the ESA, and Consultation, Habitat Conservation landowners. The arrangement we provide consistency in the Planning, Recovery, and State Grants, developed with Fort Hood can be establishment, management, and use of Room 420, 4401 North Fairfax Drive, applied by other Federal agencies which recovery credits. For more detailed Arlington, VA 22203–1601. may obtain credit for advancing the guidance and information on various • E-mail: [email protected]. recovery of a listed species, and this other recovery programs, we included a Include ‘‘Recovery Crediting comments’’ credit may be expended, or debited, to list of helpful documents in section VII in the subject line of the message. offset potential adverse effects of future of this guidance. These documents will

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help the reader have a more complete B. Background recovery actions on non-Federal lands understanding of recovery programs as Effective recovery planning and for specific species while creating a a whole. implementation for listed species ‘‘bank’’ of credits that a Federal agency Recovery crediting is an optional require creative processes, including may use to offset the effects of its process for Federal agencies to use their recovery actions by Federal land actions. That is, the Federal agency may authorities for the conservation of listed managing agencies with adjacent develop and store credits to be used at species. Recovery credits can provide an landowners, local communities, Tribes, a later time to offset particular adverse additional means of implementing States and other Federal agencies. effects of its actions. The overall system must provide a net benefit to the ‘‘conservation measures,’’ commonly The concept of recovery credits was conservation of covered species, as offered by Federal agencies to offset developed in Texas to allow the determined by the Service using effects to listed species resulting from Department of Defense (DoD) to receive relevant recovery plans or alternative Federal actions. As noted in the credit for conservation measures being Service-approved documents. Under Service’s Consultation Handbook, implemented by Fort Hood Military this policy, only Federal agencies may ‘‘When used in the context of the Act, Reservation. Fort Hood, which is home to the largest known population of the apply recovery credits to the effects of ‘conservation measures’ represent their proposed actions, but the system is actions pledged in the project endangered golden-cheeked warbler within its breeding range, carries out similar in principle to conservation description that the action agency or banking and habitat conservation plans. applicant will implement to further the conservation measures with neighboring landowners in an effort to offset adverse As noted above, however, we seek recovery of the species under review.’’ comments whether this policy may be For further discussion of conservation effects that may result from future on- base military readiness activities. In expanded so that States, landowners, measures, see Endangered Species tribes, and other non-Federal entities Consultation Handbook, p. 4–18. In a exchange for implementing recovery actions, DoD requested that these may accrue credits for contributions to recovery crediting system, the action recovery. agency would present credits as part of actions be considered for ‘‘banking’’ to offset effects attributable to training Recovery credits must be realized to its project description. A pledge create a ‘‘bank’’ of credits before they represented by a credit must be a legally activities. Although the Fort Hood example is can be used to compensate for adverse binding commitment such as a contract very specific and limited in scope, the effects to listed species. Unlike the with a private landowner. general concept can be applied more situation with conservation banks, the Some potential benefits of a recovery broadly: Federal agencies may obtain recovery crediting system may be used crediting system include (1) better and credit for conservation actions for either permanent or temporary more cost effective contributions to undertaken on non-Federal lands to effects. However, the positive effects of recovery through agency activities; (2) advance the recovery of listed species, the credits may be temporary (e.g., more exact analysis; and (3) increased and this credit may be expended, or secured by a term contract) only if the predictability for all parties. The use of debited, to offset potential adverse negative effects to be offset are also recovery credits as a conservation tool effects of future actions. In other words, temporary and, further, if the should be closely evaluated for each Federal agencies may ‘‘bank’’ recovery accounting function of the recovery species or group of species, and may not credits in advance in a particular credit system ensures that benefits of be applicable in some situations. In recovery crediting system, and apply the credits are achieved in a way that other cases, recovery credits may be a those credits at a later time to the actually offsets negative effects. The recovery actions represented by credits valuable tool in advancing the recovery analysis of an agency action. This must take place within a geographic of a species. process can add an incentive for Federal area that is biologically appropriate to This guidance is general in nature, as agencies to use their authorities to further the purposes of the ESA. offset the adverse effects, such as a each process developed for using recovery unit. recovery credits will differ based on a C. What Is a Recovery Credit? II. Guidance Considerations variety of circumstances. A recovery A recovery credit is a quantifiable crediting system should be tailored to unit of measure sanctioned by the A. Authorities the specific circumstances under which Service representing a contribution to The ESA provides the framework for it would be applied; ideally it should be the recovery of a species listed under this guidance. The ESA’s stated based on the relevant recovery plans the ESA. For example, in its simplest purposes include providing ‘‘*** a and, when recovery plans are lacking or form, one credit could equal a specified means whereby the ecosystems upon inadequate for the design of a recovery number of acres of habitat or the acreage which [listed] species depend may be credit system, should rely on other necessary to support one nest of the conserved * * *’’ and ‘‘*** a Service-approved documents (see ‘‘B. target species. Recovery credits should program for the conservation of such Planning and Development Phase’’ be based on a commitment to [listed] species * * *.’’ Under section 3 below for examples). Recovery credit implement recovery actions outlined in of the ESA, conservation is defined as systems may complement mitigation a particular species’ recovery plan or using ‘‘* * * all methods and tools and conservation programs alternative Service-approved document. procedures which are necessary to bring currently available, such as Each recovery credit, therefore, may be any [listed] species to the point at which conservation banking. This guidance considered to be part of recovery the measures provided pursuant to [the also does not attempt to closely define implementation leading towards the ESA] are no longer necessary.’’ Within or assign roles to the agencies and other downlisting or delisting goals of a the context of this guidance, these participants in a recovery crediting threatened or endangered species, definitions help determine and evaluate system; we anticipate that these will taking into account the debits that have appropriate conservation measures and vary to some degree in response to the occurred. benefits. Further, recovery planning is circumstances surrounding particular A recovery crediting system is a addressed under section 4(f) of the ESA, systems. specific program established to provide where provisions for the development of

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recovery plans for the ‘‘conservation recovery tasks allows Federal agencies the recovery credit and debiting process and survival of [listed] species’’ are to work together with other entities to and (2) a project specific consultation. provided. A recovery plan is one of the more effectively use conservation D. Coordination Process most important tools to ensure sound measures in achieving net benefits that decision-making throughout the contribute to recovery, rather than The Service has neither the resources recovery process. simply addressing on-site effects of nor the authorities to implement many, Section 7(a)(1) of the ESA requires particular projects. When it is possible if not most, recovery actions. that all Federal agencies ‘‘ *** in to foresee the utility of a recovery Collaboration with a wide variety of consultation with and with the crediting system during the preparation potential stakeholders is essential for assistance of the [Service], utilize their of a recovery plan, authors of a plan the implementation of recovery plans. authorities in furtherance of the should incorporate elements of the An appropriate recovery crediting purposes of [the ESA] by carrying out system explicitly in the plan. system can assist the Service, other programs for the conservation of [listed Federal agencies, and their partners to species].’’ There is broad discretion for C. Principles of Recovery Crediting achieve more effective implementation Federal agencies to determine the Simply put, the recovery credit of recovery plans. appropriate methods for system is: (1) The development and The Service and the Federal action implementation of section 7(a)(1). One accrual of credits, which would agency will coordinate to ensure that possible method for agencies to utilize accomplish recovery tasks and have a the crediting system complies with all their authorities for the conservation of net conservation benefit for the target applicable laws. The Service and the the species is through this recovery species; and (2) A subsequent Federal Federal action agency should coordinate crediting system. action, which uses (debits) some portion to ensure that the crediting system Establishing a recovery crediting of the credits, as part of the Federal complies with all applicable laws. In system that results in a net conservation action to offset adverse effects. particular, action agencies and the benefit to a listed species would Federal agencies can employ a Service may need to review laws contribute to that species’ recovery. recovery crediting system to accomplish relating to privacy such as the Freedom That is, the status of the target species recovery tasks as well as offset the of Information Act (‘‘FOIA’’) and the will improve because, overall, a net adverse effects of their actions. Privacy Act. Further, depending on the conservation benefit must be sufficient Although Federal agencies with system used to create the recovery to contribute to the recovery of the appropriate authorities may also credits, action agencies and the Service target species. Of course, each Federal purchase credits in a conservation bank may need to review the Federal agency will have to balance their or employ other mitigation or Advisory Committee Act (‘‘FACA’’). The authorities, statutory obligations and conservation measures, a Federal National Environmental Policy Act missions to determine if this policy is Agency may want to establish a system (‘‘NEPA’’) may be a relevant appropriate or viable for their purposes. specific to its needs. Recovery crediting consideration as well. Service For example, a Federal agency will have works within the existing framework of employees can consult with their to determine if it has authority to the ESA and its implementing appropriate solicitor’s office for more acquire interest in non-Federal lands. regulations. This guidance is intended specific advice with regard to these B. Goals and Objectives to assist in the early stages of planning laws. and development of a proposed The Service will coordinate with The goal of a recovery crediting recovery crediting system. While no two appropriate Federal and State partners, system is to enhance the ability of crediting systems are likely to be and we will encourage State and local Federal agencies to promote the identical, this guidance serves to entities, both governmental and non- recovery of listed species on non- address fundamental principles that governmental, to participate on the Federal land and offset adverse effects would apply to all situations. various workgroups and committees to listed species from proposed actions. The general principles of establishing formed under the recovery crediting Objectives are (1) to produce a net a recovery crediting system include: system that will be central to each conservation benefit for the target The Recovery Crediting Process process involved. For example, a local species that advances its recovery, (2) to • Information gathering and analysis; scientific committee may be established increase the flexibility of Federal • Planning and credit development to assist the Service in defining recovery agencies to accomplish their missions phase; and credits. While accrued recovery credits while meeting their requirements under • Consultation on the credit accrual are only used by the Federal agency, the the ESA, and (3) to promote effective process (may be combined with the accrual process (as described below) is Federal/non-Federal partnerships for consultation on the debiting process) the key to success and should include species recovery. The Recovery Debiting Process In order to meet the first objective, the • participation by whatever non-Federal Debit development phase; entities are appropriate. standard for establishing recovery • Programmatic debiting credits should be implementing actions consultation; and III. Recovery Crediting Process within an approved recovery plan or • Project specific consultation under A. Information Gathering and Analysis other Service-approved document (such programmatic consultation. Phase as a conservation strategy or framework) Project Specific Application that specifically addresses the major • Project specific consultation under This phase involves the identification threats identified for a species. An programmatic consultation; and of threats and the conservation actions important element of any recovery • Actual debits of the credits. needed to address those threats. crediting system is the implementation While these bullets are based on Generally, the species’ recovery plan of one or more specific tasks included multiple consultations, the Service will provide a framework for analysis. in a species’ recovery plan or an believes that consultation can be This analysis establishes the means by alternative Service-approved document achieved in many cases through a two- which a credit in a recovery crediting necessary to meet downlisting or step consultation process: (1) A system will be measured and accounted delisting criteria. Providing credits for programmatic consultation to establish for. Information gathering and analysis

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involves the compiling of available principles. An important part of the invasive species control, prescribed fire, information sources, identifying data identification of credits is to first etc.) or public outreach to contribute to gaps, and evaluation of target species. identify the threats to the species and recovery or research to support As stated above, a central element to measures to remove or ameliorate those recovery. Thus, some credits may be defining a recovery crediting system is threats to establish a conservation temporary in nature, provided the coordination with appropriate Federal framework for the species. When action meets the conservation needs of and State partners, as well as interested conservation goals for the species have the species. Temporary credits could be local and non-governmental entities. been established, the Service will be used to offset temporary adverse effects Within this phase, two important able to identify the appropriate unit of in appropriate situations that still allow issues should be addressed: (1) measure to establish a credit. The a net conservation benefit. For example, Evaluation of the conservation needs of connection between threat, conservation many transportation and linear utility the target species, and (2) determination measure, and credit must be projects require temporary workspace whether a recovery crediting system is transparent. That is, the system must for construction, which is later returned feasible based on the conservation needs demonstrate the relationship between to pre-construction conditions. An of the listed species. Critical to both the conservation value of the agency could accrue credits for the issues is the ability to evaluate conservation measure as it applies to the restoration and temporary protection of measurable conservation benefits to the credit. degraded habitat to mitigate for habitat target species. Recovery crediting As stated above, in instances where a that has temporary adverse effect, with systems will vary in details, and some recovery plan is not specific, is not the duration of credit based on benefits listed species may not be appropriate for available, or is outdated, the Service achieved at the restored site and inclusion in a credit system based on may consider other means to establish eventual restoration of the affected site. their conservation needs. Examples may recovery crediting. We will use In its simplest form, a single Federal include: information we determine represents agency would identify a recovery • Species with poorly understood the best available scientific information action(s) for establishment of a recovery threats, on the needs of the species. One option crediting system. For example, a • Species for which even minimal may be to develop a local step down recovery plan may call for the incidental take is likely to result in a approach or strategy to address the permanent preservation of a viable jeopardy determination, population in a particular recovery unit. • needs of a species. Other documents Species with recovery plans that that may be useful in this regard include A Federal agency may identify that only provide interim objectives due to a a recovery outline, a 5-year status need, and develop a process for lack of information necessary for review conducted by the Service, State accruing credits through conservation recovery, or easements that would meet that • recovery plans, final listing rules, and Species for which credits cannot State Wildlife Action Plans. objective of the recovery plan easily be valued due to the nature of Credits should be valued based on (preserving the viable population). threats (e.g., a local endemic threatened recovery tasks, or analogous measures, Credits reflecting habitat protection or by impoundment of a river). available to a Federal agency. This restoration would be considered to be B. Planning and Development Phase phase will develop values to be assigned banked when conditions on the ground to recovery tasks, ensuring that a net fully reflect the recovery goal supported This phase uses the results of the by the credits. More complex crediting information gathering and analysis to conservation benefit is realized for the target species. Credit values are based systems may involve multiple Federal establish in detail what constitutes a agencies and may assign credits to credit. As in other conservation upon achieving measurable objectives, and higher priority recovery tasks several or all tasks within a recovery programs, the planning and plan. In either case, a single Federal development phase is likely to be the would generally receive more credit than lower priority ones. Ranking agency would be the holder of credits. most important and time-consuming Whenever possible, other partners part of the process. Although debiting of threats may be accomplished among or within tasks in a recovery plan. For should be included in the development credits will not come into play until process (e.g., State agencies, non- after the credits are established, the example, various Federal conservation programs use a project selection process governmental organizations, etc.), and debiting must be considered in the they may play a major role in credit development phase in order to based on several considerations. Higher value (i.e., more credit) is typically implementing the credit accrual meet the standard of a net conservation process. benefit. As part of the planning process, placed on potential projects that: • Preserve long term habitat. Finally, in the development phase, it Federal agencies may identify future • Address high priority conservation is important to address the needs, locations of future projects, types needs. transferability of accrued credits. of future projects, and associated project • Are larger in size (i.e., habitat size Circumstances may arise in which a activities. Values may be assigned to or quality). Federal agency may opt to sell or different tasks within a recovery plan or • Are adjacent or in proximity to transfer banked credits to another alternative Service-approved planning public lands or other permanently agency. These situations should be document based on priority, and the use protected areas. considered early and be included in the of debits may be limited depending on • Target a specific geographic focus crediting process, but may be defined in the needs of the species’ recovery. In area (e.g., recovery unit). greater detail within the debiting addition, the recovery crediting system • Benefit multiple species. process. must integrate monitoring and reporting • Establish corridors to accommodate of both accrual and debiting of credits. migration or connect fragmented C. Consultation on Credit Accrual Phase Any recovery crediting system should habitat. Upon completing the development of address the threats that caused the In this phase, the temporal nature of a proposed crediting process the Federal species to be listed, advance the potential effects on or needs of the action agency will consult under section conservation goals of the species and species may be analyzed. Many species 7 of the ESA. Thus, the use of a must be based on sound scientific require active management (e.g., proposed crediting system would be a

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discretionary Federal action that ‘‘may Consideration of debits includes their actual completion. The appended affect’’ a listed species, which requires ensuring that agencies maintain a net and tiered methods of programmatic section 7 consultation. For the process conservation benefit gained by credit consultation involve a two-stage developed to accrue credits, the net accrual. In general, credits that consultation process that would be effect on the target species should be accomplish tasks in a species’ recovery appropriate here. The first stage is beneficial. Most credit accrual processes plan would normally meet a net programmatic and analyzes the will be addressed through informal conservation benefit standard. However, potential landscape-level effects that consultation, concluding with a ‘‘not because credits would be used for may result from the debiting process. likely to adversely affect’’ concurrence mitigation, it is important to ensure the The second stage addresses project- letter from the Service. (As noted above, debit process does not limit, counter, or specific effects of each individual this consultation could be part of a preclude necessary recovery objectives. project under the action agency’s programmatic consultation.) In these Examples of using a debiting process to program and previously included in the cases, the Service will evaluate all ensure a conservation benefit include: programmatic biological opinion. potential effects of the credit accrual • Using biologically-appropriate A Federal agency may include process and, if it is determined that the mitigation ratios in habitat-based conservation measures in a proposed effects would be insignificant, crediting (e.g., more than one credit for action as mandatory, non-discretionary discountable, or completely beneficial, each debit necessary to fully offset actions or activities that will minimize provide an appropriately detailed adverse effects). adverse effects to listed species. A • rationale for the concurrence. In some Maintaining a credit balance that recovery crediting system would instances, temporary adverse effects ensures an incremental increase in the formalize that process and mitigate species’ conservation status. adverse effects to listed species by may be necessary to achieve the • maximum conservation benefit to the Restricting use of debits to areas taking measures (accruing recovery deemed not essential to recovery. credits) that may be included as target species. For example, a survey • may involve some level of taking of a Limiting the types of activities conservation measures for a specific listed species. In these cases, it may be available for debiting. project in a specific geographic location. Similar to planning the crediting necessary to consult formally on the The Service would consider the use of phase, it is essential that an activity or credit accrual process, if it is anticipated recovery credits during the jeopardy action’s potential effects to the target that incidental take may occur as a analysis of a biological opinion. The species be sufficiently understood in result of credit acquisition. ESA requires the Service to specify any order for it to be included in the Alternatively, a Federal agency may necessary or appropriate minimization debiting process. In some instances, the consult on the entire recovery credit of the effects of incidental take effects of even well-understood actions system, covering accrual and debiting in exempted in a biological opinion. may possess some level of uncertainty. one programmatic consultation. Because recovery credits would be The debiting process should be acquired in advance of a specific As discussed above, although a designed to accommodate uncertainty Federal action and may not be Federal agency needs to consider how evaluated based on a clearly stated and associated with incidental take resulting credits will be debited while explained set of assumptions. from the proposed action itself, they determining how they will be accrued, B. Programmatic Debiting Consultation would not normally minimize the once the agency establishes a recovery effects of incidental take associated with crediting system through the section 7 The debiting process is subject to the specific action. The biological consultation process, a Federal agency consultation under section 7(a)(2) of the opinion may still require reasonable and may begin accruing credits through the ESA. This consultation determines prudent measures and terms and procedures outlined in the plan. whether a proposed agency action is conditions that address the incidental likely to jeopardize the continued IV. Recovery Debiting Process take resulting at the project-specific existence of a listed species or destroy level. A. Debit Development Phase or adversely modify critical habitat. The end product of programmatic Programmatic consultation addresses consultation will be a comprehensive This phase establishes the standards programs or groups of similar actions biological opinion issued to the Federal according to which credits will be used. implemented by a Federal agency. A action agency that describes in detail This phase may be conducted separately non-jeopardy biological opinion also the debiting process and all actions and or concurrently with the credit accrual determines the amount or extent of activities involved. It will evaluate all planning and development. An anticipated incidental take, if any. potential effects of the actions (debits) advantage of considering crediting and In implementing a recovery crediting as well as the credits used to offset the debiting at the same time is that a better system, the programmatic approach will effects and provide a jeopardy analysis match may be achieved between the be necessary due to the nature of credit for listed species and destruction/ credits accrued and the debiting needs. and debit concepts, and to ensure a net adverse modification analysis for Establishing the guidelines for debit use conservation benefit to the species. The designated critical habitat if applicable. and other factors, limitations, Federal action subject to consultation is It is important to consider all listed accounting, and monitoring and the establishment of the debiting species that may be affected, not just the reporting may be created as a stand- process and actions included therein. target species, and any designated alone document, but will eventually Under programmatic consultation, critical habitat occurring in the action become the ‘‘Project Description’’ much of the effects analysis is area for the jeopardy/adverse within a biological assessment or completed upfront, rather than modification analysis. evaluation, and subsequent biological repeatedly for each individual action. The programmatic biological opinion opinion. In addition, the debit process By completing this analysis beforehand may not be able to describe take at the could consider the possibility of Federal in a programmatic biological opinion, programmatic level. In this case, the agencies other than the Federal agency the anticipated effects of the action specific take authorization and that established the Recovery Crediting agency’s future projects can be added associated reasonable and prudent System being able to use credits. into the environmental baseline prior to measures and terms and conditions

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would be described in site-specific review, programmatic biological U.S. Fish and Wildlife Service. 1999. biological opinions. If the overarching opinions, etc.). Final Safe Harbor Policy. 64 FR biological opinion can describe, with In general, monitoring may comprise 32717, June 17, 1999. appropriate documentation from the two elements: Effectiveness monitoring U.S. Fish and Wildlife Service. 2003. action agency, the project-specific and compliance monitoring. Guidance for the Establishment, Use, actions, then a list of reasonable and Effectiveness monitoring will evaluate and Operation of Conservation Banks. prudent measures and terms and the credit valuation and accrual process U.S. Fish and Wildlife Service and conditions can be included, and no in achieving the goals and objectives of National Marine Fisheries Service. additional opinion is needed for those recovery actions. This monitoring 1998. Endangerered Species Act actions. The Service must develop focuses on the crediting process, Consultation Handbook: Procedures reasonable and prudent measures and involves principles of adaptive for Conducting Section 7 terms and conditions in close management, and includes all Consultations and Conferences. coordination with the action agency. implementation partners. The Washington, DC. This coordination may identify specific responsibility of effectiveness U.S. Fish and Wildlife Service and measures the action agency will monitoring belongs to the Federal National Marine Fisheries Service. incorporate at the project-specific level. agency that accrues and holds credits, 2004 (updated 2006). Draft C. Project-Specific Consultation although other entities would be Endangered and Threatened Species involved. When the credit accrual Recovery Planning Guidance. As individual projects are proposed process results in a biological opinion Williams, B.K., R.C. Szaro, and C.D. under the recovery crediting system, the from the Service, effectiveness Shapiro. 2007. Adaptive Management: action agency provides project-specific monitoring provisions are part of the The U.S. Department of the Interior information as described in the project description. Any coverage under Technical Guide. Adaptive programmatic biological opinion. This the incidental take statement, therefore, Management Working Group, U.S. information should include, but not be is dependent on the action agency Department of the Interior, limited to, the specific areas to be carrying out the action as described in Washington, DC. affected, the species and critical habitat the project description. that may be affected, a description of Compliance monitoring audits and Public Comments Solicited anticipated effects (in reference to those accounts for credits and debits, and already analyzed in the programmatic The draft guidance is broad in nature ensures proper implementation of the biological opinion), a description of any and intended to be adaptable to a wide agency action. Any monitoring and additional effects not considered in the array of local conditions and reporting must be incorporated into the programmatic consultation, appropriate circumstances. We are particularly project description as an integral part of reasonable and prudent measures and interested in receiving comments on the implementing the recovery crediting terms and conditions, the resulting following aspects of the draft document: system. debits as ranked in the programmatic • The level of detail required to make opinion, and the credit balance resulting Although a recovery crediting system is a focused tool for Federal agencies to the guidance most useful in the field. from the action. The project-level • The clarity of the standards consultation should be an expedited make a positive contribution towards the recovery of listed species while established for a recovery crediting process because most of the needed system. analysis will have occurred at the creating flexibility for offsetting effects of their other actions, the Service • The means by which a Federal programmatic level. This is an added agency will know that credits it accrues incentive for Federal agencies to use encourages the development and use of other types of crediting systems to meet will be available for its use in the future. programmatic consultation and recovery • crediting. other needs and circumstances. In The potential relationship between addition, this guidance by no means recovery crediting systems and critical V. Monitoring restricts Federal agencies from habitat. A monitoring program is essential to developing other crediting systems such We will take into consideration the the success and the credibility of a as conservation banks. A recovery relevant comments, suggestions, or recovery crediting system, both for the crediting system is one method by objections that we receive by the crediting and debiting aspects of the which a Federal agency may contribute comment due date indicated above in process. The scope of the monitoring towards its section 7(a)(1) DATES. These comments, suggestions, or plan should be commensurate with the responsibilities. The Service encourages objections, and any additional crediting system’s conservation Federal agencies to develop other information we receive, may lead us to framework, based on the goals and programs that would also contribute to adopt final guidance that differs from objectives of the species’ recovery plan; the recovery of listed species on Federal the draft. We prefer to receive comments the monitoring should measure the and non-Federal lands. via e-mail, but you may submit your comments by any method mentioned objectives as implemented by the VII. References crediting system. Ultimately, the above in ADDRESSES. Federal action agency is responsible for The following is a list of documents Please submit e-mail comments to accounting for credits and compliance that would be useful for establishing a [email protected] in ASCII file with the debiting process as determined recovery crediting system. Some are in format and avoid the use of special through the programmatic biological draft form, but are readily available to characters or any form of encryption. opinion. The Service should provide Service personnel through Regional Please also include ‘‘Recovery Crediting technical assistance in the monitoring Offices or the Washington Office. comments’’ in the subject line of the plan, and will be responsible for U.S. Fish and Wildlife Service. 1990. message, preferably with your full name periodic review of the species’ Policies and guidelines for planning and return address in the body of your environmental status, either through an and coordinating recovery of message. Please note that the Internet established protocol or more endangered and threatened species. address will be closed when the public conventional methods (e.g., 5-year Washington, DC. 14pp. + appendices. comment period ends.

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Public Availability of Comments Dated: October 24, 2007. We plan to discuss include the content Carl J. Artman, of the Monument’s Draft Resource Before including your address, phone Assistant Secretary—Indian Affairs. Management Plan/Draft Environmental number, e-mail address, or other Impact Statement and other issues as personal identifying information in your [FR Doc. E7–21624 Filed 11–1–07; 8:45 am] BILLING CODE 4310–4N–P appropriate. comment, you should be aware that The meeting is open to the public and your entire comment—including your includes a time set aside for public personal identifying information—may DEPARTMENT OF THE INTERIOR comment. Interested persons may make be made publicly available at any time. oral statements at the meeting or submit While you can ask us in your comment Bureau of Land Management written statements at any meeting. Per- to withhold your personal identifying person time limits for oral statements [CO–840–07–1610–DQ–241A] information from public review, we may be set to allow all interested cannot guarantee that we will be able to Southwest Resource Advisory persons an opportunity to speak. do so. Council; Canyons of the Ancients Summary minutes of all Subgroup Authority: The authority for this action is National Monument Subgroup Meeting meetings will be maintained at the the Endangered Species Act of 1973 (16 Anasazi Heritage Center in Dolores, U.S.C. 1531 et seq.). AGENCY: Bureau of Land Management, Colorado. They are available for public Dated: October 25, 2007. Interior. inspection and reproduction during Kenneth Stansell, ACTION: Notice of meeting. regular business hours within thirty (30) days of the meeting. In addition, Acting Director, Fish and Wildlife Service. SUMMARY: In accordance with the minutes and other information [FR Doc. E7–21563 Filed 11–1–07; 8:45 am] Federal Land Policy and Management concerning the Subgroup can be BILLING CODE 4310–55–P Act (FLPMA) and the Federal Advisory obtained from the Monument planning Committee Act of 1972 (FACA), the U.S. Web site at: http://www.blm.gov/rmp/ Department of the Interior, Bureau of canm which will be updated following DEPARTMENT OF THE INTERIOR Land Management (BLM) Southwest each Subgroup meeting. Bureau of Indian Affairs Resource Advisory Council (SWRAC) Dated: October 26, 2007. Canyons of the Ancients National LouAnn Jacobson, Monument (Monument) Subgroup, will Indian Gaming Monument Manager, Canyons of the Ancients meet as directed below. National Monument. AGENCY: Bureau of Indian Affairs, DATES: The Southwest RAC Canyons of [FR Doc. E7–21580 Filed 11–1–07; 8:45 am] Interior. the Ancients National Monument BILLING CODE 4310–JB–P ACTION: Notice of Deemed Approved (Monument) Subgroup will meet on Tribal-State Class III Gaming Compact. November 30, 2007 at the Anasazi Heritage Center in Dolores, Colorado. DEPARTMENT OF THE INTERIOR SUMMARY: This notice publishes the The meeting will begin at 9 a.m. Two Approval of the Tribal-State Compact public comment periods are planned Bureau of Land Management between the State of California and the and will begin at approximately 11:30 [UT–921–08–1430–FR–241E; UTU–85820] Yurok Tribe. a.m. and 2:30 p.m. The meeting will adjourn at approximately 4 p.m. A EFFECTIVE DATE: November 2, 2007. Filing of State Indemnity Selection second meeting will be held December Application and Termination of FOR FURTHER INFORMATION CONTACT: 7, 2007 at the Anasazi Heritage Center Exchange Segregation; Utah George T. Skibine, Director, Office of in Dolores, Colorado. The meeting will Indian Gaming, Office of the Deputy begin at 9 a.m. Two public comment AGENCY: Bureau of Land Management, Assistant Secretary—Policy and periods are planned and will begin at Interior. Economic Development, Washington, approximately 11:30 a.m. and 2:30 p.m. ACTION: Notice of realty action. DC 20240, (202) 219–4066. The meeting will adjourn at SUMMARY: On September 11, 2007, the SUPPLEMENTARY INFORMATION: Under approximately 4 p.m. State of Utah, School and Institutional section 11 of the Indian Gaming ADDRESSES: The Southwest RAC Trust Lands Administration (State) filed Regulatory Act of 1988 (IGRA) Public Canyons of the Ancients National indemnity selection application UTU– Law 100–497, 25 U.S.C. 2710, the Monument (Monument) Subgroup 85820, to have the surface and mineral Secretary of the Interior shall publish in meeting will be held at the Anasazi estate of 281.72 acres of Federal land the Federal Register notice of approved Heritage Center, located at 27501 transferred to the State pursuant to Tribal-State compacts for the purpose of Highway 184, in Dolores, Colorao. Sections 2275 and 2276 of the Revised engaging in Class III gaming activities FOR FURTHER INFORMATION CONTACT: Statutes, as amended (43 U.S.C. 851– on Indian lands. LouAnn Jacobson, Monument Manager 852). The lands have been selected by The compact allows for two gaming or Heather Musclow, Monument the State in lieu of school section lands facility and authorizes up to 99 gaming Planner, Anasazi Heritage Center, 27501 granted to the State pursuant to the Utah devices and any devices or games Hwy 184, Dolores, Colorado 81323; Enabling Act of July 16, 1894, but for authorized under State law to the State Telephone (970) 882–5600. which title could not pass because the lottery. Finally, the term of the compact SUPPLEMENTARY INFORMATION: The 11- lands were otherwise encumbered or is until December 31, 2025. The member Subgroup provides counsel and reserved at the time of statehood. Assistant Secretary—Indian Affairs, advice to the full Council for its FOR FURTHER INFORMATION CONTACT: Joy Department of the Interior, through his consideration and deliberation Wehking, Bureau of Land Management, delegated authority, is publishing notice concerning development and Utah State Office, 324 South State that the Tribal-State Compact between implementation of a management plan Street, P.O. Box 45155, Salt Lake City, the State of California and the Yurok developed in accordance with FLMPA, Utah 84145–0155. Phone 801–539– Tribe is now in effect. for public lands within the Monument. 4117.

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SUPPLEMENTARY INFORMATION: The Carlsbad and Roswell Field Offices in designation, special status species 281.72 acres under application are New Mexico. management, livestock grazing, and off- located in Iron County, and are DATES: The BLM Planning Regulations highway vehicle designations. described as follows: (43 CFR 1610.5–2) state that any person The Draft RMPA/EIS was released to the public for a 90-day comment period T. 35 S., R. 12 W., Salt Lake Meridian, Utah who participated in the planning process, and has an interest which is or on October 20, 2006. The BLM hosted Sec. 14, S1⁄2S1⁄2SW1⁄4, W1⁄2SE1⁄4; public meetings in Roswell, Carlsbad, 1 1 1 may be adversely affected, may protest Sec. 15, S ⁄2S ⁄2SE ⁄4; Artesia, and Hobbs, New Mexico, and Sec. 23, Lot 2, E1⁄2NW1⁄4. the BLM’s approval or amendment of a RMP. You may file a protest within 30 Midland, Texas, to answer questions The above described lands were days of the date that the Environmental about the document, as well as to solicit segregated from the public land and Protection Agency publishes their comments from the public. Public mineral laws on July 30, 2004, in Notice of Availability in the Federal comments on the Draft RMPA/EIS are connection with an exchange proposal Register. Instructions for filing of on file and available for public review (UTU–79738) between the Bureau of protests are described in the Dear at the address listed above. Land Management and the State. The Reader letter in the front of the Special Six alternatives were identified in the lands have been eliminated from the Status Species Proposed RMPA/Final Draft RMPA/EIS: • The No Action Alternative: exchange and the exchange segregation EIS and in the Supplementary represents the continuation of existing is hereby terminated upon publication Information section of this notice. of this notice. The filing of the in lieu management plans, policies, and application by the State segregates the ADDRESSES: For additional information decisions as established by the current Federal lands from the public land laws on how to file a protest, refer to the RMPs. and mineral laws. This segregation Supplementary Information section • Alternative A: Adopts the portions becomes effective upon publication of below. of the Conservation Strategy developed this notice and shall terminate upon the FOR FURTHER INFORMATION CONTACT: by the Southeast New Mexico Lesser issuance of a certificate of acceptance of Howard Parman, BLM, Pecos District Prairie Chicken Working Group that the in lieu selection for the Federal Office, 2909 West Second Street, applies to public lands and Federal lands if the lands are found suitable for Roswell, New Mexico 88201. To receive minerals. • transfer; upon the publication in the a copy of the document, contact the Alternative B (BLM’s Preferred Federal Register of a notice of BLM at the above address or call 505– Alternative): Represents the termination of the segregation; or upon 627–0272 during regular business hours Conservation Strategy and adds the expiration of two years from the date (8 a.m. to 4:30 p.m.), Monday through emphasis to sand dune lizard habitat and surface reclamation. of the filing of this application, Friday, except holidays. • whichever occurs first. Alternative C: Represents the SUPPLEMENTARY INFORMATION: The continuation of Interim Management, Authority: 43 CFR 2091.3–1(b) and 43 CFR planning area for the Special Status originally put in place by the BLM 2201.1–2(c)(2). Species Proposed RMPA/Final EIS, (August 2004) to preserve management Dated: October 26, 2007. which includes approximately 850,000 options in the Planning Area. Jeff Rawson, acres of BLM-administered public lands • Alternative D: Focuses management Acting State Director. and 1.15 million acres of Federal efforts on preserving occupied habitat. • [FR Doc. E7–21556 Filed 11–1–07; 8:45 am] minerals, is located in Chaves, Eddy, Alternative E: Focuses management Lea, and Roosevelt Counties, New efforts of preserving lesser prairie- BILLING CODE 4310–$$–P Mexico. A map of the planning area is chicken habitat through the designation available on the BLM New Mexico Web of an area of critical environmental DEPARTMENT OF THE INTERIOR site (http://www.nm.blm.gov). The BLM- concern. administered public lands within the In the Proposed RMPA/Final EIS, the Bureau of Land Management planning area are currently managed BLM has selected Alternative B, the under interim management guidelines Preferred Alternative in the Draft [NM–510–1610–DQ] issued on August 5, 2004, in accordance RMPA, as its Proposed Plan. Comments Notice of Availability of Special Status with the decisions in the 1988 Carlsbad on the Draft RMPA/EIS received from Species Proposed Resource RMP, as amended, and the 1997 Roswell the public and internal BLM review Management Plan Amendment and RMP. The BLM will continue to manage comments were incorporated into the Final Environmental Impact Statement, these lands in accordance with the Proposed Plan. Public comments New Mexico interim management guidelines until resulted in the addition of clarifying the RMPA is completed and a Record of text, but did not significantly change the AGENCY: Bureau of Land Management, Decision is signed. proposed land use decisions in the Interior. The purpose of the Proposed RMPA/ Preferred Alternative. The Proposed ACTION: Notice of Availability. Final EIS is to amend the existing RMPs, Plan represents the portions of the to protect and enhance habitat for the strategy developed by the Southeast SUMMARY: In accordance with the lesser prairie chicken and sand dune New Mexico Lesser Prairie Chicken National Environmental Policy Act of lizard while allowing other uses to Working Group that apply to public 1969 (NEPA, 42 U.S.C. 4321 et seq.) and continue. The Proposed RMPA/Final lands and Federal minerals, and adds the Federal Land Policy and EIS documents the direct, indirect, and emphasis to sand dune lizard habitat Management Act of 1976 (FLPMA, 43 cumulative environmental impacts of and surface reclamation. Copies of the U.S.C. 1701 et seq.), the Bureau of Land six alternatives for BLM-administered Special Status Species Proposed RMPA/ Management (BLM) has prepared a public lands within the planning area. Final EIS have been sent to affected Special Status Species Proposed Issues related to possible management Federal, State, and local government Resource Management Plan Amendment direction and planning decisions (not in agencies and to interested parties. A (RMPA)/Final Environmental Impact priority order) include: development of copy of the Special Status Species Statement (EIS) for portions of the energy resources, special management Proposed RMPA/Final EIS is available

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for review via the internet from a link The BLM Director will promptly Office, Bureau of Land Management, PO at http://www.nm.blm.gov, or at the render a decision on the protests. The Box 7, Monticello, Utah 84535. BLM Roswell Field Office, 2909 West decision will be in writing and will set Comments may also be faxed to the Second Street, Roswell, New Mexico, forth the reasons for the decision. The Monticello Field Office at (435) 587– and the Carlsbad Field Office, 620 East protest decision will be sent to the 1518, or submitted electronically by e- Greene Street, Carlsbad, New Mexico. protesting party by Certified Mail, mail to: UT_Monticello_RMP_Comments Electronic (on CD–ROM) and paper Return Receipt Requested. The decision @blm.gov. Comments and information copies may also be obtained by of the Director will be the final decision submitted on the DRMP/EIS, including contacting Howard Parman at the of the Department of the Interior. The names, e-mail addresses, and street aforementioned address and phone State Director will sign the Record of addresses of respondents, will be number. Decision for the Special Status Species available for public review and Instructions for filing a protest with RMPA once the protests are resolved. disclosure at the above address. The the Director of the BLM regarding the BLM will not accept anonymous Linda S.C. Rundell, Proposed RMPA/Final EIS may be comments. Before including your found at 43 CFR 1610.5–2. A protest New Mexico State Director. address, phone number, e-mail address, may only raise those issues which were [FR Doc. E7–21510 Filed 11–1–07; 8:45 am] or other personal identifying submitted for the record during the BILLING CODE 4310–GG–P information in your comment, you planning process. E-mail and faxed should be aware that your entire protests will not be accepted as valid, comment—including your personal unless the protesting party also provides DEPARTMENT OF THE INTERIOR identifying information—may be made the original letter by regular mail or Bureau of Land Management publicly available at any time. While other delivery service postmarked by you can ask us in your comment to the close of the protest period. Under [UT090–1610–012J] withhold your personal identifying these conditions, the BLM will consider information from public review, we the e-mail or faxed protest as an Notice of Availability of the Draft cannot guarantee that we will be able to advance copy, and it will receive full Resource Management Plan and Draft do so. Environmental Impact Statement for consideration. If you wish to provide us FOR FURTHER INFORMATION CONTACT: Gary the Monticello Field Office in San Juan with such advance notification, please Torres, Land Use Planner, Monticello County, Utah direct faxed protests to the attention of BLM Field Office, PO Box 7, Monticello, Brenda Hudgens-Williams, Protest AGENCY: Bureau of Land Management, Utah 84535, phone (435) 587–1524. To Coordinator, at (202) 452–5112, and Interior. have your name added to the Monticello e-mails to [email protected]. Please ACTION: Notice of availability. RMP mailing list, or to view and direct the follow-up letter to the download the DRMP/DEIS in portable appropriate address provided below. SUMMARY: In accordance with the document format (PDF) go to the project The protest must contain: National Environmental Policy Act of 1. The name, mailing address, Web site: http://www.blm.gov/ut/st/en/ 1969 (NEPA, 42 U.S.C. 4321 et seq.) and prog/planning.1.html. Copies of the telephone number, and interest of the the Federal Land Policy and person filing the protest. DRMP/DEIS are also available at the Management Act of 1976 (FLPMA, 43 BLM Monticello Field Office. 2. A statement of the part or parts of U.S.C. 1701 et seq.), the Bureau of Land the proposed plan and the issues being SUPPLEMENTARY INFORMATION: The Management (BLM) hereby gives notice DRMP/DEIS addresses public lands and protested. that the Monticello Draft Resource 3. A copy of all documents addressing resources managed by the Monticello Management Plan and Draft the issue(s) that the protesting party Field Office in San Juan County, Utah. Environmental Impact Statement submitted during the planning process These lands and resources are currently (DRMP/DEIS) is available for a 90-day of a statement to the date they were managed under the San Juan Resource public review and comment period. discussed for the record. Management Plan (1991). The planning 4. A concise statement explaining This notice also meets requirements in area includes approximately 1.8 million why the protestor believes the State 43 CFR 1610, 7–2(b) concerning acres of BLM-administered surface Director’s decision is wrong. potential Areas of Critical lands and additional federally-owned All protests must be in writing and Environmental Concern (ACECs). minerals under Federal, state, tribal, and must be sent to the following address DATES: To ensure that your written private lands in the area. Decisions in via regular mail or other delivery comments on the DRMP/DEIS will be the Monticello RMP will only apply to service: Regular Mail, Director 210, considered, you should send them to BLM-administered public lands and Attention: Brenda Williams, P.O. Box the BLM within 90 days following the federally-owned minerals. 66538, Washington, DC 20035. date the Environmental Protection Major issues considered in the DRMP/ Overnight Mail, Director 210, Attention: Agency publishes its notice of DEIS include oil and gas leasing, Brenda Williams, 1620 L Street, NW., availability in the Federal Register. The mining, range and livestock Suite 1075, Washington, DC 20236. BLM will announce public meetings management, access and transportation, Before including your address, phone and other public-involvement activities recreation and off-highway vehicle number, e-mail address, or other at least 15 days in advance through management, special status species, personal identifying information in your public notices, news releases, direct special designations (including ACECs comment, you should be aware that mailings, and posting on the project and suitability of rivers for your entire comment—including your Web site at: www.blm.gov/ut/st/en/prog/ Congressional designation into the personal identifying information—may planning.1.html. Public meetings will national Wild and Scenic Rivers be made publicly available at any time. be held in Monticello, Moab, Blanding, System), and lands with wilderness While you can ask us to withhold your Montezuma Creek, and Salt Lake City, characteristics. personal identifying information from UT; and in other locations, if warranted. The DRMP/DEIS proposes and public review, we cannot guarantee that ADDRESSES: Address written comments analyzes five alternatives for future we will be able to do so. to: RMP Comments, Monticello Field management of the public lands and

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resources in the planning area. The direction specified in the San Juan • Alternative E: provides protection alternatives present different Resource Management Plan (1991). of natural resource values with management balances between the • Alternative B: emphasizes emphasis on protection of non-WSA various resources and uses. protection of natural resource values. lands with wilderness characteristics. The BLM analyzed five alternatives • Alternative C (The BLM’s Preferred As required by law, the DRMP/DEIS for the DRMP/DEIS: Alternative): proposes balancing considers the designation and • Alternative A (No Action): resource protection with commodity protection of ACECs. ACEC values and represents continuation of existing production. resource use limitations vary by ACEC, management under the current • Alternative D: emphasizes and the ACECs themselves vary by management goals, objectives and commodity production. alternative. (Refer to the table below.)

ACRES OF PUBLIC LAND TO BE MANAGED AS ACECS UNDER THE ALTERNATIVES IN THE MONITCELLO DRMP/DEIS

Alt. A Alt. C ACEC Values and Use Limitations (no action) Alt. B (preferred) Alt. D Alt. E

Alkali Ridge ACEC ...... 39,202 39,196 39,196 0 39,196 Values: Cultural. Limitations: Closed to private and (or) commercial use of woodland products except for limited on-site collection of dead wood for campfires. Livestock use may be re- stricted if cultural resources are being impacted. No sur- face disturbing vegetation treatments. Any treatment must avoid cultural sites by sufficient margin as to have no impact. Bridger Jack Mesa ACEC ...... 6,260 6,225 0 0 6,225 Values: Near-relict vegetation. Limitations: Managed as Visual Resource Management (VRM) Class I. Open for mineral leasing subject to No Surface Occupancy (NSO) on the mesa top; available for geophysical work that does not impact the relict vegetation communities. Closed to the disposal of min- eral materials. Open to locatable mineral entry with ap- proved plan of operations, subject to stipulations regard- ing surface use of the mesa top, insofar as there is no adverse impact to vegetation communities. Excluded from livestock grazing, including grazing by saddle stock and pack animals allowed for access. Excluded from land treatments or other improvements, except for test plots and facilities necessary for study of the plant com- munities, and restoration/reclamation activities. Closed to Off Highway Vehicle (OHV) use. Closed to private and (or) commercial use of woodland products except for the limited on-site collection of dead wood for camp- fires. Butler Wash North ACEC ...... 17,464 17,365 0 0 17,365 Values: Scenic. Limitations: Managed as VRM Class I. Open for mineral leasing subject to NSO; however, the field manager would grant an exception to the NSO stipulations in the event it is determined through an EA, or EIS if nec- essary, with the adoption and use of appropriate mitiga- tion measures, that the project would meet visual quality standards for the area. Closed to disposal of mineral materials. Retained in public ownership and withdrawn from entry. Closed to private and (or) commercial use of woodland products, except for limited on-site collection of dead wood. Cedar Mesa ACEC ...... 295,336 306,743 0 0 306,743 Values: Cultural. Limitations: Available for livestock use with special condi- tions to protect at-risk cultural resources. Closed to pri- vate and (or) commercial use of woodland products ex- cept for limited on-site collection of dead wood for campfires. Campfires limited to mesa tops and would be closed if there are impacts to cultural sites. Closed to dispersed camping. Limited number of recreation per- mits issued for day hikes and overnight camping as necessary to prevent cultural site damage from over vis- itation. Overnight campers must pack out their human waste. Dark Canyon ACEC ...... 61,660 61,660 0 0 61,660 Values: Scenic, Cultural, Wildlife.

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ACRES OF PUBLIC LAND TO BE MANAGED AS ACECS UNDER THE ALTERNATIVES IN THE MONITCELLO DRMP/DEIS— Continued

Alt. A Alt. C ACEC Values and Use Limitations (no action) Alt. B (preferred) Alt. D Alt. E

Limitations: Managed as VRM Class I. Closed to oil and gas leasing, geophysical work, and disposal of mineral materials. Retained in public ownership and classified as segregated from entry (secretarial withdrawal would be requested). Closed to private and (or) commercial use of woodland products except for limited on-site col- lection of dead wood for campfires on mesa tops. Campfires limited to mesa top with fire pan (no camp- fires in canyons). Human waste to be packed out. Ex- cluded from livestock use except Fable Valley, where livestock trailing and emergency grazing (severe winter) would be allowed. Closed to OHV use. Improvements conditionally allowed for wildlife habitat, watershed, and vegetative treatments that meet VRM Class I manage- ment. Managed to limit recreation use if wildlife habitat or scenic values are being damaged. Subject to condi- tional fire suppression, with motorized suppression methods used only if necessary to protect life or prop- erty. Hovenweep ACEC ...... 1,798 2,439 2,439 0 2,439 Values: Cultural, Special Wildlife Habitat. Limitations: Cultural properties eligible for the National Register of Historic Places would be avoided as nec- essary to provide permanent protection. Closed to dis- posal of mineral materials. Available for livestock use but may be limited if cultural resources are impacted. No surface disturbing habitat, watershed, or vegetation treatments. Any treatment must avoid cultural sites by sufficient margin as to avoid adverse impact. Closed to private and (or) commercial use of woodland products, except for limited on-site collection of dead wood for campfires. Indian Creek ACEC ...... 8,510 8,510 3,905 0 8,510 Values: Scenic. Limitations: Managed as VRM Class I. Open for mineral leasing subject to NSO. Closed to disposal of mineral materials. Retained in public ownership and classified as segregated from entry (secretarial withdrawal would be requested). Available for geophysical work if VRM Class I can be met. Closed to private and (or) commer- cial use of woodland products including on-site collec- tion of dead wood for campfires. Closed to OHV use. Dispersed camping not allowed in the Indian Creek Cor- ridor. Camping allowed only in designated sites. Lockhart Basin ACEC ...... 0 47,783 0 0 47,783 Values: Scenic. Limitations: Managed as VRM Class I. Surface disturbing activities would be prohibited unless VRM Class I objec- tives can be met. This would apply to mineral leasing NSO decisions, and to geophysical work. Open for min- eral leasing subject to NSO. Exemptions may be grant- ed on a case-by-case basis if site-specific NEPA anal- ysis determines that VRM Class I can be met. Surface disturbing activities would be prohibited. Available for geophysical work if VRM Class I can be met. Closed to disposal of mineral materials. Retained in public owner- ship and classified as segregated from entry (secretarial withdrawal would be requested). Closed to woodland product use except for limited on-site collection of dead wood for campfires. Lavender Mesa ACEC ...... 649 649 649 0 649 Values: Relict-vegetation.

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ACRES OF PUBLIC LAND TO BE MANAGED AS ACECS UNDER THE ALTERNATIVES IN THE MONITCELLO DRMP/DEIS— Continued

Alt. A Alt. C ACEC Values and Use Limitations (no action) Alt. B (preferred) Alt. D Alt. E

Limitations: Managed as VRM Class II. Non-surface dis- turbing vegetative treatments allowed to control invasive species and for rehabilitation of disturbed surfaces. Managed as NSO for oil and gas leasing. Open to locatable mineral entry with approved plan of operations (for the sides of the mesa, not the top), subject to stipu- lations protecting vegetation on the mesa top. No camp- fires allowed. Managed to limit recreation use if vegeta- tion communities are being adversely impacted. Scenic Highway ACEC ...... 79,017 0 0 0 0 Values: Scenic. Limitations: Managed as VRM Class I with projects that meet these visual quality standards allowed. Open for mineral leasing subject to NSO with exceptions if VRM Class I objectives cannot be met. Shay Canyon ACEC ...... 5488 119 119 0 119 Values: Cultural. Limitations: Managed as VRM Class I. Managed as NSO for oil and gas, vegetation, watershed, or wildlife treat- ments/improvements. Grazing restricted to trailing only. With the exception of side canyons, hiking limited to designated trails. Closed to disposal of mineral mate- rials. Closed to campfires. Closed to private or commer- cial use of woodland products including on-site collec- tion of dead wood for campfires. Recreation use may be limited if cultural/paleontological resources are im- pacted. Closed to camping. San Juan River ACEC ...... 0 7,590 7,590 0 7,590 Values: Scenic, Cultural, Wildlife, and Natural Systems. Limitations: Managed as VRM Classes I, II, and III. Open to oil and gas leasing subject to NSO. Closed to private and (or) commercial use of woodland products except for limited on-site collection of dead wood for campfires; woodland use within the floodplain would be limited to collection of driftwood for campfires. Closed to mineral material disposal. Retained in public ownership and rec- ommended for withdrawal from mineral entry. Managed to limit recreation use if wildlife values are being ad- versely impacted. Restricted recreational uses to protect cultural, wildlife, and natural processes. This would in- clude closed areas for camping, designated access trails to cultural sites, and prohibiting ropes and other climbing aids for access to cultural sites and nesting raptors. Valley of the Gods ACEC ...... 36,800 22,863 22,863 0 22,863 Values: Scenic. Limitations: Managed as VRM Class I. Closed to mineral leasing and disposal of mineral materials. Retained in public ownership but recommended for withdrawal from mineral entry. No campfires allowed. Closed to private and (or) commercial use of woodland products.

Total ...... 552,184 521,142 76,761 0 521,142

Dated: April 26, 2007. DEPARTMENT OF THE INTERIOR SUMMARY: The MMS is seeking Jeff Rawson, interested and qualified individuals to Utah Associate State Director. Minerals Management Service serve on its OCS SC during the period of April 29, 2008 through April 28, Editorial Note: This document was Outer Continental Shelf (OCS), 2010. The initial 2-year term may be received at the Office of the Federal Register Scientific Committee (SC) renewable for up to an additional 4 on October 29, 2007. years. The OCS SC is chartered under AGENCY: Minerals Management Service, [FR Doc. E7–21518 Filed 11–1–07; 8:45 am] the Federal Advisory Committee Act to Interior. BILLING CODE 4310–DK–P advise the Secretary of the Interior ACTION: Notice of Vacancies and Request through the Director of the MMS on the for Nominations. appropriateness, feasibility, and scientific value of the OCS

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Environmental Studies Program (ESP) Dated: October 12, 2007. and evaluates the potential and environmental aspects of the Chris C. Oynes, environmental consequences of each offshore energy and marine minerals Associate Director for Offshore Minerals alternative. Impact topics evaluated programs. The ESP, which was Management. include cultural resources, natural authorized by the OCS Lands Act as [FR Doc. E7–21622 Filed 11–1–07; 8:45 am] resources, visitor use and experience, amended (Section 20), is administered BILLING CODE 4310–MR–P park operations, and the socioeconomic by the MMS and covers a wide range of environment. field and laboratory studies in biology, The Draft GMP/EIS was made chemistry, and physical oceanography, DEPARTMENT OF THE INTERIOR available for public review and as well as studies of the social and comment in January 2007. A public National Park Service economic impacts of OCS energy and open house was held in Oyster Bay on marine minerals development. Final General Management Plan/ February 1, 2007. On March 8, 2007, a Currently, the work is conducted Environmental Impact Statement, ‘‘Notice of Availability’’ formally through award of competitive contracts Sagamore Hill National Historic Site, announcing the public availability of and interagency and cooperative Oyster Bay, NY the Sagamore Hill National Historic Site agreements. The OCS SC reviews the Draft General Management Plan/ relevance of the information being AGENCY: National Park Service, Environmental Impact Statement was produced by the ESP and may Department of the Interior. published in the Federal Register (72 recommend changes in its scope, ACTION: Notice of availability of the FR 10555). The public review period direction, and emphasis. Final General Management Plan/ ended on May 8, 2007. Environmental Impact Statement, DATES: The NPS will prepare a Record The OCS SC comprises distinguished Sagamore Hill National Historic Site. scientists in appropriate disciplines of of Decision concerning the selection of a management alternative no sooner the biological, physical, chemical, and SUMMARY: Pursuant to Sec. 102(2)(C) of than 30 days following publication by socioeconomic sciences. Currently, the the National Environmental Policy Act the Environmental Protection Agency of OCS SC has four vacancies in the of 1969 (Pub. L. 91–190, as amended), the Notice of Availability of the Final following disciplines: Biological the National Park Service announces the GMP/EIS in the Federal Register. oceanography/marine biology; availability of the Final General economics; and physical oceanography. Management Plan and Environmental ADDRESSES: The Final GMP/EIS is The selections are based on maintaining Impact Statement (Final GMP/EIS) for available on-line at www.nps.gov/sahi. disciplinary expertise in all areas of Sagamore Hill National Historic Site in Copies of the Final GMP/EIS are research, as well as geographic balance. New York. Consistent with Federal available upon request by writing to: Demonstrated knowledge of the laws, regulations, and National Park Ellen Carlson, Project Planner, National scientific issues related to OCS oil and Service policies, the Final GMP/EIS Park Service, Northeast Region, 15 State gas development is essential. Selections describes the proposed federal action to Street, Boston, MA 02109; e-mailing [email protected], or calling (617) are made by the Secretary of the Interior establish a programmatic framework for 223–5048. The Final GMP/EIS is also on the basis of these factors. park management in the form of a general management plan that is available for pick up in person at Ethics Responsibilities of Members consistent with the purposes of the park Sagamore Hill National Historic Site at as set forth in the park’s enabling 20 Sagamore Hill Road, Oyster Bay, All members will comply with legislation An Act to Authorize New York, at the park’s administrative applicable rules and regulations. The Establishment of the Theodore offices in the Old Orchard Museum Department of the Interior will provide Roosevelt Birthplace and Sagamore Hill during regular business hours. materials to those members appointed National Historic Sites (Pub. L. 87–547; FOR FURTHER INFORMATION CONTACT: Greg as Special Government Employees, 76 Stat. 217). Marshall, Superintendent, Sagamore explaining their ethical obligations with The Final GMP/EIS evaluates Hill National Historic Site, 20 Sagamore which the members should be familiar. alternatives to guide the management Hill Road, Oyster Bay, NY 11771–1809, Consistent with the ethics requirements, and development of Sagamore Hill NHS phone (516) 922–4452, members will endeavor to avoid any over the next 15 to 20 years. Under [email protected]. actions that would cause the public to Alternative 1—Status Quo, the park question the integrity of the would continue to be managed in SUPPLEMENTARY INFORMATION: A General Committee’s operations, activities, or accordance with existing plans and in Management Plan/Environmental advice. The provisions of this paragraph compliance with legal and NPS policy Impact Statement (GMP/EIS) proposes a do not affect any other statutory or mandates. This alternative provides a long-term approach to managing regulatory ethical obligations to which a baseline for evaluating and comparing Sagamore Hill NHS, consistent with the member may be subject. the other alternatives. Alternative 2— park’s mission and NPS policy and Building Capacity emphasized building other laws and regulations. NPS Interested individuals should send a the park’s capacity to meet its basic planners, park staff, and key park letter of interest and resume within 30 visitor service and operational needs. partners collaborated in the days to: Ms. Phyllis Clark, Minerals Alternative 3—Past Meets Present, the development of the Draft GMP/EIS. A Management Service, Offshore Minerals agency’s preferred alternative, previous master plan was prepared for Management, 381 Elden Street, Mail emphasizes rehabilitation of the park’s the park in 1963 but was not fully Stop 4041, Herndon, Virginia 20170. cultural resources and improvements to approved. Project scoping for the GMP She may be reached by telephone at its visitor services and facilities to offer began in May 2003. Formal public (703) 787–1716. expanded opportunities for visitors to scoping sessions were held in Oyster Authority: Federal Advisory Committee explore the site’s contemporary Bay and NYC in April 2004. A Act, Public Law 92–463, 5 U.S.C., Appendix relevance in the same context in which preliminary alternatives newsletter was I, and the Office of Management and Budget’s they explore its history. The Final GMP/ prepared and distributed in April 2005 Circular A–63, Revised. EIS describes the affected environment followed by two community meetings.

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The Draft GMP/EIS was made DEPARTMENT OF THE INTERIOR identified, for each alternative. available for public review and Beginning with early scoping, through comment in January 2007. The formal National Park Service the preparation of the Draft and Final public comment period ended on May EIS, numerous public meetings were Final Environmental Impact Statement; 8, 2007. A public open house was held hosted. Approximately 200 oral and Giacomini Wetlands Restoration; Point in Oyster Bay on February 1, 2007. At written comments were received during Reyes National Seashore; Marin that time, the park also hosted a meeting the scoping phase or in response to the County, CA; Notice of Approval of Draft EIS. Key consultations or other for park neighbors to solicit their Record of Decision feedback. During the comment period, contacts which aided in preparing the 27 sets of formal written comments were Summary: Pursuant to § 102(2)(C) of Draft and Final EIS involved (but were received. The majority of respondents the National Environmental Policy Act not limited to) the California Coastal supported one or both of the action of 1969 (Pub. L. 91–190, as amended) Commission, Department of Fish and Game, and State Historic Preservation alternatives with most expressing their and the implementing regulations Office, the Marin County Parks and support for the National Park Service’s promulgated by the Council on Open Space, the U.S. Fish and Wildlife preferred alternative. Environmental Quality (40 CFR 1505.2), the Department of the Interior, National Service and National Marine Fisheries The Final GMP/EIS addresses the Park Service has prepared, in Service. Local communities, county and following issues—improving the visitor conjunction with the California State city officials, and interested experience, broadening and diversifying Lands Commission as co-lead agency, organizations were contacted the park audience, improving the Final Environmental Impact extensively during initial scoping and operational efficiency, and enhancing Statement (EIS) for restoring the throughout the conservation planning resource protection. Key park partners Giacomini Wetlands in the Golden Gate and environmental impact analysis closely involved in the development of National Recreation Area (north process. planning alternatives include the district), administered by Point Reyes Copies: Interested parties desiring to Theodore Roosevelt Association, the National Seashore. The Regional review the Record of Decision may Friends of Sagamore Hill, and the park’s Director, Pacific West Region has obtain a complete copy by contacting Volunteer Advisory Board. The target approved the Record of Decision and the Superintendent, Pt. Reyes National date for the Record of Decision is fall supporting Statement of Findings for Seashore, Point Reyes, CA 94956; or via 2007. Wetlands and Floodplains for this telephone request at (415) 464-5100. Dated: August 16, 2007. The park’s mission is ‘‘to preserve in restoration project. The formal no-action period was officially initiated June 27, Jonathan B. Jarvis, public ownership and interpret the 2007, with the U.S. Environmental structures, landscape, collections, and Regional Director, Pacific West Region. Protection Agency’s Federal Register other cultural resources associated with [FR Doc. E7–21576 Filed 11–1–07; 8:45 am] notification of the filing of the Final EIS. BILLING CODE 4312–FW–P Theodore Roosevelt’s Home in Oyster Decision: As soon as practicable the Bay, New York to ensure that future Seashore will begin to implement generations understand and appreciate restoration efforts of the DEPARTMENT OF THE INTERIOR the life and legacy of Theodore ‘‘environmentally preferred’’ Alternative Roosevelt, his family, and the D as detailed in the Final EIS. The National Park Service significant events associated with him at selected plan maximizes ecological Sagamore Hill.’’ Theodore Roosevelt restoration while providing public General Management Plan, Final bought land in Oyster Bay in 1880, access and overlooks for viewing the Environmental Impact Statement, where he built his family home and restoration area. Work elements include Walnut Canyon National Monument, lived until his death in 1919. removal of earthern levees and AZ Throughout his life, Roosevelt attracted appurtenant infrastructure, and AGENCY: National Park Service, national and international figures from recreation of tidal channels and Department of the Interior. every walk of life to this home. freshwater breeding habitat for ACTION: Notice of Availability of a Sagamore Hill was the summer White California red-legged frogs. Certain Record of Decision on the Final House between 1902 and 1908. public access features will be Environmental Impact Statement for the maintained or enhanced, and The Final GMP proposes strategies for General Management Plan, Walnut additionally the Seashore will resource protection and visitor services; Canyon National Monument. collaborate with the County of Marin identifies development proposals and (including further conservation SUMMARY: Pursuant to the National associated costs; addresses carrying planning as appropriate) on additional Environmental Policy Act of 1969, Pub. capacity and park boundaries; examines public access facilities on the southern L. 91–190, 42 U.S.C. 4332(2)(C), the changes in visitor use patterns and perimeter of the project area in National Park Service announces the visitor experience; and considers the furtherance of the Countywide Plan. availability of the Record of Decision for park’s relationship with other Theodore As documented in the Final EIS, this the General Management Plan, Walnut Roosevelt-related sites within the course of action was deemed to be Canyon National Monument, Arizona. general vicinity of the park as well as ‘‘environmentally preferred’’. The On August 21, 2007, the Regional across the country. preferred plan and four alternatives Director, Intermountain Region Dated: September 13, 2007. were identified and analyzed in the approved the Record of Decision for the Final EIS, and previously in the Draft project. As soon as practicable, the John A. Latschar, EIS (the latter was distributed in National Park Service will begin to Acting Regional Director, Northeast Region, December, 2006). The full spectrums of implement the Preferred Alternative National Park Service. foreseeable environmental contained in the FEIS issued on March [FR Doc. E7–21575 Filed 11–1–07; 8:45 am] consequences were assessed, and 19, 2007. Three alternatives were BILLING CODE 4310–09–P appropriate mitigation measures analyzed in the Draft and Final

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Environmental Impact Statements—a Washington, DC 20240; by all other NEW YORK no-action and two action alternatives, carriers, National Register of Historic New York County including the National Park Service Places, National Park Service,1201 Eye Van Tassell and Kearney Horse Auction preferred alternative. The preferred St., NW., 8th Floor, Washington, DC Mart, 126—128 E 13th St, New York, alternative would preserve untrailed 20005; or by fax, 202–371–6447. Written 07001233 expanses, unfragmented natural or faxed comments should be submitted systems, and relatively pristine by November 19, 2007. TEXAS conditions throughout much of the park. Harris County J. Paul Loether, It would protect Walnut Canyon as a Almeda Road Bridge over Brays Bayou, Chief, National Register of Historic Places/ critical wildlife corridor. Visitation (Historic Bridges of Texas MPS) Almeda National Historic Landmarks Program. would be managed with the goal of Rd at Brays Bayou, Houston, 07001234 providing quality learning opportunities CALIFORNIA Telephone Road Bridge over Brays Bayou, in an intimate atmosphere while (Historic Bridges of Texas MPS) Telephone Santa Cruz County maintaining the health of the canyon Rd at Brays Bayou, Houston, 07001235 ecosystem. The natural soundscape and Cowell Lime Works Historic District, 1156 VIRGINIA tranquil setting of the canyon would be High St, Santa Cruz, 07001220 Albemarle County enhanced through strategic placement of DISTRICT OF COLUMBIA facilities. The full range of foreseeable Southern Albermarle Rural Historic District, environmental consequences was District of Columbia Roughly bounded by Rivanna R, VA 20, assessed, and appropriate mitigating Foxhall Village Historic District, (Historic Green Mt, James R., Blenheim, Jefferson measures were identified. Residential Suburbs in the United States, Mill Rolling & Milton Rds & Monroe Pkwy, The Record of Decision includes a 1830–1960 MPS) Bounded by Reservoir Rd Charlottesville, 07001236 statement of the decision made, NW, Glover-Archibald Park, P St NW & A request for REMOVAL has been made for synopses of other alternatives Foxhall Rd NW, Washington, 07001221 the following resource: considered, the basis for the decision, a NORTH DAKOTA description of the environmentally KANSAS preferable alternative, a finding of no Chautauqua County Walsh County impairment of park resources and Bradford Hotel, 103 N Chautauqua, Sedan, Odalen Lutherske Kirke, 6 mi W and 1⁄4 mi values, a listing of measures to 07001222 N of Jct ND 32 and Cty Rte 9, Edinburg minimize environmental harm, and an vicinity, 05001517 Cheyenne County overview of public involvement in the [FR Doc. E7–21620 Filed 11–1–07; 8:45 am] decision-making process. Hickert, Henry, Building, 104 W 4th, Bird BILLING CODE 4310–70–P FOR FURTHER INFORMATION CONTACT: City, 07001223 Todd Metzger, Acting Superintendent, Dickinson County Flagstaff Area Monuments, 6400 N. DEPARTMENT OF THE INTERIOR Highway 89, Flagstaff, Arizona 86004, Naroma Court Historic District, 800 N (928) 526–1157. Buckeye; 801, 803, 805 Spruceway; 106 Bureau of Reclamation Naroma Ct, Abilene, 07001224 SUPPLEMENTARY INFORMATION: Copies of [FES–07–37] the Record of Decision may be obtained Jewell County from the contact listed above. Burr Oak United Methodist Church, NE Colorado River Interim Guidelines for Dated: August 22, 2007. corner Pennsylvania & Washington Sts, Lower Basin Shortages and Michael D. Snyder, Burr Oak, 07001225 Coordinated Operations for Lake Powell and Lake Mead Intermountain Regional Director, National Johnson County Park Service. Foster, Herman B., House, 204 W Main St, AGENCY: Bureau of Reclamation, [FR Doc. E7–21574 Filed 11–1–07; 8:45 am] Gardner, 07001226 Interior. BILLING CODE 4312–04–P ACTION: Notice of Availability of a Final Marion County Environmental Impact Statement for the Meehan, P.H., House, Address Restricted, Colorado River Interim Guidelines for DEPARTMENT OF THE INTERIOR Tampa, 07001227 Lower Basin Shortages and Coordinated National Park Service Sedgwick County Operations for Lake Powell and Lake Bond—Sullivan House, 936 Back Bay Blvd, Mead. National Register of Historic Places; Wichita, 07001228 SUMMARY: The Department of the Notification of Pending Nominations Fresh Air Baby Camp, 1229 W 11th St, and Related Actions Interior (Department), acting through Wichita, 07001229 the Bureau of Reclamation Nominations for the following Holyoke Cottage, 1704 N Holyoke, Wichita, (Reclamation), has issued a final properties being considered for listing 07001230 environmental impact statement (Final or related actions in the National MISSOURI EIS) on the proposed adoption of Register were received by the National specific Colorado River Lower Basin Park Service before October 20, 2007. Jackson County shortage guidelines and coordinated Pursuant to § 60.13 of 36 CFR part 60 U.S. Courthouse and Post Office—Kansas reservoir management strategies to written comments concerning the City, MO, 811 Grand Blvd, Kansas City, address operation of Lake Powell and significance of these properties under 07001231 Lake Mead, particularly under low the National Register criteria for MONTANA reservoir conditions. This action is evaluation may be forwarded, by United proposed in order to provide a greater States Postal Service, to the National Rosebud County degree of certainty to U.S. Colorado Register of Historic Places, National St. Philip’s Episcopal Church, 701 Main St, River water users and managers of the Park Service, 1849 C St., NW., 2280, Rosebud, 07001232 Colorado River Basin by providing

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detailed and objective guidelines for the 2026 that would be used each year by amount of annual water deliveries in operation of Lake Powell and Lake the Department in implementing the future years, particularly under drought Mead, thereby allowing water managers Criteria for Coordinated Long-Range and low reservoir conditions; and (3) and water users in the Lower Basin to Operation of Colorado River Reservoirs provide additional mechanisms for the know when, and by how much, water Pursuant to the Colorado River Basin storage and delivery of water supplies in deliveries will be reduced in drought Project Act of September 30, 1968, Lake Mead. and other low reservoir conditions. The through issuance of the Annual The Final EIS presents five action Department proposes that these Operating Plan for Colorado River alternatives for potential guidelines be interim in duration and Reservoirs. implementation, plus a No Action extend through 2026. The proposed federal action considers Alternative. The action alternatives Cooperating agencies are the Bureau four operational elements that reflect input from Reclamation staff, the of Indian Affairs, the U.S. Fish and collectively are designed to address the cooperating agencies, stakeholders, Wildlife Service, the National Park purpose and need for the proposed members of the general public and other Service, the Western Area Power federal action. These elements are interested parties. The preferred Administration, and the United States addressed in each of the alternatives alternative was identified by Section of the International Boundary described and analyzed in the Final EIS. Reclamation by publication on June 15, and Water Commission. The interim guidelines would be used 2007, on the dedicated project Web site: DATES: The Department will issue a by the Secretary of the Interior (http://www.usbr.gov/lc/region/ Record of Decision on implementing the (Secretary) to: programs/strategies.html), following proposed interim guidelines no sooner • Determine those circumstances public comments on the Draft EIS and than December 3, 2007. under which the Secretary would further analysis. ADDRESSES: The Final EIS is reduce the annual amount of water The preferred alternative proposes: (1) electronically available for viewing and available for consumptive use from Lake Discrete levels of shortage volumes copying at Reclamation’s project Web Mead to the Colorado River Lower associated with Lake Mead elevations to site at: http://www.usbr.gov/lc/region/ Division states (Arizona, California, and conserve reservoir storage and provide programs/strategies.html. Alternatively, Nevada) below 7.5 million acre-feet (a water users and managers in the Lower a compact disc or hard copy is available ‘‘Shortage’’) pursuant to Article II(B)(3) Basin with greater certainty to know upon written request to: Regional of the United States Supreme Court when, and by how much, water Director, Lower Colorado Region, Decree in the case of Arizona v. deliveries will be reduced in drought Bureau of Reclamation, Attention: California, 547 U.S. 150 (2006); and other low reservoir conditions; (2) BCOO–1005, P.O. Box 61470, Boulder • Define the coordinated operation of a coordinated operation of Lake Powell City, Nevada 89006–1470; fax at (702) Lake Powell and Lake Mead to provide and Lake Mead determined by specified 293–8156; or e-mail at improved operation of these two reservoir conditions that would [email protected]. reservoirs, particularly under low minimize shortages in the Lower Basin See the SUPPLEMENTARY INFORMATION reservoir conditions; and avoid the risk of curtailments in the section of this notice for locations and • Allow for the storage and delivery, Upper Basin; (3) a mechanism to addresses where copies of the document pursuant to applicable federal law, of encourage and account for augmentation may be viewed. conserved Colorado River system and and conservation of water supplies, FOR FURTHER INFORMATION CONTACT: non-system water in Lake Mead to referred to as Intentionally Created Terrance J. Fulp, Ph.D., at (702) 293– increase the flexibility of meeting water Surplus, that would minimize the 8500 or e-mail at [email protected]; use needs from Lake Mead, particularly likelihood and severity of potential and/or Randall Peterson at (801) 524– under drought and low reservoir future shortages; and (4) the 3633 or e-mail at [email protected]. conditions; and modification and extension of the ISG • SUPPLEMENTARY INFORMATION: During the Determine those conditions under through 2026. period from 2000–2007, the Colorado which the Secretary may declare the A Record of Decision implementing River has experienced the worst drought availability of surplus water for use the interim guidelines is anticipated to conditions in 100 years of recorded within the Lower Division states. be completed before the end of 2007. history. During this period, storage in The proposed federal action would Following publication of this Federal Colorado River reservoirs dropped from modify the substance of the existing Register notice, additional and updated nearly full to less than 55 percent of Interim Surplus Guidelines (ISG), information regarding the content and capacity as of September 30, 2007. published in the Federal Register on development of guidelines is Currently, the Department does not have January 25, 2001 (66 FR 7772), and anticipated to be provided to the public specific operational guidelines in place would change the term of the ISG from through the dedicated project Web site, to address the operation of Lake Powell 2016 to 2026. (http://www.usbr.gov/lc/region/ and Lake Mead during drought and low The purpose of the proposed federal programs/strategies.html). action is to: (1) Improve Reclamation’s reservoir conditions. Locations Where the Final EIS Is Accordingly, through a National management of the Colorado River by Available for Public Review Environmental Policy Act (NEPA) considering the trade-offs between the process initiated by a Federal Register frequency and magnitude of reductions • Bureau of Reclamation, Lower notice dated September 30, 2005 (70 FR of water deliveries, and considering the Colorado Regional Office, 400 Railroad 57322), the Department proposed the effects on water storage in Lake Powell Avenue, Boulder City, Nevada. adoption of specific interim guidelines and Lake Mead, water supply, power • Bureau of Reclamation, Upper for Lower Basin shortages and production, recreation, and other Colorado Regional Office, 125 South coordinated operations of Lake Powell environmental resources; (2) provide State Street, Room 7220, Salt Lake City, and Lake Mead. It is anticipated that the mainstream U.S. users of Colorado River Utah. proposed federal action will be water, particularly those in the Lower • Bureau of Reclamation, Phoenix implemented through the adoption of Division states, a greater degree of Area Office, 6150 West Thunderbird interim guidelines in effect through predictability with respect to the Road, Glendale, Arizona.

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• Bureau of Reclamation, Yuma Area conditions specified therein. The regulations of the Commission; there is Office, 7301 Calle Agua Salada, Yuma, facility is located in St. Francisville, reasonable assurance that the activities Arizona. West Feliciana Parish, Louisiana. The authorized by the proposed license • Bureau of Reclamation Library, license authorizes EGS to possess the amendment can be conducted without Denver Federal Center, 6th Avenue and facility with respect to EGS’s ownership endangering the health and safety of the Kipling, Building 67, Room 167, Denver, of RBS, and EOI to use and operate the public and that such activities will be Colorado. facility. conducted in compliance with the • Commission’s regulations; the issuance Department of the Interior, Natural II. Resources Library, 1849 C Street, NW., of the proposed license amendment will Washington, DC. By letter dated May 29, 2007, as not be inimical to the common defense • Yuma County Library, 185 South supplemented by letters dated August and security or the health and safety of Main Street, Yuma, Arizona. 30 and September 19, 2007, EOI, acting the public; and the issuance of the • Palo Verde Valley Library, 125 West on behalf of EGS and itself, submitted proposed amendment will be in Chanslor Way, Blythe, California. an application to the NRC requesting, accordance with 10 CFR part 51 of the • Mohave County Library, 1170 pursuant to 10 CFR 50.80, approval of Commission’s regulations and all Hancock Road, Bullhead City, Arizona. the direct transfer of the license for RBS applicable requirements have been • Laughlin Library, 2840 South from EGS to Entergy Gulf States satisfied. Needles Highway, Laughlin, Nevada. Louisiana, LLC (EGS–LA). EOI also The findings set forth above are • Las Vegas Clark County Library, 833 requested, pursuant to 10 CFR 50.90, supported by a safety evaluation dated Las Vegas Boulevard N, Las Vegas, approval of a conforming license October 26, 2007. amendment to the RBS, Unit 1, Nevada. III. • James I. Gibson Library, 280 Water Operating License (NPF–47) to reflect Street, Henderson, Nevada. the transfer. The transfer is associated Accordingly, pursuant to sections with the planned restructuring of EGS 161b, 161i, and 184 of the Atomic Public Disclosure under which ownership of RBS will be Energy Act of 1954, as amended, 42 Before including your name, address, transferred from EGS, a Texas U.S.C. 2201(b), 2201(i), and 2234, and phone number, e-mail address, or other corporation, to EGS–LA, Louisiana 10 CFR 50.80, it is hereby ordered that personal identifying information in your limited liability company. EOI will the transfer of the license to EGS–LA, as comment, you should be aware that continue to operate RBS, and thus there described herein is approved, subject to your entire comment—including your is no transfer of operating authority the following conditions: personal identifying information—may under the license proposed in the (1) At the time of the closing of the be made publicly available at any time. application. transfer of ownership of and the license Notice of the requests for approval While you can ask us in your comment for RBS from EGS to EGS–LA, the RBS and an opportunity for a hearing was to withhold your personal identifying decommissioning trust agreement(s) published in the Federal Register on information from public review, we shall be amended to reflect EGS–LA as July 9, 2007 (72 FR 37266). No cannot guarantee that we will be able to the owner of all the decommissioning comments or hearing requests were do so. trust funds accumulated as of the date received. of the closing. Willie R. Taylor, Pursuant to 10 CFR 50.80, no license, (2) Prior to completion of the transfer Director, Office of Environmental Policy and or any right thereunder, shall be of ownership of and the transfer for Compliance. transferred, directly or indirectly, RBS, EGS–LA shall provide the Director [FR Doc. E7–21417 Filed 11–1–07; 8:45 am] through transfer of control of the of the Office of Nuclear Reactor BILLING CODE 4310–MN–P license, unless the Commission shall Regulation satisfactory documentary give its consent in writing. Upon review evidence that it has obtained the of the information in the application appropriate amount of insurance and other information before the NUCLEAR REGULATORY required of licensees under 10 CFR part Commission, and relying upon the COMMISSION 140 of the Commission’s regulations. representations and agreements It is further ordered that, consistent [Docket No. 50–458; License No. NPF–47] contained in the application, the NRC with 10 CFR 2.1315(b), a license staff has determined that EGS–LA is amendment that makes changes, as In the Matter of: Entergy Gulf States, qualified to hold the license for RBS to indicated in Enclosure 2 to the cover Inc., Entergy Operations, Inc. (River the extent now held by EGS, and that letter forwarding this Order, to conform Bend Station, Unit 1); Order Approving the transfer of the license to EGS–LA the license to reflect the subject license Transfer of Facility Operating License described in the application is transfer, is approved. The amendment and Conforming Amendment otherwise consistent with applicable shall be issued and made effective at the provisions of law, regulations, and I. time the proposed license transfer is orders issued by the Commission completed. Entergy Gulf States, Inc. (EGS) and pursuant thereto, subject to the It is further ordered that EOI shall Entergy Operations, Inc. (EOI) are the conditions set forth below. The NRC inform the Director of the Office of holders of Facility Operating License staff has further found that the Nuclear Reactor Regulation in writing of NPF–47, issued by the U.S. Nuclear application for the proposed license the date of closing of the transfer no Regulatory Commission (NRC or amendment complies with the later than 5 business days prior to such Commission) pursuant to Title 10 of the standards and requirements of the action. Should the transfer of the license Code of Federal Regulations (10 CFR), Atomic Energy Act of 1954, as amended not be completed by October 25, 2008, part 50, ‘‘Domestic Licensing of (the Act), and the Commission’s rules this Order shall become null and void, Production and Utilization Facilities.’’ and regulations set forth in 10 CFR provided, however, that upon written The license authorizes the operation of Chapter I; the facility will operate in application and for good cause shown, River Bend Station, Unit 1 (RBS or conformity with the application, the such date may be extended by order. facility), in accordance with terms and provisions of the Act, and the rules and This Order is effective upon issuance.

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For further details with respect to this Commission (Room O–1G16) (Open)— the necessary time during the meeting action, see the application dated May The ACNW&M members will brief the for such statements. Use of still, motion 29, 2007, the supplemental letters dated Commission on their recent and picture, and television cameras during August 30 and September 19, 2007, and planned activities. The last Commission the meeting may be limited to selected the safety evaluation dated October 26, briefing was held on December 14, 2006. portions of the meeting as determined 2007, which are available for public 1 p.m.–2:30 p.m.: Final Proposed by the ACNW&M Chairman. inspection at the Commission’s Public Design for a Geologic Repository at Information regarding the time to be set Document Room (PDR), located at One Yucca Mountain, Nevada (Open)—A aside for taking pictures may be White Flint North, 11555 Rockville Pike Department of Energy representative obtained by contacting the ACNW&M (first floor), Rockville, Maryland, and will update the Committee on the final office prior to the meeting. In view of accessible electronically through the design (surface and subsurface facilities) the possibility that the schedule for Agencywide Documents Access and proposed for the forthcoming Yucca ACNW&M meetings may be adjusted by Management System (ADAMS) Public Mountain license application. the Chairman as necessary to facilitate Electronic Reading Room on the Internet 2:30 p.m.–3:30 p.m.: Discussion of the conduct of the meeting, persons on the NRC’s Web site, http:// ACNW&M Letter Reports (Open)—The planning to attend should notify Dr. www.nrc.gov/reading-rm/adams.html. Committee will continue discussion of Dias as to their particular needs. Persons who do not have access to potential and proposed ACNW&M letter In accordance with Subsection 10(d) ADAMS or who encounter problems in reports. Public Law 92–463, I have determined that it may be necessary to close a accessing the document located in Thursday, November 15, 2007, Room portion of this meeting noted above to ADAMS, should contact the NRC PDR T–2B1 Reference Staff by telephone at 1–800– discuss pre-decisional documents 397–4209, 301–415–4737, or by e-mail 8:30 a.m.–8:35 a.m.: Opening pursuant to 5 U.S.C. 552b (c) (9) (B). to [email protected]. Remarks by the ACNW&M Chairman Further information regarding topics (Open)—The Chairman will make Dated at Rockville, Maryland, this 26th day to be discussed, whether the meeting of October, 2007. opening remarks regarding the conduct has been canceled or rescheduled, as of today’s sessions. For the Nuclear Regulatory Commission. well as the Chairman’s ruling on 8:35 a.m.–10 a.m.: Accounting for J.E. Dyer, requests for the opportunity to present Dose Consequence in the State-of-the- oral statements and the time allotted Director, Office of Nuclear Reactor Art Reactor Consequence Analysis Regulation. therefore can be obtained by contacting (SOARCA) Project (Closed) (MTR/ Dr. Dias. [FR Doc. E7–21615 Filed 11–1–07; 8:45 am] NMC)—NRC staff representatives from ACNW&M meeting agenda, meeting BILLING CODE 7590–01–P the Office of Nuclear Regulatory transcripts, and letter reports are Research will discuss the options for available through the NRC Public assessment of dose thresholds for latent Document Room at [email protected], or by NUCLEAR REGULATORY cancer fatalities of the SOARCA project. COMMISSION calling the PDR at 1–800–397–4209, or Note: Briefing will be closed pursuant to 5 from the Publicly Available Records Advisory Committee on Nuclear Waste U.S.C. 552b (c) (9) (B) to discuss pre- System (PARS) component of NRC’s and Materials; Meeting Notice decisional documents. document system (ADAMS) which is 10 a.m.–4:30 p.m.: Discussion of accessible from the NRC Web site at The Advisory Committee on Nuclear ACNW&M Letter Reports (Open)—The http://www.nrc.gov/reading-rm/ Waste and Materials (ACNW&M) will Committee will continue discussion of adams.html or http://www.nrc.gov/ hold its 184th meeting on November proposed ACNW&M letter reports. reading-rm/doc-collections/acnw 13–15, 2007, at 11545 Rockville Pike, 4:30 p.m.–5 p.m.: Miscellaneous (ACNW&M schedules and agendas). Rockville, Maryland. (Open)—The Committee will discuss Video teleconferencing service is Tuesday, November 13, 2007, Room matters related to the conduct of available for observing open sessions of T–2B3 ACNW&M activities and specific issues ACNW&M meetings. Those wishing to that were not completed during use this service for observing ACNW&M 10 a.m.–10:05 a.m.: Opening Remarks meetings should contact Mr. Theron by the ACNW&M Chairman (Open)— previous meetings, as time and availability of information permit. Brown, ACRS/ACNW&M Audio Visual The Chairman will make opening Assistant (301–415–8066), between 7:30 remarks regarding the conduct of Discussions may include content of future letters and scope of future a.m. and 3:45 p.m., (ET), at least 10 days today’s sessions. before the meeting to ensure the 10:05 a.m.–12 p.m.: Drift Committee Meetings. availability of this service. Individuals Degradation—Staff Review Approach Procedures for the conduct of and or organizations requesting this service and Capability (Open)—NRC staff participation in ACNW&M meetings will be responsible for telephone line representatives from the Office of were published in the Federal Register charges and for providing the Nuclear Materials Safety and Safeguards on September 26, 2007 (72 FR 54693). equipment and facilities that they use to will discuss the issue of post- In accordance with those procedures, establish the video teleconferencing emplacement drift degradation at Yucca oral or written views may be presented link. The availability of video Mountain. by members of the public. Electronic 1 p.m.–4:30 p.m.: Discussion of recordings will be permitted only teleconferencing services is not ACNW&M Letter Reports (Open)—The during those portions of the meeting guaranteed. Committee will discuss potential and that are open to the public. Persons The ACNW&M meeting dates for proposed ACNW&M letter reports. desiring to make oral statements should Calendar Year 2008 are provided below: notify Dr. Antonio F. Dias (Telephone Wednesday, November 14, 2007, Room 301–415–6805), between 8:15 a.m. and ACNW&M T–2B3 meeting Meeting dates 5 p.m. (ET), as far in advance as No. 9:30 a.m.–11:30 a.m.: ACNW&M practicable so that appropriate November 2007 Briefing to the arrangements can be made to schedule — ...... January 2008 (No Meeting).

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ACNW&M appropriate arrangements can be made. No. 270–570 , OMB Control No. 3235– meeting Meeting dates Electronic recordings will be permitted XXXX. No. only during those portions of the Notice is hereby given that pursuant meeting that are open to the public. 186 ...... February 12–14, 2008. to the Paperwork Reduction Act of 1995 187 ...... March 18–20, 2008. Detailed procedures for the conduct of (44 U.S.C. 3501 et seq.) the Securities 188 ...... April 8–10, 2008. and participation in ACRS meetings and Exchange Commission (the ‘‘SEC’’ 189 ...... May 20–22, 2008. were published in the Federal Register or the ‘‘Commission’’) is soliciting 190 ...... June 17–19, 2008. on September 26, 2007 (72 FR 54695). comments on the collections of 191 ...... July 22–24, 2008. Further information regarding this information summarized below. The — ...... August 2008 (No Meeting). meeting can be obtained by contacting Commission plans to submit this 192 ...... September 16–18, 2008. the Designated Federal Official between collection of information to the Office of 193 ...... October 28–30, 2008. 8:45 a.m. and 5:30 p.m. (ET). Persons Management and Budget (‘‘OMB’’) for 194 ...... November 18–20, 2008. planning to attend this meeting are 195 ...... December 9–11, 2008. approval. urged to contact the above named The SEC’s Office of Investor individual at least two working days Education and Advocacy seeks to Dated: October 29, 2007. prior to the meeting to be advised of any commence a collection of information. Andrew L. Bates, potential changes to the agenda. The title of this collection is the Advisory Committee Management Officer. Dated: October 25, 2007. Individual Investor Plain English [FR Doc. E7–21609 Filed 11–1–07; 8:45 am] Cayetano Santos, Survey Project. This project will BILLING CODE 7590–01–P Chief, Reactor Safety Branch, ACRS. conduct focus groups and telephone [FR Doc. E7–21593 Filed 11–1–07; 8:45 am] surveys of individual investors in SEC registered securities, plus similar BILLING CODE 7590–01–P NUCLEAR REGULATORY surveys of non-investors. The project COMMISSION will seek to gauge the level of individual investor satisfaction with current and POSTAL REGULATORY COMMISSION Advisory Committee on Reactor potential future SEC-mandated Safeguards (ACRS); Subcommittee Briefing on Periodicals Rates disclosures, to learn whether investors Meeting on Power Uprates and non-investors believe such (Susquehanna); Notice of Meeting AGENCY: Postal Regulatory Commission. disclosures are written in plain English The ACRS Subcommittee on Power ACTION: Notice of briefing. and are reader-friendly, and to ask Uprates will hold a meeting on individual investors how such November 14, 2007, at 11545 Rockville SUMMARY: Representatives and disclosures might be improved. The Pike, Rockville, Maryland, Room T–2B1. associates of the Free Press organization Commission will use this information in The entire meeting will be open to will participate in a briefing with order to gain a comprehensive public attendance, with the exception of Commissioners and staff on Tuesday, understanding of a range of views. The portions that may be closed to discuss October 30, 2007, beginning at 2:30 SEC intends to hire a professional proprietary information pursuant to 5 p.m., at the Postal Regulatory survey firm to conduct the focus groups U.S.C. 552b(c)4 for presentations Commission. The briefing will address and telephone surveys. The total annual covering information that is proprietary issues related to Periodicals rates. reporting and recordkeeping burden of to PPL Susquehanna, LLC or its DATES: October 30, 2007. this collection of information is contractors such as General Electric, ADDRESSES: Postal Regulatory estimated to be less than 1,000 burden AREVA and Continuum Dynamics, Inc. Commission, 901 New York Avenue, hours. The agenda for the subject meeting NW., Suite 200, Washington, DC 20268– Written comments are invited on: (a) shall be as follows: 0001. Whether the proposed collection of Wednesday, November 14, 2007—1 information is necessary for the proper FOR FURTHER INFORMATION CONTACT: p.m. until the conclusion of business. performance of the functions of the Nanci Langley, Director of Public Affairs The Subcommittee will discuss the agency, including whether the and Government Relations, Postal Susquehanna Steam Electric Station information will have practical utility; Regulatory Commission, 202–789–6887. Units 1 and 2 extended power uprate (b) the accuracy of the agency’s estimate application. The Subcommittee will Steven W. Williams, of the burden of the collection of hear presentations by and hold Secretary. information; (c) ways to enhance the discussions with representatives of the [FR Doc. 07–5445 Filed 11–1–07; 8:45 am] quality, utility, and clarity of the NRC staff, the PPL Susquehanna, LLC BILLING CODE 7710–FW–M information collected; and (d) ways to (the licensee, PPL), their contractors minimize the burden of the collection of (General Electric, AREVA and information on respondents, including Continuum Dynamics) and other SECURITIES AND EXCHANGE through the use of automated collection interested persons regarding this matter. COMMISSION techniques or other forms of information The Subcommittee will gather technology. Consideration will be given information, analyze relevant issues and Proposed Collection; Comment to comments and suggestions submitted facts, and formulate proposed positions Request in writing within 60 days of this and actions, as appropriate, for publication. deliberation by the full Committee. Upon Written Request, Copies Available Please direct your written comments Members of the public desiring to From: Securities and Exchange to R. Corey Booth, Director/Chief provide oral statements and/or written Commission, Office of Investor Information Officer, Securities and comments should notify the Designated Education and Advocacy, Exchange Commission, C/O Shirley Federal Officer, Ms. Zena Abdullahi Washington, DC 20549–0213. Martinson, 6432 General Green Way, (Telephone: 301–415–8716) 5 days prior New Collection: Title: Individual Investor Alexandria, Virginia 22312 or send an e- to the meeting, if possible, so that Plain English Survey Project. SEC File mail to: [email protected].

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Dated: October 29, 2007. annual response. Each response takes 25, 2007, the Exchange submitted Nancy M. Morris, approximately 4 hours to complete. Amendment No. 2 to the proposed rule Secretary. Thus, the total compliance burden per change. The Commission is publishing [FR Doc. E7–21533 Filed 11–1–07; 8:45 am] year is 4 burden hours. The approximate this notice to solicit comments on the BILLING CODE 8011–01–P cost per hour is $20, resulting in a total proposed rule change, as amended, from cost of compliance for the respondent of interested persons. approximately $80 (i.e., 4 hours × $20). I. Self-Regulatory Organization’s SECURITIES AND EXCHANGE An agency may not conduct or Statement of the Terms of Substance of COMMISSION sponsor, and a person is not required to the Proposed Rule Change respond to, a collection of information Submission for OMB Review; unless it displays a currently valid The Exchange proposes to list and Comment Request control number. trade units (each a ‘‘Unit’’ and, collectively, the ‘‘Units’’) of each of the Upon Written Request, Copies Available Comments should be directed to (i) United States 12 Month Oil Fund, LP From: U.S. Securities and Exchange Desk Officer for the Securities and (‘‘12 Month Oil Fund’’) and the United Commission, Office of Investor Exchange Commission, Office of States 12 Month Natural Gas Fund, LP Education and Advocacy, Information and Regulatory Affairs, (‘‘12 Month Natural Gas Fund’’) (each a Washington, DC 20549–0213. Office of Management and Budget, Room 10102, New Executive Office ‘‘Partnership’’ and, collectively, the Extension: Rule 15Ba2–5; OMB Control No. Building, Washington, DC 20503 or by ‘‘Partnerships’’). 3235–0088; SEC File No. 270–91. sending an e-mail to: Notice is hereby given that pursuant _ _ II. Self-Regulatory Organization’s Alexander T. [email protected]; and Statement of the Purpose of, and to the Paperwork Reduction Act of 1995 (ii) R. Corey Booth, Director/Chief (44 U.S.C. 3501 et seq.), the Securities Statutory Basis for, the Proposed Rule Information Officer, Securities and Change and Exchange Commission Exchange Commission, c/o Shirley (‘‘Commission’’) has submitted to the Martinson, 6432 General Green Way, In its filing with the Commission, the Office of Management and Budget Alexandria, VA 22312 or send an e-mail Amex included statements concerning (‘‘OMB’’) a request for approval of to: [email protected]. Comments the purpose of, and basis for, the extension of the existing collection of must be submitted within 30 days of proposed rule change. The text of these information provided for in the this notice. statements may be examined at the following rule: Rule 15Ba2–5 (17 CFR places specified in Item IV below. The 240.15Ba2–5). Dated: October 29, 2007. Amex has prepared summaries, set forth On July 7, 1975, effective July 16, Florence E. Harmon, in Sections A, B, and C below, of the 1975 (see 41 FR 28948, July 14, 1975), Deputy Secretary. most significant aspects of such the Commission adopted Rule 15Ba2–5 [FR Doc. E7–21577 Filed 11–1–07; 8:45 am] statements. under the Securities Exchange Act of BILLING CODE 8011–01–P 1934 (15 U.S.C. 78a et seq.) to permit a A. Self-Regulatory Organization’s duly-appointed fiduciary to assume Statement of the Purpose of, and immediate responsibility for the SECURITIES AND EXCHANGE Statutory Basis for, the Proposed Rule operation of a municipal securities COMMISSION Change dealer’s business. Without the rule, the [Release No. 34–56719; File No. SR–Amex– 1. Purpose fiduciary would not be able to assume 2007–98] The Exchange proposes to list and operation until it registered as a trade Units issued by the 12 Month Oil municipal securities dealer. Under the Self-Regulatory Organizations; Fund (under the symbol: ‘‘USL’’) and rule, the registration of a municipal American Stock Exchange LLC; Notice the 12 Month Natural Gas Fund (under securities dealer is deemed to be the of Filing of Proposed Rule Change, as symbol: ‘‘USN’’) pursuant to Amex registration of any executor, Modified by Amendment Nos. 1 and 2, administrator, guardian, conservator, Rules 1500–AEMI and 1501 through Relating to the Listing and Trading of 1505.3 The Exchange submits that the assignee for the benefit of creditors, Units of the United States 12 Month Oil receiver, trustee in insolvency or Units will conform to the initial and Fund, LP and the United States 12 continued listing criteria under Rule bankruptcy, or other fiduciary, Month Natural Gas Fund, LP 4 appointed or qualified by order, 1502, specialist prohibitions under judgment, or decree of a court of October 29, 2007. Rule 1503 and the obligations of competent jurisdiction to continue the Pursuant to Section 19(b)(1) of the specialists under Rule 1504. business of such municipal securities Securities Exchange Act of 1934 Ownership of a Partnership Unit dealer, provided that such fiduciary (‘‘Act’’) 1 and Rule 19b–4 2 thereunder, represents a fractional undivided unit of files with the Commission, within 30 notice is hereby given that on August a beneficial interest in the net assets of days after entering upon the 23, 2007, the American Stock Exchange 3 Amex Rule 1500–AEMI provides for the listing performance of his duties, a statement LLC (‘‘Amex’’ or ‘‘Exchange’’) filed with of Partnership Units, which are defined as setting forth as to such fiduciary the Securities and Exchange securities, that are: (a) Issued by a partnership that substantially the same information Commission (‘‘Commission’’) the invests in any combination of futures contracts, required by Form MSD or Form BD. The proposed rule change as described in options on futures contracts, forward contracts, commodities, and/or securities; and (b) that are statement is necessary to ensure that the Items I, II, and III below, which Items issued and redeemed daily in specified aggregate Commission and the public have have been substantially prepared by the amounts at net asset value. See Exchange Act adequate information about the Exchange. On September 14, 2007, the Release No. 53582 (March 31, 2006), 71 FR 17510 fiduciary. Exchange submitted Amendment No. 1 (April 6, 2006) (SR–Amex–2005–127) (approving There is approximately 1 respondent Amex Rules 1500–AEMI and 1501 through 1505 in to the proposed rule change. On October conjunction with the listing and trading of Units of per year that requires an aggregate total the United States Oil Fund, LP). of 4 hours to comply with this rule. This 1 15 U.S.C. 78s(b)(1). 4 See section entitled ‘‘Listing and Trading respondent makes an estimated 1 2 17 CFR 240.19b–4. Rules,’’ infra.

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that Partnership.5 Each of the net assets 12 Month Oil Fund Investment The Exchange states that an of the 12 Month Oil Fund and the 12 Objective and Policies investment in the Units will allow both Month Natural Gas Fund will consist retail and institutional investors to The investment objective of the 12 primarily of investments in futures easily gain exposure to the crude oil Month Oil Fund is for the changes in contracts for crude oil, heating oil, market in a cost-effective manner. In percentage terms of the Units’ net asset gasoline, natural gas, and other addition, the Units are also expected to value (‘‘NAV’’) to reflect the changes in petroleum-based fuels that are traded on provide additional means for percentage terms of the price of light, the New York Mercantile Exchange diversifying an investor’s investments or sweet crude oil delivered to Cushing, (‘‘NYMEX’’), Intercontinental Exchange hedging exposure to changes in crude Oklahoma, as measured by the changes (‘‘ICE Futures’’) or other U.S. and oil prices. in the average of the prices of twelve foreign exchanges (collectively, The General Partner believes that crude oil futures contracts traded on ‘‘Futures Contracts’’). In the case of the market arbitrage opportunities will NYMEX (the ‘‘Oil Benchmark Futures 12 Month Oil Fund, the predominant cause changes in the 12 Month Oil Contracts’’),6 less the 12 Month Oil investments are expected to be based Fund’s unit price on the Exchange to Fund’s expenses. The Oil Benchmark on, or related to, crude oil. Similarly, for closely track changes in the 12 Month Futures Contracts consist of the near the 12 Month Natural Gas Fund, the Oil Fund’s NAV.8 The General Partner month contract to expire and the predominant investments are expected also believes that percentage changes in contracts for the following eleven to be based on, or related to, natural gas. the 12 Month Oil Fund’s NAV will The 12 Month Oil Fund may also months, for a total of twelve consecutive closely track percentage changes in the invest in other crude oil-related months’ contracts, except when the near Oil Benchmark Futures Contracts, less investments such as cash-settled options month contract is within two weeks of the 12 Month Oil Fund’s expenses. The on Futures Contracts, forward contracts expiration, in which case it will be 12 Month Oil Fund will not be operated for crude oil, and over-the-counter measured by the futures contracts that in a manner such that the per-Unit-NAV (‘‘OTC’’) transactions based on the price are the next month contract to expire will equal, in dollar terms, the dollar of crude oil, heating oil, gasoline, and the contracts for the eleven price of spot crude oil or any particular natural gas, other petroleum-based fuels, consecutive months following that futures contract or contracts based on 7 Futures Contracts, and indices based on contract. When calculating the daily crude oil. the foregoing (collectively, ‘‘Other movement of the average price of the twelve futures contracts, each contract 12 Month Natural Gas Fund Investment Crude Oil-Related Investments’’). Objective and Policies Futures Contracts and Other Crude Oil- month will be equally weighted. Related Investments collectively are The General Partner will employ a The investment objective of the 12 referred to as ‘‘Crude Oil Interests.’’ ‘‘neutral’’ investment strategy intended Month Natural Gas Fund is for the Similarly, the 12 Month Natural Gas to track the changes in the price of changes in percentage terms of the Fund may also invest in other natural crude oil regardless of whether the price Units’ NAV to reflect the changes in gas-related investments such as cash- of crude oil goes up or goes down. The percentage terms of the price of natural settled options on Futures Contracts, ‘‘neutral’’ investment strategy is gas delivered at the Henry Hub, forward contracts for natural gas, and designed to permit investors to purchase Louisiana, as measured by the changes OTC transactions based on the price of and sell the 12 Month Oil Fund’s Units in the average of the prices of 12 futures natural gas, crude oil and other for the purpose of investing indirectly in contracts on natural gas traded on petroleum-based fuels, Futures crude oil in a cost-effective manner and/ NYMEX (the ‘‘Natural Gas Benchmark 9 Contracts and indices based on the or to permit participants in the crude oil Futures Contracts’’), less the 12 Month foregoing (collectively, ‘‘Other Natural markets or other industries to hedge the Natural Gas Fund’s expenses. The Gas-Related Investments’’). Futures risk of losses in their crude oil Natural Gas Benchmark Futures Contracts and Other Natural Gas-Related investments. Contracts consist of the near month Investments collectively are referred to The General Partner will attempt to contract to expire and the contracts for as ‘‘Natural Gas Interests.’’ place the 12 Month Oil Fund’s trades in the following eleven months, for a total Each of the 12 Month Oil Fund and Futures Contracts and Other Crude Oil- of twelve consecutive months’ contracts, the 12 Month Natural Gas Fund will Related Investments and otherwise except when the near month contract is invest in Crude Oil Interests and Natural manage the 12 Month Oil Fund’s within two weeks of expiration, in Gas Interests, respectively, to the fullest investments so that ‘‘A’’ will be within which case it will be measured by the extent possible without being leveraged plus/minus 10 percent of ‘‘B’’, where: futures contracts that are the next month or unable to satisfy its current or • A is the average daily change in 12 contract to expire and the contracts for Month Oil Fund’s NAV for any period the eleven consecutive months potential margin or collateral 10 obligations. In pursuing this objective, of 30 successive valuation days, i.e., any following that contract. When the primary focus of each Partnership’s day as of which 12 Month Oil Fund calculating the daily movement of the investment manager, Victoria Bay Asset calculates its NAV, and average price of the twelve futures Management, LLC (‘‘Victoria Bay’’ or • B is the average daily change in the contracts, each contract month will be equally weighted. ‘‘General Partner’’), will be the average of the prices of the Oil The General Partner will employ a investment in Futures Contracts and the Benchmark Futures Contracts over the ‘‘neutral’’ investment strategy intended management of its investments in short- same period. term obligations of the United States of 8 See section entitled ‘‘Arbitrage,’’ infra. two years or less (‘‘Treasuries’’) and 6 The average price is determined by summing up 9 The average price is determined by summing up cash and cash equivalents (collectively, the 12 individual monthly prices and dividing them the 12 individual monthly prices and dividing them ‘‘Cash’’) for margining purposes and as by 12, and then comparing that result to the prior by 12, and then comparing that result to the prior day’s average price determined in the same fashion. collateral. day’s average price determined in the same fashion. 7 The composition of the Oil Benchmark Futures 10 The composition of the Natural Gas Benchmark Contracts will be changed or ‘‘rolled’’ over a one Futures Contract will be changed or ‘‘rolled’’ over 5 Each Partnership is a commodity pool that will day period by selling the near month contract and a one day period by selling the near month contract issue Units that may be purchased and sold on the buying the contract, which at that time is the and buying the contract which at that time is the Exchange. thirteen month contract. thirteen month contract on the same day.

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to track the changes in the price of oil that are traded on the NYMEX are main refining center of the U.S. Gulf crude oil regardless of whether the price the world’s most liquid forum for crude Coast. The natural gas market of crude oil goes up or goes down. The oil trading, as well as the most liquid essentially constitutes an auction, where ‘‘neutral’’ investment strategy is futures contracts on a physical the highest bidder wins the supply. designed to permit investors to purchase commodity. Due to the liquidity and When markets are ‘‘strong’’ (i.e., when and sell the 12 Month Natural Gas price transparency of crude oil futures demand is high and/or supply is low), Fund’s Units for the purpose of contracts, they are used as a principal the bidder must be willing to pay a investing indirectly in crude oil in a international pricing benchmark. The higher premium to capture the supply. cost-effective manner and/or to permit futures contracts for light, sweet crude When markets are ‘‘weak’’ (i.e., when participants in the crude oil markets or oil trade on the NYMEX 12 in units of demand is low and/or supply is high), other industries to hedge the risk of 1,000 U.S. barrels (42,000 gallons) and, a bidder may choose not to outbid losses in their crude oil investments. if not closed out before maturity, will competitors, waiting instead for later, The General Partner will attempt to result in delivery of crude oil to possibly lower priced, supplies. place the 12 Month Natural Gas Fund’s Cushing, Oklahoma, which is also Demand for natural gas by consumers, trades in Futures Contracts and Other accessible to the world market by two and the agricultural, manufacturing and Natural Gas-Related Investments and major interstate petroleum pipeline transportation industries, determines otherwise manage the 12 Month Natural systems. overall demand for natural gas. Since Gas Fund’s investments so that ‘‘A’’ will The price of crude oil is established the precursors of product demand are be within plus/minus 10 percent of ‘‘B’’, by the supply and demand conditions in linked to economic activity, natural gas where: the global market overall and, more • A is the average daily change in 12 demand will tend to reflect economic particularly, in the main refining centers conditions. However, other factors such Month Natural Gas Fund’s NAV for any of Singapore, Northwest Europe, and the as weather significantly influence period of 30 successive valuation days, U.S. Gulf Coast. Demand for petroleum natural gas demand. The natural gas i.e., any day as of which 12 Month products by consumers, as well as futures contracts traded on the NYMEX Natural Gas Fund calculates its NAV, agricultural, manufacturing and trade in units of 10,000 million British and transportation industries, determines • thermal units (‘‘mmBtu’’) and are based B is the average daily change in the demand for crude oil by refiners. Since average of the prices of the Natural Gas the precursors of product demand are on delivery at the Henry Hub in Benchmark Futures Contracts over the linked to economic activity, crude oil Louisiana. same period. demand will tend to reflect economic Because of the volatility of natural gas The Exchange states that an conditions. However, other factors such prices, a vigorous basis market has investment in the Units will allow both as weather also influence product and developed in the pricing relationships retail and institutional investors to crude oil demand. The price of crude oil between the Henry Hub and other easily gain exposure to the natural gas has historically exhibited periods of important natural gas market centers in market in a cost-effective manner. The significant volatility. the continental United States and Units are also expected to provide Gasoline. Gasoline is the largest single Canada. additional means for diversifying an volume refined product sold in the U.S. investor’s investments or hedging and accounts for almost half of national Structure and Regulation of 12 Month exposure to changes in natural gas oil consumption. The Gasoline Futures Oil Fund and 12 Month Natural Gas prices. Contract, listed and traded on the Fund The General Partner believes that NYMEX, trades in units of 42,000 Each of the 12 Month Oil Fund and market arbitrage opportunities will gallons (1,000 barrels) and is based on cause changes in the 12 Month Natural the 12 Month Natural Gas Fund is a delivery at petroleum products Delaware limited partnership formed in Gas Fund’s unit price on the Exchange terminals in the New York harbor, the June 2007. The 12 Month Oil Fund is a to closely track changes in the 12 Month major East Coast trading center for 11 commodity pool that will invest in Natural Gas Fund’s NAV. The General imports and domestic shipments from Crude Oil Interests, while the 12 Month Partner also believes that percentage refineries in the New York harbor area Natural Gas Fund is a commodity pool changes in the 12 Month Natural Gas or from the Gulf Coast refining centers. that will invest in Natural Gas Interests. Fund’s NAV will closely track The price of gasoline is volatile. percentage changes in the Natural Gas Heating Oil. Heating oil, also known Both are managed by Victoria Bay, a Benchmark Futures Contracts, less the as No. 2 fuel oil, accounts for 25% of the single member Delaware limited 12 Month Natural Gas Fund’s expenses. yield of a barrel of crude oil, the second liability company, which is wholly The 12 Month Natural Gas Fund will largest ‘‘cut’’ from oil after gasoline. The owned by Wainwright Holdings, Inc. not be operated in a manner such that heating oil futures contract, listed and The General Partner of the Partnerships the per-Unit-NAV will equal, in dollar traded on the NYMEX, trades in units of is registered as a commodity pool terms, the dollar price of spot natural 42,000 gallons (1,000 barrels) and is operator (‘‘CPO’’) with the Commodity gas or any particular futures contract or based on delivery in New York harbor, Futures Trading Commission (the contracts based on natural gas. the principal cash market center. ‘‘CFTC’’) and is a member of the Description of the Petroleum-Based Natural Gas. Natural gas accounts for National Futures Association. Fuels Market almost a quarter of U.S. energy Information regarding the consumption. The price of natural gas is With respect to each of the following Partnerships and the General Partner, as established by the supply and demand petroleum-based commodities, the well as detailed descriptions of the conditions in the North American Exchange states as follows: manner in which the Units will be Crude Oil. Crude oil is the world’s market and, more particularly, in the offered and sold, and the investment most actively traded commodity. The strategy of the 12 Month Oil Fund and 12 futures contracts for light, sweet crude The Exchange states that NYMEX is the world’s the 12 Month Natural Gas Fund, are largest physical commodity futures exchange and included in their respective registration the dominant market for the trading of energy and 11 See section entitled ‘‘Arbitrage,’’ infra. precious metals. statements regarding the offering of the

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Units filed with the Commission under Partner and the Depository Trust for managing exposure to the crude oil the Securities Act of 1933.13 Company (‘‘DTC’’). market. The 12 Month Oil Fund may Clearing Broker. UBS Securities, LLC, purchase options on crude oil Futures Investment Strategy of 12 Month Oil a CFTC-registered futures commission Contracts on the principal commodities Fund merchant (‘‘FCM’’), will execute and and futures exchanges in pursuing its clear each Partnership’s futures contract Investments. The General Partner of investment objective. transactions and hold the margin related the 12 Month Oil Fund believes that it In addition to listed options, the to its Futures Contracts investments (the will be able to use a combination of Exchange states that there also exists an ‘‘Clearing Broker’’). The clearing Futures Contracts and Other Crude Oil- active OTC market in derivatives linked arrangements between the Clearing Related Investments to manage the to crude oil. These OTC derivative Broker and each Partnership are portfolio to achieve its investment transactions are privately-negotiated terminable by the Clearing Broker, upon objective. The General Partner further agreements between two parties. Unlike notice. In such an instance, the General anticipates that the exact mix of Futures Futures Contracts or related options, Partner may be required to renegotiate Contracts and Other Crude Oil-Related each party to an OTC contract bears the with the current Clearing Broker, or Investments held by the portfolio will credit risk that the counterparty may not make arrangements with other FCMs, if vary over time depending on, among be able to perform its obligations. the Partnership(s) intend(s) to continue over things, the amount of invested The Exchange states that some OTC trading in Futures Contracts or Other assets in the portfolio, price movements contracts contain fairly generic terms Crude Oil-or Natural Gas-Related of crude oil, the rules and regulations of and conditions and are available from a Investments, as appropriate, at the the various futures and commodities wide range of participants, while other present level of capacity. exchanges and trading platforms that OTC contracts have highly customized Administrator and Custodian. Under deal in Crude Oil Interests, and terms and conditions and are not as separate agreements with each innovations in the Crude Oil Interests’ widely available. Many OTC contracts Partnership, Brown Brothers Harriman marketplace including both the creation are cash-settled forwards for the future & Co. will serve as administrator, of new Crude Oil Interest investment delivery of crude oil or petroleum-based registrar, transfer agent and custodian vehicles, and the creation of new fuels that have terms similar to the (the ‘‘Administrator’’ or ‘‘Custodian’’). trading venues that trade in Crude Oil Futures Contracts. Others take the form The Administrator will perform services Interests. of ‘‘swaps’’ in which the two parties necessary for the operation and Futures Contracts. The principal exchange cash flows based on pre- administration of each Partnership, Crude Oil Interests to be invested in by determined formulas tied to the price of including certain administrative and the 12 Month Oil Fund are Futures crude oil as determined by the spot, accounting services as well as the Contracts. The General Partner initially forward or futures markets. The 12 preparation of certain Commission and expects the 12 Month Oil Fund to Month Oil Fund may enter into OTC CFTC reports on behalf of each purchase the Oil Benchmark Futures derivative contracts whose value may be Partnership. These services include, but Contracts. The 12 Month Oil Fund may tied to changes in the difference are not limited to, investment also invest in Futures Contracts in between the crude oil spot price, the accounting, financial reporting, broker heating oil, crude oil, gasoline, natural price of Futures Contracts traded on and trader reconciliation, calculation of gas, and other petroleum-based fuels NYMEX, and the prices of non-NYMEX the NAV and valuation of Treasuries that are traded on the NYMEX, ICE Futures Contracts that may be invested and cash equivalents used to purchase Futures or other U.S. and foreign in by the 12 Month Oil Fund. or redeem Units and other Partnership exchanges. Investment Strategy of 12 Month assets or liabilities. As Custodian, it will The price movements in the Oil Natural Gas Fund (i) receive payments from purchasers of Benchmark Futures Contracts have Baskets, (ii) make payments to Sellers historically closely tracked the Investments. The General Partner of for Redemption Baskets, as described investment objective of the 12 Month the 12 Month Natural Gas Fund believes below, (iii) hold cash, cash equivalents Oil Fund over both the short-term, that it will be able to use a combination and Treasuries, as well as collateral medium-term and the long-term. For of Futures Contracts and Other Natural posted by each Partnership’s derivatives that reason, the 12 Month Oil Fund Gas-Related Investments to manage the counterparties, and (iv) make transfers anticipates making significant portfolio to achieve its investment of margin and collateral with respect to investments in the Oil Benchmark objective. The General Partner further each Partnership’s investments to and Futures Contracts. The General Partner anticipates that the exact mix of Futures from its FCMs or counterparties. submits that other Futures Contracts Contracts and Other Natural Gas-Related Marketing Agent. ALPS Distributors, have also tended to track the investment Investments held by the portfolio will Inc., a registered broker-dealer, will be objective of the 12 Month Oil Fund, vary over time depending on, among the marketing agent for the Partnerships though not as closely as the Oil over things, the amount of invested (‘‘Marketing Agent’’). The Marketing Benchmark Futures Contracts. assets in the portfolio, price movements Agent will continuously offer, and Other Crude Oil-Related Investments. of natural gas, the rules and regulations redeem, Creation and Redemption The 12 Month Oil Fund may also of the various futures and commodities Baskets, respectively, and will receive purchase Other Crude Oil-Related exchanges and trading platforms that and process creation and redemption Investments such as cash-settled options deal in Natural Gas Interests, and orders from Authorized Purchasers (as on Futures Contracts and forward innovations in the Natural Gas Interests’ defined below) and coordinate the contracts for crude oil, and participate marketplace including both the creation processing of orders for the creation or in OTC transactions that are based on of new Natural Gas Interest investment redemption of Units with the General the price of crude oil, heating oil, vehicles and the creation of new trading gasoline, natural gas, and other venues that trade in Natural Gas 13 See 12 Month Oil Fund’s Form S–1, filed with petroleum-based fuels, Futures Interests. the Commission on July 5, 2007 and amended on Contracts and indices based on the Futures Contracts. The principal August 31, 2007 (File No. 333–144348), and 12 Month Natural Gas Fund’s Form S–1, filed with the foregoing. Option contracts offer Natural Gas Interests to be invested in Commission on July 6, 2007 (File No. 333–144409). investors and hedgers another vehicle by the 12 Month Natural Gas Fund are

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Futures Contracts. The General Partner determined formulas tied to the price of including the total size of all positions, of the 12 Month Natural Gas Fund gasoline as determined by the spot, investment and trading strategy, and the initially expects to purchase the Natural forward or futures markets. The 12 extent of its liquidity resources. If Gas Benchmark Futures Contracts. The Month Natural Gas Fund may enter into deemed necessary, NYMEX could order 12 Month Natural Gas Fund may also OTC derivative contracts whose value the Partnership to reduce its position invest in Futures Contracts in crude oil, will be tied to changes in the difference back to the accountability level. natural gas, heating oil, gasoline and between the natural gas spot price, the If NYMEX orders a Partnership to other petroleum-based fuels that are price of Futures Contracts traded on reduce its position back to the traded on the NYMEX, ICE Futures or NYMEX, and the prices of non-NYMEX accountability level, or to an other U.S. and foreign exchanges. Futures Contracts that may be invested accountability level that NYMEX deems The price movements in the Natural in by the 12 Month Natural Gas Fund. appropriate for the Partnership, such Gas Benchmark Futures Contracts have accountability level may impact the mix historically closely tracked the Impact of Accountability Levels and of investments in Crude Oil Interests or investment objective of the 12 Month Position Limits. Natural Gas Interests made by the 12 Natural Gas Fund over both the short- The Exchange states that the CFTC Month Oil Fund or the 12 Month term, medium-term and the long-term. and U.S. designated contract markets Natural Gas Fund, respectively. To For that reason, the General Partner of such as NYMEX have established illustrate, assume that the Oil the 12 Month Natural Gas Fund accountability levels and position limits Benchmark Futures Contracts and the anticipates making significant on the maximum net long or net short Unit price of the 12 Month Oil Fund are investments in the Natural Gas Futures Contracts in commodity each $50, and that NYMEX has Benchmark Futures Contracts. The interests that any person or group of determined that the 12 Month Oil Fund General Partner submits that other persons under common trading control may not own more than 20,000 Futures Contracts have also tended to and that these limits are applicable to contracts in crude oil Futures Contracts. track the investment objective of the 12 each of the Partnerships. Accountability In such case, the 12 Month Oil Fund Month Natural Gas Fund, though not as levels and position limits are intended, could invest up to $1 billion of its daily closely as the Natural Gas Benchmark among other things, to prevent a corner net assets in the Oil Benchmark Futures Futures Contracts. or squeeze on a market or undue Contracts (i.e., $50 per unit multiplied Other Natural Gas-Related influence on prices by any single trader by 1,000 (an Oil Benchmark Futures Investments. The 12 Month Natural Gas or group of traders. The net position is Contract is a contract for 1,000 barrels) Fund may also purchase Other Natural the difference between an individual or multiplied by 20,000 contracts) before Gas-Related Investments such as cash- firm’s open long contracts and open reaching the accountability level settled options on Futures Contracts and short contracts in any one commodity. imposed by NYMEX. Once the daily net forward contracts for natural gas, and Most U.S. futures exchanges, such as assets of the portfolio exceed $1 billion participate in OTC transactions that are NYMEX, also limit the daily price in the Oil Benchmark Futures Contracts, based on the price of gasoline, heating fluctuation (i.e., daily price limits) for the portfolio may not be able to make oil, crude oil, natural gas, and other Futures Contracts. The daily price limits any further investments in the Oil petroleum-based fuels, as well as establish the maximum amount that the Benchmark Futures Contracts, Futures Contracts and indices based on price of a futures contract or an option depending on whether NYMEX imposes the foregoing. Option contracts offer on a futures contract may vary either up limits. If NYMEX does impose limits at investors and hedgers another vehicle or down from the previous day’s the $1 billion level (or another level), for managing exposure to the natural gas settlement price during a particular the 12 Month Oil Fund anticipates that market. The 12 Month Natural Gas Fund trading session. Once the daily limit has it will invest the majority of its assets may purchase options on natural gas been reached in a particular futures above that level in a mix of other Futures Contracts on the principal contract or option on a futures contract, Futures Contracts or Other Crude Oil- commodities and futures exchanges in no trades may be made at a price Related Investments. The above pursuing its investment objective. beyond the limit. example applies equally to the 12 In addition to listed options, the The accountability levels for each of Month Natural Gas Fund and the Exchange states that there also exists an the Benchmark Futures Contracts and Natural Gas Benchmark Futures active OTC market in derivatives linked other Futures Contracts traded on Contracts. to natural gas. These OTC derivative NYMEX are not a fixed ceiling, but In addition to accountability levels, transactions are privately-negotiated rather, a threshold above which NYMEX NYMEX imposes position limits on agreements between two parties. Unlike may exercise greater scrutiny and contracts held in the last few days of Futures Contracts or related options, control over an investor’s positions. The trading in the near month contract. The each party to an OTC contract bears the current accountability level for Exchange states that it is unlikely that credit risk that the counterparty may not investments at any one time in crude oil a Partnership will run up against such be able to perform its obligations. Futures Contracts (including position limits because each The Exchange states that some OTC investments in the Oil Benchmark Partnership’s investment strategy is to contracts contain fairly generic terms Futures Contracts) is 20,000 contracts. exit from the near month contract and conditions and are available from a Similarly, the amount for natural gas approximately two weeks before wide range of participants, while other Futures Contracts (including expiration of the contract. OTC contracts have highly customized investments in the Natural Gas terms and conditions and are not as Benchmark Futures Contracts) is 12,000 Investment Procedures widely available. Many OTC contracts contracts. If a Partnership exceeds its The General Partner for each of the 12 are cash-settled forwards for the future respective accountability level for Month Oil Fund and the 12 Month delivery of gasoline or petroleum-based investments in either crude oil or Natural Gas Fund anticipates that the fuels that have terms similar to the natural gas Futures Contracts, as use of Other Crude Oil-Related Futures Contracts. Others take the form appropriate, NYMEX will monitor the Investments and Other Natural Gas- of ‘‘swaps’’ in which the two parties Partnership’s exposure and request Related Investments, respectively, exchange cash flows based on pre- additional information on its activities together with investments in Futures

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Contracts, will produce price and total The Markets for Partnership Units Exchange using the settlement value 16 return results that closely track each There will be two markets for of Futures Contracts traded on the Partnership’s investment objective. investors to purchase and sell Units. NYMEX as of the close of open-outcry Counterparty Procedures. To protect New issuances of the Units will be made trading on the NYMEX at 2:30 p.m. ET, themselves from the credit risk that only in baskets of 100,000 Units (a and for the value of other Crude Oil arises in connection with such ‘‘Basket’’), or multiples thereof. Each Interests or Natural Gas Interests, contracts, the 12 Month Oil Fund and Partnership will issue and redeem depending on the Partnership, and the 12 Month Natural Gas Fund will Baskets of the Units on a continuous Treasuries and cash equivalents, the each enter into agreements, with each basis, by or through participants who value of such investments as of the counterparty, that provide for the have each entered into an authorized earlier of 4 p.m. ET or the close of netting of their respective overall purchaser agreement (‘‘Authorized trading on the NYSE. The NAV is exposure to the counterparty, such as Purchaser Agreement’’ and each such calculated by including any unrealized the agreements published by the participant, an ‘‘Authorized profit or loss on Futures Contracts and International Swaps and Derivatives Purchaser’’) 14 with the General Partner, Other Crude Oil-Related Investments Association, Inc. Each Partnership will at the NAV per Unit next determined and Other Natural Gas Related- also require that the counterparty be after an order to purchase the Units in Investments, as the case may be, and highly rated and/or provide collateral or a Basket is received in proper form. any other credit or debit accruing to a other credit support to address the Baskets may be issued and redeemed on Partnership but unpaid or not received Partnership’s exposure to the any ‘‘business day’’ (defined as any day by such Partnership. The NAV is then counterparty. The General Partner will other than a day on which the Amex, used to compute all fees (including the assess or review, as appropriate, the the NYMEX or the New York Stock management and administrative fees) creditworthiness of each potential or Exchange (‘‘NYSE’’) is closed for regular that are calculated from the value of existing counterparty to an OTC trading) through the Marketing Agent in Partnership assets. The Administrator contract pursuant to guidelines exchange for cash and/or Treasuries, will calculate the NAV per Unit by approved by the General Partner’s Board which the Custodian receives from dividing the NAV by the number of of Directors. The General Partner, on Authorized Purchasers or transfers to Units outstanding. behalf of the Partnerships, will only Authorized Purchasers, in each case, on When calculating NAV, the enter into OTC contracts with (a) behalf of a Partnership. Baskets are then Administrator will value Futures members of the Federal Reserve System separable upon issuance into identical Contracts based on the closing or foreign banks with branches Units that will be listed and traded on settlement prices quoted on the relevant regulated by the Federal Reserve Board; the Exchange.15 commodities and futures exchange and (b) primary dealers in U.S. government The Units will thereafter be traded on obtained from various major market data securities; (c) broker-dealers; (d) the Exchange similar to other equity vendors such as Bloomberg or Reuters. commodities futures merchants; or (e) securities. Units will be registered in The value of the Other Crude Oil- affiliates of the foregoing. book-entry form through DTC. Trading Related Investments or Other Natural Cash, Cash Equivalents and in the Units on the Exchange will be Gas-Related Investments, for purposes Treasuries. The 12 Month Oil Fund and effected until 4:15 p.m. Eastern time of determining the NAV, will be based the 12 Month Natural Gas Fund will (‘‘ET’’) each business day. The upon the determination of the invest virtually all of their assets not minimum trading increment for such Administrator as to the fair market invested in Crude Oil Interests or Units will be $.01. value. Certain types of Other Crude Oil- Natural Gas Interests, respectively, in Each Authorized Purchaser, and each Related Investments and Other Natural cash, cash equivalents, and Treasuries. distributor, offering and selling newly Gas-Related Investments, such as listed The cash, cash equivalents and issued Units as part of the distribution options on Futures Contracts, have Treasuries will be available for use in of such Units, is required to comply closing prices that are available from the meeting each Partnership’s current or with the prospectus delivery and exchange upon which they are traded or potential margin and collateral disclosure requirements of the from various market data vendors. Other requirements with respect to Securities Act of 1933, as well as the Crude Oil-Related Investments and investments in Crude Oil Interests or requirements of the Commodities Other Natural Gas-Related Investments Natural Gas Interests, as appropriate. Exchange Act (‘‘CEA’’), including the will be valued based on the last sale Neither Partnership will use cash, cash requirement that prospective investors price on the exchange or market where equivalents, and Treasuries as margin provide an acknowledgement of receipt traded. If a contract fails to trade, the for new investments unless it has a of such disclosure materials prior to the value shall be the most recent bid sufficient amount of cash, cash payment for any newly issued Units. quotation from the third-party source. equivalents, and Treasuries to meet the Calculation of Partnership NAV. The Some types of Other Crude Oil-Related margin or collateral requirements that Administrator will calculate NAV as Investments and Other Natural Gas- may arise due to changes in the value follows: (1) Determine the current value Related Investments, such as forward of its currently held Crude Oil Interests of each Partnership’s assets and (2) contracts, do not trade on established or Natural Gas Interests. Other than in subtract the liabilities of each exchanges but typically have prices that connection with a redemption of Units, Partnership. The NAV will be calculated are widely available from third-party each Partnership does not intend to shortly after the close of trading on the sources. The Administrator may make distribute cash or property to its Unit use of such third-party sources in holders. Interest earned on cash, cash 14 An ‘‘Authorized Purchaser’’ must be (i) a calculating a fair market value of these equivalents, and Treasuries held by a registered broker-dealer or other market participant, Other Crude Oil-Related Investments Partnership will be retained by it to pay such as a bank or other financial institution, that and Other Natural Gas-Related its expenses, to make investments to is exempt from broker-dealer registration and (ii) a DTC Participant. Investments. satisfy its investment objectives, or to 15 The Exchange expects that the number of satisfy its margin or collateral outstanding Units will increase and decrease as a 16 See Rules 6.52 and 6.52A of the NYMEX requirements. result of creations and redemptions of Baskets. Rulebook.

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Certain types of Other Crude Oil- submit such irrevocable purchase and/ Treasuries and/or cash, to the Related Investments and Other Natural or redemption order. This is similar to Administrator must occur by the third Gas-Related Investments, such as OTC exchange-traded funds and mutual business day following the purchase derivative contracts such as ‘‘swaps’’ funds. The 12 Month Oil Fund’s and the order date (T+3).19 Thus, the General also do not have established exchanges 12 Month Natural Gas Fund’s Partner will disseminate shortly after 4 upon which they trade and may not registration statements disclose that p.m. ET on the date the purchase order have readily available price quotes from NAV and the Basket Amount could rise was properly submitted, the amount of third parties. Swaps and other similar and fall substantially between the time Treasuries and/or cash to be deposited derivative or contractual-type an irrevocable purchase order and/or with the Custodian for each Basket. instruments will be first valued at a redemption order is submitted and the price provided by a single broker or time the Basket Amount is Calculation and Payment of the dealer, typically the counterparty. If no determined.17 Redemption Amount. The Units will not such price is available, the contract will Shortly after 4 p.m. ET on each be individually redeemable but will be valued at a price at which the business day, the Administrator, Amex, only be redeemable in Baskets. To counterparty to such contract could and the General Partner will redeem, an Authorized Purchaser will repurchase the instrument or terminate disseminate the Basket Amount (for be required to accumulate enough Units the contract. In determining the fair orders placed during the day) together to constitute a Basket (i.e., 100,000 market value of such derivative with the NAV for the Units.18 The Units). An Authorized Purchaser contracts, the Administrator may make Basket Amount and the NAV are redeeming a Basket will receive the use of quotes from other providers of communicated by the Administrator to Redemption Amount. Upon the similar derivatives. If these are not all Authorized Purchasers via facsimile surrender of the Units and payment of available, the Administrator may or electronic mail message. applicable redemption transaction fee,20 calculate a fair market value of the Concurrently, the Amex will also taxes or charges, the Custodian will derivative contract based on the terms of disclose the NAV and Basket Amount deliver to the redeeming Authorized the contract and the movement of the on its Web site at http://www.amex.com. Purchaser the Redemption Amount. The underlying price factors of the contract. The Basket Amount necessary for the Redemption Amount of Treasuries and/ Calculation of the Basket Amount. creation of a Basket will change from or cash will be in the same proportion Baskets will be issued in exchange for day to day. On each day that the Amex to the total net assets of each Treasuries and/or cash in an amount is open for regular trading, the Partnership as the number of Units to be equal to the NAV per Unit times Administrator will adjust the Deposit redeemed is in proportion to the total 100,000 Units (the ‘‘Basket Amount’’). Amount as appropriate to reflect the number of Units outstanding as of the Baskets will be delivered by the prior day’s Partnership NAV and Marketing Agent to each Authorized accrued expenses. The Administrator date the redemption order is accepted. Purchaser only after execution of the will then determine the Deposit Amount The General Partner will determine the Authorized Purchaser Agreement. for a given business day. Treasuries to be included in the Units in a Basket are issued and Calculation and Payment of the Redemption Amount. The amount of redeemed in accordance with the Deposit Amount. The Deposit Amount cash that is required is the difference Authorized Purchaser Agreement. of Treasuries and/or cash will be in the between the aggregate market value of Authorized Purchasers that wish to same proportion to the total net assets the Treasuries required to be included purchase a Basket must transfer the of each Partnership as the number of in the Redemption Amount as of 4 p.m. Basket Amount, for each Basket Units to be created is in proportion to ET on the date of redemption and the purchased, to the Custodian (the the total number of Units outstanding as total Redemption Amount. All ‘‘Deposit Amount’’). Authorized of the date the purchase order is redemption orders must be received by Purchasers that wish to redeem a Basket accepted. The General Partner will the Marketing Agent by 12 p.m. ET on will receive an amount of Treasuries determine the requirements for the the business day redemption is and/or cash in exchange for each Basket Treasuries that may be included in the requested and are irrevocable. Delivery surrendered in an amount equal to the Deposit Amount and will disseminate of the Basket to be redeemed to the NAV per Basket (the ‘‘Redemption these requirements at the start of each Custodian and payment of the Amount’’). business day. The amount of cash that Redemption Amount will occur by the On each business day, the is required is the difference between the third business day following the Administrator will make available, aggregate market value of the Treasuries redemption order date (T+3). immediately prior to the opening of required to be included in the Deposit trading on the Exchange, the Basket Amount as of 4 p.m. ET on the date of Arbitrage Amount for the creation of a Basket purchase and the total required deposit. The Exchange believes that the Units based on the prior day’s NAV. At or All purchase orders must be received will not trade at a material discount or about 4 p.m. ET on each business day, by the Marketing Agent by 12 p.m. ET premium to a Unit’s NAV based on the Administrator will determine the for consideration on that business day. potential arbitrage opportunities. Due to Basket Amount for orders placed by Delivery of the Deposit Amount, i.e., Authorized Purchasers received before the fact that the Units can be created 12 p.m. ET that day. Because orders to 17 The General Partner states that the price of and redeemed only in Baskets at NAV, purchase and/or redeem Baskets must crude oil or natural gas futures may fluctuate 5% the Exchange submits that arbitrage be placed by 12 p.m. ET, but the Basket or more between 12 noon, the cutoff for creation opportunities should provide a and redemption orders, and 2:30 p.m., the close of mechanism to mitigate the effect of any Amount will not be determined until trading on NYMEX. As explained further below (see shortly after 4 p.m. ET, on the date the section entitled ‘‘Arbitrage,’’ infra), the Exchange purchase order or redemption order, as does not anticipate such price movements to impact 19 Authorized Purchasers are required to pay a applicable, is received, Authorized the arbitrage process. transaction fee of $1,000 for each order to create one 18 The Exchange will obtain a representation from or more Baskets. Purchasers will not know the total each Partnership that its NAV and other relevant 20 Authorized Purchasers are required to pay a payment required to create or redeem a pricing information will be disclosed to all market transaction fee of $1,000 for each order to redeem Basket, as applicable, at the time they participants at the same time. one or more Baskets.

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premiums or discounts that may exist reports filed with the Commission or NAV. The closing price and settlement from time to time.21 required by the CFTC; and (6) other prices of the Futures Contracts held by applicable quantitative information. each Partnership are also readily Dissemination and Availability of Portfolio Disclosure. The 12 Month available from the NYMEX, automated Information Oil Fund’s and the 12 Month Natural quotation systems, published or other Futures Contracts. The daily Gas Fund’s total portfolio composition public sources, or on-line information settlement prices for NYMEX-traded will be disclosed each business day that services such as Bloomberg or Reuters. Futures Contracts are publicly available the Amex is open for trading on their In addition, the Exchange will provide on NYMEX’s Web site at http:// respective Web sites at http:// a hyperlink on its Web site at http:// www.nymex.com. The Exchange will www.unitedstates12monthoilfund.com www.amex.com to each Partnership’s also include on its Web site at http:// and http://www.unitedstates12month Web site. www.amex.com a hyperlink to naturalgasfund.com, respectively. The Indicative Partnership Value. In order NYMEX’s Web site for the purpose of 12 Month Oil Fund’s Web site to provide updated information relating disclosing futures contract pricing. In disclosure of portfolio holdings will be to each Partnership for use by investors, addition, various market data vendors made daily and will include, as professionals and persons wishing to and news publications publish futures applicable, the name and value of each create or redeem the Units, the prices and related data. The Exchange Crude Oil Interest, the specific types of Exchange will disseminate through the represents that quote and last sale Crude Oil Interests and characteristics facilities of the CTA an amount information for the Futures Contracts of such Crude Oil Interests, Treasuries, representing, on a per-Unit-basis, the are widely disseminated through a and amount of cash and cash current indicative value of the Basket variety of market data vendors equivalents held in the portfolio of the Amount (the ‘‘Indicative Partnership worldwide, including Bloomberg and 12 Month Oil Fund. The 12 Month Value’’).23 Consistent with Amex Rule Reuters. In addition, the Exchange Natural Gas Fund’s Web site disclosure 1502, the Indicative Partnership Value further represents that real-time futures of portfolio holdings will be made daily for each Partnership will be data is available by subscription from and will include, as applicable, the disseminated on a per-Unit-basis at least Reuters and Bloomberg. NYMEX also name and value of each Natural Gas every 15 seconds during regular Amex provides delayed futures information on Interest, the specific types of Natural trading hours of 9:30 a.m. to 4:15 p.m. current and past trading sessions and Gas Interests and characteristics of such ET. The Indicative Partnership Value market news free of charge on its Web Natural Gas Interests, Treasuries, and will be calculated based on the site. The specific contract specifications amount of cash and cash equivalents Treasuries and cash required for for the Futures Contracts are also held in the portfolio of the 12 Month creations and redemptions (i.e., NAV available on NYMEX’s Web site and the Natural Gas Fund. The public Web site per Unit x 100,000) adjusted to reflect ICE Futures Web site at http:// disclosure of the portfolio composition the price changes of the relevant www.icefutures.com. of each of the 12 Month Oil Fund and Benchmark Futures Contracts. Partnership Units. The Exchange’s the 12 Month Natural Gas Fund will The Indicative Partnership Value is Web site at http://www.amex.com, coincide with the disclosure by the based on open outcry trading of the which is publicly accessible at no Administrator on each business day of relevant Benchmark Futures Contracts charge, will contain the following the NAV for the Units and the Basket on NYMEX. Open-outcry trading on the information: (1) The prior business Amount (for orders placed during the NYMEX closes daily at 2:30 p.m. ET day’s NAV and the reported closing day) for each Partnership. Therefore, the while NYMEX’s energy futures contracts price; (2) the mid-point of the bid-ask same portfolio information will be are traded on the Chicago Mercantile price22 in relation to the NAV as of the provided at the same time on the public Exchange’s CME Globex  electronic time the NAV is calculated (the ‘‘Bid- Web site for each Partnership as well as trading platform on a twenty-four hour Ask Price’’); (3) calculation of the in the facsimile or electronic mail basis.24 After the close of open outcry premium or discount of such price message to Authorized Purchasers on NYMEX at 2:30 p.m., the Indicative against such NAV; (4) data in chart form containing the NAV and Basket Amount Partnership Value will reflect changes to displaying the frequency distribution of (‘‘Daily Dissemination’’). The format of the relevant Benchmark Futures discounts and premiums of the Bid-Ask the public Web site disclosure and the Contracts as provided for through CME Price against the NAV, within Daily Dissemination will differ because Globex . The value of the relevant appropriate ranges for each of the four the public Web site will list all portfolio Benchmark Futures Contracts will be previous calendar quarters; (5) the holdings while the Daily Dissemination available on a 15-second delayed basis prospectus and the most recent periodic will provide the portfolio holdings in a during the time that a Unit trades on the format appropriate for Authorized Exchange. 21 The Exchange states that arbitrage Purchasers, i.e., the exact components of While NYMEX is open for trading, the opportunities may arise whenever the market price of a Partnership is higher (or lower) than its a Creation Unit. Indicative Partnership Value can be expected fair market value, which is based on the As described above, each expected to closely approximate the price of the underlying commodity futures. Partnership’s NAV will be calculated value per Unit of the Basket Deposit. Authorized Purchasers may effectively lock-in an and disseminated daily. The Amex also However, during Amex trading hours arbitrage spread by selling (or buying) the Units while, at the same time buying (or selling), the intends to disseminate for each related commodity futures. This arbitrage activity Partnership on a daily basis by means of 23 The Exchange proposes to amend Amex Rule may occur not only at the time of an irrevocable the Consolidated Tape Association 1500–AEMI(b) to define ‘‘Indicative Partnership creation or redemption order, but throughout the (‘‘CTA’’)/Consolidated Quote High Value’’ as an estimate, updated at least every 15 day. Accordingly, the Exchange believes that seconds, of the value of a Partnership Unit of each arbitrage activity should not be affected by price Speed Lines information with respect to series. movements in the underlying commodity assets the Indicative Partnership Value (as 24 CME Globex (‘‘Globex’’) is an open-access between the cutoff for creation and redemption discussed below), recent NAV, Units marketplace that operates virtually 24 hours each orders and the close of futures trading, following outstanding, the Basket Amount and the trading day. Electronic trading on Globex is which the Basket Amount is determined. Deposit Amount. The Exchange will conducted from 6 p.m. ET Sunday through 5:15 22 The Bid-Ask Price of Units is determined using p.m. ET Friday each week. There is a 45-minute the highest bid and lowest offer as of the time of also make available on its Web site daily break each day between 5:15 p.m. ET and 6 p.m. calculation of the NAV. trading volume, closing prices and the ET.

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when the Futures Contracts have ceased $50.00.25 The Exchange believes that ‘‘Registration and Functions of trading in NYMEX’s open outcry, the anticipated minimum number of Specialists,’’ except that specialists may spreads and resulting premiums or Units outstanding at the start of trading buy on ‘‘plus ticks’’ and sell on ‘‘minus discounts may widen and, therefore, is sufficient to provide adequate market ticks,’’ in order to bring the Units into increase the difference between the liquidity and to further each parity with the underlying commodity price of the Units and the NAV of the Partnership’s objective to seek to or commodities and/or futures contract Units. The Exchange submits that the provide a simple and cost effective price. The Exchange notes that Indicative Partnership Value means of accessing the commodity Commentary .01 to its Rule 1503, disseminated during Amex trading futures markets. The Exchange ‘‘Specialist Prohibitions,’’ sets forth this hours, on a per-Unit-basis, should not represents that it prohibits the initial limited exception to Rule 170–AEMI. be viewed as a real-time update of the and/or continued listing of any security The trading of the Units will be NAV, which is calculated only once that is not in compliance with Rule subject to certain conflict of interest daily. The Exchange believes that 10A–3 under the Act.26 provisions set forth in Amex Rules 1503 and 1504. Rule 1503 provides that the dissemination of the Indicative The Amex original listing fee prohibitions in Rule 175(c) apply to a Partnership Value based on the Basket applicable to the listing of Units for specialist in the Units so that the Deposit provides additional information each Partnership is $5,000. In addition, the annual listing fee applicable under specialist or affiliated person may not that is not otherwise available to the act or function as a market-maker in an public and is useful to professionals and Section 141 of the Amex Company Guide will be based upon the year-end underlying asset, related futures investors in connection with the Units contract or option or any other related trading on the Exchange or the creation aggregate number of Units in all series of each Partnership outstanding at the derivative. An exception to the general or redemption of the Units. end of each calendar year. prohibition in Rule 1503 provides that Partnership Termination Events Amex Rule 154–AEMI, ‘‘Orders in an approved person of an equity AEMI,’’ paragraph (c)(ii), provides that specialist that has established and Each Partnership shall continue in stop and stop limit orders to buy or sell obtained Exchange approval for effect from the date of its formation in a security the price of which is procedures restricting flow of material, perpetuity, unless sooner terminated derivatively priced based upon another non-public market information between upon the occurrence of any one or more security or index of securities, may be itself and the specialist member of the following events: (1) The death, elected by a quotation, as set forth in organization, and any member, officer or adjudication of incompetence, subparagraphs (c)(ii) (1)–(4) of Rule employee associated therewith, may act bankruptcy, dissolution, withdrawal, or 154–AEMI. The Units will be deemed in a market making capacity, other than removal of a General Partner who is the eligible for this treatment. as a specialist in the Units on another sole remaining General Partner, unless a The Exchange states that Amex Rule market center, in the underlying asset or majority in interest of limited partners 126A–AEMI, which will apply to commodity, related futures or options within ninety (90) days after such event trading of the Units, complies with Rule on futures, or any other related elects to continue the Partnership and 611 of Regulation NMS, which requires derivatives. Rule 1504 provides that appoints a successor general partner; or among other things, that the Exchange specialists handling Units provide the (2) the affirmative vote of a majority in adopt and enforce written policies and Exchange with all necessary information interest of the limited partners to procedures that are reasonably designed relating to their trading in underlying terminate the partnership, subject to to prevent trade-throughs of protected physical assets or commodities, related certain conditions. quotations.27 futures or options on futures, or any Consistent with the treatment of trust other related derivatives. In addition, Upon termination of the Partnership, issued receipts (‘‘TIRs’’), Specialist members and member organizations holders of the Units will surrender their transactions of the Units made in will be subject to Commentary .03 to Units and the assets of the Partnership connection with the creation and Amex Rule 1500–AEMI prohibiting shall be distributed to the Unit holders redemption of Units will not be subject such member or member organizations pro rata in accordance with the value of to the prohibitions of Amex Rule 190, from acting as a market maker from off- the Units, in cash or in kind, as ‘‘Specialist’s Transactions with Public floor through the use of multiple limit determined by the General Partner. Customers.’’ 28 The Units will generally orders. Purchases and Redemptions in Baskets be subject to the Exchange’s Trading Halts stabilization rule, Rule 170–AEMI, In the Information Circular, members If an Indicative Partnership Value is not being disseminated by one or more and member organizations will be 25 Each Partnership expects that the initial informed that procedures for purchases Authorized Purchaser will purchase the initial major market data vendors, the and redemptions of Units in Baskets are Basket of 100,000 Units at the initial offering price Exchange may halt trading during the per Unit of $50.00. On the date of the public described in the Prospectus and that day in which the interruption to the offering and thereafter, each Partnership will dissemination of such Indicative Units are not individually redeemable continuously issue Baskets consisting of 100,000 but are redeemable only in Baskets or Units to Authorized Purchasers at NAV. Partnership Value occurs. If the multiples thereof. 26 See 17 CFR 240.10A–3. interruption to the dissemination of an 27 See Exchange Act Release No. 54552 Indicative Partnership Value persists Listing and Trading Rules (September 29, 2006), 71 FR 59546 (October 10, past the trading day in which it 2006) (SR–Amex–2005–104) (implementing a new occurred, the Exchange will halt trading Each Partnership will be subject to the hybrid market structure for equities and exchange- traded funds known as the ‘‘Auction & Electronic no later than the beginning of the criteria in Amex Rule 1502 for initial Market Integration’’). trading day following the interruption. and continued listing of the Units. The 28 The Commission notes that Commentary .05 to Prior to the commencement of Exchange will require a minimum of Amex Rule 190 provides an exemption from the trading, the Exchange will issue an 100,000 Units to be outstanding at the prohibitions stated in that rule for securities issued Information Circular to members start of trading. The Exchange expects by a trust listed pursuant to Amex Rules 1200– AEMI and 1201–1202, 1200A–AEMI and 1201A– informing them of, among other things, that the initial price of a Unit will be 1205A, or 1200B and 1201B–1205B. Exchange policies regarding trading

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halts in the Units. First, the Information applicable suitability rules. The on other exchanges, the Amex will enter Circular will advise that trading will be Information Circular will also explain into comprehensive surveillance sharing halted in the event the market volatility that each Partnership is subject to agreements with those particular trading halt parameters set forth in various fees and expenses described in exchanges.30 Amex Rule 117 have been reached. the relevant Registration Statements. 2. Statutory Basis Second, the Information Circular will The Information Circular will also advise that, in addition to the reference the fact that there is no The Amex believes that the proposed parameters set forth in Rule 117, the regulated source of last sale information rule change is consistent with the Exchange will halt trading in the Units regarding physical commodities, and requirements of Section 6(b) of the if trading in the underlying Benchmark describe the regulatory framework Act 31 in general, and furthers the Futures Contracts is halted or relating to the trading of crude oil, objectives of Section 6(b)(5),32 of the Act suspended. Third, with respect to a halt natural gas, heating oil, gasoline, or in particular, in that it is designed to in trading that is not specified above, other petroleum-based fuels and crude prevent fraudulent and manipulative the Exchange may also consider other oil- and natural gas-based futures acts and practices, to promote just and relevant factors and the existence of contracts and related options. equitable principles of trade, to foster unusual conditions or circumstances The Information Circular will also cooperation and coordination with that may be detrimental to the notify members and member persons engaged in facilitating maintenance of a fair and orderly organizations about the procedures for transactions in securities, and to remove market. Additionally, the Exchange purchases and redemptions of Units in impediments to and perfect the represents that it will cease trading in Baskets, and that Units are not mechanism of a free and open market the Units if any of the condition in individually redeemable but are and a national market system, and, in Amex Rule 1502(b)(ii) or (iii) exist (i.e., redeemable only in Baskets or multiples general to protect investors and the if there is a halt or disruption in the thereof. The Information Circular will public interest; and is not designed to dissemination of the Indicative advise members of their suitability permit unfair discrimination between Partnership Value and/or underlying Oil obligations with respect to customers, issuers, brokers, or dealers, Benchmark Futures Contracts and/or recommended transactions to customers or to regulate by virtue of any authority Natural Gas Benchmark Futures in the Units. The Information Circular conferred by the Act matters not related Contracts). will also discuss any relief, if granted, to the purpose of the Act or the Suitability by the Commission or the staff from any administration of the Exchange. rules under the Act. The Information Circular will inform B. Self-Regulatory Organization’s The Information Circular will disclose members and member organizations of Statement on Burden on Competition that the NAV for Units will be the characteristics of the Units and of calculated shortly after 4 p.m. ET each The Exchange does not believe that applicable Exchange rules, as well as of trading day. the proposed rule change will impose the requirements of Amex Rule 411 any burden on competition that is not (Duty to Know and Approve Surveillance necessary or appropriate in furtherance Customers). The Exchange submits that its The Exchange notes that pursuant to of the purposes of the Act. surveillance procedures are adequate to Amex Rule 411, members and member deter and detect violations of Exchange C. Self-Regulatory Organization’s organizations are required, in rules relating to the trading of the Units. Statement on Comments on the connection with recommending The surveillance procedures for the Proposed Rule Change Received From transactions in the Units, to have a Units will be similar to those used for Members, Participants or Others reasonable basis to believe that a units of the United States Oil Fund, LP customer is suitable for the particular The Exchange has neither solicited and the United States Natural Gas Fund, investment given reasonable inquiry nor received written comments on the LP 29 as well as other commodity-based concerning the customer’s investment proposed rule change. trusts, TIR and exchange-traded funds. objectives, financial situation, needs, In addition, the surveillance procedures III. Date of Effectiveness of the and any other information known by will incorporate and rely upon existing Proposed Rule Change and Timing for such member. Amex surveillance procedures Commission Action Information Circular governing options and equities. The Within 35 days of the date of The Amex will distribute an Exchange currently has in place a publication of this notice in the Federal Information Circular to its members in comprehensive surveillance sharing Register or within such longer period (i) connection with the trading of each agreement with each of NYMEX and ICE as the Commission may designate up to Partnership’s Units. The Information Futures for the purpose of providing 90 days of such date if it finds such Circular will discuss the special information in connection with trading longer period to be appropriate and characteristics, and risks, of trading in in, or related to, futures contracts traded publishes its reasons for so finding or the Units. Specifically, the Information on NYMEX and ICE Futures, (ii) as to which the self-regulatory Circular, among other things, will respectively. To the extent that a organization consents, the Commission discuss what the Units are, how a Partnership invests in Crude Oil will: Basket is created and redeemed, the Interests or Natural Gas Interests traded (A) By order approve such proposed requirement that members and member rule change or 29 See Exchange Act Release Nos. 53582 (March firms deliver a prospectus to investors 31, 2006), 71 FR 17510 (April 6, 2006) (SR–Amex– purchasing the Units prior to, or 2005–127) (approving Amex Rules 1500–AEMI and 30 The Exchange represents that each of the concurrently with, the confirmation of a 1501 through 1505 in conjunction with the listing Partnerships will only invest in futures contracts on transaction, applicable Amex rules, and trading of Units of the United States Oil Fund, markets where the Exchange has entered into the LP) and 55632 (April 13, 2007), 72 FR 19987 (April appropriate comprehensive surveillance sharing dissemination of information regarding 20, 2007) (SR–Amex–2006–112) (approving the agreements. the per-Unit-Indicative Partnership listing and trading of Units of the United States 31 15 U.S.C. 78f(b). Value, trading information, and Natural Gas Fund, LP). 32 15 U.S.C. 78f(b)(5).

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(B) Institute proceedings to determine you wish to make available publicly. All II. Self-Regulatory Organization’s whether the proposed rule change submissions should refer to File Statement of the Purpose of, and should be disapproved. Number SR–Amex–2007–98 and should Statutory Basis for, the Proposed Rule The Amex has requested accelerated be submitted on or before November 19, Change approval of this proposed rule change 2007. In its filing with the Commission, the prior to the 30th day after the date of Exchange included statements publication of the notice of the filing For the Commission, by the Division of concerning the purpose of and basis for thereof. The Commission has Market Regulation, pursuant to delegated 33 the proposed rule change and discussed determined that a 15-day comment authority. any comments it received on the period is appropriate in this case. Florence E. Harmon, proposed rule change. The text of these Deputy Secretary. IV. Solicitation of Comments statements may be examined at the [FR Doc. E7–21619 Filed 11–1–07; 8:45 am] Interested persons are invited to places specified in Item III below. The submit written data, views, and BILLING CODE 8011–01–P Exchange has prepared summaries, set arguments concerning the foregoing, forth in sections A, B, and C below, of including whether the proposed rule the most significant aspects of such SECURITIES AND EXCHANGE statements. change is consistent with the Act. COMMISSION Comments may be submitted by any of A. Self-Regulatory Organization’s the following methods: Statement of the Purpose of, and [Release No. 34–56715; File No. SR–CBOE– Electronic Comments 2007–119] Statutory Basis for, the Proposed Rule Change • Use the Commission’s Internet comment form (http://www.sec.gov/ Self-Regulatory Organizations; 1. Purpose Chicago Board Options Exchange, rules/sro.shtml); or The purpose of the proposed rule • Incorporated; Notice of Filing and Send an e-mail to rule- change is to revise Rules 5.3, Criteria for [email protected]. Please include File Order Granting Accelerated Approval Underlying Securities, and 5.4, Number SR–Amex–2007–98 on the of Proposed Rule Change Relating to Withdrawal of Approval of Underlying subject line. the Criteria for Securities that Underlie Securities, to enable the listing and Paper Comments Options Traded on the Exchange trading on the Exchange of options on • Send paper comments in triplicate October 29, 2007. Index Multiple Units and Index Inverse to Nancy M. Morris, Secretary, Units. Index Multiple Units seek to Pursuant to section 19(b)(1) of the Securities and Exchange Commission, provide investment results, before fees Securities Exchange Act of 1934 100 F Street, NE., Washington, DC and expenses, that correspond to a (‘‘Act’’) 1 and Rule 19b–4 thereunder,2 20549–1090. specified multiple of the percentage notice is hereby given that on October performance on a given day of a All submissions should refer to File 4, 2007, Chicago Board Options particular foreign or domestic stock Number SR–Amex–2007–98. This file Exchange, Incorporated ( ‘‘Exchange’’ or index. Index Inverse Units seek to number should be included on the provide investment results, before fees subject line if e-mail is used. To help the ‘‘CBOE’’), filed with the Securities and and expenses, that correspond to the Commission process and review your Exchange Commission (‘‘Commission’’) inverse (opposite) of the percentage comments more efficiently, please use the proposed rule change (‘‘Exchange performance on a given day of a only one method. The Commission will Notice’’) as described in Items I and II particular foreign or domestic stock post all comments on the Commission’s below, which Items have been index by a specified multiple. Index Internet Web site (http://www.sec.gov/ substantially prepared by the Exchange. Multiple Units and Index Inverse Units rules/sro.shtml). Copies of the This order provides notice of the differ from traditional exchange-traded submission, all subsequent proposed rule change and approves the fund shares or ‘‘Units’’ in that they do amendments, all written statements proposed rule change on an accelerated not merely correspond to the with respect to the proposed rule basis. performance of a given index, but rather change that are filed with the I. Self-Regulatory Organization’s attempt to match a multiple or inverse Commission, and all written of such underlying index performance. communications relating to the Statement of the Terms of Substance of The ProShares Ultra Funds, which proposed rule change between the the Proposed Rule Change currently trades on the American Stock Commission and any person, other than The Exchange proposes to permit the Exchange (‘‘Amex’’) is an example of an those that may be withheld from the initial and continued listing and trading Index Multiple Unit. Amex also public in accordance with the on the Exchange of options on Index currently lists for trading Index Inverse provisions of 5 U.S.C. 552, will be Multiple Exchange Traded Fund Shares Units, namely the Short Funds and the available for inspection and copying in (‘‘Index Multiple Units’’) and Index UltraShort Funds.3 the Commission’s Public Reference Inverse Exchange Traded Fund Shares Room, 100 F Street, NE., Washington, 3 See Securities Exchange Act Release Nos. 52553 DC 20549, on official business days (‘‘Index Inverse Units’’). The text of the proposed rule change is available on the (October 3, 2005), 70 FR 59100 (October 11, 2005) between the hours of 10 a.m. and 3 p.m. (approving the listing and trading of Ultra Funds Copies of such filing also will be Exchange’s Web site (http:// and Short Funds) and 54040 (June 23, 2006), 71 FR available for inspection and copying at www.cboe.org/Legal), at the Exchange’s 37629 (June 30, 2006) (approving the listing and Office of the Secretary and at the trading of the UltraShort Funds). The Ultra Funds the principal office of the Exchange. All are expected to gain, on a percentage basis, comments received will be posted Commission. approximately twice (200%) as much as the without change; the Commission does underlying benchmark index and should lose approximately twice (200%) as much as the 33 17 CFR 200.30–3(a)(12). not edit personal identifying underlying benchmark index when such prices information from submissions. You 1 15 U.S.C. 78s(b)(1). decline. The Short Funds are expected to achieve should submit only information that 2 17 CFR 240.19b–4. Continued

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In order to achieve investment results distributions on deposited non-U.S. Instruments and/or Money Market that provide either a positive multiple currency, if any, declared and paid by Instruments. The Exchange also seeks to or inverse of the benchmark index, the trust; or (iii) represent commodity delete reference to ‘‘national securities Index Multiple Units or Index Inverse pool interests principally engaged, association’’ set forth in Interpretation Units may hold a combination of directly or indirectly, in holding and/or and Policy .08(b) to Rule 5.4. financial instruments, including, among managing portfolios or baskets of Under the applicable continued other things: stock index futures securities, commodity futures contracts, listing criteria in Interpretation and contracts; options on futures; options on options on commodity futures contracts, Policy .08 to Rule 5.4, options on Units securities and indexes; equity caps, swaps, forward contracts and/or options may be subject to the suspension of collars and floors; swap agreements; on physical commodities and/or non- opening transactions as follows: (1) forward contracts; repurchase U.S. currency (‘‘Commodity Pool Following the initial twelve-month agreements; and reverse repurchase Units’’). period beginning upon the agreements (the ‘‘Financial The Exchange proposes to amend Instruments’’). The underlying Interpretation and Policy .06 to Rule 5.3 commencement of trading of the Units, portfolios of Index Multiple Units to expand the type of options to include there are fewer than 50 record and/or generally will hold at least 85% of their the listing and trading of options based beneficial holders of the Units for 30 or assets in the component securities of the on Index Multiple Units and Index more consecutive trading days; (2) the underlying relevant benchmark index. Inverse Units that may hold or invest in value of the index or portfolio of The remainder of any assets is devoted any combination of securities, Financial securities, non-U.S. currency, or to Financial Instruments that are Instruments and/or Money Market portfolio of commodities including intended to create the additional needed Instruments. Index Multiple Units and commodity futures contracts, options on exposure to such underlying index Index Inverse Units will continue to commodity futures contracts, swaps, necessary to pursue its investment otherwise satisfy the listing standards in forward contracts and/or options on objective. Normally, 100% of the value Rule 5.4. The Exchange also proposes to physical commodities and/or Financial of the underlying portfolios of Index make non-substantive, technical Instruments and Money Market Inverse Units will be devoted to changes to Interpretation and Policy .06 Instruments on which Units are based is Financial Instruments and money to and to delete duplicative rule text no longer calculated or available; or (3) market instruments, including U.S. from Interpretation and Policy .06(ii) to such other event occurs or condition government securities and repurchase Rule 5.3. In addition, the Exchange exists that in the opinion of the agreements (the ‘‘Money Market proposes to remove the reference to a Exchange makes further dealing on the Instruments’’). ‘‘national securities association’’ in Exchange inadvisable. Additionally, the Currently, Interpretation and Policy Interpretation and Policy .06 to Rule 5.3. Units shall not be deemed to meet the .06 to Rule 5.3 provides securities As set forth in proposed amended requirements for continued approval, deemed appropriate for options trading Interpretation and Policy .06 to Rule 5.3, and the Exchange shall not open for shall include shares or other securities Index Multiple Units and Index Inverse trading any additional series of option (‘‘Units’’) that are traded on a national Units must be traded on a national contracts of the class covering such securities exchange or through the securities exchange and must be an Index Multiple Units or Index Inverse facilities of a national securities ‘‘NMS stock’’ as defined under Rule 600 Units, if the Units cease to be an ‘‘NMS association and are defined as an NMS of Regulation NMS. In addition, Index stock’’ as provided for in paragraph (f) stock under Rule 600 of Regulation Multiple Units and Index Inverse Units of Interpretation and Policy .01 of Rule NMS, and that (i) represent interests in must meet either: (i) The criteria and 5.4 or the Units are halted from trading registered investment companies (or guidelines under Interpretation and on their primary market. Policy .01 to Rule 5.3; or (ii) be available series thereof) organized as an open-end The expansion of the types of management investment companies, for creation or redemption each business day in cash or in kind from the investments that may be held by Index unit investment trusts or similar entities Multiple Units or Index Inverse Units that hold portfolios of securities investment company at a price related to net asset value. In addition, the under Interpretation and Policy .06 to comprising or otherwise based on or Rule 5.3 will not have any effect on the representing investments in indexes or investment company shall provide that shares may be created even though some rules pertaining to position and exercise portfolio of securities (of that hold limits 4 or margin.5 securities in one of more other or all of the securities and/or cash (in registered investment companies that lieu of the Financial Instruments) This proposal is necessary to enable themselves hold such portfolios of needed to be deposited have not been the Exchange to list and trade options securities); or (ii) represent interests in received by the investment company, on the shares of the Ultra Fund, Short a trust or other similar entity that holds provided the authorized creation Fund and UltraShort Fund of the a specified non-U.S. currency deposited participant has undertaken to deliver ProShares Trust.6 The Exchange with the trust or similar entity when the shares and/or cash as soon as believes the ability to trade options on aggregated in some specified minimum possible and such undertaking has been Index Multiple Units and Index Inverse number may be surrendered to the trust secured by the delivery and Units will provide investors with greater by the beneficial owner to receive the maintenance of collateral consisting of risk management tools. The proposed specified non-U.S. currency and pays cash or cash equivalents satisfactory to amendment to the Exchange’s listing the beneficial owner interest and other the Unit which underlies the option as criteria for options on Units is necessary described in the prospectus. to ensure that the Exchange will be able investment results, before fees and expenses, that The Exchange’s current continuing to list options on the Units of the correspond to the inverse or opposite of the daily listing standards for options on Units ProShares Trust as well as other Index performance (¥100%) or an underlying benchmark will continue to apply. index. Lastly, the UltraShort Funds are expected to The Exchange proposes to amend achieve investment result, before fees and expenses, 4 See Rules 4.11, Position Limits, and 4.12, that correspond to twice the inverse or opposite of Interpretation and Policy .08 to Rule 5.4 Exercise Limits. the daily performance (¥200%) of the underlying to indicate that the index or portfolio 5 See Rule 12.3, Margin Requirements. benchmark index. may consist of securities, Financial 6 See supra at Note 3.

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Multiple Units or Index Inverse Units Securities and Exchange Commission, trade, to remove impediments to and that may be introduced in the future. 100 F Street, NE., Washington, DC perfect the mechanism of a free and The Exchange represents that its 20549–1090. open market and a national market existing surveillance procedures All submissions should refer to File system, and, in general, to protect applicable to trading in options are Number SR–CBOE–2007–119. This file investors and the public interest. adequate to properly monitor the number should be included on the Surveillance trading in Index Multiple Unit options subject line if e-mail is used. To help the and Index Inverse Unit options. Commission process and review your The Commission notes that the Exchange has represented that its 2. Statutory Basis comments more efficiently, please use only one method. The Commission will existing surveillance procedures The Exchange believes the proposed post all comments on the Commission’s applicable to trading options are rule change is consistent with the Act Internet Web site (http://www.sec.gov/ adequate to properly monitor trading in and the rules and regulations under the rules/sro.shtml). Copies of the Index Multiple Units options and Index Act applicable to national securities submission, all subsequent Inverse Units options. In addition, the exchanges and, in particular, the amendments, all written statements Exchange represented that the 7 requirements of section 6(b) of the Act. with respect to the proposed rule expansion of the types of investments Specifically, the Exchange believes the change that are filed with the that may be held by Index Multiple proposed rule change is consistent with Commission, and all written Units or Index Inverse Units under 8 the section 6(b)(5) requirements that communications relating to the Interpretation and Policy .06 to Rule 5.3 the rules of an exchange be designed to proposed rule change between the will not have any effect on the rules promote just and equitable principles of Commission and any person, other than pertaining to position and exercise 12 13 trade, to prevent fraudulent and those that may be withheld from the limits or margin. manipulative acts, to remove public in accordance with the Listing and Trading Options on Fund impediments to and to perfect the provisions of 5 U.S.C. 552, will be Shares mechanism for a free and open market available for inspection and copying in and a national market system, and, in the Commission’s Public Reference The Commission notes that, pursuant general, to protect investors and the Room, 100 F Street, NE., Washington, to the proposed rule change, the public interest. DC 20549, on official business days Exchange represented that the current between the hours of 10 a.m. and 3 p.m. continuing listing standards for options B. Self-Regulatory Organization’s on Units will continue to apply. These Statement on Burden on Competition Copies of such filing also will be available for inspection and copying at provisions include requirements CBOE does not believe that the the principal offices of the Exchange. regarding initial and continued listing proposed rule change will result in any All comments received will be posted standards, suspension of opening burden on competition that is not without change; the Commission does transactions, and trading halts. necessary or appropriate in furtherance not edit personal identifying Proposed amended Interpretation and of the purpose of the Act. information from submissions. You Policy .06 to Rule 5.3, would require that Index Multiple Units and Index C. Self-Regulatory Organization’s should submit only information that Inverse Units must be traded on a Statement on Comments on the you wish to make available publicly. All national securities exchange and must Proposed Rule Change Received From submissions should refer to File be an ‘‘NMS stock’’ as defined under Members, Participants or Others Number SR–CBOE–2007–119 and 14 should be submitted on or before Rule 600 of Regulation NMS. The Exchange has neither solicited November 23, 2007. The Commission believes that this nor received written comments on the proposal is necessary to enable the proposed rule change. IV. Commission’s Findings and Order Exchange to list and trade options on Granting Accelerated Approval of the III. Solicitation of Comments the shares of the Ultra Fund, Short Fund Proposed Rule Change and UltraShort Fund of the ProShares Interested persons are invited to 15 After careful consideration, the Trust. The Commission believes that submit written data, views, and Commission finds that the proposed the ability to trade options on the Index arguments concerning the foregoing, rule change is consistent with the Multiple Units and Index Inverse Units including whether the proposed rule requirements of the Act and the rules will provide investors with additional change is consistent with the Act. and regulations thereunder applicable to risk management tools. The Commission Comments may be submitted by any of a national securities exchange,9 and in further believes that the proposed the following methods: particular, the requirements of section amendment to the Exchange’s listing Electronic Comments 6(b) of the Act.10 Specifically, the criteria for options on Exchange Traded Fund Shares will ensure that the • Commission finds that the proposed Use the Commission’s Internet Exchange will be able to list options on comment form (http://www.sec.gov/ rule change is consistent with section 6(b)(5) of the Act,11 which requires, the Funds of the ProShares Trust as well rules/sro.shtml); or as other Index Multiple Units and Index • among other things, that the rules of a Send an e-mail to rule- Inverse Units that may be introduced in [email protected]. Please include File national securities exchange be designed to prevent fraudulent and the future, thereby affording investors Number SR–CBOE–2007–119 on the greater investment choices. subject line. manipulative acts and practices, to promote just and equitable principles of The Commission finds good cause for Paper Comments approving this proposal before the • 9 In approving this proposed rule change, the Send paper comments in triplicate Commission has considered the proposed rule’s 12 See Rules 4.11, Position Limits, and 4.12, to Nancy M. Morris, Secretary, impact on efficiency, competition, and capital Exercise Limits. formation. See 15 U.S.C. 78c(f). 13 See Rule 12.3, Margin Requirements. 7 15 U.S.C. 78f(b). 10 15 U.S.C. 78f(b). 14 17 CFR 242.600(b)(47). 8 15 U.S.C. 78f(b)(5). 11 15 U.S.C. 78f(b)(5). 15 See supra at Note 3.

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thirtieth day after the publication of comments on the proposed rule change, (expressed as .10) or $.0005 (expressed notice thereof in the Federal Register, as amended, from interested persons. as .05). Minimum increments for the The Commission notes that it recently Japanese yen are $.000010 (also I. Self-Regulatory Organization’s has approved a substantially similar expressed as .10) or $.000005 (expressed Statement of the Terms of Substance of proposal.16 This proposed rule filing as .05). In each case the applicable the Proposed Rule Change does not raise any new, unique or minimum increment is determined by substantive issues from those raised in Phlx proposes to amend Rule 1034, the price at which the option is quoting. the prior filing that would preclude the Minimum Increments, to decrease the For example, all U.S. dollar-settled FCO trading of the options on Index Multiple size of the minimum quoting and contracts (other than options on the Units or Index Inverse Units on the trading increments applicable to the Japanese yen) quoting at $.0300 Exchange. Therefore, accelerating Exchange’s U.S. dollar-settled foreign (expressed as 3.00) or higher have a approval of this proposal should benefit currency options (‘‘FCOs’’). minimum trading increment of $.0010 investors by creating, without undue The text of the proposed rule change (expressed as .10), while the minimum delay, additional competition in the is available at Phlx, the Commission’s increment for these U.S. dollar-settled market for these types of options. Public Reference Room, and http:// FCOs quoting under $.0300 (expressed www.phlx.com. as 3.00) is $.0005 (expressed as .05). V. Conclusion II. Self-Regulatory Organization’s These minimum increments were It is therefore ordered, pursuant to originally established in order to 17 Statement of the Purpose of, and section 19(b)(2) of the Act, that the Statutory Basis for, the Proposed Rule accommodate trading of U.S. dollar- proposed rule change (SR–CBOE–2007– Change settled FCOs on the Phlx XL platform, 119) be, and it hereby is, approved on which did not have penny trading an accelerated basis. In its filing with the Commission, capability when the rules for the U.S. Phlx included statements concerning dollar-settled FCOs were first drafted For the Commission, by the Division of the purpose of, and basis for, the Market Regulation, pursuant to delegated and filed with the Commission. authority.18 proposed rule change and discussed any The proposed amendments to Rule Florence E. Harmon, comments it received on the proposed 1034 would set the minimum increment rule change. The text of these statements Deputy Secretary. for U.S. dollar-settled FCOs on may be examined at the places specified currencies other than the Japanese yen [FR Doc. E7–21567 Filed 11–1–07; 8:45 am] in Item IV below. Phlx has prepared BILLING CODE 8011–01–P at $.0001 and the minimum increment summaries, set forth in Sections A, B, for U.S. dollar-settled FCO contracts on and C below, of the most significant the Japanese yen at $.000001 (in both aspects of such statements. SECURITIES AND EXCHANGE cases expressed as .01), regardless of the COMMISSION A. Self-Regulatory Organization’s price at which the option is quoting. Statement of the Purpose of, and This change would conform the [Release No. 34–56714; File No. SR–Phlx– minimum increments for U.S. dollar- 2007–70] Statutory Basis for, the Proposed Rule Change settled FCOs to those applicable currently to the Exchange’s physical Self-Regulatory Organizations; 1. Purpose Philadelphia Stock Exchange, Inc.; delivery FCOs. Although U.S. dollar- Notice of Filing of a Proposed Rule The purpose of the proposed rule settled FCOs would be trading in these Change as Modified by Amendment change is to provide additional trading narrower minimum increments, they No. 1 Thereto Relating to Rule 1034, opportunities by reducing the minimum would not actually be trading in pennies Minimum Increments increments applicable to the Exchange’s (the trading increment would actually U.S. dollar-settled FCOs.3 Quoting and be much smaller although it would be October 29, 2007. trading in smaller increments should expressed as .01) and would not be Pursuant to Section 19(b)(1) of the enable investors to trade U.S. dollar- considered part of the Exchange’s pilot Securities Exchange Act of 1934 settled currency options with greater program currently applicable to certain (‘‘Act’’) 1 and Rule 19b–4 thereunder,2 precision as to price. The changes equity options.4 notice is hereby given that on would permit the trading of U.S. dollar- Currently, options on currency futures September 5, 2007, the Philadelphia settled FCOs in the same minimum trade in these smaller trading Stock Exchange, Inc. (‘‘Phlx’’ or increments that have long been increments on the Chicago Mercantile ‘‘Exchange’’) filed with the Securities applicable (with one unrelated Exchange. As a competitive matter, the and Exchange Commission exception—the physical delivery British (‘‘Commission’’) the proposed rule pound/Japanese yen option) to the 4 The pilot, which permits certain options series change as described in Items I, II, and to be quoted and traded in increments of $0.01, Exchange’s physical delivery FCO began on January 26, 2007. See Securities Exchange III below, which Items have been contracts. Act Release No. 55153 (January 23, 2007), 72 FR substantially prepared by Phlx. On Currently, all U.S. dollar-settled FCOs 4553 (January 31, 2007) (SR–Phlx–2006–74). The October 11, 2007, the Exchange other than the Japanese yen have pilot was extended through September 27, 2007. See Securities Exchange Act Release No. 56141 submitted Amendment No. 1 to the minimum increments of $.0010 (July 24, 2007), 72 FR 42216 (August 1, 2007) (SR– proposed rule change. The Commission Phlx–2007–53). The pilot program has been is publishing this notice to solicit 3 On January 8, 2007, the Exchange began trading extended again through March 27, 2009. See U.S. dollar-settled options on the British pound and Securities Exchange Act Release No. 56563 the Euro on the Exchange’s electronic trading (September 27, 2007), 72 FR 56429 (October 3, 16 See Securities Exchange Act Release No. 56650 platform for options, Phlx XL. See Securities 2007) (SR–Phlx–2007–62). With one exception all (October 12, 2007), 72 FR 59123 (October 18, 2007) Exchange Act Release No. 54989 (December 21, series in options included in the pilot trading at a (approving SR–Amex–2007–35). See also SR–ISE– 2006), 71 FR 78506 (December 29, 2006) (approving price of less than $3.00 are currently quoted and 2007–87 (pending rule filing proposing similar SR–Phlx–2006–34). The Exchange subsequently traded in minimum increments of $0.01, and those amendment to options listing criteria). listed U.S. dollar-settled FCOs on the Australian with a price of $3.00 or higher are currently quoted 17 15 U.S.C. 78s(b)(2). dollar, the Canadian dollar, the Swiss franc and the and traded in minimum increments of $0.05. A list 18 17 CFR 200.30–3(a)(12). Japanese yen. See Securities Exchange Act Release of all series of options in the pilot was 1 15 U.S.C. 78s(b)(1). No. 56034 (July 10, 2007), 72 FR 38853 (July 16, communicated to membership via Exchange 2 17 CFR 240.19b–4. 2007) (approving SR–Phlx–2007–34). circular.

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Exchange seeks the opportunity to offer arguments concerning the foregoing, For the Commission, by the Division of investors those same, more refined including whether the proposed rule Market Regulation, pursuant to delegated 7 increments. Also, currencies trade on change is consistent with the Act. authority. the cash market in these smaller Comments may be submitted by any of Florence E. Harmon, increments. Additionally, as stated the following methods: Deputy Secretary. above, Phlx customers have been [FR Doc. E7–21578 Filed 11–1–07; 8:45 am] accustomed to trading in these more Electronic Comments BILLING CODE 8011–01–P refined increments in the Exchange’s • Use the Commission’s Internet physical delivery FCOs since 1982. comment form (http://www.sec.gov/ Providing these more refined rules/sro.shtml); or increments would permit Exchange SMALL BUSINESS ADMINISTRATION specialists the opportunity to provide • Send an e-mail to rule- better fills (meaning less spread than the [email protected]. Please include File Reporting and Recordkeeping current wider minimum increments Number SR–Phlx–2007–70 on the Requirements Under OMB Review rules allow) to customers. subject line. AGENCY: Small Business Administration. 2. Statutory Basis Paper Comments ACTION: Notice of Reporting Requirements Submitted for OMB The Exchange believes that the • Send paper comments in triplicate proposed rule change is consistent with Review. to Nancy M. Morris, Secretary, the provisions of Section 6 of the Act,5 Securities and Exchange Commission, SUMMARY: Under the provisions of the in general, and with Section 6(b)(5) of 100 F Street, NE., Washington, DC Paperwork Reduction Act (44 U.S.C. the Act,6 in particular, in that it is chapter 35), agencies are required to designed to prevent fraudulent and 20549–1090. submit proposed reporting and manipulative acts and practices, to All submissions should refer to File recordkeeping requirements to OMB for promote just and equitable principles of Number SR–Phlx–2007–70. This file review and approval, and to publish a trade, to remove impediments to a free number should be included on the notice in the Federal Register notifying and open market and a national market subject line if e-mail is used. To help the the public that the agency has made system, and, in general, to protect Commission process and review your such a submission. investors and the public interest. comments more efficiently, please use DATES: Submit comments on or before B. Self-Regulatory Organization’s only one method. The Commission will December 3, 2007. If you intend to Statement on Burden on Competition post all comments on the Commission’s comment but cannot prepare comments Internet Web site (http://www.sec.gov/ The Exchange does not believe that promptly, please advise the OMB the proposed rule change would result rules/sro.shtml). Copies of the Reviewer and the Agency Clearance in any burden on competition that is not submission, all subsequent Officer before the deadline. necessary or appropriate in furtherance amendments, all written statements Copies: Request for clearance (OMB of the purposes of the Act. with respect to the proposed rule 83–1), supporting statement, and other change that are filed with the documents submitted to OMB for C. Self-Regulatory Organization’s Commission, and all written review may be obtained from the Statement on Comments on the communications relating to the Agency Clearance Officer. Proposed Rule Change Received From proposed rule change between the ADDRESSES: Members, Participants or Others Address all comments Commission and any person, other than concerning this notice to: Agency Written comments were neither those that may be withheld from the Clearance Officer, Jacqueline White, solicited nor received. public in accordance with the Small Business Administration, 409 3rd III. Date of Effectiveness of the provisions of 5 U.S.C. 552, will be Street, SW., 5th Floor, Washington, DC Proposed Rule Change and Timing for available for inspection and copying in 20416; and OMB Reviewer, Office of Commission Action the Commission’s Public Reference Information and Regulatory Affairs, Room, 100 F Street, NE., Washington, Office of Management and Budget, New Within 35 days of the date of DC 20549, on official business days Executive Office Building, Washington, publication of this notice in the Federal between the hours of 10 a.m. and 3 p.m. DC 20503. Register or within such longer period (i) Copies of such filing also will be FOR FURTHER INFORMATION CONTACT: as the Commission may designate up to available for inspection and copying at Jacqueline White, Agency Clearance 90 days of such date if it finds such Officer, (202) 205–7044. longer period to be appropriate and the principal office of Phlx. All publishes its reasons for so finding or comments received will be posted SUPPLEMENTARY INFORMATION: (ii) as to which Amex consents, the without change; the Commission does Title: Lender Advantage Initiative. Commission will: not edit personal identifying No’s: N/A. A. By order approve such proposed information from submissions. You Frequency: On Occasion. rule change, or should submit only information that Description of Respondents: SBA B. Institute proceedings to determine you wish to make available publicly. All Lenders and SBA loan applicants. whether the proposed rule change submissions should refer to File Responses: 4,000. should be disapproved. Number SR–Phlx–2007–70 and should Annual Burden: 20,000. be submitted on or before November 23, IV. Solicitation of Comments Jacqueline White, 2007. Interested persons are invited to Chief, Administrative Information Branch. submit written data, views, and [FR Doc. E7–21614 Filed 11–1–07; 8:45 am] BILLING CODE 8025–01–P 5 15 U.S.C. 78f. 6 15 U.S.C. 78f(b)(5). 7 17 CFR 200.30–3(a)(12).

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SOCIAL SECURITY ADMINISTRATION additional cost to the U.S. Social Frequency of Use: Monthly and Security system. Annual. [Docket No. SSA–2007–0080] In addition to the changes in the U.S. Type of Affected Public: Business or Supplementary Agreement on Social and Swedish benefit provisions, the Local Government. Security Between the United States supplementary agreement updates Small Businesses or Organizations and Sweden; Entry Into Force several other provisions to take account Affected: Yes. of amendments to both U.S. and Federal Budget Functional Category AGENCY: Social Security Administration Swedish laws and to conform the Code: 271. (SSA). wording of the agreement to the more Estimated Number of Annual ACTION: Notice. recent Totalization agreements Responses: 2,054. concluded by the United States. Other Estimated Total Annual Burden SUMMARY: The Commissioner of Social changes in the agreement are merely Hours: 3,792. Security gives notice that on November clarifications to reflect the manner in Estimated Average Burden Hours per 1, 2007, a supplementary agreement will which the agreement is currently Response: 1.8 hours. enter into force which amends the applied. Need for and Use of Information: This Social Security agreement between the Individuals who wish to obtain copies information collection supplies TVA United States (U.S.) and Sweden that of the supplementary agreement or want with financial and accounting has been in effect since January 1, 1987. general information about its provisions information to help ensure that electric The supplementary agreement, which may visit the Social Security power produced by TVA is sold to was signed on June 24, 2004, was Administration’s Web site at http:// consumers at rates which are as low as concluded pursuant to section 233 of www.socialsecurity.gov/international or feasible. the Social Security Act. When the original agreement was may write to the Social Security Administration, Office of International Steven A. Anderson, concluded, Sweden had a two-tier Senior Manager, IT Planning & Governance, Social Security system that consisted of Programs, Post Office Box 17741, Baltimore, Maryland 21235. Information Services. an earnings-related, defined-benefit [FR Doc. 07–5462 Filed 11–1–07; 8:45 am] Dated: October 29, 2007. program and a residence-based, flat-rate BILLING CODE 8120–08–M benefit program. Recent Swedish Michael J. Astrue, legislation restructured the system. Commissioner of Social Security. People born after 1953 are now covered [FR Doc. E7–21585 Filed 11–1–07; 8:45 am] DEPARTMENT OF TRANSPORTATION by a program consisting of three BILLING CODE 4191–02–P components. The new Swedish system Federal Aviation Administration includes an earnings-related, defined- [Summary Notice No. PE–2007–40] contribution benefit program TENNESSEE VALLEY AUTHORITY administered by the government, a Petition for Exemption; Summary of program of individual investment Paperwork Reduction Act of 1995, as Petition Received accounts, and a guaranteed minimum Amended by Pub. L. 104–13; Proposed pension payable if income-based Collection, Comment Request AGENCY: Federal Aviation pensions and certain other income fall Administration (FAA), DOT. AGENCY: Tennessee Valley Authority. below specified levels. ACTION: Notice of petition for exemption The primary purpose of the ACTION: Proposed collection; comment received. supplementary agreement is to conform request. the Swedish benefit provisions of the SUMMARY: This notice contains a original agreement to Sweden’s new SUMMARY: The proposed information summary of a petition seeking relief Social Security system. The collection described below will be from specified requirements of 14 CFR. supplementary agreement also changes submitted to the Office of Management The purpose of this notice is to provide the provision that authorizes SSA to and Budget (OMB) for review, as the public an opportunity to comment take into account Swedish periods of required by the Paperwork Reduction on the petition for exemption. Neither coverage in determining eligibility for Act of 1995 (44 U.S.C. Chapter 35, as publication of this notice nor the U.S. Totalization benefits so that it amended). The Tennessee Valley inclusion or omission of information in refers to periods under the new Swedish Authority is soliciting public comments the summary is intended to affect the pension program rather than the old on this proposed collection as provided legal status of the petition or its final program. The new Swedish Social by 5 CFR 1320.8(d)(1). Requests for disposition. Security law allows people to qualify for information, including copies of the DATES: Comments on this petition must most benefits with very little coverage information collection proposed and indicate the docket number and must be credit. It is not expected, therefore, that supporting documentation, should be received on or before November 23, many people will need to have their directed to the Agency Clearance 2007. U.S. and Swedish coverage credits Officer: Alice D. Witt, Tennessee Valley totalized to become eligible for most Authority, 1101 Market Street (EB 5B), ADDRESSES: You may send comments Swedish benefits. Chattanooga, Tennessee 37402–2801; which indicate Docket Number FAA– The supplementary agreement (423) 751–6832. (SC: 0013XYV) 2007–0042 by any of the following provides that U.S. Social Security Comments should be sent to the Agency methods: benefits will not be counted in applying Clearance Officer no later than January • Government-wide rulemaking Web pension offsets that normally reduce the 2, 2008. site: Go to http://www.regulations.gov amount of Swedish disability benefits. SUPPLEMENTARY INFORMATION: and follow the instructions for Thus, the supplementary agreement will Type of Request: Regular submission. submitting comments. provide U.S. workers enhanced Title of Information Collection: Power • Mail: Send comments to the Docket disability benefit protection under the Distributor Monthly and Annual Management Facility; U.S. Department Swedish system at little, if any, Reports to TVA (3316–0002). of Transportation, 1200 New Jersey

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Avenue, SE., West Building Ground DEPARTMENT OF TRANSPORTATION A Stakeholder Involvement Plan Floor, Room W12–140, Washington, DC (SIP), which will meet the SAFETEA– 20590. Federal Highway Administration LU Coordination Plan requirements, • will be developed to ensure that a full Fax: Fax comments to the Docket Environmental Impact Statement: Cook Management Facility at 202–493–2251. range of issues related to this proposed and DuPage Counties, Illinois project are identified and addressed. • Hand Delivery: Bring comments to AGENCY: The SIP provides meaningful the Docket Management Facility, U.S. Federal Highway Administration (FHWA), DOT. opportunities for all stakeholders to Department of Transportation, 1200 participate in defining transportation New Jersey Avenue, SE., West Building ACTION: Notice of Intent. issues and solutions for the study area. Ground Floor, Room W12–140, A project Web site has been established SUMMARY: The FHWA is issuing this Washington, DC 20590 between 9 a.m. (http://www.elginohare-westbypass.org) notice to advise the public that a Tier and 5 p.m., Monday through Friday, as one element of the project public One Environmental Impact Statement involvement program. except Federal holidays. will be prepared for the Elgin O’Hare– Privacy: We will post all comments Comments or questions concerning West Bypass study in Cook and DuPage this proposed action and the Tier One we receive to http:// Counties, Illinois. EIS are invited from all interested www.regulations.gov in their entirety, FOR FURTHER INFORMATION CONTACT: parties and should be directed to the including any personal information you Norman R. Stoner, P.E., Division FHWA at the address provided above. A provide. Using the search function of Administrator, Federal Highway public hearing will be held after the Tier our docket Web site, anyone can find Administration, 3250 Executive Park One draft EIS is published and made and read the comments received into Drive, Springfield, Illinois 62703, available for public and agency review. any of our dockets, including the name Phone: (217) 492–4600. Diane M. Public notice will be given of the time of the individual sending the comment O’Keefe, P.E., Deputy Director of and place of public meetings and (or signing the comment for an Highways, Region One Engineer, Illinois hearings. association, business, or labor union). Department of Transportation, 201 West The Tier One EIS will conclude with Docket: To read the entire petition for Center Court, Schaumburg, Illinois a Record of Decision selecting a exemption, background documents, or 60196, Phone: (847) 705–4000. preferred transportation system comments received, go to http:// SUPPLEMENTARY INFORMATION: The alternative(s). Following the Tier One www.regulations.gov or to the Docket FHWA, in cooperation with the Illinois EIS, projects with independent utility Management Facility, U.S. Department Department of Transportation (IDOT), may be advanced to Tier Two NEPA of Transportation, 1200 New Jersey will prepare a Tier One Environmental documents that will focus on detailed environmental analyses. Avenue, SE., West Building Ground Impact Statement (EIS) for the Elgin Floor, Room W12–140, Washington, DC O’Hare–West Bypass study. The study (Catalog of Federal Domestic Assistance 20590 between 9 a.m. and 5 p.m., area for the EIS is generally bounded by Program Number 20.205, Highway Research, I–90, I–294, and I–290. The Tier One Planning and Construction. The regulations Monday through Friday, except Federal implementing Executive Order 12372 holidays. EIS will complete a broad analysis of transportation system alternative(s) in regarding intergovernmental consultation on Federal programs and activities apply to this FOR FURTHER INFORMATION CONTACT: the study area and evaluate the program) Madeleine Kolb, Transport Airplane environmental impacts at a planning Directorate, FAA at 425–227–1134. level of detail using a Geographic Issued on: October 29, 2007. Norman R. Stoner, This notice is published pursuant to Information System (GIS). P.E., Division Administrator, Springfield, 14 CFR 11.85. The primary environmental resources that may be affected are: Residential, Illinois. Pamela Hamilton-Powell, commercial, and industrial properties; [FR Doc. 07–5450 Filed 11–1–07; 8:45 am] Director, Office of Rulemaking. streams and floodplains; wetlands; and BILLING CODE 4910–22–M open space. This project is being Petition for Exemption developed using the Illinois Department DEPARTMENT OF TRANSPORTATION Docket No.: FAA–2007–0042. of Transportation’s Context Sensitive Solutions policy. Alternatives to be Federal Motor Carrier Safety Petitioner: The Boeing Company. evaluated will include (1) taking no Administration Section of 14 CFR Affected: §§ 25.305, action; (2) transit improvements; (3) 25.307(a), 25.601, 25.603(c), improvements to local roads; (4) a [Docket No. FMCSA–2004–18898] 25.613(a)(b), and 25.1103(d). complete system of improvements Comprehensive Safety Analysis 2010 Description of relief sought: The including limited access highways on existing and new location, transit, Initiative exemption, if granted, would affect transportation system management Boeing 737NG airplanes delivered prior AGENCY: Federal Motor Carrier Safety strategies, and bicycle and pedestrian to May 2007 and would permit Administration, DOT. facilities. installation of a new engine ACTION: Notice of public listening As part of the EIS process, a scoping configuration, improved thrust reverser session. meeting for obtaining input from cascade configuration, or other changes Resource Agencies on level of detail and SUMMARY: The Federal Motor Carrier without requiring a complete finding of methodologies to be addressed in the Safety Administration (FMCSA) compliance for the affected areas. Environmental Impact Statement will be announces a public listening session to [FR Doc. E7–21621 Filed 11–1–07; 8:45 am] held in December 2007. Additional obtain feedback from interested parties BILLING CODE 4910–13–P coordination will occur with the on the Agency’s Comprehensive Safety Resource Agencies to identify a date and Analysis 2010 (CSA 2010) initiative, a location for the scoping meeting. comprehensive review, analysis, and

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restructuring of FMCSA’s current System, (2) Safety Fitness sessions were designed to collect public commercial motor carrier safety and Determination, and (3) Operational input regarding ways FMCSA could enforcement programs. FMCSA will use Model Test. Attendees will have the improve its process of monitoring and the listening session to brief participants opportunity to comment, as well as hear assessing the safety performance of the on the direction and progress of CSA the comments of other stakeholders. motor carrier industry. The majority of 2010, and obtain feedback from its Registration information and participants supported the Agency’s partners and stakeholders. FMCSA also instructions: To attend the listening goal of improving the current safety requests comments on the CSA 2010 session, attendees can register online at fitness determination process through operational model described in this http://www.fmcsa.dot.gov/csa2010– the CSA 2010 initiative. For further notice. register. In addition to registration information on the public listening information, the registration Web site sessions held in 2004, visit the FMCSA DATES: The Public Listening Session provides additional details about the will be held on December 4, 2007, from Web site at http://www.fmcsa.dot.gov/ agenda. If there are any questions, or if 8 a.m. to 3:30 p.m. Participant (click on the CSA2010 link) and see the an attendee prefers to register via final report, ‘‘Comprehensive Safety registration will be from 8 a.m. to 9 a.m. telephone, please contact the Analysis Listening Sessions.’’ Written comments must be received by registration help desk at (301) 495–8458. On November 16, 2006, FMCSA held January 31, 2008. Instructions for submitting written another listening session to gather Location: The Public Listening comments: Comments regarding CSA information and feedback on CSA 2010 Session will be held near Dallas at the 2010 can be filed with the Federal from its partners and stakeholders (71 Sheraton Arlington Hotel, 1500 Docket Management System (FDMS). FR 61131, October 17, 2006). The Convention Center Drive, Arlington, For detailed instructions on submitting session was held in Washington, DC, Texas 76011. The phone number is 817– comments see ADDRESSES section above. with close to 100 attendees that 261–8200. All submissions must include the included a cross-section of Federal, ADDRESSES: You may submit comments Agency name and docket identification state, and local government agencies, identified by FDMS Docket ID Number number for this notice. Note that all motor carriers, industry associations, FMCSA–2004–18898 and by any of the comments received will be posted to insurance and consulting firms, and following methods: http://www.regulations.gov, including safety advocacy groups. The event Federal eRulemaking Portal: Go to any personal information provided. included a plenary session and four http://www.regulations.gov. Follow the Please see the Privacy Act heading for breakout sessions, which described four online instructions for submitting further information. major aspects of CSA 2010: (1) comments. Docket: For access to the docket to Measurement, (2) Safety Fitness Alternatively, you can file comments read background documents or Determination, (3) Intervention using the following methods: comments received, go to http:// Selection and Entity Characteristics, and Mail: Docket Management Facility: www.regulations.gov. Follow the online (4) Safety Data and Tracking, Evaluation U.S. Department of Transportation, 1200 instructions for accessing the dockets. and Data Validation. Participants at New Jersey Avenue, SE., Room W12– Privacy Act: Anyone is able to search each of the breakout sessions provided 140, Washington, DC 20590. the electronic form of all comments valuable information, which FMCSA Hand Delivery or Courier: West received into any of our dockets by the has taken into account during its Building Ground Floor, Room W12–140, name of the individual submitting the continued development of the CSA 2010 1200 New Jersey Avenue, SE., between comment (or of the person signing the operational model. For further 9 a.m. and 5 p.m. ET, Monday through comment, if submitted on behalf of an information on the public listening Friday, except Federal holidays. association, business, labor union, etc.). sessions held in 2006, visit FDMS Fax: 202–493–2251. You may review the Department of Docket Identification Number FMCSA– FOR FURTHER INFORMATION CONTACT: Transportation’s complete Privacy Act 2004–18898 at http:// Cathy McNair, Program Manager Statement in the Federal Register www.regulations.gov and see the final Assistant, CSA 2010, (202) 366–0790. published on April 11, 2000 (65 FR report, ‘‘Comprehensive Safety Analysis SUPPLEMENTARY INFORMATION: Format of 19477; Apr. 11, 2000). 2010, 2006 Listening Session.’’ Listening Session: During the Public The purpose of the December 2007 Listening Session, FMCSA will describe Background public listening session is for FMCSA to its progress on CSA 2010 to date. In August 2004, FMCSA embarked on brief its stakeholders and partners on FMCSA will accept comments on the CSA 2010—a comprehensive review the progress that has been made since CSA 2010 operational model and any and analysis of the FMCSA motor the listening session in 2006. FMCSA additional information FMCSA should vehicle safety compliance and plans to hold additional CSA 2010 consider for the success of the CSA 2010 enforcement programs (69 FR 51748, listening sessions to continue the initiative. August 20, 2004). The goal of CSA 2010 process of updating its partners and The session will include a morning is the development and deployment of stakeholders and receive feedback. plenary session (9 a.m.), and three a new operational model, a new facilitated breakout sessions. Each approach to using FMCSA resources to Current Operational Model and Its breakout session will be run three identify drivers and motor carriers that Limitations consecutive times so that all attendees pose safety problems and to intervene to FMCSA currently collects several will have the opportunity to participate address those problems as soon as they kinds of data on motor carriers, in all three sessions. Each session will become apparent. FMCSA understands including Federal and state information run for 90 minutes, beginning at 10:15 how important it is to the success of this on crashes and roadside inspections, a.m., 12:15 p.m., and 2 p.m. This will initiative to obtain feedback from its and enforcement actions. FMCSA uses allow 15 minutes between each partners and stakeholders and other the data to (1) determine which motor breakout session and 30 minutes for interested parties. carriers should be selected for on-site lunch. The three breakout sessions will The Agency held a series of public compliance reviews, and (2) determine address specific aspects of the CSA 2010 listening sessions on CSA 2010 in the safety fitness of motor carriers. initiative: (1) Safety Measurement September and October of 2004. These Currently FMCSA employs SafeStat, an

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analytical process that evaluates the programmatic responsibilities, Agency Agency’s compliance and enforcement safety status of individual motor resources available for these efforts have programs. Its ultimate goal is to achieve carriers. SafeStat uses data from a remained relatively constant over time. a greater reduction in large truck and variety of state and Federal sources to Further compounding this limitation in bus crashes, injuries, and fatalities, measure the relative safety performance the current process is the fact that the while making efficient use of the and compliance of individual motor full CR is generally deployed at a resources of FMCSA and its state carriers in four Safety Evaluation Areas carrier’s place of business as a one-size- partners. In contrast to the Agency’s (SEAs): Accident, Driver, Vehicle, and fits-all tool to address what may not be current operational model, CSA 2010 is Safety Management. SafeStat is a comprehensive safety problem. In its characterized by (1) a more currently used by the FMCSA to present structure, the FMCSA comprehensive measurement system, (2) identify and prioritize motor carriers for compliance review program is resource a safety fitness determination on-site compliance reviews (CRs) and intensive and reaches only a small methodology that is based on roadside inspections. For a full percentage of motor carriers. On-site performance data and not necessarily description of the SafeStat methodology, CRs take one safety investigator an tied to an on-site compliance review, visit the FMCSA Web site at: http:// average of 3 to 4 days to complete, and and (3) a broader array of progressive ai.fmcsa.dot.gov. are used to determine a motor carrier’s interventions. FMCSA believes that CSA FMCSA issues a safety fitness safety fitness. At present staffing levels, 2010 will help the Agency assess the determination and a corresponding FMCSA can perform CRs on only a safety performance of a greater segment safety rating as a result of an on-site small portion of the 700,000 active of the industry and intervene with more compliance review (CR). The CR interstate motor carriers. These factors carriers to change unsafe behavior assesses whether a motor carrier’s safety have made it increasingly challenging to earlier. management controls are functioning make sustained improvements to motor FMCSA has made significant progress effectively to ensure acceptable carrier safety using existing intervention in its development of the CSA 2010 compliance with the safety fitness programs and measurement systems. operational model, and is planning on standard found at 49 CFR 385.5. Moreover, in recent years the decline in launching a field test of the model Currently, the safety ratings that can the rate of large truck and bus fatalities beginning in January 2008. There are result from a CR are Satisfactory, per 100 million vehicle miles traveled four major components to CSA 2010: (1) Conditional, or Unsatisfactory. FMCSA has leveled off. Measurement, (2) Interventions, (3) may take enforcement actions against a For these reasons, along with Safety Fitness Determination, and (4) motor carrier as a result of the CR. A improvements in the quality of data Information Technology. Each significant limitation of this process is available to FMCSA and improved ways component and its status are described that a motor carrier’s safety rating to measure carrier safety, FMCSA is below. While the Agency requests generally cannot change without the exploring ways through CSA 2010 to comments on all aspects of the CSA conduct of an additional compliance improve its current process for 2010 operational model, there are three review. As a result, the meaning of a monitoring, assessing, and enforcing the specific areas that will be the subjects of motor carrier’s safety rating in terms of safety performance of motor carriers and the breakout sessions during the being a current assessment of its safety drivers. The Agency believes that CSA upcoming listening session: (1) Safety diminishes over time and may be 2010 has the potential to achieve a Measurement System, (2) Safety Fitness misleading to those that might greater reduction in large truck and bus Determination, and (3) Operational incorrectly interpret it as a reflection of crashes, and that additional Agency Model Test. The illustration below a motor carrier’s current safety status. resources would impact this potential demonstrates how the major FMCSA compliance and safety crash reduction even more. components of CSA 2010 would work programs improve and promote safety together. In developing the new model Comprehensive Safety Analysis 2010 performance. However, despite FMCSA continues to strive for increases in the motor carrier CSA 2010 is a major FMCSA initiative flexibility, efficiency, effectiveness, population, as well as increased to improve the effectiveness of the innovation, and equity.

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Safety Measurement System—The dangerous or careless manner. Example use of alcohol, drugs, or other controlled role of the Safety Measurement System violations include speeding, reckless substances. (SMS) within the CSA 2010 operational driving, improper lane change, and Driver Fitness—The operation of model is to monitor and quantify the inattention. commercial motor vehicles (CMV) by safety performance of motor carriers and Fatigued Driving—The operation of drivers who are unfit to operate a CMV drivers through data available in the commercial motor vehicles by drivers in due to lack of training or medical Motor Carrier Management Information non-compliance with the hours-of- qualifications. Example violations System (MCMIS). Under CSA 2010 service (HOS) regulations. This BASIC include failure to have a valid and these data would include violations focuses on violations of the HOS appropriate commercial driver’s license found during roadside inspections, regulations including violations of and being medically unqualified to traffic enforcement, and the intervention driving time limits, driving after operate a CMV. process (discussed below), as well as reaching on-duty time limits, and failure Controlled Substances and Alcohol— crashes. SMS would group data into to maintain complete and accurate log The operation of CMVs by drivers who seven Behavioral Analysis Safety books. This BASIC is not intended to are in possession of alcohol or illegal Improvement Categories (BASICs), each suggest that the Agency has determined drugs, or impaired due to alcohol, of which includes regulatory that the driver was actually fatigued. illegal drugs, or misuse of prescription requirements for both motor carriers and Also, instances related to the Fatigued or over-the-counter medications. drivers. Driving BASIC are distinguished from Example violations include the use or Unsafe Driving—The operation of incidents where unconsciousness or possession of controlled substances or commercial motor vehicles in a inability to react is brought about by the alcohol.

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Vehicle Maintenance—Commercial FMCSA developed the BASICs under classified into a BASIC. Third, these motor vehicle failure due to improper or the premise that CMV crashes can data would then be time weighted, inadequate maintenance. Example ultimately be traced to the behavior of severity weighted, normalized, and peer violations include brakes, lights, and motor carriers and drivers. The grouped to form a quantifiable measure other mechanical defects, and failure to categories are derived from the existing for the entity in each BASIC. In make required repairs. FMCSA regulatory structure, the Large addition, the Safety Measurement Improper Loading/Cargo Truck Crash Causation Study, and other System would employ data sufficiency Securement—CMV incidents resulting analyses and studies conducted by the standards to ensure there are enough from shifting loads, spilled or dropped Agency. data to produce meaningful measures of cargo, and unsafe handling of hazardous Four principal steps would be used to safety performance. Finally, based on a materials. Example violations include assess entity (motor carrier or driver) comparison of each entity’s BASIC improper load securement, cargo performance in each BASIC. First, measure to those of its peers, a rank and retention, and hazardous material relevant inspection, violation, and crash handling. data from the Motor Carrier percentile would be assigned. The Crash—Histories or patterns of crash Management Information System would motor carrier’s score in each BASIC involvement, including frequency and be attributed to an entity to create a would be based on data from the past severity. It is based on information from safety event history. Second, each 24-months. These steps are illustrated state-reported crashes. entity’s violations and crashes would be below in Figure 2.

FMCSA anticipates using the SMS There are six important differences tools that would be used in a systematic results in CSA 2010 to identify and between the SMS and the Agency’s way to intervene with a carrier and its monitor entities with safety problems current measurement system, SafeStat: drivers, depending on the BASIC with respect to its BASICs for inclusion 1. SMS is organized by seven specific measures identified by the Safety in the intervention process (described behaviors (BASICs) while SafeStat is Measurement System. The interventions below under Interventions). Also, in organized into four general Safety are designed to be progressive, cases where the SMS results are robust Evaluation Areas (SEAs). increasing in severity and interaction enough to indicate strong crash risk to 2. SMS identifies safety problems in with motor carriers and their drivers. the public, FMCSA anticipates applying the same structure in which CSA 2010 The goal is to use the interventions to these results along with other factors addresses those problems, while reach a larger segment of the motor that could lead to a proposed Unfit SafeStat prioritizes carriers for a one- carrier industry, and to change unsafe safety fitness determination (described size-fits-all compliance review. behavior early: below under Safety Fitness 3. SMS uses all safety-based inspection violations while SafeStat Warning Letter—The warning letter Determination). Thus, FMCSA would would be sent to a motor carrier when establish thresholds for each BASIC to uses only out-of-service violations and selected moving violations. its safety performance data exceeds the trigger the intervention process and play Safety Measurement System threshold a role in adverse safety fitness 4. SMS uses risk-based violation weightings while SafeStat does not. for intervention in one or more BASICs. determinations. 5. SMS impacts the safety fitness The letter would advise the motor FMCSA is designing two Safety determination of an entity, while carrier of the apparent safety problems, Measurement Systems—one for carriers, SafeStat has no impact on an entity’s and the potential consequences of Carrier Safety Measurement System safety fitness rating. continued operation in that way. It (CSMS), and one for drivers, Driver 6. SMS assesses individual drivers would also refer the motor carrier to Safety Measurement System (DSMS). and carriers, while SafeStat assesses Web-based educational tools and Both systems are in the prototype stage only carriers. information for self improvement, and and will be used to support the Interventions—Over the past year the letter would provide the motor operational model test discussed below. FMCSA has made considerable progress carrier with instructions on how to FMCSA plans to demonstrate the Safety in developing the system of challenge the underlying safety data if Measurement System during the interventions that would be used under the motor carrier believes the data is in upcoming listening session. CSA 2010. It provides a broad array of error.

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Targeted Roadside Inspection—The address safety problems. The Agency believes that identifying the root causes warning letter would also trigger would monitor the carrier’s safety would in many cases help motor targeted roadside inspection. The same performance, and increase intervention carriers and drivers apply the most information on deficient BASICs if performance does not improve. effective corrective actions. At the same described in the warning letter would be Notice of Violation—The purpose of time, however, it is important to note reflected in roadside information the notice of violation would be to that FMCSA is a Federal enforcement software used by roadside inspectors. increase the motor carrier’s awareness of agency, and that ultimately it is the This would enable them to monitor the enforcement intent on the part of the responsibility of motor carriers and status of those safety problems with that Agency. It could be useful where the drivers to know, understand, and motor carrier, and confirm their violation is immediately correctable. It comply with all applicable safety existence or correction. This would also would put the carrier on notice of regulations. help improve the overall effectiveness of specific regulatory violations. The motor Finally, the new intervention process roadside inspections. carrier would then have to provide would also require that areas of Off-Site Investigation—The off-site evidence of corrective action, or essential motor carrier safety investigation would enable FMCSA and successfully challenge the identified management be subject to sampling of its state partners to evaluate safety safety violations. The notice of violation motor carrier records. These data could problems without the cost of sending could provide the motor carrier with impact a carrier’s safety fitness enforcement officials to a motor carrier’s motivation to change unsafe behavior to determination, as described below place of business. It would involve avoid a fine. under Safety Fitness Determination. The requests for documentation from the Notice of Claim—The purpose of the specific regulatory areas that would be carrier and third-parties, and constitute notice of claim is to deter severe or subject to such sampling are listed a desktop review of available persistent unsafe behavior. It is issued below in Table 2. as a formal document and served on the information to determine the nature and Safety Fitness Determination—Under violator to compel compliance. The extent of identified safety problems. The 49 U.S.C. 31144, FMCSA is required to notice of claim would be triggered by off-site investigation would be triggered ‘‘maintain by regulation a procedure for by persistent safety problems, or those evidence of a severe regulatory violation determining the safety fitness of an severe enough to warrant investigation. or history of violations, sufficient to owner or operator.’’ Under the Agency’s Focused On-Site Investigation—The justify assessment of penalties. focused on-site investigation would take Settlement Agreement—The purpose current operational model, FMCSA uses place at the motor carrier’s place of of the settlement agreement is to the compliance review process to issue business, and would be employed when contractually bind the motor carrier to motor carrier safety ratings, which can the carrier exhibits a persistent safety take actions to improve safety. The be Satisfactory, Conditional, or problem in one area. It would enable motor carrier is given the opportunity to Unsatisfactory, defined under 49 CFR FMCSA and its state partners to focus enter into the settlement agreement to part 385. Under CSA 2010, safety fitness on the identified safety problem without avoid fines or suspension of operations. determinations would be based on spending time and resources where no The settlement agreement identifies the safety performance data, and would not other safety problems have been consequences to the motor carrier if it necessarily require an on-site identified. It would involve reviewing does not take the agreed upon action investigation like today’s compliance records, interviewing personnel, and return to compliance. The review. FMCSA believes that this analyzing practices, and identifying agreement would allow the carrier to approach would enable the Agency to corrective actions. The focused on-site avoid significant penalties by assess the safety performance of a investigation could be triggered by a committing to major safety greater segment of the motor carrier continuing deficient or worsening improvements, for example, with the industry, and make formal safety fitness BASIC, or a fatal crash or complaint. understanding that failure to comply determinations that are available to the Comprehensive On-Site with the terms of the settlement public and more reflective of a motor Investigation—The comprehensive on- agreement would result in the carrier’s current performance. site investigation would also take place immediate imposition of the maximum During the November 2006 listening at the motor carrier’s place of business. penalty that would otherwise have been session, FMCSA discussed the concept It would be employed when the carrier levied. of changing the safety fitness exhibits broad and complex safety Unfit Suspension—A motor carrier is determination methodology from the problems through multiple deficient placed out of business. current three tier system of Satisfactory- BASICs, and would be similar to the While the above interventions are Conditional-Unsatisfactory to a two tier compliance review conducted under the presented in their logical sequence of system of Continue Operation or Unfit. Agency’s current operational model. severity, it is important to note that FMCSA pointed out that: (1) The The comprehensive on-site investigation FMCSA and its state partners would not governing legislation requires only that could be triggered by continuing necessarily follow this sequence for the Agency determine the safety fitness deficient or worsening multiple BASICs, each carrier. Instead, factors such as of an owner or operator, (2) the two-tier or a fatal crash or complaint. carrier history, level of safety approach seemed simpler, and (3) it Cooperative Safety Plan—The performance, motor carrier would move away from use of the term cooperative safety plan (CSP) could be characteristics, and investigative Satisfactory. That term can be triggered after investigation reveals discretion could influence the misperceived by the public as FMCSA safety problems for which the motor intervention selected to encourage approval of a carrier, when in fact the carrier expresses a willingness to change in unsafe behavior. Agency has simply found no patterns of remedy. It could be used to support Another distinguishing feature of CSA violations during the most recent CR safety improvements before the levying 2010 is the investigative process. Under that rise to the Conditional or of fines. It would be a structured plan CSA 2010 one of the primary goals Unsatisfactory level. Under the developed and implemented voluntarily during the intervention process would Agency’s current operational model, the by the motor carrier. The CSP would be be to identify the root cause of the safety term Satisfactory can also remain with the motor carrier’s action plan to problem under investigation. FMCSA a motor carrier for several years even

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though its safety performance may have Conditional-Unsatisfactory to Continue ensuring safety that no motor carrier deteriorated. Operation-Marginal-Unfit. The Agency should be allowed to operate if any of Since November 2006, FMCSA has believes that this terminology might these violations are found and not made significant progress in developing eliminate the public’s possible immediately corrected. Factors (1), (2), a preliminary CSA 2010 safety fitness misperception associated with the term and (3) would align within the seven determination methodology. Under this Satisfactory. The term Marginal has BASICs referenced above in the Safety methodology, FMCSA has dropped the been substituted for Conditional Measurement System. These same concept of having a two-tier system in because it may be more meaningful in factors would be applied to a set of favor of the three-tier system. This conveying the message, ‘‘marginal in safety fitness criteria to determine a change is based in large part on safety performance.’’ Likewise the term BASIC failure. comments received in response to last Unfit may convey a clearer message A carrier’s SMS measures and year’s public listening session. There than the term Unsatisfactory, especially verifiable crash rate in Factors (1) and were substantial comments indicating given the Transportation Equity Act for (2), respectively, would be applied to a the need to make a distinction among the 21st Century (TEA 21) requirement set of Unfit thresholds to determine a carriers within the Continue Operation concerning Unfit motor carriers (65 FR BASIC failure. These thresholds would category, so that the public would know 50919 dated August 22, 2000). be based on the carrier’s absolute BASIC about those carriers with which the Under this methodology, there would measures and crash rate, as opposed to Agency is intervening; and to make it be four major factors that could impact the relative percentile rankings from the clear that sub-par performance, even in a motor carrier’s safety fitness SMS. a single behavior area, would be determination: (1) Roadside inspections Carriers that have received identified with an adverse safety fitness results as assessed by the Safety interventions resulting in violations in determination. After considering these Management System (SMS) through the areas of essential motor carrier comments, FMCSA has tentatively stand alone or non-stand alone BASICs, safety management that equal or exceed decided to use the three-tier approach in (2) a verifiable crash rate, (3) where a 10% violation rate of records check this CSA 2010 safety fitness essential safety management violations will also result in a BASIC failure. determination methodology. However, are 10 percent or more of records Table 1 below illustrates how these for purposes of this methodology, the checked during the intervention BASIC failures would interact to Agency is considering changing the process, and (4) fifteen violations which determine a motor carrier’s safety three-tier terminology from Satisfactory- FMCSA believes are so fundamental to fitness:

TABLE 1.—PRELIMINARY CSA 2010 SAFETY FITNESS DETERMINATION METHODOLOGY

Non-Stand Alone BASICs: Driver Fitness Stand Alone BASICs: Drug/Alcohol Fifteen Safety Fitness Unsafe Driving Cargo Securement Fundamental Violations Determination Fatigued Driving Vehicle Maintenance Verifiable Crash Rate

Number of BASICs: Number of BASICs: See Table 3 below ...... Continue Operation. (1) With SMS measure above (1) With SMS measure or verifiable crash rate Marginal. Unfit threshold, or above Unfit threshold, or Unfit. (2) Where essential safety man- (2) Where essential safety management viola- agement violations are 10 per- tions are 10 percent or more of records cent or more of records checked checked.

1 ...... Unfit. 0 ...... Greater than 1 ...... Unfit. 0 ...... 0 ...... 1 ...... Unfit. 0 ...... 1 ...... 0 ...... Marginal. 0 ...... 0 ...... 0 ...... Continue Operation.

The above methodology makes a Management System has shown that safety fitness determinations on all distinction between ‘‘stand alone’’ and carriers with past poor performance in motor carriers for which it has sufficient ‘‘non-stand alone’’ BASICs. For the the Unsafe Driving or Fatigue Driving data. These would be updated monthly ‘‘stand alone’’ BASICs a failure in only BASICs were subsequently involved in and made available to the public. one of them would result in a proposed crashes at a considerably higher rate Information Technology—Information Unfit status, whereas for the ‘‘non-stand than the overall crash rate of the motor technology (IT) is the fourth major alone’’ BASICs a failure in more than carrier population. component of CSA 2010, and one of them would be required for the FMCSA believes that this preliminary COMPASS is the Agency’s major IT proposed Unfit status. The rationale for safety fitness determination modernization initiative. CSA 2010 is this distinction is that, although each of methodology would allow the Agency to coordinating closely with the the BASICs applies to both carriers and assess the safety performance of a larger COMPASS program so that the drivers, the ‘‘stand alone’’ BASICs are segment of the motor carrier industry. In timelines of both programs are more directly related to driver behavior. contrast to the Agency’s current synchronized as much as possible. With Recent research indicates that driver methodology, this approach is not tied respect to CSA 2010, COMPASS will behavior is a major contributing factor to an on-site compliance review and it track and update the safety performance in causing crashes. In particular, an takes into account virtually all of the data from regulated entities as they are effectiveness study on the Safety safety regulations. FMCSA would issue received, link relevant data to the

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correct entity, validate the data, and carriers with mediocre performance it would be removed from the test and provide the mechanisms for correcting which are not currently being reached. undergo the traditional compliance data. COMPASS will also support the Roadside and accident data that feed the review and any necessary enforcement intervention process as FMCSA and its CSA 2010 operational model are already action. state partners gather safety performance being used and applied to A and B The Agency plans to begin the test in data on motor carriers and drivers. carriers. January 2008. The test would have two Chameleon carriers. These are carriers Operational Model Test phases. Phase I would be a six-month that attempt to evade enforcement startup phase where only three BASICs FMCSA is planning to field test the actions or out-of-service orders by re- would be measured: Unsafe Driving, new CSA 2010 operational model (Op- registering as new entrants and Fatigued Driving, and Vehicle Model) beginning in January 2008. The operating under new DOT numbers. Maintenance. This would allow time for purpose of the test is to determine both Once identified, these carriers would be the test to become fully operational by the feasibility and effectiveness of the removed and subject to current new CSA 2010 interventions and Safety June 2008, when the remaining BASICs compliance and enforcement actions. would be added. Management System. The carriers that are thus excluded During the Op-Model test, FMCSA will continue to be subject to current The test is scheduled to run for 30 will not be providing any regulatory processes, including compliance months into mid-2010, at which time relief. Motor carriers will not actually be reviews. These exclusions are designed FMCSA is targeting full CSA 2010 rated under the CSA 2010 safety fitness to ensure that the two remaining groups implementation. The thirty-month determination methodology, because of carriers (test and control) are similar timeframe is designed to provide that methodology must yet be in characteristics for evaluation sufficient data for statistical purposes implemented through rulemaking. purposes. with results evaluated at periodic Instead, a motor carrier in the Op-Model After the exclusions described above intervals. It is anticipated that full test with poor safety performance, and are made, FMCSA plans to randomly implementation of CSA 2010 could take found to be unresponsive to the new divide the remaining motor carriers place through the addition of more CSA 2010 interventions, would undergo domiciled in the test states into two states when the safety fitness a compliance review and be rated in equal sized groups—a test group and a determination rulemaking is completed. accordance with the Agency’s current control group. The control group would Of course, the Agency will consider the compliance and enforcement process be addressed through the Agency’s results of the ongoing Op-Model test in and be subject to fines, penalties, and current operational model, which fine tuning the rulemaking through other actions to bring about compliance. involves the use of SafeStat to identify notice and comment. Likewise, The test will take place in four states: motor carriers for compliance reviews comments received during the Colorado, Georgia, Missouri, and New and any required enforcement actions. rulemaking will be considered for any Jersey, which will provide one test state Those motor carriers in the test group needed course correction during the Op- for each of the four FMCSA Service would receive CSA 2010 interventions Model test. Initially, the results will Centers. FMCSA anticipates that this based on information provided by the likely be more qualitative than geographic and demographic diversity Safety Measurement System. Again, quantitative. However, as the test will help provide a representative cross- motor carries in the test group with poor progresses and more data are gathered, section of the motor carrier population. safety performance, and found to be the Agency anticipates being able to Approximately ten percent of the total unresponsive to the new CSA 2010 make quantitative evaluations of the number of active carriers and power interventions, would undergo a effectiveness of CSA 2010. As with any units in the U.S. are based in these four compliance review and be rated in planned activity, FMCSA will continue states. Carriers that are domiciled in accordance with the Agency’s current to fine tune its plans for the Op-Model these four states will be assigned to one compliance and enforcement process. test until it commences in January 2008. of three groups: FMCSA anticipates that the number of FMCSA plans to use approximately Current Process Group: This is a small 30 Federal and state investigators to number of carriers that is excluded from such carriers would be relatively low, since SafeStat A/B carriers will be carry out the new CSA 2010 the test, as discussed below. interventions in the test group. Training Test Group: This is approximately 1⁄2 initially excluded from the test. for the investigators involved in the test of the remaining carriers. However, as the test progresses, Control Group: This is approximately FMCSA is considering adding SafeStat group is planned for late January 2008, after which the Op-Model test will 1⁄2 of the remaining carriers. A/B motor carriers to the test. Including Carriers in the Current Process Group A/B carriers would help demonstrate immediately begin. include the following: the effectiveness of the new Comments Requested Carriers that have had a compliance interventions on the group of carriers review within the past 18 months. This that FMCSA traditionally targets. It may FMCSA requests comments from all should help avoid the question of be that with some of the less time- interested parties on the CSA 2010 whether a carrier’s performance consuming CSA 2010 interventions, program elements described in this improvement was due to a CSA 2010 FMCSA could reach A/B carriers more notice. FMCSA is particularly interested intervention or the compliance review. quickly than they would otherwise be in comments related to the Safety SafeStat category A/B carriers. This reached using the compliance review Measurement System, interventions, exclusion would ensure that FMCSA process. If the new interventions are preliminary safety fitness determination complies with relevant mandates and effective, the carrier could be moved off methodology, and operational model policies to perform compliance reviews of the A/B list, thereby eliminating the test. Commenters are requested to on category A and B motor carriers. It need for a compliance review. If, provide supporting rationale and data would also help focus the test on however, the carrier does not respond, wherever possible.

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TABLE 2.—AREAS OF ESSENTIAL MOTOR CARRIER SAFETY MANAGEMENT

1. Scheduling a run which would necessitate the vehicle being operated at speeds in excess of those prescribed (§ 392.6). 2. Operating a motor vehicle not in accordance with the laws, ordinances, and regulations of the jurisdiction in which it is being operated (§ 392.2)(Safety related violations only). 3. No operating authority (392.9a(a). 4. False reports of records of duty status (§ 395.8(e)). 5. Requiring or permitting driver to drive more than 11 hours (§ 395.3(a)(1)). 6. Requiring or permitting passenger CMV driver to drive more than 10 hours (§ 395.5(a)(1)). 7. Requiring or permitting driver to drive after 14 hours on duty (§ 395.3(a)(2)). 8. Requiring or permitting passenger CMV driver to drive after 15 hours on duty (§ 395.5(a)(2)). 9. Requiring or permitting driver to drive after 60 hours on duty in 7 days (§ 395.3(b)(1)). 10. Requiring or permitting driver to drive after 70 hours on duty in 8 days (§ 395.3(b)(2)). 11. Requiring or permitting passenger CMV driver to drive after 60 hours on duty in 7 days (§ 395.5(b)(1)). 12. Requiring or permitting passenger CMV driver to drive after 70 hours on duty in 8 days (§ 395.5(b)(2)). 13. Requiring or permitting short-haul property CMV driver to drive after 16 hours on duty (§ 395.1(o)). 14. No records of duty status (§ 395.8(a)). 15. Failing to submit record of duty status within 13 days (§ 395.8(i)). 16. Failing to preserve records of duty status for 6 months (§ 395.8(k)). 17. Failing to preserve supporting documents (§ 395.8(k)). 18. Fraudulent or intentional alteration of a supporting document (§ 395.8(k)). 19. Requiring or permitting driver to drive after 70 hours in 7 days (Alaska)(§ 395.1(h)(1)(iii)). 20. Requiring or permitting driver to drive after 80 hours on duty in 8 days (Alaska)(395.1(h)(1)(iv)). 21. Requiring or permitting driver to drive more than 15 hours (Alaska)(§ 395.1(h)(1)(i)). 22. Requiring or permitting driver to drive after being on duty 20 hours (Alaska)(§ 395.1(h)(1)(ii)). 23. Requiring or permitting passenger CMV driver to drive more than 15 hours (Alaska). ( § 395.1(h)(2)(i)). 24. Requiring or permitting passenger CMV driver to drive after 20 hours on duty (Alaska)( § 395.1(h)(2)(ii)). 25. Requiring or permitting passenger CMV driver to drive after 80 hours on duty in 8 days (Alaska)( § 395.1(h)(2)(iv)). 26. Requiring or permitting passenger CMV driver to drive after 70 hours on duty in 7 days (Alaska)(395.1(h)(2)(iii)). 27. Failing to investigate driver’s background (§ 391.23(a)). 28. Failing to maintain driver qualification file on each driver employed (§ 391.51(a))(Use current guidance of no element of DQ file requirements found). 29. Operating a CMV without a valid CDL (§ 383.23(a))(Safety related loss only). 30. Failing to train hazardous material employees as required (§ 172.704(a) & § 177.800(c)). 31. Using a driver not medically re-examined each 24 months (§ 391.45(b)(1)). 32. Using a driver not medically examined and certified (§ 391.45(a)). 33. Using a driver before receiving a negative pre-employment result (§ 382.301(a)). 34. Failing to perform random alcohol tests at the applicable rate (§ 382.305(b)(1)). 35. Failing to perform random controlled substance tests at the applicable rate (§ 382.305(b)(2)). 36. Using a driver without a return to duty test (§ 382.309). 37. Failing to keep minimum records of inspection and maintenance (§ 396.3(b)). 38. Requiring or permitting a driver to drive without the vehicle’s cargo being properly distributed and adequately secured (§ 392.9(a)(1)). 39. Transporting a HM without preparing a shipping paper (§ 172.200(a) & § 177.817(a))(no shipping paper at all). 40. Transporting HM in a package with an identifiable release of HM (§ 173.24). 41. Loading a cargo tank with an HM which exceeds the maximum weight of lading marked on the specification plate (§ 173.24b(d)(2)). 42. Loading HM not in accordance with the separation and segregation table (§ 173.30/177.848(d)). 43. Transporting HM in an unauthorized cargo tank (§ 173.33(a)). 44. Transporting or loading two or more materials in a cargo tank motor vehicle which resulted in an unsafe condition (§ 173.33(a)(2)). 45. Transporting a hazardous material in a cargo tank motor vehicle which has a dangerous reaction when in contact with the tank (§ 173.33(b)(1)). 46. Transporting an unacceptable HM shipment (§ 177.801). 47. Failing to attend a cargo tank during loading/unloading (§ 177.834(i)). 48. Offering a cargo tank which has not successfully completed a test or inspection which has become due (§ 180.407(a)). 49. Failing to test and inspect a cargo tank which has been in an accident and has been damaged (§ 180.407(b)(2)). 50. Failing to conduct a pressure test on a cargo tank which has been out of HM service for one year or more (§ 180.407(b)(3)). 51. Failing to test and inspect a cargo tank which has been modified (§ 180.407(b)(4)). 52. Failing to conduct a test or inspection on a cargo tank when required by DOT (§ 180.407(b)(5)). 53. Failing to periodically test and inspect a cargo tank (§ 180.407(c)).

TABLE 3.—FUNDAMENTAL VIOLATIONS

1. Failing to implement an alcohol and/or controlled substance testing program (§ 382.115(a) or (b)). 2. Using a driver who has refused to submit to an alcohol or controlled substances test required under part 382 (§ 382.211). 3. Using a driver known to have tested positive for a controlled substance (§ 382.215). 4. Knowingly allowing, requiring, permitting, or authorizing an employee with a commercial driver’s license which is suspended, revoked, or can- celed by a state or who is disqualified to operate a commercial motor vehicle as defined in Part 383. (§ 383.37(a)). 5. Knowingly allowing, requiring, permitting, or authorizing a driver who is disqualified to drive a commercial motor vehicle (§ 383.51(a)). 6. Operating a motor vehicle transporting property without having in effect the required minimum levels of financial responsibility coverage (§ 387.7(a)). 7. Using a disqualified driver (§ 391.15(a)). 8. Using a physically unqualified driver (§ 391.11(b)(4)). 9. Failing to require a driver to make a record of duty status (§ 395.8(a)) (Complete lack of any records of duty status). 10. Requiring or permitting the operation of a motor vehicle declared ‘‘out-of-service’’ before repairs are made (§ 396.9(c)(2)). 11. Using a commercial motor vehicle not periodically inspected (§ 396.17(a)). (Complete lack of any periodic inspections). 12. Operating a passenger carrying vehicle without having in effect the required minimum levels of financial responsibility (§ 387.31(a)).

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TABLE 3.—FUNDAMENTAL VIOLATIONS—Continued 13. Failing to implement a random controlled substances and/or an alcohol testing program (§ 382.305). 14. Failing to correct out-of-service defects listed by a driver in a driver vehicle inspection report before the vehicle is operated again (§ 396.11(c)). 15. Transporting a forbidden material (§ 177.801).

Issued on: October 30, 2007. comply with the National Conformity determination; finding of no John H. Hill, Environmental Policy Act (NEPA), and significant encroachment on floodplains Administrator. in other documents in the FTA in accordance with Executive Order [FR Doc. E7–21671 Filed 11–1–07; 8:45 am] administrative record for the project. 11988; finding of no practicable BILLING CODE 4910–EX–P The final agency environmental alternative to new construction in decision documents—Records of wetlands in accordance with Executive Decision (RODs) or Findings of No Order 11990; and consultation with the DEPARTMENT OF TRANSPORTATION Significant Impact (FONSIs)—for the U.S. Department of the Interior (DOI) listed projects are available online at under Section 7 of the Endangered Federal Transit Administration http://www.fta.dot.gov/planning/ Species Act, resulting in DOI’s issuance environment/planning_environment of a Biological Opinion. Supporting Notice of Limitation on Claims Against _documents.html or may be obtained by documentation: Central Florida Proposed Public Transportation contacting the FTA Regional Office for Commuter Rail Transit North/South Projects the metropolitan area where the project Corridor Project: Environmental AGENCY: Federal Transit Administration is located. Contact information for the Assessment issued in December 2006. (FTA), DOT. FTA Regional Offices may be found at 2. Project name and location: Miami http://www.fta.dot.gov. North Corridor Metrorail Extension; ACTION: Notice of Limitation on Claims. This notice applies to all FTA Miami, Florida. Project sponsor: Miami- SUMMARY: This notice announces final decisions on the listed projects as of the Dade County Transit (MDT). Project environmental actions taken by the issuance date of this notice and all laws description: The project consists of the Federal Transit Administration (FTA) under which such actions were taken, design and construction of a 9.5-mile for public transportation projects in the including, but not limited to, the heavy rail transit extension of the following metropolitan areas: Orlando, National Environmental Policy Act existing Miami Metrorail system from Florida; Miami, Florida; Salt Lake City, (NEPA) [42 U.S.C. 4321–4375], Section NW 76th Street to NW 215th Street on Utah; San Francisco, California; and 4(f) of the Department of Transportation or adjacent to NW 27th Avenue. The Binghamton, New York. The purpose of Act of 1966 [49 U.S.C. 303], Section 106 project is a dual-track, fixed guideway this notice is to announce publicly the of the National Historic Preservation Act that would be exclusively elevated in environmental decisions by FTA on the [16 U.S.C. 470f], and the Clean Air Act the right of way of NW 27th Avenue or subject projects and to activate the [42 U.S.C. 7401–7671q]. in an exclusive MDT-owned right of limitation on any claims that may The projects and actions that are the way adjacent to NW 27th Avenue. The challenge these final environmental subject of this notice are: project includes seven new stations of actions. 1. Project name and location: Central which six stations are configured as Florida Commuter Rail; Orlando, center-platform and one as side- DATES: By this notice, FTA is advising Florida. Project sponsor: Florida platform. Final agency actions: ROD the public of final agency actions Department of Transportation. Project signed on April 26, 2007; Section 106 subject to Title 23, United States Code description: The Central Florida Finding of No Adverse Effect; project- (U.S.C.), section 139(l). A claim seeking Commuter Rail project extends 61 miles level Air Quality Conformity judicial review of the FTA actions along the A-line rail corridor of CSX determination; finding of no announced herein for the listed public Transportation from the Deland Amtrak disproportionately high and adverse transportation projects will be barred station in Volusia County, through human health or environmental effects unless the claim is filed on or before downtown Orlando, to Poinciana on minority and low-income April 30, 2008. Industrial Park in Osceola County. Bi- populations in accordance with FOR FURTHER INFORMATION CONTACT: directional commuter rail service would Executive Order 12898; and finding of Joseph Ossi, Environmental Protection be provided at a total of 16 stations no significant encroachment on Specialist, Office of Planning and using diesel multiple units (DMUs) in floodplains in accordance with Environment, 202–366–1613, or two-or three-car consists operating on Executive Order 11988. Supporting Christopher Van Wyk, Office of Chief 15 minute headways in the peak hours documentation: Final Environmental Counsel, 202–366–1733. FTA is located and 60 minute headways during the Impact Statement: Miami North at 1200 New Jersey Avenue, SE., midday, off-peak hours. Other Corridor issued on March 9, 2007. Washington, DC 20590. Office hours are infrastructure improvements of the 3. Project name and location: Mid- from 9 a.m. to 5:30 p.m., e.t., Monday project include: A new signalization Jordan Transit Corridor Project; Salt through Friday, except Federal holidays. system, 42 miles of new second track, Lake City, Utah. Project sponsor: Utah SUPPLEMENTARY INFORMATION: Notice is 16 platform stations of which 11 Transit Authority (UTA). Project hereby given that FTA has taken final stations have parking facilities with a description: The project consists of a agency actions by issuing certain total of 4300 spaces, a DMU vehicle 10.6-mile light rail transit (LRT) approvals for the public transportation storage and maintenance facility, and extension branching from the existing projects listed below. The actions on two end-of-line layover facilities. The TRAX line between Sandy and Salt Lake these projects, as well as the laws under project would be built in phases. Final City at 6400 South in Murray in Salt which such actions were taken, are agency actions: FONSI signed on April Lake County and proceeding to the new described in the documentation issued 27, 2007; Section 106 Finding of No Daybreak Development in South Jordan in connection with the project to Adverse Effect; project-level Air Quality via the cities of Murray, Midvale, West

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Jordan and South Jordan. Two new organizations, a computer lab, a child ACTION: Notice of availability; notice of tracks will be constructed along the care center, a fitness center and a caf. public meeting; request for comments. existing Union Pacific Railroad (UPRR) Final agency actions: FONSI signed on Bingham Branch corridor from the October 1, 2007 and Section 106 SUMMARY: The Maritime Administration existing 6400 South/Fashion Place West Finding of No Adverse Effect. (MARAD) and the Coast Guard Station to a new terminal station in Supporting documentation: announce the availability of the Draft Daybreak at approximately 11400 South. Environmental Assessment developed Environmental Impact Statement (DEIS) The project includes station in accordance with the NEPA regulation for the Calypso LNG LLC, Calypso improvements at the existing 6400 of the U.S. Department of Housing and Natural Gas Deepwater Port (Calypso) South/Fashion Place West station and Urban Development, issued in May license application. The application nine new stations at Bingham Junction 2006 and adopted by FTA in October describes a project that would be located in the Federal waters of the (Midvale Slag Site), Gardner Village, 2007. Outer Continental Shelf in the OCS NG Redwood (West Jordan City Hall), 2700 5. Project name and location: 17–06 (Bahamas) lease area, West, Bangerter (South Station Binghamton Intermodal Transit approximately 8 to 10 miles off the east Development), 4800 West, 5600 West, Terminal; Binghamton, New York. coast of Florida to the northeast of Port Daybreak North, and Daybreak South. Project sponsor: Broome County, New Everglades, in a water depth of 800 to These stations will include feeder bus York. Project description: The project 950 feet. The Coast Guard and MARAD facilities and 4,200 park-and-ride spaces consists of the following elements: An request public comments on the DEIS. to be constructed in phases over time by 18,000-square-foot building to provide a Publication of this notice begins a 45- the year 2030. The LRT will use both of weather-protected passenger waiting day comment period and provides the new tracks during transit operating area, ticketing, restrooms, telephones, information on how to participate in the hours, typically from 5 AM to midnight. and other amenities; short-term parking process. Freight trains will operate on the same for up to 50 vehicles; 12 bus bays for DATES: tracks during non-LRT hours. Final Broome County Transit buses and 14 The public meeting in Fort Lauderdale, FL will be held on agency actions: ROD signed on bus bays for intercity buses; November 28, 2007. The public meeting September 24, 2007; Section 4(f) approximately 1,800 square feet of green will be held from 6:30 p.m. to 8:30 p.m. finding; Section 106 Memorandum of space; bicycle storage; and a taxi loading and will be preceded by an Agreement; project-level air quality area. The project involves the informational open house from 5 p.m. to conformity determination; finding of no acquisition of 12 parcels of land, the 6 p.m. The public meeting may end practicable alternative to significant complete demolition of three existing earlier or later than the stated time, encroachment into floodplains in buildings and the partial demolition of depending on the number of accordance with Executive Order 11988. a fourth historic building, the commenters wishing to speak. Material Supporting documentation: Final Greyhound Terminal building, to make submitted in response to the request for Environmental Impact Statement: Mid- room for the construction of the new comments on the DEIS must reach the Jordan Transit Corridor Project issued facility. The exterior wall and historic Federal Docket Management Facility by on July 27, 2007. fade on the Chenango Street (east) side December 17, 2007. of the existing Greyhound Terminal will 4. Project name and location: Ed ADDRESSES: The open house and public be retained, rehabilitated and Roberts Campus Project; Berkeley, meeting will be held at: Courtyard by incorporated into the design of the new California. Project sponsor: San Marriott, North Fort Lauderdale, 2440 facility. Final agency actions: FONSI Francisco Bay Area Rapid Transit W. Cypress Creek Road, Fort signed on June 27, 2007; Section 106 District (BART) and the Ed Roberts Lauderdale, Florida 33309; telephone: Programmatic Agreement; and finding Campus (ERC). Project description: 954–772–7770. BART and ERC will construct a transit- of no disproportionately high and The DEIS, the application, and oriented development on the eastern adverse human health or environmental associated documentation are available parking lot of the BART Ashby station effects on minority and low-income for viewing at the Federal Docket in Berkeley. The 3.6-acre parking lot populations, in accordance with Management System Web site: http:// occupies the southern three quarters of Executive Order 12898. Supporting regulations.gov under docket number the block bounded by Essex Street on documentation: Environmental 26009. The Federal Docket Management the north, Woolsey Street on the south, Assessment issued in February 2007. System replaces the DOT Docket Adeline on the west, and Tremont on Issued on: October 26, 2007. Management System. Migration to the the east. The project includes Susan Borinsky, new system began on October 1, 2007. subdividing the site to construct an Associate Administrator for Planning and The DEIS is also available at public 86,000-square-foot, two-story office Environment, Washington, DC. libraries in Fort Lauderdale area building, with its principal pedestrian [FR Doc. E7–21564 Filed 11–1–07; 8:45 am] (Broward County Library which is a entry at street level on Adeline Street BILLING CODE 4910–57–P federal depository library and Riverland and a separate parking lot for the office Library in Fort Lauderdale; Dania Beach building. The office building will Library—Paul DeMaio Branch in Dania occupy the western 1.5 acres of the DEPARTMENT OF TRANSPORTATION Beach; Davie/Cooper City Library in existing parking lot. The 250 parking Davie; Helen B. Hoffman Plantation spaces for BART customers in the Maritime Administration Library and West Regional Library in existing parking lot will be replaced by Plantation; Hollywood Library in [USCG–2006–26009] a parking structure with 187 parking Hollywood, and Pembroke Pines Library spaces. The Ed Roberts Campus Calypso LNG LLC, Calypso Liquefied in Pembroke Pines) and Florida State incorporates universal design standards Natural Gas Deepwater Port License University Marine Laboratory in that are intended to provide equal Application; Preparation of Sopchoppy, Florida. access to all people, regardless of their Environmental Impact Statement Docket submissions for USCG–2006– level of ability. The office building will 26009 should be addressed to: provide tenant spaces for nine disability AGENCY: Maritime Administration, DOT. Department of Transportation, Docket

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Management Facility, 1200 New Jersey public hearing is not the only Proposed Action and Alternatives Avenue, SE., West Building, Ground opportunity to comment. In addition to The proposed action requiring Floor, Room W12–140, Washington, DC or in place of attending a meeting, environmental review is the Federal 20590–0001. comments may be submitted to the licensing action of the proposed The Federal Docket Management Federal Docket Management Facility deepwater port described in ‘‘Summary Facility accepts hand-delivered during the public comment period (see of the Application’’ below. The submissions, and makes docket contents DATES). We will consider all comments alternatives to licensing decision on the available for public inspection and and material received during the proposed port are: (i) Licensing as copying at this address between 9 a.m. comment period for the DEIS. We will proposed (ii) licensing with conditions and 5 p.m., Monday through Friday, announce the availability of the Final (including conditions designed to except Federal holidays. The Facility EIS (FEIS) and once again provide the mitigate environmental, safety and telephone number is 202–366–9329, the opportunity to review and comment. To security impacts), and (iii) denying the fax number is 202–493–2251, and the receive notice of the FEIS, contact license, which for purposes of Web site for electronic submissions or representatives at the public meeting or environmental review is the ‘‘no-action’’ for electronic access to docket contents the Coast Guard representative alternative. Alternates examined under is http://regulations.gov. identified in FOR FURTHER INFORMATION NEPA are more fully discussed in the FOR FURTHER INFORMATION CONTACT: CONTACT. DEIS. The Coast Guard and MARAD are Mary K. Jager, U.S. Coast Guard, Submissions must include: the lead Federal agencies for the • Docket number USCG–2006–26009. telephone: 202–372–1454, e-mail: • preparation of the EIS. Address any [email protected]. If you have Your name and address. Submit comments or material using questions about the proposed action or questions on viewing the docket, call only one of the following methods: the DEIS to the Coast Guard project Renee V. Wright, Program Manager, • Electronic submission to FDMS, manager identified in FOR FURTHER Docket Operations, telephone: 202–493– http://regulations.gov. INFORMATION CONTACT. 0402, e-mail: [email protected]. • Fax, mail, or hand delivery to the Summary of the Application SUPPLEMENTARY INFORMATION: Docket Management Facility (see Calypso LNG LLC, proposes to own, Public Hearing and Open House ADDRESSES). Faxed or hand delivered submissions must be unbound, no larger construct, and operate a deepwater port, We invite you to learn about the than 81⁄2 by 11 inches, and suitable for named Calypso, in the Federal waters of proposed deepwater port at an copying and electronic scanning. Mailed the Outer Continental Shelf in the OCS informational open house, and to submissions requiring confirmation of NG 17–06 (Bahamas) lease area, comment at a public meeting on the receipt should include a stamped, self- approximately 8 to 10 miles off the east proposed action and the evaluation addressed postcard or envelope. coast of Florida, to the northeast of Port contained in the DEIS. Regardless of the method used for Everglades, in a water depth of In order to allow everyone a chance submitting comments or material, all approximately 800 to 950 feet. Calypso to speak at the public meeting, we may submissions will be posted, without would consist of a permanently moored limit speaker time, or extend the change, to the FDMS Web site (http:// unloading buoy system with two (2) meeting hours, or both. You must regulations.gov), and will include any submersible buoys separated by a identify yourself, and any organization personal information provided. distance of approximately three (3) you represent, by name. Your remarks Therefore, submitting this information miles. Each unloading buoy would be will be recorded or transcribed for makes it public. Please read the Privacy permanently secured to eight (8) or nine inclusion in the public docket. Act notice that is available on the FDMS (9) mooring lines, consisting of wire Written material may be submitted at Web site, or the Department of rope, chain, and buoyancy elements, the public meeting, either in place of or Transportation Privacy Act Statement each attached to anchor points on the in addition to speaking. Written that appeared in the Federal Register on sea bed. Anchor points would consist of material must include your name and April 11, 2000 (65 FR 19477). a combination of suction piles and address, and will be included in the Docket submissions may be viewed at gravity anchors. public docket. the Federal Docket Management Facility The buoys would be designed to moor Public docket materials will be made (see ADDRESSES), or electronically on the and unload (i) transport and available to the public on the Federal FDMS Web site. regasification vessels (TRVs) and (ii) a Docket Management System (FDMS). storage and regasification ship (SRS). See ‘‘Request for Comments’’ for Background TRVs would be drawn from the existing information about FDMS and your Information about deepwater ports, and future global fleet as compatible rights under the Privacy Act. the statutes, and regulations governing with the unloading buoy system. A TRV The public meeting location will be their licensing, and the receipt of the would moor at the east buoy for four (4) wheelchair-accessible. If you plan to current application for a liquefied to seven (7) days. When empty it would attend the open house or public natural gas (LNG) deepwater port disconnect from the buoy and leave the meeting, and need special assistance appears in Volume 71 FR 65031, port, followed by another full TRV that such as sign language interpretation or Monday, November 6, 2006. The Notice would arrive and connect to the buoy. other reasonable accommodation, please of Intent to Prepare an EIS for the The SRS would be a specialized, notify the Coast Guard (see FOR FURTHER proposed action was published in the purpose built LNG carrier designed to INFORMATION CONTACT) at least three (3) Federal Register in Volume 71 FR accept LNG from conventional LNG business days in advance. Include your 67422, Tuesday, November 21, 2006. carriers from the existing and future contact information as well as The DEIS, application materials and global fleet. The SRS would normally information about your specific needs. associated comments are available on remain attached to its mooring buoy. To the docket. Information from the sustain continuous vaporization, the Request for Comments ‘‘Summary of the Application’’ from SRS’ cargo tanks would be refilled We request public comments or other previous Federal Register notices is approximately every two (2) to four (4) relevant information on the DEIS. The included below for your convenience. days by LNG carriers. The SRS would

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detach from the buoy if threatened by a if submitted on behalf of an association, the exemption (60 days after KCT severe storm, such as a hurricane, and business, labor union, etc.). The DOT certified its compliance with the labor move under its own power to safety; Privacy Act Statement can be viewed in notice requirements of 49 CFR then return and reconnect to the buoy the Federal Register published on April 1150.42(e)). and continue operations once the storm 11, 2000 (Volume 65, Number 70, pages If the notice contains false or danger passed. 19477–78) or you may visit http:// misleading information, the exemption Both vessels would be equipped to regulations.gov. is void ab initio. Petitions to revoke the vaporize LNG cargo to natural gas (Authority: 49 CFR 1.66) exemption under 49 U.S.C. 10502(d) through an onboard closed loop shell- may be filed at any time. The filing of and-tube vaporization system, and to By Order of the Maritime Administrator. a petition to revoke will not odorize and meter gas for send-out by Dated: October 29, 2007. automatically stay the transaction. means of the unloading buoy to Murray A. Bloom, Petitions for stay must be filed no later conventional subsea pipelines. The Acting Secretary, Maritime Administration. than November 13, 2007 (at least 7 days mooring buoys would be connected [FR Doc. E7–21602 Filed 11–1–07; 8:45 am] before the exemption becomes through the hull of the vessels to BILLING CODE 4910–81–P effective). specially designed turrets that would An original and 10 copies of all enable the vessel to weathervane or pleadings, referring to STB Finance rotate in response to prevailing winds, DEPARTMENT OF TRANSPORTATION Docket No. 35084, must be filed with waves, and the current directions. When the Surface Transportation Board, 395 E the vessels are not present the buoys Surface Transportation Board Street, SW., Washington, DC 20423– 0001. In addition, one copy of each would be submerged approximately 100 [STB Finance Docket No. 35084] feet below the surface. pleading must be served on Michael J. The unloading buoys would connect Kansas City Terminal Railway Barron, Jr., Fletcher & Sippel LLC, 29 through flexible risers and two (2) Company—Acquisition Exemption— North Wacker Drive, Suite 920, Chicago, approximately 2.5 mile long 30-inch BNSF Railway Company IL 60606–2832. flow lines located on the seabed that Board decisions and notices are would connect directly to the Calypso Kansas City Terminal Railway available on our Web site at http:// pipeline, a Federal Energy Regulatory Company (KCT), a Class III rail carrier, www.stb.dot.gov. Commission (FERC) permitted pipeline, has filed a verified notice of exemption Decided: October 30, 2007. under 49 CFR 1150.41 to acquire by yet to be constructed which would then By the Board, David M. Konschnik, connect to existing onshore pipeline purchase from BNSF Railway Company Director, Office of Proceedings. system. approximately 5.5 miles of rail line, Vernon A. Williams, extending from milepost 5.78 near The Calypso would be capable of Secretary. delivering natural gas in a continuous Sheffield Junction to the end of the track [FR Doc. E7–21568 Filed 11–1–07; 8:45 am] flow by having at least one TRV or the at milepost 11.23 near Blue Valley, in SRS regasifying at all times. The system Jackson County, MO. BILLING CODE 4915–01–P would be designed so that a TRV and This transaction is related to the concurrently filed notice of exemption the SRS can regasify simultaneously for DEPARTMENT OF TRANSPORTATION concurrent unloading of natural gas. in STB Finance Docket No. 35085, Calypso would have an average Kansas City Transportation Company Surface Transportation Board throughput capacity of approximately LLC—Lease and Operation Exemption— 1.1 billion standard cubic feet per day Kansas City Terminal Railway [STB Finance Docket No. 35085] Company, wherein Kansas City (bcsfd) and a peak delivery capacity of Kansas City Transportation Company Transportation Company LLC seeks to 1.9 bcsfd. LLC—Lease and Operation lease from KCT and to operate the line Existing onshore delivery systems Exemption—Kansas City Terminal that KCT is purchasing from BNSF. would be utilized and no new Railway Company construction of onshore pipelines or Based on projected revenues for the LNG storage facilities are included as line, KCT expects to remain a Class III Kansas City Transportation Company part of the proposed deepwater port. rail carrier after consummation of the LLC (KCTL), a Class III rail carrier, has Existing shore based infrastructure will proposed transaction. KCT certifies that filed a verified notice of exemption be used to facilitate movement of its projected annual revenues as a result under 49 CFR 1150.41 to lease from personnel, equipment, supplies, and of this transaction will not result in the Kansas City Terminal Railway Company disposable materials between the creation of a Class II or Class I rail (KCT) and operate approximately 5.5 Terminal and shore. carrier. Because the projected annual miles of rail line from milepost 5.78 Construction of the deepwater port revenues of the line, together with near Sheffield Junction to the end of the would be expected to take three (3) KCT’s projected annual revenue, will line at milepost 11.23 near Blue Valley, years should a license be issued. The exceed $5 million, KCT certified, on in Jackson County, MO. deepwater port, if licensed, would be September 21, 2007, that it had sent the This transaction is related to the designed, constructed and operated in required notice of the transaction to the concurrently filed notice of exemption accordance with applicable codes and national and local offices with in STB Finance Docket No. 35084, standards and would have an expected employees on the affected lines and Kansas City Terminal Railway operating life of approximately 25 years. posted a copy of the notice at the Company—Acquisition Exemption— workplace of the employees on the BNSF Railway Company, wherein KCT, Privacy Act affected lines on September 20, 2007. the owner of KCTL, seeks to acquire by The electronic form of all comments KCT states that it intends to purchase from BNSF Railway Company received into the Federal Docket consummate the transaction on or after the 5.5 miles of rail line described Management System can be searched by November 20, 2007. The earliest this above. the name of the individual submitting transaction may be consummated is Based on projected revenues for the the comment (or signing the comment, November 20, 2007, the effective date of line, KCTL expects to remain a Class III

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rail carrier after consummation of the 0001. In addition, a copy of each through the Director of the Office of proposed transaction. KCTL certifies pleading must be served on Michael J. Proceedings, in a decision served that its projected annual revenues as a Barron, Jr., Fletcher & Sippel LLC, 29 October 26, 2007, directed JP Rail to file result of this transaction will not result North Wacker Drive, Suite 920, Chicago, supplemental information describing in in the creation of a Class II or Class I rail IL 60606–2832. more detail its anticipated operations carrier. Because the projected annual Board decisions and notices are and supporting its claim that revenues of the line, together with available on our Web site at http:// environmental review is not warranted. KCTL’s projected annual revenue, will www.stb.dot.gov. The Board also directed JP Rail to serve exceed $5 million, KCTL certified, on Decided: October 30, 2007. a copy of its verified notice and the September 21, 2007, that it had served By the Board, David M. Konschnik, October 26 decision on appropriate the required notice of the transaction on Director, Office of Proceedings. federal, state, and local entities and the national offices of the labor unions Vernon A. Williams, stated that the effective date of the for those employees affected on the Secretary. exemption would be delayed until lines and posted such notice at the [FR Doc. E7–21570 Filed 11–1–07; 8:45 am] December 6, 2007, to allow time for workplace of the employees on the those parties to participate, if they wish. BILLING CODE 4915–01–P affected lines on September 20, 2007. Therefore, the earliest this transaction KCTL states that it intends to may be consummated is December 6, consummate the transaction on DEPARTMENT OF TRANSPORTATION 2007, the effective date of the exemption November 20, 2007. The earliest this (50 days after the exemption was filed). transaction may be consummated is Surface Transportation Board If the verified notice contains false or November 20, 2007, (the effective date misleading information, the exemption [STB Finance Docket No. 35090] of the exemption (60 days after KCTL is void ab initio. Petitions to revoke the certified its compliance with the labor JP Rail, Inc.—Lease and Operation exemption under 49 U.S.C. 10502(d) notice requirements of 49 CFR Exemption—NAT Industries, Inc. may be filed at any time. The filing of 1150.42(e))). a petition to revoke will not KCTL also states that, upon JP Rail, Inc. (JP Rail), a Class III rail automatically stay the transaction. authorization of this transaction, it carrier, has filed a verified notice of Petitions for stay must be filed no later plans to enter into a service agreement exemption under 49 CFR 1150.41 to than November 29, 2007 (at least 7 days with Kaw River Railroad, Inc. (Kaw lease from NAT Industries, Inc. (NAT) before the exemption becomes River), under which Kaw River would and to operate approximately 1 mile of effective). provide certain railroad operating track in Carroll Township, PA, known An original and 10 copies of all services on this 5.5-mile line. KCTL as the Donora Line (the Line), formerly pleadings, referring to STB Finance states that Kaw River is not seeking operated by NAT as private industrial Docket No. 35090, must be filed with separate authority to operate as a track. JP Rail states that it will hold the Surface Transportation Board, 395 E common carrier over the line. In itself out to provide common carrier rail Street, SW., Washington, DC 20423– publishing this notice, the Board takes freight service over the Line, and that it 0001. Also, a copy of each pleading no position on whether Kaw River plans to serve customers originating must be served on John D. Heffner, 1750 would need to obtain Board authority to traffic at JP Rail’s Pleasantville, NJ K Street, NW., Suite 350, Washington, provide services pursuant to this facility and also to market its service to DC 20006. agreement with KCTL. Given the ‘‘local’’ customers. According to JP Rail, Board decisions and notices are Board’s conclusions in Kansas City the traffic would comprise construction available on our Web site at http:// Transportation Company LLC—Lease and demolition materials (C&D), which www.stb.dot.gov. and Assignment of Lease Exemption— would be transported from Pleasantville Kansas City Terminal Railway Company by Norfolk Southern Railway Company Decided: October 26, 2007. and Kaw River Railroad, Inc., STB to a connection with the Line at By the Board, David M. Konschnik, Finance Docket No. 34830 (STB served milepost ML40 in Carroll Township. JP Director, Office of Proceedings. May 23, 2007), and KCTL’s recognition Rail would then transport the C&D over Vernon A. Williams, of those conclusions in this proceeding, the Line for subsequent transloading Secretary. Kaw River should file a notice of into trucks for movement to [FR Doc. E7–21566 Filed 11–1–07; 8:45 am] exemption to operate pursuant to the ‘‘Westmoreland Waste’s landfill,’’ BILLING CODE 4915–01–P agreement and simultaneously file a approximately 3 miles from Carroll motion to dismiss if it believes that Township. JP Rail states that this authority is not needed. operation is intended to be temporary DEPARTMENT OF THE TREASURY If the verified notice contains false or until a permanent rail unloading facility misleading information, the exemption can be constructed on Westmoreland Internal Revenue Service is void ab initio. Petitions to revoke the Waste’s site and its landfill permit exemption under 49 U.S.C. 10502(d) amended to allow for rail traffic. Advisory Group to the Commissioner may be filed at any time. The filing of Finally, JP Rail asserts that the proposed of Internal Revenue; Renewal of a petition to revoke will not transaction is exempt from Charter automatically stay the transaction. environmental review under 49 CFR AGENCY: Petitions for stay must be filed no later 1105.6(c)(2)(i) and from historic review Internal Revenue Service (IRS), than November 13, 2007 (at least 7 days under 49 CFR 1105.8(b)(1). Treasury. before the exemption becomes JP Rail certifies that its projected SUMMARY: The Charter for the Advisory effective). revenues as a result of the transaction Committee on Tax Exempt and An original and 10 copies of all will not result in the creation of a Class Government Entities (ACT) has been pleadings, referring to STB Finance II or Class I rail carrier and will not renewed for a two-year period beginning Docket No. 35085, must be filed with exceed $5 million. July 13, 2007. the Surface Transportation Board, 395 E Because of outstanding questions FOR FURTHER INFORMATION CONTACT: Street, SW., Washington, DC 20423– regarding the proposal, the Board, Steven J. Pyrek, TE/GE Communications

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and Liaison, 202–283–9966 (not a toll- public to discuss relevant tax Revenue Service executives, the ACT free number). administration issues. As an advisory comprises individuals who bring body designed to focus on broad policy substantial, disparate experience and SUPPLEMENTARY INFORMATION: Notice is matters, the ACT reviews existing tax diverse backgrounds. Membership is hereby given under section 10(a)(2) of policy and/or makes recommendations balanced to include representation from the Federal Advisory Committee Act, 5 with respect to emerging tax employee plans, exempt organizations, U.S.C. App. (1988), and with the administration issues. The ACT suggests tax-exempt bonds, and Federal, State, approval of the Secretary of the operational improvements, offers local, and Indian tribal governments. Treasury to announce the renewal of the constructive observations regarding Dated: October 24, 2007. Advisory Committee on Tax Exempt current or proposed IRS policies, and Government Entities (ACT). The programs, and procedures, and suggests Steven J. Pyrek, primary purpose of the ACT is to improvements with respect to issues Director, Communications & Liaison, Tax provide an organized public forum for having substantive effect on Federal tax Exempt and Government Entities. senior Internal Revenue Service administration. Conveying the public’s [FR Doc. E7–21345 Filed 11–1–07; 8:45 am] executives and representatives of the perception of IRS activities to Internal BILLING CODE 4830–01–P

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Corrections Federal Register Vol. 72, No. 212

Friday, November 2, 2007

This section of the FEDERAL REGISTER October 19, 2007 make the following contains editorial corrections of previously correction: published Presidential, Rule, Proposed Rule, and Notice documents. These corrections are §3285.702 [Corrected] prepared by the Office of the Federal Register. Agency prepared corrections are On page 59390, Figure A to §3285.702 issued as signed documents and appear in is reprinted as shown below: the appropriate document categories elsewhere in the issue.

DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT 24 CFR Part 3285 [Docket No. FR–4928–F–02] RIN 2502–AI25

Model Manufactured Home Installation Standards Correction In rule document 07–5004 beginning on page 59338 in the issue of Friday,

[FR Doc. C7–5004 Filed 11–1–07; 8:45 am] BILLING CODE 1505–01–D

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Part II

Federal Deposit Insurance Corporation 12 CFR Parts 308 and 363 Annual Independent Audits and Reporting Requirements; Proposed Rule

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FEDERAL DEPOSIT INSURANCE federal including any personal that may be granted if an institution CORPORATION information provided. Comments may (public or non-public) is confronted be inspected and photocopied in the with extraordinary circumstances 12 CFR Parts 308 and 363 FDIC Public Information Center, 3501 beyond its reasonable control with a late North Fairfax Drive, Room E–1002, filing notification requirement that RIN 3064–AD21 Arlington, VA 22226, between 9 a.m. would have general applicability; (3) Annual Independent Audits and and 5 p.m. on business days. Paper provide relief from the annual reporting Reporting Requirements copies of public comments may be requirements for institutions that are ordered from the Public Information merged out of existence before the filing AGENCY: Federal Deposit Insurance Center by telephone at (877) 275–3342 deadline; (4) provide relief from Corporation (FDIC). or (703) 562–2200. reporting on internal control over ACTION: Notice of proposed rulemaking. FOR FURTHER INFORMATION CONTACT: financial reporting for businesses Harrison E. Greene, Jr., Senior Policy acquired during the fiscal year; (5) SUMMARY: Section 36 of the Federal Analyst (Bank Accounting), Division of require management’s assessment of Deposit Insurance Act (FDI Act) and the Supervision and Consumer Protection, compliance with designated safety and FDIC’s implementing regulations (part at [email protected] or (202) 898–8905; soundness laws and regulations to state 363) set forth annual independent audit or Michelle Borzillo, Counsel, management’s conclusion regarding and reporting requirements for insured Supervision and Legislation Section, compliance and disclose any depository institutions with $500 Legal Division, at [email protected] or noncompliance with such laws and million or more in total assets. Given (202) 898–7400. regulations; (6) clarify the independence changes in the industry, certain sound standards with which independent SUPPLEMENTARY INFORMATION: audit, reporting, and audit committee public accountants must comply and practices incorporated in the Sarbanes- I. Executive Summary enhance the enforceability of compliance with these standards; (7) Oxley Act of 2002 (SOX); and the FDIC’s Section 36 of the Federal Deposit specify that the duties of the audit experience in administering part 363, Insurance Act (FDI Act) and the FDIC’s committee include the appointment, the FDIC is proposing to amend part 363 implementing regulations (part 363) are compensation, and oversight of the of its regulations. These amendments generally intended to facilitate early independent public accountant; (8) are designed to further the objectives of identification of problems in financial require audit committees to ensure that section 36 by incorporating these sound management at insured depository audit engagement letters do not contain practices into part 363 and to provide institutions with total assets above unsafe and unsound limitation of clearer and more complete guidance to certain thresholds through annual liability provisions and require institutions and independent public independent audits, assessments of the institutions to file copies of these letters; accountants concerning compliance effectiveness of internal control over with the requirements of section 36 and (9) require certain communications by financial reporting and compliance with independent public accountants to audit part 363. As required by section 36, the designated laws and regulations, the FDIC has consulted with the other committees and establish retention establishment of independent audit requirements for audit working papers; federal banking agencies. The FDIC is committees, and related reporting also proposing a technical amendment (10) require boards of directors to adopt requirements. The asset-size threshold written criteria for evaluating an audit to its rules and procedures (part 308, for internal control assessments is subpart U) for the removal, suspension, committee member’s independence and $1 billion and the threshold for the provide expanded guidance for boards or debarment of accountants and other requirements is $500 million. accounting firms. of directors to use in determining Given changes in the industry, certain independence; (11) require the total DATES: Comments must be received on sound audit, reporting, and audit or before January 31, 2008. assets of a holding company’s insured committee practices incorporated in the depository institution subsidiaries to ADDRESSES: You may submit comments Sarbanes-Oxley Act of 2002 (SOX); and comprise 75 percent or more of the by any of the following methods: the FDIC’s experience in administering • holding company’s consolidated total Agency Web Site: http:// part 363, the FDIC is proposing to assets in order for an institution to www.fdic.gov/regulations/laws/federal. amend part 363 of its regulations. These comply with part 363 at the holding Follow instructions for submitting amendments are designed to further the company level; and (12) provide comments on the Agency Web Site. objectives of section 36 by incorporating illustrative management reports to assist • E-mail: [email protected]. these sound practices into part 363 and institutions in complying with the Include ‘‘Part 363—Independent Audits to provide clearer and more complete annual reporting requirements. and Reporting Requirements’’ in the guidance to institutions and The FDIC is also proposing to amend subject line of the message. independent public accountants its rules and procedures (part 308, • Mail: Robert E. Feldman, Executive concerning compliance with the subpart U) for the removal, suspension, Secretary, Attention: Comments, Federal requirements of section 36 and part 363. or debarment of accountants and Deposit Insurance Corporation, 550 17th The most significant revisions accounting firms from performing audit Street, NW., Washington, DC 20429. included in the proposed amendments services required by section 36 of the • Hand Delivery/Courier: Guard would: (1) Require management and the FDI Act by specifying where an station at the rear of the 550 17th Street independent public accountant to accountant or accounting firm should Building (located on F Street) on identify the internal control framework file required notices of orders and business days between 7 a.m. and 5 p.m. used to evaluate internal control over actions with the FDIC. • Federal eRulemaking Portal: http:// financial reporting and disclose all www.regulations.gov. Follow the identified material weaknesses; (2) II. Background instructions for submitting comments. extend the time period for a non-public Section 112 of the Federal Deposit Public Inspection: All comments institution to file its Part 363 Annual Insurance Corporation Improvement Act received will be posted without change Report by 30 days and replace the 30- of 1991 (FDICIA) added section 36, to http://www.fdic.gov/regulations/laws/ day extensions of the filing deadline ‘‘Early Identification of Needed

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Improvements in Financial institutions with this percentage of the In November 2005, the FDIC amended Management,’’ to the FDI Act (12 U.S.C. industry’s assets, the FDIC intended to its part 363 annual audit and reporting 1831m). Section 36 is generally ensure that the Congress’s objectives for requirements and audit committee intended to facilitate early identification achieving sound financial management requirements. The amendments raised of problems in financial management at at insured institutions when it enacted the asset-size threshold from $500 insured depository institutions above a section 36 would be focused on those million to $1 billion for the assessments certain asset size threshold (covered institutions posing the greatest potential of internal control over financial institutions) through annual risk to the insurance funds then reporting by management and the independent audits, assessments of the administered by the FDIC. Today, due to independent public accountant. All of effectiveness of internal control over consolidation in the banking and thrift the other audit and reporting financial reporting and compliance with industry and the effects of inflation, requirements of part 363 continued to designated laws and regulations, and approximately 1,300 of the more than apply to all institutions with $500 related reporting requirements. Section 8,600 insured institutions have $500 million or more in total assets. Also, for 36 also includes requirements for audit million or more in total assets and are covered institutions with between $500 committees at these insured depository therefore subject to part 363. These million and $1 billion in total assets, the institutions. Section 36 grants the FDIC covered institutions hold approximately amendments required only a majority, discretion to set the asset size threshold 91 percent of the assets of insured rather than all, of the members of the for compliance with these statutory institutions. audit committee, who must be outside requirements, but it states that the directors, to be independent of Until its most recent amendments, threshold cannot be less than $150 management. million. Sections 36(d) and (f) also part 363 required each covered obligate the FDIC to consult with the institution to submit to the FDIC and III. Discussion and Section-by-Section other federal banking agencies in other appropriate federal and state Analysis of Proposed Amendments supervisory agencies an annual report implementing these sections of the FDI When it amended part 363 in Act, and the FDIC has performed the comprised of audited financial November 2005, the FDIC noted that it required consultation. statements, a statement of management’s had identified other aspects of part 363 Part 363 of the FDIC’s regulations (12 responsibilities, assessments by CFR part 363) implements section 36 of management of the effectiveness of that may warrant revision in light of the FDI Act. When it adopted part 363 internal control over financial reporting changes in the industry and the passage in 1993, the FDIC stated that it was and compliance with designated laws of SOX. setting the asset size threshold at $500 and regulations, and an independent Given the number of proposed million rather than the $150 million public accountant’s attestation report on changes to part 363 and its Guidelines specified in section 36 to mitigate the internal control over financial reporting. and Interpretations and to enable financial burden of compliance with In addition, part 363 provided that each readers and commenters to more easily section 36 consistent with safety and covered institution must establish an understand the context of these soundness. In selecting $500 million in independent audit committee of its proposed changes, this notice includes total assets as the size threshold, the board of directors comprised of outside the entire text of part 363 as it is FDIC noted that approximately 1,000 of directors who are independent of proposed to be amended, not just the the then nearly 14,000 FDIC-insured management of the institution. Part 363 text of proposed amendments. Also, the institutions would be subject to part also includes Guidelines and following ‘‘Table of Proposed Changes 363. These covered institutions held Interpretations (Appendix A to part to Part 363 and Appendices’’ is approximately 75 percent of the assets 363), which are intended to assist intended to assist readers and of insured institutions at that time. By institutions and independent public commenters in determining which imposing the audit, reporting, and audit accountants in understanding and sections of part 363 would be affected committee requirements of part 363 on complying with section 36 and part 363. by this proposal.

TABLE OF PROPOSED CHANGES TO PART 363 AND APPENDICES

Unchanged Revised New Reserved

Part 363—Annual Independent Audits and Reporting Requirements

Table of Contents ...... X ......

OMB Control Number

§ 363.0 ...... X ......

Scope

§ 363.1(a) ...... X ...... § 363.1(b)(1) ...... X ...... § 363.1(b)(2) ...... X ...... § 363.1(b)(3) ...... X ...... § 363.1(c) ...... X ...... § 363.1(d) ...... X ......

Annual Reporting Requirements

§ 363.2(a) ...... X ...... § 363.2(b) ...... X ...... § 363.2(b)(1) ...... X ......

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TABLE OF PROPOSED CHANGES TO PART 363 AND APPENDICES—Continued

Unchanged Revised New Reserved

§ 363.2(b)(2) ...... X ...... § 363.2(b)(3) ...... X ...... § 363.2(c) ...... X ......

Independent Public Accountant

§ 363.3(a) ...... X ...... § 363.3(b) ...... X ...... § 363.3(c) ...... X ...... § 363.3(d) ...... X ...... § 363.3(e) ...... X ...... § 363.3(f) ...... X ...... § 363.3(g) ...... X ......

Filing and Notice Requirements

§ 363.4(a) ...... X ...... § 363.4(b) ...... X ...... § 363.4(c) ...... X ...... § 363.4(d) ...... X ...... § 363.4(e) ...... X ...... § 363.4(f) ...... X ......

Audit Committees

§ 363.5(a) ...... X ...... § 363.5(b) ...... X ...... § 363.5(c) ...... X ......

Appendix A to Part 363—Guidelines and Interpretations

Table of Contents ...... X ...... Introduction ...... X ......

Scope (§ 363.1)

Guideline 1 ...... X ...... Guideline 2 ...... X ...... Guideline 3 ...... X ...... Guideline 4 ...... X ...... Guideline 4A ...... X ......

Annual Reporting Requirements (§ 363.2)

Guideline 5 ...... X ...... Guideline 5A ...... X ...... Guideline 6 ...... X ...... Guideline 7 ...... X ...... Guideline 8 ...... X ...... Guideline 8A ...... X ...... Guideline 8B ...... X ...... Guideline 9 ...... X ...... Guideline 10 ...... X ...... Guideline 11 ...... X ...... Guideline 12 ...... X ......

Role of Independent Public Accountant (§ 363.3)

Guideline 13 ...... X ...... Guideline 14 ...... X Guideline 15 ...... X ...... Guideline 16 ...... X Guideline 17 ...... X ...... Guideline 18 ...... X ...... Guideline 19 ...... X ...... Guideline 20 ...... X ...... Guideline 21 ...... X ......

Filing and Notice Requirements (§ 363.4)

Guideline 22 ...... X Guideline 23 ...... X ...... Guideline 24 ...... X ......

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TABLE OF PROPOSED CHANGES TO PART 363 AND APPENDICES—Continued

Unchanged Revised New Reserved

Guideline 25 ...... X Guideline 26 ...... X ......

Audit Committees (§ 363.5)

Guideline 27 ...... X ...... Guideline 28 ...... X ...... Guideline 29 ...... X Guideline 30 ...... X ...... Guideline 31 ...... X ...... Guideline 32 ...... X ...... Guideline 33 ...... X ...... Guideline 34 ...... X ...... Guideline 35 ...... X ......

Other

Guideline 36 ...... X ...... Table 1 to Appendix A—Designated Federal Laws and Regulations ...... X ...... Appendix B—Illustrative Management Reports ...... X ......

A. Scope (§ 363.1 and Guidelines 1–4A) that is indicative of the financial company owns or controls more than position and results of operations of one insured depository institution) 1. Applicability these institutions. Also, when the would have to comprise 75 percent or The FDIC is proposing to amend insured depository institution more of the consolidated total assets of § 363.1(a) to more clearly state that part subsidiaries do not contribute the top-tier or mid-tier holding 363 applies to any insured depository significantly to the holding company’s company. The FDIC believes that this institution that has consolidated total financial position and results of percentage-of-assets threshold should assets of $500 million or more at the operations, the extent of audit coverage ensure that the extent of independent beginning of its fiscal year. For example, given to these institutions in the audit audit work performed at the insured if an institution has a December 31 of the consolidated holding company depository institution level is sufficient fiscal year end and its consolidated total may be limited. Such limited audit to satisfy the intent of section 36 of the assets were $600 million as January 1, coverage would not be consistent with FDI Act, that is, the early identification 2007, the institution would be subject to the purpose and intent of section 36 of of needed improvements in financial the annual reporting requirements of the FDI Act, which focuses on insured management at insured institutions. At part 363 and would have to file a Part depository institutions rather than the same time, this threshold would 363 Annual Report for the fiscal year holding companies. In this situation, the continue to provide flexibility to the ending December 31, 2007. Also, the assurance that would be provided by an vast majority of covered institutions that institution would become subject to the independent audit performed are part of a holding company structure other reporting requirements as well as substantially at the level of the insured with respect to the level at which they the audit committee requirements of depository institution subsidiaries is not may comply with part 363. part 363 on January 1, 2007. otherwise available. When determining an appropriate 2. Compliance by Subsidiaries of Therefore, given the differing percentage-of-assets threshold for Holding Companies characteristics of the holding companies compliance with part 363 at a holding At present, an insured depository that own insured depository institutions company level, the FDIC considered the institution that is a subsidiary of a as well as the relationship of an insured range of percentage-of-assets ratios for holding company may use consolidated depository institution’s total assets to insured institutions that are part of a holding company financial statements the consolidated total assets of its parent holding company structure. The vast to satisfy the audited financial holding company, and in keeping with majority of insured institutions subject statements requirement of part 363 the intent and purpose of section 36 of to part 363 that are in a holding regardless of whether the assets of the the FDI Act, the FDIC is proposing to company structure are subsidiaries of insured depository institution amend §§ 363.1(b)(1) and (2) by revising organizations where the assets of the subsidiary or subsidiaries of the holding the criteria for determining whether the insured depository institution company represent substantially all or audited financial statements subsidiaries of the holding company only a minor portion of the holding requirement and the other requirements comprise 90 percent or more of the company’s consolidated total assets. of part 363 may be satisfied at a holding holding company’s consolidated total When the assets of insured depository company level. More specifically, to assets. Of the remaining institutions institution subsidiaries do not comprise comply with the requirements of part subject to part 363 that are in a holding a substantial portion of a holding 363 at the top-tier or any other mid-tier company structure, most are company’s consolidated total assets, the holding company level, the subsidiaries of organizations where the FDIC staff has found that the holding consolidated total assets of the insured assets of the insured institutions company’s consolidated financial depository institution (or the comprise either between 75 and 90 statements, including the accompanying consolidated total assets of all insured percent or less than 25 percent of the notes to the financial statements, do not depository institutions, regardless of top-tier parent company’s consolidated tend to provide sufficient information size, if the top-tier or mid-tier holding total assets. Smaller numbers of

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institutions are subsidiaries of 3. Financial Reporting institutions subject to part 363 that are organizations where the assets of the not public companies. insured institutions comprise from 25 to The FDIC is proposing to add a new 2. Management Report Contents 50 percent or from 50 to 75 percent of § 363.1(c) and a new guideline 4A, the top-tier parent company’s Financial Reporting, to specify that Based on its review of management consolidated total assets. However, in a ‘‘financial reporting’’ includes both reports filed pursuant to part 363, the number of cases where the insured financial statements prepared in FDIC has noted differences in the institution subsidiaries comprise less accordance with generally accepted content of these reports and insufficient than 75 percent of the top-tier holding accounting principles and those information regarding the results of the company’s consolidated total assets, the prepared for regulatory reporting assessments that management must insured institution subsidiaries that are purposes. Also, as proposed, guideline perform. When management has subject to part 363 currently comply 4A would clarify that financial identified material weaknesses in with the regulation at a mid-tier holding statements prepared for regulatory internal control over financial reporting company level where the assets of the reporting purposes consist of the or noncompliance with designated insured institution subsidiaries schedules equivalent to the basic safety and soundness laws and comprise 90 percent or more of the mid- financial statements that are included in regulations, these weaknesses and tier holding company’s consolidated an institution’s appropriate regulatory noncompliance have not always been total assets. Thus, these institutions report and that financial statements disclosed. would not need to change how they prepared for regulatory reporting In addition, management’s assessment comply with part 363 in response to the purposes do not include regulatory of internal control over financial establishment of the proposed 75 reports prepared by a non-bank reporting has often failed to disclose the percent threshold, provided they subsidiary of a holding company or an internal control framework used to perform the assessment of the continue to comply at the same mid-tier institution. For example, if a bank effectiveness of these controls. It is not holding company level and this holding holding company or an insured always evident from management’s company continues to meet the 75 depository institution owns an report whether controls over the percent threshold. insurance subsidiary, financial statements prepared for regulatory preparation of the regulatory financial The FDIC recognizes that those reporting purposes would not include statements have been included within institutions currently complying with any regulatory reports that the insurance the scope of management’s assessment. part 363 at the holding company level subsidiary is required to submit to its The omission of this information from that will not meet the proposed 75 appropriate insurance regulatory an institution’s management report percent of consolidated total assets agency. These proposed amendments reduces the usefulness of the report as threshold will incur additional costs are consistent with explanatory a means of identifying needed from having to comply with the guidance issued by the FDIC on this improvements in financial management, regulation at the institution level or at subject in December 1994 after which is the objective of section 36 of a suitable mid-tier holding company reviewing the Part 363 Annual Reports the FDI Act. The FDIC notes that the level. Nevertheless, the FDIC believes submitted earlier that year, which was regulations adopted by the Securities that the introduction of this percentage- the first time these annual reports were and Exchange Commission (SEC) in of-assets threshold strikes an required to be filed with the FDIC.1 2003 implementing the requirement in appropriate balance between insured section 404 of SOX for a management institution financial data and audit 4. Definitions report on internal control over financial coverage and the cost of compliance reporting requires the identification of with part 363. The FDIC is proposing to add § 363.1(d), Definitions, to define several the internal control framework As a related matter, guideline 3 to part common terms used in part 363 and the management used to evaluate the 363, Compliance by Holding Company guidelines. effectiveness of these controls and the Subsidiaries, states that when a holding disclosure of any identified material company submits audited consolidated B. Annual Reporting Requirements weakness. financial statements and other reports or (§ 363.2 and Guidelines 5–12) Accordingly, to provide clearer notices required by part 363 on behalf guidance on what should be included in 1. Audited Financial Statements of any subsidiary institution, an the management report, the FDIC is accompanying cover letter should Consistent with sound management proposing to expand § 363.2(b). As identify all subsidiary institutions to practices and the objective of internal proposed, § 363.2(b) would require which the statements, reports, or other control over financial reporting, the management’s assessment of notices pertain. Because many cover FDIC is proposing to amend § 363.2(a) to compliance with the designated safety letters received by the FDIC have not require that the annual financial and soundness laws and regulations to sufficiently identified these subsidiary statements reflect all material correcting include a clear statement as to institutions, the FDIC is proposing to adjustments identified by the management’s conclusion regarding amend guideline 3 to clarify what independent public accountant. compliance and disclose any information should be included in the Financial statements issued by insured noncompliance with such laws and cover letter. For example, for a Part 363 depository institutions that are public regulations. In addition, amended Annual Report, the cover letter should companies or by their parent holding § 363.2(b) would require management’s identify the subsidiary institutions companies that are public companies assessment of internal control over subject to part 363 included in the are already subject to such a financial reporting to identify the holding company’s consolidated requirement pursuant to section 401 of internal control framework that financial statements and state whether SOX. The FDIC believes this management used to make its the other annual report requirements are requirement should also apply to evaluation, include a statement that the being satisfied for these institutions at evaluation included controls over the the holding company level or at the 1 See FDIC Financial Institution Letter (FIL) 86– preparation of regulatory financial institution level. 94, dated December 23, 1994. statements, include a clear statement as

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to management’s conclusion regarding institution level. As a result, the FDIC 363, the FDIC is proposing to add the effectiveness of internal control over believes institutions would benefit from guideline 8A, Management’s financial reporting, disclose all material clearer guidance regarding who must Assessment of the Effectiveness of weaknesses identified by management, sign the management report. Therefore, Internal Control Over Financial and preclude management from the FDIC is proposing to add § 363.2(c) Reporting. For an institution with $1 concluding that internal control over to specify which corporate officers must billion or more in total assets that is financial reporting is effective if there sign the management report and also the subject to both part 363 and the SEC’s are any material weaknesses. level of the corporate signers (i.e., rules implementing section 404 of SOX Because part 363 and its guidelines insured depository institution level or (or whose parent holding company is provide only limited guidance the holding company level). subject to section 404 provided the concerning the contents of the condition in § 363.1(b)(2) is met), the management report and the related 4. Institutions Merged Out of Existence proposed guideline describes two signature requirements for this report, Currently, part 363 does not exempt options for complying with the filing institutions and auditors have expressed an institution that is merged out of requirements regarding management’s interest in examples of acceptable existence after the end of its fiscal year report on internal control over financial reports. Therefore, to assist management but before the deadline for filing its Part reporting. These options are to prepare of insured depository institutions in 363 Annual Report from filing an (1) a separate report to satisfy the FDIC’s complying with the annual reporting annual report. Such institutions part 363 requirements and prepare a requirements of § 363.2, the FDIC is typically submit a written request for separate report to satisfy the SEC’s proposing to add ‘‘Appendix B to Part relief from the annual report filing section 404 requirements, or (2) a single 363—Illustrative Management Reports.’’ requirement and the request is approved report that satisfies all of the FDIC’s part Proposed Appendix B would provide by the FDIC. To reduce regulatory 363 requirements and all of the SEC’s guidance regarding reporting scenarios burden and provide certainty for section 404 requirements. that satisfy the annual reporting merging institutions, the FDIC is requirements of part 363, illustrative 6. Internal Control Reports for Acquired proposing to add guideline 5A, Businesses management reports, and an illustrative Institutions Merged Out of Existence, to cover letter for use when an institution explicitly provide relief from filing a Currently, under the reporting complies with the annual reporting Part 363 Annual Report to an institution requirements of part 363, both requirements at the holding company that is merged out of existence after the management’s and the related level. The use of the wording in the end of its fiscal year, but before the independent public accountant’s illustrative management reports and deadline for filing its Part 363 Annual evaluation of an institution’s internal cover letter would not be required. Report. However, a covered institution control over financial reporting must Regarding management’s that is acquired after the end of its fiscal include controls at an institution in its responsibility for assessing compliance year, but retains its separate corporate entirety, including all of its with the designated safety and existence rather than being merged out consolidated businesses, including soundness laws and regulations, the of existence, would continue to be businesses that were recently acquired. FDIC is proposing to revise and update required to file a part 363 Annual However, the FDIC recognizes that it Table 1 to Appendix A of part 363 to Report for that fiscal year. may not always be possible for reflect changes in these safety and management to conduct an evaluation of soundness laws and regulations that 5. Management’s Assessment of the the internal control over financial have occurred since this table was last Effectiveness of Internal Control Over reporting of an acquired business in the revised in 1997. Financial Reporting period between the consummation date of the acquisition and the due date of 3. Management Report Signatures The FDIC has publicly advised institutions with $1 billion or more in management’s internal control Section 36(b)(2) of the FDI Act total assets that are public companies or evaluation. For public companies requires an institution’s management subsidiaries of public companies that subject to the internal control reporting report to be signed by the chief they have considerable flexibility in requirements of section 404 of SOX, the executive officer and the chief determining how best to satisfy the SEC staff has also acknowledged that accounting officer or chief financial SEC’s requirements for management’s conducting an internal control officer. In its reviews of management assessment of internal control over evaluation of such an acquired business reports, the FDIC has encountered financial reporting which implement may not always be possible. This led the inconsistencies between the level at section 404 of SOX, and the FDIC’s SEC staff to provide guidance to public which the management report requirements in part 363.2 The reporting companies stating that the staff would components are being satisfied (insured flexibility available to institutions not object to the exclusion of the depository institution level versus subject to both the section 404 and the acquired business from management’s holding company level) and the part 363 requirements was initially evaluation of internal control over corporate level of the officers who are described in the preamble to the SEC’s financial reporting, provided certain signing the management report. More section 404 final rule release (68 FR disclosures are made and other specifically, management reports are 3 36642, June 18, 2003). This final rule conditions are met. The FDIC has often not signed by the officers at the release explained that the flexible received several written requests from appropriate corporate level when the reporting approach described in the institutions subject to the internal audited financial statements preamble had been developed by the control reporting requirements of part requirement is satisfied at the holding SEC staff in consultation with the staff 363 concerning their ability to exclude company level or when one or more of of the federal banking agencies. To the components of the management 3 See Question 3 in the SEC staff’s Frequently codify this reporting flexibility in part report is satisfied at the holding Asked Questions on Management’s Report on Internal Control Over Financial Reporting and company level and the remaining 2 70 FR 71231, November 28, 2005; 70 FR 44295, Certification of Disclosure in Exchange Act Periodic components of the management report August 2, 2005; FDIC Financial Institution Letter Reports at http://www.sec.gov/info/accountants/ are satisfied at the insured depository (FIL) 137–2004, December 21, 2004. controlfaq1004.htm.

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recently acquired businesses from the preamble to the SEC’s section 404 final company’s financial statements should scope of management’s internal control rule release (68 FR 36648, June 18, report on a timely basis to the evaluation as of the end of the year of 2003). The FDIC believes that a company’s audit committee: (1) All the acquisition. The FDIC staff has framework with these attributes is critical accounting policies, (2) granted such requests for relief subject appropriate for all institutions whether alternative accounting treatments to the same disclosure parameters and or not they are public companies. discussed with management, and (3) other conditions that are laid out in the written communications provided to C. Independent Public Accountant SEC staff’s guidance on this matter. management, such as a management (§ 363.3 and Guidelines 13–21) To reduce regulatory burden, letter or schedule of unadjusted including the burden of submitting 1. Internal Control Over Financial differences. These reporting written requests to the FDIC, and Reporting requirements are intended to strengthen provide certainty to institutions, the the relationship between the audit FDIC is proposing to add guideline 8B, As with its experience in reviewing the portion of the management report in committee and the accountant. The Internal Control Reports for Acquired FDIC has previously stated that effective Businesses, to explicitly provide relief which management provides its assessment of the effectiveness of the communication between the accountant from the reporting requirements who audits the institution’s financial regarding internal control over financial institution’s internal control over financial reporting, the FDIC has found statements and the institution’s audit reporting related to business committee assists the audit committee acquisitions made by an institution some independent public accountants’ internal control attestation reports to be in carrying out its responsibilities. For during its fiscal year. As proposed and this reason, the FDIC encouraged consistent with the SEC staff’s guidance, less than sufficiently informative. Such attestation reports are, therefore, institutions, regardless of whether they guideline 8B would permit are public companies or not, to arrange management’s evaluation of internal inconsistent with the objectives of section 36 of the FDI Act. As a with their accountant to institute these control over financial reporting to 4 consequence, the FDIC is proposing to reporting practices. Requirements that exclude internal control over financial are similar, but not identical, to those reporting for the acquired business, amend § 363.3(b), which governs the independent public accountant’s report set forth in section 204 apply to provided management’s report identifies accountants who audit the financial the acquired business, states that the on internal control over financial reporting, to specify that, consistent statements of entities that are not acquired business is excluded from public.5 Therefore, consistent with management’s evaluation of internal with generally accepted standards for attestation engagements, the Public current best practices and standards for control over financial reporting, and audits of both public and non-public indicates the significance of the Company Accounting Oversight Board’s (PCAOB) auditing standards, and entities, the FDIC is proposing to amend acquired business to the institution’s part 363 by adding § 363.3(d), consolidated financial statements. Also, related PCAOB staff implementation guidance, the accountant’s report must: Communications with audit committee, proposed guideline 8B would clarify to set a uniform minimum requirement that if the acquired business is an • Not be dated prior to the date of management’s report on its assessment for such communication. As proposed, insured depository institution that is § 363.3(d) would require the subject to part 363 and it is not merged of the effectiveness of internal control over financial reporting; independent public accountant to report out of existence before the deadline for the information identified in section 204 filing its Part 363 Annual Report, the • Identify the internal control of SOX to the audit committee. acquired business (institution) must framework that the accountant used to continue to comply with all of the make the evaluation (which must be the 3. Retention of Working Papers same as the internal control framework applicable requirements of part 363. Section 36(g)(3)(A) of the FDI Act used by management); 7. Standards for Internal Control • Include a statement that the states that an independent public At present, guideline 10, Standards accountant’s evaluation included accountant who performs audit services for Internal Control, provides that each controls over the preparation of required by section 36 must agree to institution should determine its own regulatory financial statements; provide related working papers to the standards for establishing, maintaining, • Include a clear statement as to the FDIC, any appropriate federal banking and assessing the effectiveness of its accountant’s conclusion regarding the agency, and any state bank supervisor. internal control over financial reporting. effectiveness of internal control over However, when seeking to review audit However, the guideline does not financial reporting; working papers, the FDIC has describe the characteristics of a suitable • Disclose all material weaknesses previously encountered situations internal control framework. identified by the accountant; and where the working papers had been Accordingly, the FDIC is proposing to • Conclude that internal control is retained for only a limited number of amend guideline 10 to provide guidance ineffective if there are any material years. The SEC’s rules and the PCAOB’s regarding the attributes of a suitable weaknesses. auditing standards implementing internal control framework to be used The FDIC is also proposing to amend sections 802 and 103 of SOX, by management in its evaluation of an guideline 18, Attestation Report, to be respectively, now specify a 7-year institution’s internal control over consistent with § 363.3(b)(2) by retention period for audit working financial reporting. Recognizing that a reiterating that the attestation report on papers. The American Institute of significant percentage of institutions internal control over financial reporting Certified Public Accountants’ (AICPA) subject to part 363 or their parent should include a statement as to auditing standards provide that the holding companies are also subject to regulatory reporting. retention period for audit working the internal control reporting requirements of section 404 of SOX, the 2. Communications With Audit 4 See FDIC Financial Institution Letter (FIL) 17– Committee 2003, dated March 5, 2003. attributes described in amended 5 See Statement on Auditing Standards No. 114, guideline 10 are consistent with the According to section 204 of SOX, an The Auditor’s Communication With Those Charged attributes the SEC described in the accountant who audits a public With Governance, December 2006.

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papers should not be shorter than five guidelines. At present, guideline 15 to submitting the letter it provided to years.6 Since the retention period part 363 provides that to be acceptable, management to be filed with the applicable to audits of public companies a peer review should, among other institution’s or the holding company’s is seven years, the FDIC believes that a things, be generally consistent with current report filed with the SEC or the uniform retention period should apply AICPA standards. Since part 363 was appropriate federal banking agency or to audits of all institutions subject to originally adopted, the PCAOB has been (2) relying on the institution’s or the part 363. Accordingly, consistent with created and conducts inspections of holding company’s current report filed the current practices and professional registered public accounting firms, some by management with the FDIC that standards for audits of both public and of which audit insured depository includes the independent public non-public entities, the FDIC is institutions subject to part 363 or their accountant’s notice of termination of its proposing to amend part 363 by adding parent holding companies. These services, provided the independent § 363.3(e), Retention of working papers. inspections serve a similar purpose as public accountant confirms that As proposed, § 363.3(e) would require peer reviews. In addition, the PCAOB management has filed a current report the independent public accountant to issues reports on its inspections of these that includes the accountant’s letter to retain the working papers related to its accounting firms. satisfy the requirements of § 363.3(c). audit of the financial statements and, if In response to this development and in light of the agencies’ issuance of rules D. Filing and Notice Requirements applicable, its evaluation of internal (§ 363.4 and Guidelines 22–26) control over financial reporting for of practice implementing the seven years. enforcement provisions of section 36, as 1. Annual Reporting mentioned above, the FDIC is proposing Currently, the annual reporting 4. Independence to add new § 363.3(g) on peer reviews. requirements of part 363 require each The FDIC would move the requirements Section 36 of the FDI Act states that insured depository institution to file its for peer reviews and retention of the an ‘‘independent public accountant’’ Part 363 Annual Report within 90 days peer review working papers from must perform the audit and attestation after the end of its fiscal year. Part 363 guideline 15, Peer Reviews, to § 363.3(g). services required by section 36 but it also requires each institution to file the In addition, the requirements for filing does not define ‘‘independent,’’ leaving independent public accountant’s report peer review reports would be moved to this to the FDIC’s rulemaking authority. on the audited financial statements and, new § 363.3(g) from guideline 16, Filing As adopted by the FDIC in 1993, part if applicable, the accountant’s Peer Review Reports. As proposed, 363 includes guideline 14, attestation report on management’s Independence, which identifies the § 363.3(g) would also clarify that acceptable peer reviews include peer assessment of internal control over independence standards applicable to financial reporting, both of which are accountants performing services under reviews performed in accordance with the AICPA’s Peer Review Standards and components of the Part 363 Annual section 36 and part 363. In 2003, the Report, within 15 days of receipt by the agencies jointly issued rules of practice inspections conducted by the PCAOB. It would also provide that the FDIC would institution, which can present a conflict to implement the enforcement with the annual report filing provisions of section 36(g)(4), which not make available for public inspection the portion of any peer review report requirement. The FDIC is also aware of authorize the FDIC or an appropriate the impact that earlier filing deadlines federal banking agency to remove, and inspection report determined to be nonpublic by the AICPA and the established by the SEC for annual suspend, or bar an accountant, for good reports filed by certain public cause, from performing audit and PCAOB, respectively. Finally, the FDIC is proposing to revise guideline 15 to companies under the federal securities attestation services for institutions laws (e.g., SEC Form 10–K) and more subject to section 36 and part 363.7 To explain that a peer review, other than a PCAOB inspection, should be generally robust auditing standards related to enhance the enforceability of the internal control over financial reporting independence standards with which an consistent with AICPA Peer Review Standards. have had on the management of accountant must comply for purposes of institutions, on the resources of part 363, the FDIC is proposing to move 6. Notice of Termination independent public accountants, and on the independence requirements for Guideline 26, Notices Concerning auditing costs. To reduce cost and independent public accountants from Accountants, permits an institution that burden, the FDIC is proposing to amend guideline 14, Independence, to new is a public company or a subsidiary of § 363.4(a) by extending the time period § 363.3(f), Independence. As proposed, a public company to satisfy the within which an insured depository § 363.3(f) would also clarify that the requirement for filing a notice of institution that is not a public company independent public accountant must termination of its independent public or a subsidiary of a public company comply with the independence accountant by using its current report must file its Part 363 Annual Report standards and interpretations of the (e.g., SEC Form 8–K) concerning a from within 90 days to within 120 days PCAOB that have been approved by the change in accountant to satisfy the after the end of its fiscal year. An SEC in addition to the independence similar notice requirements of part 363. insured depository institution that is a standards and interpretations of the To reduce regulatory burden and public company, or that is a subsidiary AICPA and the SEC. provide flexibility to the independent of a public company that meets certain 5. Peer Reviews public accountant of such an institution, criteria, would continue to be required Section 36(g)(3)(A)(ii) of the FDI Act the FDIC is proposing to amend to file its Part 363 Annual Report within requires an independent public guideline 20, Notice of Termination, to 90 days after the end of its fiscal year, accountant to have received a peer permit the independent public which is consistent with the maximum review or be enrolled in a peer review accountant to satisfy the requirement to time frame that public companies have program that meets acceptable file a notice of termination of its for filing annual reports under the services in a similar manner. As federal securities laws. The FDIC would 6 See Statement on Auditing Standards No. 103, proposed, the independent public also eliminate the ambiguity in § 363.4 Audit Documentation, December 2006. accountant generally could satisfy the concerning the filing deadline for the 7 68 FR 48256, August 13, 2003. part 363 notice requirement by (1) components of the Part 363 Annual

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Report that are prepared by the In the Interagency Advisory on the late filing before the filing deadline for independent public accountant. Unsafe and Unsound Use of Limitation the report or notice. The late filing An insured depository institution of Liability Provisions in External Audit notice shall disclose the institution’s with consolidated total assets of less Engagement Letters, the federal banking inability to timely file all or specified than $1 billion that is a public company agencies expressed their concerns about portions of its Part 363 Annual Report or a subsidiary of a public company is limitation of liability provisions or other report or notice, the reasons required to file management’s included in external audit engagement therefore in reasonable detail, and the assessment of the effectiveness of letters and advised institutions against date when the report or notice will be internal control over financial reporting entering into engagement letters filed. with the SEC or the appropriate federal containing such provisions.8 To enable The FDIC is also proposing to amend banking agency in accordance with the the FDIC to timely review institutions’ guideline 23 by changing its focus from compliance dates of the SEC’s rules engagement letters with their extension requests to late filing notices implementing section 404 of SOX. independent public accountants, the consistent with the approach taken in Management’s findings and conclusions FDIC is also proposing to amend new § 363.4(e). Amended guideline 23 with respect to internal control over § 363.4(c) to require institutions to file would explain that submitting a late financial reporting, as disclosed in the copies of audit engagement letters, filing notice would not cure the assessment that management files with including any related agreements and apparent violation of part 363 arising the SEC or the appropriate federal amendments, with the FDIC, the from an institution’s failure to timely banking agency, provide information appropriate federal banking agency, and file a Part 363 Annual Report or any that would aid in meeting the objective any appropriate state bank supervisor other required report or notice. The of section 36 of the FDI Act. within 15 days of acceptance by the supervisory response to such an Therefore, the FDIC is proposing to institution. apparent violation would take into add a provision to § 363.4(a) that would 3. Notification of Late Filing account the facts and circumstances require an institution of this size to surrounding an institution’s delay in submit a copy of management’s section Guideline 23, Relief from Filing filing. As proposed, guideline 23 would 404 internal control assessment with its Deadlines, currently provides that in the also provide that, if the late filing Part 363 Annual Report, but this occasional event that an institution is applies to only a portion of the Part 363 assessment will not be considered part confronted with extraordinary Annual Report or any other report or of the institution’s Part 363 Annual circumstances beyond its reasonable notice, the components of the report or Report. control that justifies an extension of the notice that have been completed should deadline for filing its Part 363 Annual 2. Independent Public Accountant’s be filed within the prescribed filing Report or another required report or Reports period accompanied by either a cover notice, the institution may submit a letter that indicates which components Section 36(h)(2)(A) of the FDI Act and written request for an extension of the are omitted or a combined late filing § 363.4(c) require an institution to file a filing deadline of not more than 30 days notice and cover letter. copy of any management letter or other that explains the reasons for the request. report issued by its independent public Such a request may be granted for good 4. Place for Filing accountant that pertains to the financial cause. Over the last several years, the Current guideline 22 identifies the statement audit and the attestation on reasons set forth in the requests for office of the FDIC, the appropriate internal control over financial reporting extensions of time for filing Part 363 federal banking agency, and the within 15 days after receipt by the Annual Reports that have been appropriate state bank supervisor to institution. The FDIC’s experience in submitted to the FDIC generally did not administering part 363 indicates that which reports and notices (other than represent extraordinary circumstances peer review reports) required by part institutions are often uncertain as to beyond the institution’s reasonable which types of reports they receive from 363 are to be filed. Nevertheless, the control, the standard currently set forth FDIC has found that some institutions their independent public accountant in guideline 23. Also, several extension must be submitted to the FDIC, the submit required reports and notices to requests were repeats of requests from incorrect locations. The FDIC staff also appropriate federal banking agency, and the same institutions from the previous any appropriate state bank supervisor receives questions from institutions year. asking where reports and notices should pursuant to this filing requirement. As Based upon this experience and given be filed. To make the information as to stated above, this uncertainty extends to the proposed amendment to § 363.4(a) where Part 363 Annual Reports, written this 15-day filing requirement and its to extend the filing deadline for Part 363 notices of late filing, and other reports relationship to the filing deadline for Annual Reports for non-public and notices (except peer review reports) the Part 363 Annual Report. To clarify institutions from 90 to 120 days, the are to be filed more prominent, the FDIC the requirements for the filing of FDIC is proposing to replace the is proposing to move this information accountants’ reports, the FDIC is extensions of time for filing reports that from guideline 22, Place for Filing, to a proposing to amend § 363.4(c), are available only in extraordinary new § 363.4(f), Place for filing. Independent public accountant’s letters circumstances under guideline 23 with and reports, by providing examples of a new § 363.4(e), E. Audit Committees (§ 363.5 and the types of reports issued by an Notification of late filing. In place of Guidelines 27–35) institution’s independent public filing extensions that have limited accountant, except for the accountant’s applicability, this new section would be 1. Composition reports that are required to be included applicable to all institutions and would Section 36(g)(1) of the FDI Act and in the institution’s Part 363 Annual require an institution that is unable to § 363.5(a) require each insured Report, that are to be filed within 15 timely file all or any portion of its Part depository institution subject to part days after receipt. Guideline 25, 363 Annual Report or any other report 363 to have an independent audit Independent Accountant’s Reports, or notice to submit a written notice of committee comprised entirely of outside would be deleted because it would be directors. As defined in § 363.5(a)(3), in redundant and no longer needed. 8 71 FR 6847, February 9, 2006. general, an outside director is a director

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who is not an officer or employee of the are so general that they fail to provide national securities exchange on which institution or any affiliate of the meaningful guidance to boards of the public institution or its public institution. In addition, the outside directors. At the same time, many of the parent company is listed for purposes of directors who serve on the audit institutions subject to part 363 or their determining audit committee member committee must be ‘‘independent of parent holding companies are public independence. Similarly, all other management,’’ although a minority of companies with securities listed on a institutions, including those that are not the audit committee members of national securities exchange. Under the public companies, may elect to use the institutions with $500 million or more SEC’s Rule 10A–3 (17 CFR § 240.10A– audit committee provisions of the listing but less than $1 billion in total assets 3), each audit committee member of a standards of a national securities need not be ‘‘independent of listed issuer must be a director of the exchange or association for determining management.’’ According to guideline issuer and must otherwise be audit committee member independence. 27, Composition, each institution’s independent. The listing standards of 3. Duties board of directors is responsible for the national securities exchange must determining at least annually whether set forth the criteria for determining the According to section 36(g)(1)(B) of the existing and potential audit committee independence of directors who are to FDI Act and § 363.5(a), an audit members satisfy the requirements serve on a listed issuer’s audit committee’s duties include reviewing governing audit committee composition. committee. the basis for the Part 363 Annual Report Guidelines 28 and 29 set forth certain Based on its review, the FDIC believes with both management and the factors for boards of directors to that the independence criteria for audit independent public accountant. consider in determining whether an committee members included in the Guideline 31 further provides that the outside director is ‘‘independent of listing standards of the national audit committee’s duties should be management.’’ securities exchanges, together with the appropriate to the size of the institution In order for a board of directors to FDIC’s existing stock ownership and the complexity of its operations and perform its evaluation of audit criterion in guideline 29, represent an it identifies additional duties that could committee members in a consistent, appropriate framework for determining be appropriate for the audit committee. effective, and reviewable manner, the whether an outside director is These additional duties include FDIC believes the board should be ‘‘independent of management’’ for discussing with management the guided by an approved policy or set of purposes of part 363. Furthermore, for selection and termination of the criteria that identifies the factors to be an institution whose audit committee institution’s independent public taken into account by the board. members or whose parent holding accountant. In addition, guideline 26 Accordingly, the FDIC is proposing to company’s audit committee members, if provides that, before engaging an amend guideline 27 to state that an the holding company meets the holding independent public accountant, an institution’s board of directors should company provisions of § 363.1(b), are institution should review and satisfy maintain and use an approved set of subject to the listing standards of a itself that the accountant is in written criteria for evaluating audit national securities exchange, allowing compliance with the required committee member independence and the institution to use these standards for qualifications set forth in guidelines 13 that the results of and basis for the part 363 purposes will reduce the through 15, including the accountant’s board’s determination with respect to institution’s burden. independence and receipt of a peer each existing and potential audit Therefore, the FDIC is proposing to review. committee member should be recorded combine guidelines 28 and 29 and Under section 301 of SOX, the audit in the board’s minutes. provide expanded guidance for an committee of each public company Guideline 30, Holding Company institution’s board of directors to use in listed on a national securities exchange Audit Committees, provides guidance its assessment of an outside director’s or association must be responsible for for complying with the audit committee relationship to the institution for the the appointment, compensation, and requirements of part 363 at the holding purposes of making ‘‘independent of oversight of the accounting firm engaged company level. The FDIC is proposing management’’ determinations regarding to prepare or issue an audit report or to amend guideline 30 for consistency audit committee members. For example, perform related work. As the SEC noted with the proposed revisions to the the proposed amendment to guideline when it adopted its final rule holding company provisions of 28 includes a list of criteria that an implementing section 301, ‘‘the auditing § 363.1(b) and to reflect the difference in institution’s board of directors should process may be compromised when a the audit committee composition consider when determining whether an company’s outside auditors view their requirements in § 363.5(a) for outside director would be considered responsibility as serving the company’s institutions with more than and less ‘‘independent of management.’’ In management rather than its full board of than $1 billion in total assets. developing the proposed list of criteria, directors or audit committee. This may the FDIC considered the portion of the occur if the auditor views management 2. ‘‘Independent of Management’’ listing standards of the national as the employer with hiring, firing and Considerations securities exchanges that apply to audit compensating powers. Under these Guideline 28, ‘‘Independent of committees. An institution’s board of conditions, the auditor may not have the Management’’ Considerations, identifies directors may also conclude that it appropriate incentive to raise concerns five factors for a board of directors to should consider additional criteria that and conduct an objective review. * * * consider when determining the may be appropriate in its particular One way to help promote auditor independence of an outside director. circumstances. As an alternative to the independence, then, is for the auditor to Guideline 29, Lack of Independence, listed criteria, proposed guideline 28 be hired, evaluated and, if necessary, states that a director who owns or would permit an institution that is a terminated by the audit committee.’’ controls 10 percent or more of any class public company or that is a subsidiary Because the intent and purpose of of the institution’s voting securities of a public company, when the holding section 36 of the FDI Act is the early should not be considered ‘‘independent company provisions of § 363.1(b) are identification of needed improvements of management.’’ The FDIC has found met, to apply the audit committee in financial management, it is critical that some of the factors in guideline 28 provisions of the listing standards of the for the accountants that perform audit

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and attestation services for insured central to achieving the intent and regulation took effect in 1993, with a depository institutions subject to section purpose of section 36 of the FDI Act. revised guideline 35, ‘‘Transition Period 36 to have an appropriate incentive to Therefore, the FDIC is proposing to add for Forming and Restructuring Audit raise concerns and conduct an objective § 363.5(c), Independent public Committees.’’ As proposed, guideline 35 review. In this regard, the FDIC believes accountant engagement letters, and would provide a one-year transition it is a sound corporate governance amend guideline 31, Duties, to period for forming or restructuring the practice for an institution’s audit incorporate the principal provisions of audit committee when an institution committee, rather than its management, the Interagency Advisory. first becomes subject to part 363, when to be responsible for the appointment, As proposed, § 363.5(c) and guideline an institution’s assets first reach the compensation, and oversight of the 31 would require the audit committee to $1 billion asset-size threshold, and accountant, regardless of whether the ensure that audit engagement letters and when an institution’s assets first reach institution is a public company. any related agreements with the the $3 billion asset-size threshold. The Therefore, the FDIC is proposing to independent public accountant for proposed revised guideline would state amend § 363.5(a), Composition and services to be performed under part 363 that, when an institution first crosses duties, and guideline 31, Duties, to do not contain any limitation of liability one of these three thresholds based on specify that, in addition to reviewing provisions that: (1) Indemnify the its total assets at the beginning of its with management and the independent independent public accountant against fiscal year, no regulatory action would public accountant the basis for the claims made by third parties; (2) hold be taken if the institution forms or reports issued under part 363, the duties harmless or release the independent restructures its audit committee to of the audit committee include the public accountant from liability for comply with the applicable appointment, compensation, and claims or potential claims that might be requirements governing the composition oversight of the independent public asserted by the client insured depository of the committee by the end of that accountant who performs services institution, other than claims for fiscal year, provided the institution required under part 363. In order to punitive damages; or (3) limit the complied with any applicable audit discharge these duties with respect to remedies available to the client insured committee requirements for its the independent public accountant, the depository institution. Consistent with preceding fiscal year. audit committee should also review and the Interagency Advisory, the proposed satisfy itself as to the independent amendment would not preclude the use F. Other Changes to Part 363 public accountant’s compliance with of alternative dispute resolution The FDIC also proposes to make other the independence, peer review, and agreements and jury trial waivers. changes to part 363 to improve its other qualifications under part 363. 5. Transition Period for Forming and clarity, readability, and consistency of Additionally, the audit committee Restructuring Audit Committees language, and to correct or eliminate should be familiar with and ensure outdated terms, references, and management’s compliance with the When an insured depository provisions in the regulation and requirement to file notices concerning institution first exceeds the $500 appendix A. the engagement, resignation, or million total assets threshold and dismissal of an independent public becomes subject to part 363, particularly G. Proposed Amendment to Part 308, accountant. The FDIC is proposing to an institution with few shareholders, Subpart U include these duties in guideline 31. the FDIC has observed that, in some In August 2003, pursuant to section cases, such an institution encounters 36(g)(4) of the FDI Act, the FDIC and the 4. Independent Public Accountant difficulty in satisfying the requirements Engagement Letters other federal banking agencies jointly governing the composition of the issued final rules governing their In response to an observed increase in independent audit committee. If the authority to take disciplinary actions the types and frequency of provisions in board of directors lacks a sufficient against independent public accountants financial institutions’ external audit number of outside directors who are and accounting firms that perform audit engagement letters that limit the independent of management to serve on and attestation services required by auditors’ liability, the federal banking the audit committee, the board members section 36.10 Under the final rules, agencies issued an Interagency Advisory must identify and attract qualified certain violations of law, negligent on the Unsafe and Unsound Use of individuals in their community who conduct, reckless violation of Limitation of Liability Provisions in would be willing to become directors professional standards, or lack of External Audit Engagement Letters and audit committee members and who qualifications to perform auditing (Interagency Advisory) in February would be ‘‘independent of 9 services may be considered good cause 2006. When they issued the management.’’ The lack of guidance in to remove, suspend, or bar an Interagency Advisory, the agencies part 363 on the amount of time in which accountant or firm from providing audit stated their belief that when institutions an institution must bring its audit and attestation services for institutions agree to limit their external auditors’ committee into compliance with the subject to section 36. The rules also liability in provisions in engagement requirements governing its composition prohibit an accountant or accounting letters, such provisions may weaken the when an institution first becomes firm from performing these services if external auditors’ objectivity, subject to part 363 further complicates the accountant or firm has been impartiality, and performance, which this process. This lack of guidance on removed, suspended, or debarred by one may reduce the reliability of audits and the time frame for attaining compliance of the agencies, or if the SEC or PCAOB thereby raise safety and soundness also affects the other two asset-size takes certain disciplinary actions against concerns. The reliability of audits is thresholds applicable to audit the accountant or firm. Additionally, the committee composition. final rules require an accountant or an 9 See 71 FR 6847, February 9, 2006, and FDIC To provide both clarity and regulatory accounting firm to provide the agencies Financial Institution Letter (FIL) 13–2006, issued on relief, the FDIC is proposing to replace the same date. The Federal Financial Institutions Examination Council on behalf of the agencies outdated guideline 35, which dealt with 10 See 68 FR 48256, April 13, 2003, and the issued the Interagency Advisory in proposed form compliance with the audit committee FDIC’s Financial Institution Letter (FIL) FIL–66– for public comment on May 10, 2005 (70 FR 24576). requirements of part 363 when the 2006, dated August 18, 2003.

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with written notification of the use plain language in all proposed and control number 3064–0113, pursuant to accountant’s or firm’s removal, final rules published after January 1, the Paperwork Reduction Act (44 U.S.C. suspension, or debarment. Part 308, 2000. We invite your comments on how 3501 et seq). The principal revisions subpart U, of the FDIC’s rules and to make this proposal easier to that bear on the collection of regulations implements the understand. For example: information under part 363 are the requirements of section 36(g)(4) of the • Have we organized the material to extension of the filing deadline for the FDI Act for institutions that are suit your needs? If not, how could this Part 363 Annual Report from 90 to 120 supervised by the FDIC. The FDIC is material be better organized? days after the end of the fiscal year for proposing to amend § 308.604(c) to • Are the requirements in the an institution that is not a public identify the FDIC location where an proposed regulation clearly stated? If company or a subsidiary of a public accountant or accounting firm should not, how could the regulation be more company, the replacement of 30-day file required notices of orders and clearly stated? extension requests (when an institution actions regarding removal, suspension, • Does the proposed regulation is confronted with extraordinary or debarment. contain language or jargon that is not circumstances beyond its reasonable clear? If so, which language requires control) with late filing notices IV. Request for Comments clarification? (regardless of the reason), the The FDIC welcomes comments on all • Would a different format (grouping modification of the criteria governing aspects of this proposal. In particular, and order of sections, use of headings, the acceptability of reports at the the FDIC invites comments on the paragraphing) make the regulation holding company level rather than at following: easier to understand? If so, what the institution level, the expanded 1. As proposed, the rule would changes to the format would make the guidance on the content of the require management’s assessment of regulation easier to understand? management report and the compliance with designated safety and • What else could we do to make the independent public accountant’s soundness laws and regulations to regulation easier to understand? internal control attestation report, the include a clear statement as to board of directors’ use of an approved management’s conclusion regarding VI. Solicitation of Comments on Impact on Community Banks set of written criteria for determining compliance and disclose any whether an audit committee member is noncompliance with such laws and The FDIC seeks comments on the an outside director and is ‘‘independent regulations. The designated safety and impact of this proposal on community of management,’’ and the new soundness laws and regulations relate to banks. The FDIC recognizes that guidelines for institutions merged out of loans to insiders and dividend community banks operate with more existence and for internal control restrictions. Management’s assessment limited resources than larger reports for acquired businesses. It is of compliance is included in the institutions and may present a different anticipated that the overall effect of management report within the Part 363 risk profile. Thus, the FDIC specifically these changes will be a small burden Annual Report, which is available for requests comments on the impact of the increase for affected insured public inspection. Should the disclosure proposal on community banks’ current institutions. Comments are invited on: of instances of noncompliance with resources, including personnel, and (a) Whether this collection of these designated laws and regulations whether the goals of the proposed rule information is necessary for the proper be made available for public inspection could be achieved, for community performance of the FDIC’s functions, or should the FDIC designate such banks, through an alternative approach. including whether the information has disclosure as privileged and VII. Regulatory Flexibility Act Analysis practical utility; (b) the accuracy of the confidential and not available to the estimates of the burden of the public? The Regulatory Flexibility Act (RFA) information collection; (c) ways to 2. As proposed, the rule would requires that each federal agency either enhance the quality, utility, and clarity require the total assets of a holding certify that a proposed rule would not, of the information to be collected; and company’s insured depository if adopted in final form, have a (d) ways to minimize the burden of the institution subsidiaries to comprise 75 significant economic impact on a information collection on respondents, percent or more of the holding substantial number of small entities or including through the use of automated company’s consolidated total assets as prepare an initial regulatory flexibility collection techniques or other forms of of the beginning of its fiscal year in analysis (IRFA) of the proposal and information technology. order for an institution to comply with publish the analysis for comment. See 5 Comments should be addressed to part 363 at the holding company level. U.S.C. 603, 605. The Small Business Steven F. Hanft, Paperwork Clearance The holding company could be the Administration (SBA) defines small Officer, Room F–1062, Federal Deposit institution’s top-tier or any mid-tier banks as those with less than $165 Insurance Corporation, 550 17th Street, holding company that meets the 75 million in assets. Because this rule NW., Washington, DC 20429, with percent threshold. Considering the costs expressly exempts insured depository copies to the OMB desk officer for the and benefits of a threshold, is 75 percent institutions having assets of less than FDIC by mail to the Office of or more of consolidated total assets an $500 million, it is inapplicable to small Information and Regulatory Affairs, U.S. appropriate threshold? If not, what entities as defined by the SBA. Office of Management and Budget, New would be an appropriate threshold to Therefore, it is certified that this Executive Office Building, Room 10235, use for compliance with part 363 at a proposed rule would not have a 725 17th Street, NW., Washington, DC holding company level? significant economic impact on a 20503 or by fax to (202) 395–6974. substantial number of small entities. The paperwork burden associated V. Solicitation of Comments on Use of with this rule was last reviewed in 2005. Plain Language VIII. Paperwork Reduction Act At that time, the FDIC estimated the Section 722 of the Gramm-Leach- This proposed rule would revise a burden of this information collection to Bliley Act, Pub. L. 106–102, sec. 722, collection of information that has been be 65,612 hours for FDIC-supervised 113 Stat. 1338, 1471 (Nov. 12, 1999), reviewed and approved by the Office of institutions. Before giving effect to the requires the federal banking agencies to Management and Budget (OMB) under proposed amendments, the estimated

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burden would be 79,721 hours, an days before an accountant or accounting or any mid-tier holding company if the adjustment of 14,109 hours attributable firm accepts an engagement to provide insured depository institution meets the to an increase in the number of FDIC- audit services, whichever date is earlier. criterion specified in § 363.1(b)(1) and supervised institutions subject to part The written notice must be filed by the if: 363. If the revisions in this proposed independent public accountant or (i) The services and functions rule are implemented, the resulting accounting firm with the FDIC, comparable to those required of the estimated reporting burden for the Accounting and Securities Disclosure insured depository institution by this collection of information would be Section, 550 17th Street, NW., part are provided at the holding 83,599 hours, a program increase of Washington, DC 20429. company level; and 3,878 hours over the adjusted burden of 3. Revise part 363 to read as follows: (ii) The insured depository institution 79,721 hours. The most significant has as of the beginning of its fiscal year: component of the increase is PART 363—ANNUAL INDEPENDENT (A) Total assets of less than $5 billion; attributable to the proposed revised AUDITS AND REPORTING or requirements related to audit committee REQUIREMENTS (B) Total assets of $5 billion or more composition. and a composite CAMELS rating of 1 or Sec. 2. Number of Respondents: 5,230. 363.0 OMB control number. Total Annual Responses: 16,231. 363.1 Scope and definitions. (3) The appropriate federal banking Total Annual Burden Hours: 83,599. 363.2 Annual reporting requirements. agency may revoke the exception in paragraph (b)(2) of this section for any List of Subjects 363.3 Independent public accountant. 363.4 Filing and notice requirements. institution with total assets in excess of 12 CFR Part 308 363.5 Audit committees. $9 billion for any period of time during Appendix A to Part 363—Guidelines and which the appropriate federal banking Administrative practice and Interpretations agency determines that the institution’s procedure, Bank deposit insurance, Appendix B to Part 363—Illustrative exemption would create a significant Banks, banking, Claims, Crime, Equal Management Reports risk to the Deposit Insurance Fund. access to justice, Investigations, Authority: 12 U.S.C. 1831m. (c) Financial reporting. For purposes Lawyers, Penalties, State nonmember of the management report requirement banks. § 363.0 OMB control number. of § 363.2(b) and the internal control 12 CFR Part 363 The information collection reporting requirement of § 363.3(b), requirements in this part have been ‘‘financial reporting’’ includes both Accounting, Administrative practice approved by the Office of Management and procedure, Banks, banking, financial statements prepared in and Budget under OMB control number accordance with generally accepted Reporting and recordkeeping 3064–0113. requirements. accounting principles and those § 363.1 Scope and definitions. prepared for regulatory reporting For the reasons set forth in the purposes. (a) Applicability. This part applies to preamble, the Board of Directors of the (d) Definitions. For purposes of this any insured depository institution with FDIC proposes to amend title 12, part, the following definitions apply: chapter III, of the Code of Federal respect to any fiscal year in which its (1) AICPA means the American Regulations as follows: consolidated total assets at the Institute of Certified Public beginning of such fiscal year are $500 PART 308—RULES OF PRACTICE AND Accountants. million or more. The requirements (2) GAAP means generally accepted PROCEDURE specified in this part are in addition to accounting principles. any other statutory and regulatory 1. The authority citation for part 308 (3) PCAOB means the Public requirements otherwise applicable to an continues to read as follows: Company Accounting Oversight Board. insured depository institution. (4) Public company means an insured Authority: 5 U.S.C. 504, 554–557; 12 (b) Compliance by subsidiaries of U.S.C. 93(b), 164, 505, 1815(e), 1817, 1818, depository institution or other company holding companies. (1) The audited that has a class of securities registered 1820, 1828, 1829, 1829b, 1831i, 1831m(g)(4), financial statements requirement of 1831o, 1831p–1, 1832(c), 1884(b), 1972, with the U.S. Securities and Exchange 3102, 3108(a), 3349, 3909, 4717; 15 U.S.C. § 363.2(a) for any fiscal year may be Commission or the appropriate federal 78(h) and (i), 78o–4(c), 78o–5, 78q–1, 78s, satisfied for an insured depository banking agency under Section 12 of the 78u, 78u–2, 78u–3 and 78w, 6801(b), institution that is a subsidiary of a Securities Exchange Act of 1934. 6805(b)(1); 28 U.S.C. 2461 note; 31 U.S.C. holding company by audited (5) SEC means the U.S. Securities and 330, 5321; 42 U.S.C. 4012a; Sec. 3100(s), Pub. consolidated financial statements of the Exchange Commission. L. 104–134, 110 Stat. 1321–358. top-tier or any mid-tier holding (6) SOX means the Sarbanes-Oxley company provided that the consolidated Act of 2002. Subpart U—Removal, Suspension, and total assets of the insured depository Debarment of Accountants From institution (or the consolidated total § 363.2 Annual reporting requirements. Performing Audit Services assets of all insured depository (a) Audited financial statements. Each 2. Revise § 308.604(c) to read as institutions, regardless of size, if the insured depository institution shall follows: holding company owns or controls more prepare annual financial statements in than one insured depository institution) accordance with GAAP, which shall be § 308.604 Notice of removal, suspension, comprise 75 percent or more of the audited by an independent public or debarment. consolidated total assets of the holding accountant. The annual financial * * * * * company at the beginning of its fiscal statements must reflect all material (c) Timing and place of notice. year. correcting adjustments identified by the Written notice required by this (2) The other requirements of this part independent public accountant. paragraph shall be given no later than for an insured depository institution (b) Management report. Each insured 15 calendar days following the effective that is a subsidiary of a holding depository institution annually shall date of an order or action, or 15 calendar company may be satisfied by the top-tier prepare, as of the end of the institution’s

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most recent fiscal year, a management (c) Management report signatures. institution’s fiscal year, the independent report that must contain the following: Subject to the criteria specified in public accountant who audits the (1) A statement of management’s § 363.1(b): institution’s financial statements shall responsibilities for preparing the (1) If the audited financial statements examine, attest to, and report separately institution’s annual financial requirement specified in § 363.2(a) is on, the assertion of management statements, for establishing and satisfied at the insured depository concerning the effectiveness of the maintaining an adequate internal institution level and the management institution’s internal control structure control structure and procedures for report requirement specified in and procedures for financial reporting. financial reporting, and for complying § 363.2(b) is satisfied in its entirety at The attestation and report shall be made with laws and regulations relating to the insured depository institution level, in accordance with generally accepted safety and soundness that are the management report must be signed standards for attestation engagements or designated by the FDIC and the by the chief executive officer and the the PCAOB’s auditing standards, if appropriate federal banking agency; chief accounting officer or chief applicable. The accountant’s report financial officer of the insured must not be dated prior to the date of (2) An assessment by management of depository institution; the management report and the insured depository institution’s (2) If the audited financial statements management’s assessment of the compliance with such laws and requirement specified in § 363.2(a) is effectiveness of internal control over regulations during such fiscal year. The satisfied at the holding company level financial reporting. The accountant’s assessment must state management’s and the management report requirement report must include the following: conclusion as to whether the insured specified in § 363.2(b) is satisfied in its (1) A statement identifying the depository institution has complied entirety at the holding company level, with the designated safety and internal control framework used by the the management report must be signed independent public accountant, which soundness laws and regulations during by the chief executive officer and the the fiscal year and disclose any must be the same as the internal control chief accounting officer or chief framework used by management, to noncompliance with these laws and financial officer of the holding regulations; and evaluate the effectiveness of the insured company; and depository institution’s internal control (3) For an insured depository (3) If the audited financial statements over financial reporting; institution with consolidated total assets requirement specified in § 363.2(a) is of $1 billion or more at the beginning of satisfied at the holding company level (2) A statement that the independent such fiscal year, an assessment by and: public accountant’s evaluation included management of the effectiveness of such (i) The management report controls over the preparation of internal control structure and requirement specified in § 363.2(b) is regulatory financial statements in procedures as of the end of such fiscal satisfied in its entirety at the insured accordance with regulatory reporting year that must include the following: depository institution level; or instructions including identification of such regulatory reporting instructions; (i) A statement identifying the (ii) One or more of the components of and internal control framework 1 used by the management report specified in management to evaluate the § 363.2(b) is satisfied at the holding (3) A statement expressing the effectiveness of the insured depository company level and the remaining independent public accountant’s institution’s internal control over components of the management report conclusion as to whether the insured financial reporting; are satisfied at the insured depository depository institution’s internal control institution level, the management report over financial reporting is effective. The (ii) A statement that the assessment must be signed by the chief executive report must disclose all material included controls over the preparation officers and the chief accounting officers weaknesses in internal control over of regulatory financial statements in or chief financial officers of both the financial reporting that the independent accordance with regulatory reporting holding company and the insured public accountant has identified. The instructions including identification of depository institution and the independent public accountant is such regulatory reporting instructions; management report must clearly precluded from concluding that the and indicate the level (institution or holding insured depository institution’s internal (iii) A statement expressing company) at which each of its control over financial reporting is management’s conclusion as to whether components is being satisfied. effective if there are one or more the insured depository institution’s material weaknesses. internal control over financial reporting § 363.3 Independent public accountant. (c) Notice by accountant of is effective. Management must disclose (a) Annual audit of financial termination of services. An independent all material weaknesses in internal statements. Each insured depository public accountant performing an audit control over financial reporting, if any, institution shall engage an independent under this part who ceases to be the that it has identified. Management is public accountant to audit and report on accountant for an insured depository precluded from concluding that the its annual financial statements in institution shall notify the FDIC and the insured depository institution’s internal accordance with GAAP and section 37 appropriate federal banking agency in control over financial reporting is of the Federal Deposit Insurance Act (12 writing of such termination within 15 effective if there are one or more U.S.C. 1831n). The scope of the audit days after the occurrence of such event, material weaknesses. engagement shall be sufficient to permit such accountant to determine and report and set forth in reasonable detail the whether the financial statements are reasons for such termination. The 1 In the United States, the Committee of written notice shall be filed at the place Sponsoring Organizations (COSO) of the Treadway presented fairly and in accordance with Commission has published Internal Control— GAAP. identified in § 363.4(f). Integrated Framework, including an addendum on (b) Internal control over financial (d) Communications with audit safeguarding assets. Known as the COSO report, this publication provides a suitable and available reporting. For each insured depository committee. The independent public framework for purposes of management’s institution with total assets of $1 billion accountant must report the following on assessment. or more at the beginning of the a timely basis to the audit committee:

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(1) All critical accounting policies accountant’s report thereon, a (ii) Any written communication of used by the insured depository management report, and, if applicable, significant deficiencies and material institution, the independent public accountant’s weaknesses in internal control required (2) Alternative accounting treatments attestation report on management’s by the AICPA’s or the PCAOB’s auditing the independent public accountant has assessment concerning the institution’s standards; discussed with management, and internal control structure and (iii) For institutions with total assets (3) Other written communications the procedures for financial reporting as of less than $1 billion as of the independent public accountant has required by §§ 363.2(a), 363.3(a), beginning of their fiscal year that are provided to management, such as a 363.2(b), and 363.3(b), respectively. public companies or subsidiaries of management letter or schedule of (2) Subject to the criteria specified in public companies that meet the criterion unadjusted differences. § 363.1(b), each insured depository specified in § 363.1(b)(1), any (e) Retention of working papers. The institution with consolidated total assets independent public accountant’s report independent public accountant must of less than $1 billion as of the on the audit of internal control over retain the working papers related to the beginning of its fiscal year that is financial reporting required by section audit of the insured depository required to file, or whose parent holding 404 of SOX and the PCAOB’s auditing institution’s financial statements and, if company is required to file, standards; and applicable, the evaluation of the management’s assessment of the (iv) For all institutions that are public institution’s internal control over effectiveness of internal control over companies or subsidiaries of public financial reporting for seven years, financial reporting with the SEC or the companies that meet the criterion unless a longer period of time is appropriate federal banking agency in specified in § 363.1(b)(1), any required by law. accordance with section 404 of SOX independent public accountant’s (f) Independence. The independent must submit a copy of such assessment written communication of all public accountant must comply with the to the FDIC, the appropriate federal deficiencies in internal control over independence standards and banking agency, and any appropriate financial reporting that are of a lesser interpretations of the AICPA, the SEC, state bank supervisor with its Part 363 magnitude than significant deficiencies and the PCAOB. Annual Report as additional required by the PCAOB’s auditing (g) Peer reviews. (1) Prior to information. This assessment will not be standards. commencing any services for an insured considered part of the institution’s Part (2) Each insured depository depository institution under this part, 363 Annual Report. institution shall file with the FDIC, the the independent public accountant must (3) (i) Each insured depository appropriate federal banking agency, and have received a peer review, or be institution that is neither a public any appropriate state bank supervisor, a enrolled in a peer review program, that company nor a subsidiary of a public copy of any audit engagement letter, meets acceptable guidelines. Acceptable company that meets the criterion including any related agreements and peer reviews include peer reviews specified in § 363.1(b)(1) shall file its amendments, within 15 days of performed in accordance with the Part 363 Annual Report within 120 days acceptance by the institution. AICPA’s Peer Review Standards and after the end of its fiscal year. (d) Notice of engagement or change of inspections conducted by the PCAOB. (ii) Each insured depository accountants. Each insured depository (2) Within 15 days of receiving institution that is a public company or institution shall provide, within 15 days notification that a peer review has been a subsidiary of public company that after the occurrence of any such event, accepted or a PCAOB inspection report meets the criterion specified in written notice to the FDIC, the has been issued, or before commencing § 363.1(b)(1) shall file its Part 363 appropriate federal banking agency, and any audit under this part, whichever is Annual Report within 90 days after the any appropriate state bank supervisor of earlier, the independent public end of its fiscal year. the engagement of an independent accountant must file two copies of the (b) Public availability. The annual public accountant, or the resignation or most recent peer review report and the report in paragraph (a)(1) of this section dismissal of the independent public most recent PCAOB inspection report, if shall be available for public inspection. accountant previously engaged. The any, accompanied by any letters of (c) Independent public accountant’s notice shall include a statement of the comments, response, and acceptance, letters and reports. (1) Except for the reasons for any such resignation or with the FDIC, Accounting and independent public accountant’s reports dismissal in reasonable detail. Securities Disclosure Section, 550 17th that are included in its Part 363 Annual (e) Notification of late filing. No Street NW., Washington, DC 20429, if Report, each insured depository extensions of time for filing reports the report has not already been filed. institution shall file with the FDIC, the required by § 363.4 shall be granted. An Except for the portions of any peer appropriate federal banking agency, and insured depository institution that is review report and inspection report any appropriate state bank supervisor, a unable to timely file all or any portion determined to be nonpublic by the copy of any management letter or other of its Part 363 Annual Report or any AICPA and the PCAOB, respectively, report issued by its independent public other report or notice required by the report will be made available for accountant with respect to such § 363.4 shall submit a written notice of public inspection by the FDIC. institution and the services provided by late filing to the FDIC, the appropriate such accountant pursuant to this part federal banking agency, and any § 363.4 Filing and notice requirements. within 15 days after receipt. Such appropriate state bank supervisor. The (a) Part 363 Annual Report. (1) Each reports include, but are not limited to: notice shall disclose the institution’s insured depository institution shall file (i) Any written communication inability to timely file all or specified with each of the FDIC, the appropriate regarding matters that are required to be portions of its Part 363 Annual Report federal banking agency, and any communicated to the audit committee or any other report or notice and the appropriate state bank supervisor, two (for example, critical accounting reasons therefore in reasonable detail. copies of its Part 363 Annual Report. A policies, alternative accounting The late filing notice shall also state the Part 363 Annual Report must contain treatments discussed with management, date when the report or notice will be audited comparative annual financial and any schedule of unadjusted filed. The written notice shall be filed statements, the independent public differences), on or before the deadline for filing the

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Part 363 Annual Report or any other who are independent of management, if 4A. Financial Reporting report or notice, as appropriate. the agency determines that the Annual Reporting Requirements (§ 363.2) (f) Place for filing. The Part 363 institution has encountered hardships 5. Annual Financial Statements Annual Report, any written notification in retaining and recruiting a sufficient 5A. Institutions Merged out of Existence of late filing, and any other report or number of competent outside directors 6. Holding Company Statements notice required by § 363.4 should be to serve on the audit committee of the 7. Insured Branches of Foreign Banks filed as follows: institution. 8. Management Report (1) FDIC: Appropriate FDIC Regional (3) An outside director is a director 8A. Management’s Assessment of the or Area Office (Division of Supervision who is not, and within the preceding Effectiveness of Internal Control over and Consumer Protection), i.e., the FDIC fiscal year has not been, an officer or Financial Reporting regional or area office in the FDIC region 8B. Internal Control Reports for Acquired employee of the institution or any Businesses or area that is responsible for affiliate of the institution. 9. Safeguarding of Assets monitoring the institution or, in the case (b) Committees of large institutions. 10. Standards for Internal Control of a subsidiary institution of a holding The audit committee of any insured 11. Service Organizations company, the consolidated company. A depository institution that has total 12. Compliance with Laws and Regulations filing made on behalf of several covered assets of more than $3 billion, measured Role of Independent Public Accountant institutions owned by the same parent as of the beginning of each fiscal year, (§ 363.3) holding company should be shall include members with banking or 13. General Qualifications accompanied by a transmittal letter related financial management expertise, 14. Reserved identifying all of the institutions have access to its own outside counsel, 15. Peer Review Guidelines covered. and not include any large customers of 16. Reserved (2) Office of the Comptroller of the the institution. If a large institution is a 17. Information to be Provided to the Currency (OCC): Appropriate OCC subsidiary of a holding company and Independent Public Accountant Supervisory Office. relies on the audit committee of the 18. Attestation Report and Management (3) Federal Reserve: Appropriate holding company to comply with this Letter 19. Reviews with Audit Committee and Federal Reserve Bank. rule, the holding company’s audit (4) Office of Thrift Supervision (OTS): Management committee shall not include any 20. Notice of Termination Appropriate OTS District Office. members who are large customers of the 21. Reliance on Internal Auditors (5) State bank supervisor: The filing subsidiary institution. Filing and Notice Requirements (§ 363.4) office of the appropriate state bank (c) Independent public accountant supervisor. engagement letters. (1) In performing its 22. Reserved 23. Notification of Late Filing § 363.5 Audit committees. duties with respect to the appointment 24. Public Availability (a) Composition and duties. Each of the institution’s independent public 25. Reserved insured depository institution shall accountant, the audit committee shall 26. Notices Concerning Accountants establish an audit committee of its board ensure that engagement letters and any related agreements with the Audit Committees (§ 363.5) of directors, the composition of which 27. Composition complies with paragraphs (a)(1), (2), and independent public accountant for services to be performed under this part 28. ‘‘Independent of Management’’ (3) of this section. The duties of the Considerations audit committee shall include the do not contain any limitation of liability 29. Reserved appointment, compensation, and provisions that: 30. Holding Company Audit Committees oversight of the independent public (i) Indemnify the independent public 31. Duties accountant who performs services accountant against claims made by third 32. Banking or Related Financial Management Expertise required under this part, and reviewing parties; (ii) Hold harmless or release the 33. Large Customers with management and the independent 34. Access to Counsel public accountant the basis for the independent public accountant from liability for claims or potential claims 35. Transition Period for Forming and reports issued under this part. Restructuring Audit Committees (1) Each insured depository that might be asserted by the client Other institution with total assets of $1 billion insured depository institution, other or more as of the beginning of its fiscal than claims for punitive damages; or 36. Modifications of Guidelines year shall establish an independent (iii) Limit the remedies available to Introduction audit committee of its board of the client insured depository institution. (2) Alternative dispute resolution Congress added section 36, ‘‘Early directors, the members of which shall be Identification of Needed Improvements in outside directors who are independent agreements and jury trial waiver Financial Management’’ (section 36), to the of management of the institution. provisions are not precluded provided Federal Deposit Insurance Act (FDI Act) in (2) Each insured depository that they do not incorporate any 1991. institution with total assets of $500 limitation of liability provisions set The FDIC Board of Directors adopted 12 million or more but less than $1 billion forth in paragraph (c)(1) of this section. CFR part 363 of its rules and regulations (the Rule) to implement those provisions of as of the beginning of its fiscal year shall Appendix A to Part 363—Guidelines section 36 that require rulemaking. The FDIC establish an audit committee of its board and Interpretations also approved these ‘‘Guidelines and of directors, the members of which shall Interpretations’’ (the Guidelines) and be outside directors, the majority of Table of Contents directed that they be published with the Rule whom shall be independent of Introduction to facilitate a better understanding of, and full compliance with, the provisions of management of the institution. The Scope of Rule (§ 363.1) appropriate Federal banking agency section 36. 1. Measuring Total Assets Although not contained in the Rule itself, may, by order or regulation, permit the 2. Insured Branches of Foreign Banks some of the guidance offered restates or refers audit committee of such an insured 3. Compliance by Holding Company to statutory requirements of section 36 and is depository institution to be made up of Subsidiaries therefore mandatory. If that is the case, the less than a majority of outside directors 4. Comparable Services and Functions statutory provision is cited.

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Furthermore, upon adopting the Rule, the must satisfy the remaining provisions of this § 363.1(b)(1)), is not required to file a Part FDIC reiterated its belief that every insured part on an individual institution basis and 363 Annual Report for the last fiscal year of depository institution, regardless of its size or maintain its own audit committee. Subject to its existence. charter, should have an annual audit of its the criteria in §§ 363.1(b)(1) and (2), a multi- 6. Holding Company Statements. Subject to financial statements performed by an tiered holding company may satisfy all of the the criterion specified in § 363.1(b)(1), independent public accountant, and should requirements of this part at the top-tier or any subsidiary institutions may file copies of establish an audit committee comprised mid-tier holding company level. their holding company’s audited financial entirely of outside directors. 4. Comparable Services and Functions. statements filed with the SEC or prepared for The following Guidelines reflect the views Services and functions will be considered their FR Y–6 Annual Report under the Bank of the FDIC concerning the interpretation of ‘‘comparable’’ to those required by this part Holding Company Act of 1956 to satisfy the section 36. The Guidelines are intended to if the holding company: audited financial statements requirement of assist insured depository institutions (a) Prepares reports used by the subsidiary § 363.2(a). (institutions), their boards of directors, and institution to meet the requirements of this 7. Insured Branches of Foreign Banks. An their advisors, including their independent part; insured branch of a foreign bank should public accountants and legal counsel, and to (b) Has an audit committee that meets the satisfy the financial statements requirement clarify section 36 and the Rule. It is requirements of this part appropriate to its by filing one of the following for the two recognized that reliance on the Guidelines largest subsidiary institution; and preceding fiscal years: may result in compliance with section 36 and (c) Prepares and submits management’s (a) Audited balance sheets, disclosing the Rule which may vary from institution to assessment of compliance with the information about financial instruments with institution. Terms which are not explained in Designated Laws defined in guideline 12 and, off-balance-sheet risk; the Guidelines have the meanings given them if applicable, management’s assessment of (b) Schedules RAL and L of form FFIEC in the Rule, the FDI Act, or professional the effectiveness of internal control over 002, prepared and audited on the basis of the accounting and auditing literature. financial reporting based on information instructions for its preparation; or concerning the relevant activities and (c) With written approval of the Scope of Rule (§ 363.1) operations of those subsidiary institutions appropriate federal banking agency, 1. Measuring Total Assets. To determine within the scope of the Rule. consolidated financial statements of the whether this part applies, an institution 4A. Financial Reporting. (a) For purposes parent bank. should use total assets as reported on its most of this part, ‘‘financial reporting’’ includes 8. Management Report. Management recent Report of Condition (Call Report) or financial statements prepared under GAAP should perform its own investigation and Thrift Financial Report (TFR), the date of and those prepared for regulatory reporting review of the effectiveness of internal which coincides with the end of its purposes. Financial statements prepared for controls and compliance with the Designated preceding fiscal year. If its fiscal year ends regulatory reporting purposes consist of the Laws defined in guideline 12. Management on a date other than the end of a calendar schedules equivalent to the basic financial also should maintain records of its quarter, it should use its Call Report or TFR statements that are included in an determinations and assessments until the for the quarter end immediately preceding institution’s appropriate regulatory report, next federal safety and soundness the end of its fiscal year. e.g., the bank Consolidated Reports of examination, or such later date as specified 2. Insured Branches of Foreign Banks. Condition and Income (Call Report) and the by the FDIC or appropriate federal banking Unlike other institutions, insured branches of Thrift Financial Report (TFR). agency. Management should provide in its foreign banks are not separately incorporated (b) Financial statements prepared for assessment of the effectiveness of internal or capitalized. To determine whether this regulatory reporting purposes do not include controls, or supplementally, sufficient part applies, an insured branch should regulatory reports prepared by a non-bank information to enable the accountant to measure claims on non-related parties subsidiary of a holding company or an report on its assertions. The management reported on its Report of Assets and institution. For example, if a bank holding report of an insured branch of a foreign bank Liabilities of U.S. Branches and Agencies of company or an insured depository institution should be signed by the branch’s managing Foreign Banks (form FFIEC 002). owns an insurance subsidiary, financial official if the branch does not have a chief 3. Compliance by Holding Company statements prepared for regulatory reporting executive or financial officer. Subsidiaries. Audited consolidated financial purposes would not include any regulatory 8A. Management’s Assessment of the statements and other reports or notices reports that the insurance subsidiary is Effectiveness of Internal Control over required by this part that are submitted by a required to submit to its appropriate Financial Reporting. An institution with $1 holding company for any subsidiary insurance regulatory agency. billion or more in total assets as of the institution should be accompanied by a cover beginning of its fiscal year that is subject to letter identifying all subsidiary institutions Annual Reporting Requirements (§ 363.2) both part 363 and the SEC’s rules subject to part 363 that are included in the 5. Annual Financial Statements. Each implementing section 404 of SOX (as well as holding company’s submission. When institution should prepare comparative a public holding company permitted under submitting a Part 363 Annual Report, the annual consolidated financial statements the holding company exception in cover letter should identify all subsidiary (balance sheets and statements of income, § 363.1(b)(2) to file an internal control report institutions subject to part 363 included in changes in equity capital, and cash flows, on behalf of a subsidiary institution or the consolidated financial statements and with accompanying footnote disclosures) in institutions with $1 billion or more in total state whether the other annual report accordance with GAAP for each of its two assets) can choose either of the following two requirements (i.e., management’s statement most recent fiscal years. Statements for the options for filing management’s report on of responsibilities, management’s assessment earlier year may be presented on an internal control over financial reporting. of compliance with designated safety and unaudited basis if the institution was not (i) Management can prepare two separate soundness laws and regulations, and, if subject to this part for that year and audited reports on the institution’s or the holding applicable, management’s assessment of the statements were not prepared. company’s internal control over financial effectiveness of internal control over 5A. Institutions Merged Out of Existence. reporting to satisfy the FDIC’s part 363 financial reporting and the independent An institution that is merged out of existence requirements and the SEC’s section 404 public accountant’s attestation report on after the end of its fiscal year, but before the requirements; or management’s internal control assessment) deadline for filing its Part 363 Annual Report (ii) Management can prepare a single report are being satisfied for these institutions at the (120 days after the end of its fiscal year for on internal control over financial reporting holding company level or at the institution an institution that is neither a public provided that it satisfies all of the FDIC’s part level. An institution filing holding company company nor a subsidiary of a public 363 requirements and all of the SEC’s section consolidated financial statements as company that meets the criterion specified in 404 requirements. permitted by § 363.1(b)(1) also may report on § 363.1(b)(1), and 90 days after the end of its 8B. Internal Control Reports for Acquired changes in its independent public accountant fiscal year for an institution that is a public Businesses. Generally, the FDIC expects on a holding company basis. An institution company or a subsidiary of a public company management’s and the related independent that does not meet the criteria in § 363.1(b)(2) that meets the criterion specified in public accountant’s report on an institution’s

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internal control over financial reporting to safeguards, but does require the accountant Role of Independent Public Accountant include controls at an institution in its to determine whether safeguarding policies (§ 363.3) entirety, including all of its consolidated exist.2 13. General Qualifications. To provide entities. However, it may not always be 10. Standards for Internal Control. The audit and attest services to insured possible for management to conduct an management of each insured depository depository institutions, an independent assessment of the internal control over institution with $1 billion or more in total public accountant should be registered or financial reporting of an acquired business in assets as of the beginning of its fiscal year licensed to practice as a public accountant, the period between the consummation date should base its assessment of the and be in good standing, under the laws of of the acquisition and the due date of effectiveness of the institution’s internal the state or other political subdivision of the management’s internal control assessment. control over financial reporting on a suitable, United States in which the home office of the (a) In such instances, the acquired recognized control framework established by institution (or the insured branch of a foreign business’s internal control structure and bank) is located. As required by section procedures for financial reporting may be a body of experts that followed due-process procedures, including the broad distribution 36(g)(3)(A)(i), the accountant must agree to excluded from management’s assessment provide copies of any working papers, report and the accountant’s attestation report of the framework for public comment. In addition to being available to users of policies, and procedures relating to services on internal control over financial reporting. performed under this part. management’s reports, a framework is However, the FDIC expects management’s 14. [Reserved.] assessment report to identify the acquired suitable only when it: 15. Peer Review Guidelines. The following business, state that the acquired business is • Is free from bias; • peer review guidelines are acceptable: excluded, and indicate the significance of Permits reasonably consistent qualitative (a) The external peer review should be this business to the institution’s consolidated and quantitative measurements of an insured conducted by an organization independent of financial statements. Notwithstanding depository institution’s internal control over the accountant or firm being reviewed, as management’s exclusion of the acquired financial reporting; frequently as is consistent with professional business’s internal control from its • Is sufficiently complete so that those accounting practices; assessment, management should disclose any relevant factors that would alter a conclusion (b) The peer review (other than a PCAOB material change to the institution’s internal about the effectiveness of an insured inspection) should be generally consistent control over financial reporting due to the depository institution’s internal control over with AICPA Peer Review Standards; and acquisition of this business. Also, financial reporting are not omitted; and (c) The review should include, if available, management may not omit the assessment of • Is relevant to an evaluation of internal at least one audit on an insured depository the acquired business’s internal control from control over financial reporting. institution or consolidated depository more than one annual part 363 assessment In the United States, Internal Control— institution holding company. report on internal control over financial Integrated Framework, including its 16. [Reserved.] reporting. When the acquired business’s addendum on safeguarding assets, which was 17. Information to be Provided to the internal control over financial reporting is Independent Public Accountant. Attention is published by the Committee of Sponsoring excluded from management’s assessment, the directed to section 36(h) which requires Organizations of the Treadway Commission, independent public accountant may likewise institutions to provide specified information exclude this acquired business’s internal and is known as the COSO report, provides to their accountants. An institution also control over financial reporting from the a suitable and recognized framework for should provide its accountant with copies of accountant’s evaluation of internal control purposes of management’s assessment. Other any notice that the institution’s capital over financial reporting. suitable frameworks have been published in category is being changed or reclassified (b) If the acquired business is or has a other countries or may be developed in the under section 38 of the FDI Act, and any consolidated subsidiary that is an insured future. Such other suitable frameworks may correspondence from the appropriate federal depository institution subject to part 363 and be used by management and the institution’s banking agency concerning compliance with the institution is not merged out of existence independent public accountant in this part. before the deadline for filing its Part 363 assessments, attestations, and audits of 18. Attestation Report and Management Annual Report (120 days after the end of its internal control over financial reporting. Report. The independent public accountant fiscal year for an institution that is neither a 11. Service Organizations. Although should provide the institution with any public company nor a subsidiary of a public service organizations should be considered in management letter and, if applicable, an company that meets the criterion specified in determining if internal controls are adequate, internal control attestation report (as required § 363.1(b)(1), and 90 days after the end of its an institution’s independent public by section 36(c)(1)) at the conclusion of the fiscal year for an institution that is a public accountant, its management, and its audit audit. The independent public accountant’s company or a subsidiary of a public company committee should exercise independent attestation report on internal control over financial reporting must specifically include that meets the criterion specified in judgment concerning that determination. § 363.1(b)(1)), the acquired institution must a statement as to regulatory reporting. If a Onsite reviews of service organizations may continue to comply with all of the applicable holding company subsidiary relies on its not be necessary to prepare the report requirements of part 363, including filing its holding company management report, the Part 363 Annual Report. required by the Rule, and the FDIC does not accountant may attest to and report on the 9. Safeguarding of Assets. ‘‘Safeguarding of intend that the Rule establish any such management’s assertions in one report, assets,’’ as the term relates to internal control requirement. without reporting separately on each policies and procedures regarding financial 12. Compliance with Laws and subsidiary covered by the Rule. The FDIC has reporting and which has precedent in Regulations. The designated laws and determined that management letters are accounting and auditing literature, should be regulations are the federal laws and exempt from public disclosure. encompassed in the management report and regulations concerning loans to insiders and 19. Reviews with Audit Committee and the independent public accountant’s the federal and state laws and regulations Management. The independent public attestation discussed in guideline 18. Testing concerning dividend restrictions (the accountant should meet with the institution’s the existence of and compliance with Designated Laws). Table 1 to this Appendix audit committee to review the accountant’s internal controls on the management of A lists the designated federal laws and reports required by this part before they are assets, including loan underwriting and regulations pertaining to insider loans and filed. It also may be appropriate for the documentation, represents a reasonable dividend restrictions that are applicable to accountant to review its findings with the implementation of section 36. The FDIC each type of institution. institution’s board of directors and expects such internal controls to be management. encompassed by the assertion in the 20. Notice of Termination. The notice of 2 It is management’s responsibility to establish management report, but the term policies concerning underwriting and asset termination required by § 363.3(c) should ‘‘safeguarding of assets’’ need not be management and to make credit decisions. The state whether the independent public specifically stated. The FDIC does not require auditor’s role is to test compliance with accountant agrees with the assertions the accountant to attest to the adequacy of management’s policies relating to financial report. contained in any notice filed by the

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institution under § 363.4(d), and whether the termination of an independent public persons or organizations with which the institution’s notice discloses all relevant accountant, an institution’s management and director has an affiliation. These reasons for the accountant’s termination. audit committee should be familiar with the relationships can include, but are not limited Subject to the criteria specified in notice requirements in § 363.4(d) and to, commercial, banking, consulting, § 363.1(b)(1) regarding compliance with the guideline 20, and management should send charitable, and family relationships. The audited financial statements requirement at a copy of any notice required under board of directors should apply its approved the holding company level, the independent § 363.4(d) to the independent public set of written criteria for determining public accountant for an insured depository accountant when it is filed with the FDIC. An whether existing and potential members of institution that is a public company and files insured depository institution that is a public the audit committee are outside directors and reports with its appropriate federal banking company and files reports required under the whether they are ‘‘independent of agency, or is a subsidiary of a public federal securities laws with its appropriate management.’’ To assist boards of directors in company that files reports with the SEC, may federal banking agency, or is a subsidiary of fulfilling this requirement, paragraphs (a) submit the letter it furnished to management a public company that files such reports with through (d) of this guideline provide to be filed with the institution’s or the the SEC, may use its current report (e.g., SEC guidance for determining whether audit holding company’s current report (e.g., SEC Form 8–K) concerning a change in committee members are ‘‘independent of Form 8–K) concerning a change in accountant to satisfy the notice requirements management.’’ (a) Notwithstanding the accountant to satisfy the notice requirements of § 363.4(d) subject to the criterion of criteria set forth in paragraphs (b), (c), and (d) of § 363.3(c). Alternatively, if the § 363.1(b)(1) regarding compliance with the of this guideline, if an outside director, either independent public accountant confirms that audited financial statements requirement at directly or indirectly, owns or controls, or management has filed a current report (e.g., the holding company level. has owned or controlled within the SEC Form 8–K) concerning a change in preceding fiscal year, 10 percent or more of accountant that satisfies the notice Audit Committees (§ 363.5) any outstanding class of voting securities of requirements of § 363.4(d) and includes an 27. Composition. The board of directors of the institution, the outside director will not independent public accountant’s letter that each institution should determine whether be considered ‘‘independent of satisfies the requirements of § 363.3(c), the each existing or potential audit committee management.’’ independent public accountant may rely on member meets the requirements of section 36 (b) The following list sets forth additional the current report (e.g., SEC Form 8–K) filed and this part. To do so, the board of directors criteria, that, at a minimum, a board of with the FDIC by management concerning a should maintain an approved set of written directors should consider when determining change in accountant to satisfy the notice criteria for determining whether a director whether an outside director is ‘‘independent requirements of § 363.3(c). who is to serve on the audit committee is an of management.’’ The board of directors may 21. Reliance on Internal Auditors. Nothing outside director (as defined in § 363.5(a)(3)) conclude that additional criteria are also in this part or this appendix is intended to and is independent of management. At least relevant to this determination in light of the preclude the ability of the independent annually, the board of each institution particular circumstances of its institution. public accountant to rely on the work of an should apply these criteria and determine Accordingly, an outside director will not be institution’s internal auditor. whether each existing or potential audit considered ‘‘independent of management’’ if: Filing and Notice Requirements (§ 363.4) committee member is an outside director. In (1) The director serves, or has served 22. [Reserved.] addition, at least annually, the board of an within the last three years, as a consultant, 23. Notification of Late Filing. (a) An institution with $1 billion or more in total advisor, promoter, underwriter, legal institution’s submission of a written notice of assets at the beginning of its fiscal year counsel, or trustee of or to the institution or late filing does not cure the requirement to should determine whether all existing and its affiliates. timely file the Part 363 Annual Report or potential audit committee members are (2) The director has been, within the last other reports or notices required by § 363.4. ‘‘independent of management of the three years, an employee of the institution or An institution’s failure to timely file is institution’’ and the board of an institution any of its affiliates or an immediate family considered an apparent violation of part 363. with total assets of $500 million or more but member is, or has been within the last three (b) If the late filing notice submitted less than $1 billion as of the beginning of its years, an executive officer of the institution pursuant to § 363.4(e) relates only to a fiscal year should determine whether the or any of its affiliates. portion of a Part 363 Annual Report or any majority of all existing and potential audit (3) The director has participated in the other report or notice, the insured depository committee members are ‘‘independent of preparation of the financial statements of the institution should file the other components management of the institution.’’ The minutes institution or any of its affiliates at any time of the report or notice within the prescribed of the board of directors should contain the during the last three years. filing period together with a cover letter that results of and the basis for its determinations (4) The director has received, or has an indicates which components of its Part 363 with respect to each existing and potential immediate family member who has received, Annual Report or other report or notice are audit committee member. Because an insured during any twelve-month period within the omitted. An institution may combine the branch of a foreign bank does not have a last three years, more than $60,000 in direct written late filing notice and the cover letter separate board of directors, the FDIC will not or indirect compensation from the institution into a single notice that is submitted together apply the audit committee requirements to or any of its affiliates other than director and with the other components of the report or such branch. However, any such branch is committee fees and pension or other forms of notice that are being timely filed. encouraged to make a reasonable good faith deferred compensation for prior service 24. Public Availability. Each institution’s effort to see that similar duties are performed (provided such compensation is not Part 363 Annual Report should be available by persons whose experience is generally contingent in any way on continued service). for public inspection at its main and branch consistent with the Rule’s requirements for Direct compensation also would not include offices no later than 15 days after it is filed an institution the size of the insured branch. compensation received by the director for with the FDIC. Alternatively, an institution 28. ‘‘Independent of Management’’ former service as an interim chairman or may elect to mail one copy of its Part 363 Considerations. It is not possible to interim chief executive officer. Indirect Annual Report to any person who requests it. anticipate, or explicitly provide for, all compensation includes payments to spouses The Part 363 Annual Report should remain circumstances that might signal potential and children as well as organizations that available to the public until the Part 363 conflicts of interest in, or that might bear on, provide financial services to the institution Annual Report for the next year is available. an outside director’s relationship to an or any of its affiliates in which the director An institution may use its Part 363 Annual insured depository institution and whether is a partner or principal. Report under this part to meet the annual the outside director should be deemed (5) The director or an immediate family disclosure statement required by 12 CFR ‘‘independent of management.’’ When member is a current partner of a firm that 350.3, if the institution satisfies all other assessing an outside director’s relationship performs internal or external auditing requirements of 12 CFR part 350. with an institution, the board of directors services for the institution or any of its 25. [Reserved.] should consider the issue not merely from affiliates; the director is a current employee 26. Notices Concerning Accountants. With the standpoint of the director himself or of such a firm; the director has an immediate respect to any selection, change, or herself, but also from the standpoint of family member who is a current employee of

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such a firm and who participates in the firm’s part 363 and should perform all the duties of effectiveness of internal control over audit, assurance, or tax compliance practice; the audit committee of a subsidiary financial reporting, and the resolution of or the director or an immediate family institution subject to part 363, even if the identified material weaknesses and member was within the last three years (but holding company directors are not directors significant deficiencies in internal control no longer is) a partner or employee of such of the institution. over financial reporting, including the a firm and personally worked on the audit of (b) When an insured depository institution prevention or detection of management the insured depository institution or any of subsidiary with total assets of $1 billion or override or compromise of the internal its affiliates within that time. more as of the beginning of its fiscal year control system; (6) The director or an immediate family does not meet the requirements for the (c) Reviewing with management the member is, or has been within the last three holding company exception specified in institution’s compliance with the designated years, employed as an executive officer of §§ 363.1(b)(1) and (2) or maintains its own laws and regulations identified in guideline another entity where any of the present separate audit committee to satisfy the 12; executive officers of the institution or any of requirements of this part, the members of the (d) Discussing with management and the its affiliates at the same time serves or served audit committee of the top-tier or any mid- independent public accountant any on that entity’s compensation committee. tier holding company may serve on the audit significant disagreements between (7) The director is a current employee, or committee of the subsidiary institution if management and the independent public an immediate family member is a current they are otherwise independent of accountant; and executive officer, of an entity that has made management of the subsidiary institution, (e) Overseeing the internal audit function. payments to, or received payments from, the and, if applicable, meet any other 32. Banking or Related Financial institution or any of its affiliates for property requirements for a large subsidiary Management Expertise. At least two members or services in an amount which, in any of the institution covered by this part. of the audit committee of a large institution last three fiscal years, exceeds the greater of (c) When an insured depository institution shall have ‘‘banking or related financial $200 thousand, or 5 percent of such entity’s with total assets of $500 million or more but management expertise’’ as required by consolidated gross revenues. This would less than $1 billion as of the beginning of its section 36(g)(1)(C)(i). This determination is to include payments made by the institution or fiscal year does not meet the requirements for be made by the board of directors of the any of its affiliates to not-for-profit entities the holding company exception specified in insured depository institution. A person will where the director is an executive officer or §§ 363.1(b)(1) and (2) or maintains its own be considered to have such required where an immediate family member of the separate audit committee to satisfy the expertise if the person has significant director is an executive officer. requirements of this part, the members of the executive, professional, educational, or (8) For purposes of paragraph (b) of this audit committee of the top-tier or any mid- regulatory experience in financial, auditing, accounting, or banking matters as determined guideline, the following definitions apply: tier holding company may serve on the audit committee of the subsidiary institution by the board of directors. Significant (i) An ‘‘immediate family member’’ provided a majority of its audit committee experience as an officer or member of the includes a person’s spouse, parents, children, members are independent of management of board of directors or audit committee of a siblings, mothers and fathers-in-law, sons the subsidiary institution. financial services company would satisfy and daughters-in-law, brothers and sisters-in- (d) Officers and employees of a top-tier or these criteria. law, and anyone (other than domestic any mid-tier holding company may not serve 33. Large Customers. Any individual or employees) who shares such person’s home. on the audit committee of its subsidiary entity (including a controlling person of any (ii) The term affiliate of, or a person institutions. such entity) which, in the determination of affiliated with, a specified person, means a 31. Duties. The audit committee should the board of directors, has such significant person or entity that directly, or indirectly perform all duties determined by the direct or indirect credit or other relationships through one or more intermediaries, controls, institution’s board of directors, and it should with the institution, the termination of which or is controlled by, or is under common maintain minutes and other relevant records likely would materially and adversely affect control with, the person specified. of its meetings and decisions. The duties of the institution’s financial condition or results (c) An insured depository institution that the audit committee should be appropriate to of operations, should be considered a ‘‘large is a public company and a listed issuer (as the size of the institution and the complexity customer’’ for purposes of § 363.5(b). defined in Rule 10A–3 of the Securities of its operations, and, at a minimum, should 34. Access to Counsel. The audit Exchange Act of 1934 (Exchange Act)), or is include the appointment, compensation, and committee should be able to retain counsel a subsidiary of a public company that meets oversight of the independent public at its discretion without prior permission of the criterion specified in § 363.1(b)(1) and is accountant; reviewing with management and the institution’s board of directors or its a listed issuer, may use the definition of the independent public accountant the basis management. Section 36 does not preclude audit committee member independence set for their respective reports issued under advice from the institution’s internal counsel forth in the listing standards applicable to the §§ 363.2(a) and (b) and §§ 363.3(a) and (b); or regular outside counsel. It also does not public institution or its public company reviewing and satisfying itself as to the require retaining or consulting counsel, but if parent. independent public accountant’s compliance the committee elects to do either, it also may (d) All other insured depository with the required qualifications for elect to consider issues affecting the institutions may use the definition of audit independent public accountants set forth in counsel’s independence. Such issues would committee member independence set forth in §§ 363.3(f) and (g) and guidelines 13 include whether to retain or consult only the listing standards of a national securities through16; ensuring that audit engagement counsel not concurrently representing the exchange that is registered with the SEC letters comply with the provisions of institution or any affiliate, and whether to pursuant to section 6 of the Exchange Act or § 363.5(c) before engaging an independent place limitations on any counsel representing a national securities association that is public accountant; being familiar with the the institution concerning matters in which registered with the SEC pursuant to section notice requirements in § 363.4(d) and such counsel previously participated 15A(a) of the Exchange Act. guideline 20 regarding the selection, change, personally and substantially as outside 29. [Reserved.] or termination of an independent public counsel to the committee. 30. Holding Company Audit Committees. accountant; and ensuring that management 35. Transition Period for Forming and (a) When an insured depository institution sends a copy of any notice required under Restructuring Audit Committees. satisfies the requirements for the holding § 363.4(d) to the independent public (a) When an insured depository company exception specified in accountant when it is filed with the FDIC. institution’s total assets at the beginning of §§ 363.1(b)(1) and (2), the audit committee Appropriate additional duties could include: its fiscal year are $500 million or more for requirement of this part may be satisfied by (a) Reviewing with management and the the first time and it thereby becomes subject the audit committee of the top-tier or any independent public accountant the scope of to part 363, no regulatory action will be taken mid-tier holding company. Members of the services required by the audit, significant if the institution forms or restructures its audit committee of the holding company accounting policies, and audit conclusions audit committee to comply with § 363.5(a)(2) should meet all the membership regarding significant accounting estimates; by the end of that fiscal year. requirements applicable to the largest (b) Reviewing with management and the (b) When an insured depository subsidiary depository institution subject to accountant their assessments of the institution’s total assets at the beginning of

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its fiscal year are $1 billion or more for the if the institution forms or restructures its authority to make and publish in the Federal first time, no regulatory action will be taken audit committee to comply with § 363.5(b) by Register minor technical amendments to the if the institution forms or restructures its the end of that fiscal year, provided that the Guidelines in this appendix, in consultation audit committee to comply with § 363.5(a)(1) composition of its audit committee meets the with the other appropriate federal banking by the end of that fiscal year, provided that requirements specified in § 363.5(a)(1) at the agencies, to reflect the practical experience the composition of its audit committee meets beginning of that fiscal year, if such gained from implementation of this part. It is the requirements specified in § 363.5(a)(2) at requirements were applicable. the beginning of that fiscal year, if such not anticipated any such modification would requirements were applicable. Other be effective until affected institutions have (c) When an insured depository 36. Modifications of Guidelines. The been given reasonable advance notice of the institution’s total assets at the beginning of FDIC’s Board of Directors has delegated to modification. Any material modification or its fiscal year are $3 billion or more for the the Director of the FDIC’s Division of amendment will be subject to review and first time, no regulatory action will be taken Supervision and Consumer Protection approval of the FDIC Board of Directors.

TABLE 1 TO APPENDIX A Designated Federal Laws and Regulations Applicable to

State State National ember non-mem- Savings banks banks ber banks associations

Insider Loans—Parts and/or Sections of Title 12 of the United States Code

375a ...... Loans to Executive Officers of Banks ...... √ √ (A) (A) 375b ...... Extensions of Credit to Executive Officers, Directors, √ √ (A) (A) and Principal Shareholders of Banks. 1468(b) ...... Extensions of Credit to Executive Officers, Directors, ...... √ and Principal Shareholders. 1828(j)(2) ...... Extensions of Credit to Officers, Directors, and Prin- ...... √ ...... cipal Shareholders. 1828(j)(3)(B) ...... Extensions of Credit to Officers, Directors, and Prin- (B) ...... (C) ...... cipal Shareholders.

Parts and/or Sections of Title 12 of the Code of Federal Regulations

31 ...... Extensions of Credit to Insiders ...... √ ...... 32 ...... Lending Limits ...... √ 215 ...... Loans to Executive Officers, Directors, and Principal √ √ (D) (E) Shareholders of Member Banks. 337.3 ...... Limits on Extensions of Credit to Executive Officers, Di- ...... √ ...... rectors, and Principal Shareholders of Insured Non- member Banks. 563.43 ...... Loans by Savings Associations to Their Executive Offi- ...... √ cers, Directors, and Principal Shareholders.

Dividend Restrictions—Parts and/or Sections of Title 12 of the United States Code

56 ...... Prohibition on Withdrawal of Capital and Unearned √ √ ...... Dividends. 60 ...... Dividends and Surplus Fund ...... √ √ ...... 1467a(f) ...... Declaration of Dividend ...... √ 1831o(d)(1) ...... Prompt Corrective Action—Capital Distributions Re- √ √ √ √ stricted.

Parts and/or Sections of Title 12 of the Code of Federal Regulations

5 Subpart E ...... Payment of Dividends ...... √ ...... 6.6 ...... Prompt Corrective Action—Restrictions on Under- √ ...... capitalized Institutions. 208.5 ...... Dividends and Other Distributions ...... √ ...... 208.45 ...... Prompt Corrective Action—Restrictions on Under- ...... √ ...... capitalized Institutions. 325.105 ...... Prompt Corrective Action—Restrictions on Under- ...... √ ...... capitalized Institutions. 563 Subpart E ...... Capital Distributions ...... √ 565.6 ...... Prompt Corrective Action—Restrictions on Under- ...... √ capitalized Institutions. A. Subsections (g) and (h) of section 22 of the Federal Reserve Act [12 U.S.C. 375a, 375b]. B. Applies only to insured federal branches of foreign banks. C. Applies only to insured state branches of foreign banks. D. See 12 CFR 337.3. E. See 12 CFR 563.43.

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Appendix B to Part 363—Illustrative effectiveness of internal control over companies have had management’s Management Reports financial reporting (if applicable) at the assessment and the accountant’s attestation insured depository institution level. cover the schedules equivalent to the basic Table of Contents (ii) An institution that is a subsidiary of a financial statements that are included in the 1. General holding company may satisfy the appropriate regulatory report, e.g., Call 2. Reporting Scenarios for Institutions that requirements for audited financial Report and the TFR, of each subsidiary are Holding Company Subsidiaries statements, management’s statement of institution subject to part 363. Other holding 3. Illustrative Management Report— responsibilities, management’s assessment of companies have had management’s Statement of Management’s the institution’s compliance with laws and assessment and the accountant’s attestation Responsibilities regulations, management’s assessment of the cover the schedules equivalent to the basic 4. Illustrative Management Report— effectiveness of internal control over financial statements that are included in the Management’s Assessment of Compliance financial reporting (if applicable), and the holding company’s year-end regulatory with Laws and Regulations independent public accountant’s attestation report (FR Y–9C report) to the Federal 5. Illustrative Management Report— on management’s assertion as to the Reserve Board. Management’s Assessment of Internal effectiveness of internal control over 3. Illustrative Management Report— Control Over Financial Reporting financial reporting (if applicable) at the Statement of Management’s Responsibilities. 6. Illustrative Management Report— holding company level. The following illustrative statements of Combined Statement of Management’s (iii) An institution that is a subsidiary of management’s responsibilities satisfy the Responsibilities, Management’s a holding company may satisfy the requirements of § 363.2(b)(1). Assessment of Compliance with Laws and requirement for audited financial statements (a) Statement Made at Insured Depository Regulations, and Management’s at the holding company level and may satisfy Institution Level Assessment of the Effectiveness of Internal the requirements for management’s statement To: The Board of Directors and Audit Control Over Financial Reporting of responsibilities, management’s assessment Committee, ABC Depository Institution 7. Illustrative Cover Letter—Compliance by of the institution’s compliance with laws and Re: Statement of Management’s Holding Company Subsidiaries regulations, management’s assessment of the Responsibilities 1. General. The reporting scenarios, effectiveness of internal control over The management of ABC Depository illustrative management reports, and the financial reporting (if applicable), and the Institution (the ‘‘Institution’’) is responsible cover letter (when complying at the holding independent public accountant’s attestation for preparing the Institution’s annual company level) in Appendix B to part 363 are on management’s assertion as to the financial statements in accordance with intended to assist managements of insured effectiveness of internal control over generally accepted accounting principles; for depository institutions in complying with the financial reporting (if applicable) at the establishing and maintaining an adequate annual reporting requirements of § 363.2 and insured depository institution level. internal control structure and procedures for guideline 3, Compliance by Holding (iv) An institution that is a subsidiary of a financial reporting, including controls over Company Subsidiaries, of Appendix A to part holding company may satisfy the the preparation of regulatory financial 363. However, use of the wording in the requirements for audited financial statements in accordance with the illustrative management reports and cover statements, management’s statement of instructions for regulatory reporting [specify letter is not required. The managements of responsibilities, and management’s the regulatory reporting instructions]; and for insured depository institutions are assessment of the institution’s compliance complying with laws and regulations relating encouraged to tailor their management with laws and regulations at the insured to safety and soundness that are designated reports and cover letters to fit their particular depository institution level and may satisfy by the FDIC and the appropriate federal circumstances and avoid the use of the requirements for the assessment by banking agency [specify the appropriate ‘‘boilerplate’’ language. Terms that are not management of the effectiveness of internal federal banking agency, if applicable]. explained in Appendix B have the meanings control over financial reporting (if ABC Depository Institution given them in part 363, the FDI Act, or applicable), and the independent public lllllllllllllllllllll professional accounting and auditing accountant’s attestation on management’s John Doe, Chief Executive Officer literature. Instructions to the preparer of the assertion as to the effectiveness of internal Date: llllllllllllllllll management reports are shown in brackets control over financial reporting (if lllllllllllllllllllll within the illustrative reports. applicable) at the holding company level. Jane Doe, Chief Financial Officer 2. Reporting Scenarios for Institutions that (b) For an institution with total assets of $1 Date: llllllllllllllllll are Holding Company Subsidiaries. (a) billion or more as of the beginning of its (b) Statement Made at Holding Company Subject to the criteria specified in § 363.1(b), fiscal year, the assessment by management of Level an insured depository institution that is a the effectiveness of internal control over To: The Board of Directors and Audit subsidiary of a holding company has financial reporting and the independent Committee BCD Holding Company flexibility in satisfying the reporting public accountant’s attestation on Re: Statement of Management’s requirements of part 363. When reporting at management’s assertion as to the Responsibilities the holding company level, the management effectiveness of internal control over The management of BCD Holding report should identify those subsidiary financial reporting (if applicable) must both Company (the ‘‘Company’’) is responsible for institutions that are subject to part 363 and be performed at the same level, i.e., either at preparing the Company’s annual financial the extent to which they are included in the the insured depository institution level or at statements in accordance with generally scope of the management report. The the holding company level. accepted accounting principles; for following reporting scenarios reflect how an (c) Financial statements prepared for establishing and maintaining an adequate insured depository institution that meets the regulatory reporting purposes encompass the internal control structure and procedures for criteria set forth in § 363.1(b) could satisfy schedules equivalent to the basic financial financial reporting, including controls over the annual reporting requirements of § 363.2. statements in an institution’s appropriate the preparation of regulatory financial Other reporting scenarios are possible. regulatory report, e.g., the bank Consolidated statements in accordance with the (i) An institution that is a subsidiary of a Reports of Condition and Income (Call instructions for regulatory reporting [specify holding company may satisfy the Report) and the Thrift Financial Report the regulatory reporting instructions]; and for requirements for audited financial (TFR). When internal control assessments complying with laws and regulations relating statements, management’s statement of and attestations are performed at the holding to safety and soundness that are designated responsibilities, management’s assessment of company level, the FDIC believes that by the FDIC and the appropriate federal the institution’s compliance with laws and holding companies have flexibility in banking agency [specify the appropriate regulations, management’s assessment of the interpreting ‘‘financial reporting’’ as it relates federal banking agency, if applicable]. The effectiveness of internal control over to ‘‘regulatory reporting’’ and has not following subsidiary institutions of the financial reporting (if applicable), and the objected to several reporting approaches Company that are subject to Part 363 are independent public accountant’s attestation employed by holding companies to cover included in the scope of this management on management’s assertion as to the ‘‘regulatory reporting.’’ Certain holding report: [Identify the subsidiary institutions.]

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BCD Holding Company ABC Depository Institution and regulations relating to safety and lllllllllllllllllllll lllllllllllllllllllll soundness.] John Doe, Chief Executive Officer John Doe, Chief Executive Officer BCD Holding Company Date: llllllllllllllllll Date: llllllllllllllllll lllllllllllllllllllll lllllllllllllllllllll lllllllllllllllllllll John Doe, Chief Executive Officer Jane Doe, Chief Financial Officer Jane Doe, Chief Financial Officer Date: llllllllllllllllll Date: llllllllllllllllll Date: llllllllllllllllll lllllllllllllllllllll 4. Illustrative Management Report— (c) Statement Made at Holding Company Jane Doe, Chief Financial Officer Management’s Assessment of Compliance Level—Compliance Date: llllllllllllllllll with Laws and Regulations. The following To: The Board of Directors and Audit 5. Illustrative Management Report— illustrative reports of management’s Committee, BCD Holding Company Management’s Assessment of Internal assessment of compliance with laws and Re: Management’s Assessment of Compliance Control Over Financial Reporting. The regulations satisfy the requirements of with Laws and Regulations following illustrative reports of § 363.2(b)(2). The management of BCD Holding management’s assessment of internal control (a) Statement Made at Insured Depository Company (the ‘‘Company’’) has assessed the over financial reporting satisfy the Institution Level—Compliance Company’s compliance with the laws and requirements of § 363.2(b)(3). To: The Board of Directors and Audit regulations relating to safety and soundness (a) Statement Made at Insured Depository Committee, ABC Depository Institution that are designated by the FDIC and the Institution Level—No Material Weaknesses Re: Management’s Assessment of Compliance appropriate federal banking agency [specify To: The Board of Directors and Audit with Laws and Regulations the appropriate federal banking agency, if Committee, ABC Depository Institution The management of ABC Depository applicable] during the fiscal year that ended Re: Management’s Assessment of Internal on December 31, 20XX. Based upon its Institution (the ‘‘Institution’’) has assessed Control Over Financial Reporting assessment, management has concluded that the Institution’s compliance with the laws ABC Depository Institution’s (the the Company complied with the laws and and regulations relating to safety and ‘‘Institution’’) internal control over financial regulations relating to safety and soundness soundness that are designated by the FDIC reporting is a process designed to provide that are designated by the FDIC and the and the appropriate federal banking agency reasonable assurance regarding the reliability appropriate federal banking agency [specify [specify the appropriate federal banking of financial reporting and the preparation of appropriate federal banking agency, if agency, if applicable] during the fiscal year financial statements in accordance with applicable] during the fiscal year that ended that ended on December 31, 20XX. Based accounting principles generally accepted in on December 31, 20XX. The following the United States of America, including those upon its assessment, management has subsidiary institutions of the Company that prepared for regulatory reporting purposes concluded that the Institution complied with are subject to Part 363 are included in the [specify the regulatory reports]. The the laws and regulations relating to safety scope of management’s assessment of Institution’s internal control over financial and soundness that are designated by the compliance with laws and regulations: reporting includes those policies and FDIC and the appropriate federal banking [Identify the subsidiary institutions.] agency [specify the appropriate federal procedures that (1) pertain to the banking agency, if applicable] during the BCD Holding Company maintenance of records that, in reasonable lllllllllllllllllllll fiscal year that ended on December 31, 20XX. detail, accurately and fairly reflect the John Doe, Chief Executive Officer ABC Depository Institution transactions and dispositions of the assets of Date: llllllllllllllllll the Institution; (2) provide reasonable lllllllllllllllllllll lllllllllllllllllllll John Doe, Chief Executive Officer assurance that transactions are recorded as Jane Doe, Chief Financial Officer necessary to permit preparation of financial Date: llllllllllllllllll Date: llllllllllllllllll lllllllllllllllllllll statements in accordance with accounting (d) Statement Made at Holding Company principles generally accepted in the United Jane Doe, Chief Financial Officer Level—Noncompliance Date: llllllllllllllllll States of America, and that receipts and To: The Board of Directors and Audit expenditures of the Institution are being (b) Statement Made at Insured Depository Committee, BCD Holding Company made only in accordance with authorizations Institution Level—Noncompliance Re: Management’s Assessment of Compliance of management and directors of the To: The Board of Directors and Audit with Laws and Regulations Institution; and (3) provide reasonable Committee, ABC Depository Institution The management of BCD Holding assurance regarding prevention or timely Re: Management’s Assessment of Compliance Company (the ‘‘Company’’) has assessed the detection of unauthorized acquisition, use, or with Laws and Regulations Company’s compliance with the laws and disposition of the Institution’s assets that The management of ABC Depository regulations relating to safety and soundness could have a material effect on the financial Institution (the ‘‘Institution’’) has assessed that are designated by the FDIC and the statements. the Institution’s compliance with the laws appropriate federal banking agency [specify Because of its inherent limitations, internal and regulations relating to safety and the appropriate federal banking agency, if control over financial reporting may not soundness that are designated by the FDIC applicable] during the fiscal year that ended prevent or detect misstatements. Also, and the appropriate federal banking agency on December 31, 20XX. The following projections of any evaluation of effectiveness [specify the appropriate federal banking subsidiary institutions of the Company that to future periods are subject to the risk that agency, if applicable] during the fiscal year are subject to Part 363 are included in the controls may become inadequate because of that ended on December 31, 20XX. Because scope of management’s assessment of changes in conditions, or that the degree of of the noncompliance during the fiscal year compliance with laws and regulations: compliance with the policies and procedures that ended on December 31, 20XX, with the [Identify the subsidiary institutions.] may deteriorate. laws and regulations relating to safety and Because of the noncompliance during the Management assessed the effectiveness of soundness noted below, management has fiscal year that ended on December 31, 20XX, the Institution’s internal control over determined that the Institution did not with the laws and regulations relating to financial reporting, including controls over comply with the laws and regulations safety and soundness noted below, preparation of regulatory financial statements relating to safety and soundness that are management has determined that the in accordance with the instructions for designated by the FDIC and the appropriate Company did not comply with the laws and regulatory reporting [specify the regulatory federal banking agency [specify the regulations relating to safety and soundness reporting instructions], as of December 31, appropriate federal banking agency, if that are designated by the FDIC and the 20XX, based on the framework set forth by applicable] during the fiscal year that ended appropriate federal banking agency [specify the Committee of Sponsoring Organizations on December 31, 20XX. the appropriate federal banking agency, if of the Treadway Commission in Internal [Identify and describe the instance or applicable] during the fiscal year that ended Control—Integrated Framework. Based on instances of noncompliance with the laws on December 31, 20XX. that assessment, management concluded that, and regulations relating to safety and [Identify and describe the instance or as of December 31, 20XX, the Institution’s soundness.] instances of noncompliance with the laws internal control over financial reporting,

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including controls over preparation of statements in accordance with the to future periods are subject to the risk that regulatory financial statements in accordance instructions for regulatory reporting [specify controls may become inadequate because of with the instructions for regulatory reporting the regulatory reporting instructions], as of changes in conditions, or that the degree of [specify the regulatory reporting December 31, 20XX, based on the framework compliance with the policies and procedures instructions], is effective based on the criteria set forth by the Committee of Sponsoring may deteriorate. established in Internal Control—Integrated Organizations of the Treadway Commission Management assessed the effectiveness of Framework. in Internal Control—Integrated Framework. the Company’s internal control over financial Management’s assessment of the Because of the material weakness (or reporting, including controls over the effectiveness of internal control over weaknesses) noted below, management preparation of regulatory financial statements financial reporting, including controls over determined that the Institution’s internal in accordance with the instructions for the preparation of regulatory financial control over financial reporting, including regulatory reporting [specify the regulatory statements in accordance with the controls over the preparation of regulatory reporting instructions], as of December 31, instructions for regulatory reporting [specify financial statements in accordance with the 20XX, based on the framework set forth by the regulatory reporting instructions], as of instructions for regulatory reporting [specify the Committee of Sponsoring Organizations December 31, 20XX, has been audited by the regulatory reporting instructions], was of the Treadway Commission in Internal [name of auditing firm], an independent not effective as of December 31, 20XX. Control—Integrated Framework. Based on public accounting firm, as stated in their [Identify and describe the material that assessment, management concluded that, report dated March XX, 20XX. weakness or weaknesses.] as of December 31, 20XX, the Company’s ABC Depository Institution Management’s assessment of the internal control over financial reporting, lllllllllllllllllllll effectiveness of internal control over including controls over the preparation of John Doe, Chief Executive Officer financial reporting, including controls over regulatory financial statements in accordance Date: llllllllllllllllll the preparation of regulatory financial with the instructions for regulatory reporting lllllllllllllllllllll statements in accordance with the [specify the regulatory reporting Jane Doe, Chief Financial Officer instructions for regulatory reporting [specify instructions], is effective based on the criteria Date: llllllllllllllllll the regulatory reporting instructions], as of established in Internal Control—Integrated (b) Statement Made at Insured Depository December 31, 20XX, has been audited by Framework. The following subsidiary Institution Level—One or More Material [name of auditing firm], an independent institutions of the Company that are subject Weaknesses public accounting firm, as stated in their to Part 363 are included in the scope of this To: The Board of Directors and Audit report dated March XX, 20XX. assessment of internal control over financial Committee, ABC Depository Institution ABC Depository Institution reporting: [Identify the subsidiary Re: Management’s Assessment of Internal lllllllllllllllllllll institutions.] Control Over Financial Reporting John Doe, Chief Executive Officer Management’s assessment of the llllllllllllllllll effectiveness of internal control over ABC Depository Institution’s (the Date: lllllllllllllllllllll financial reporting, including controls over ‘‘Institution’’) internal control over financial the preparation of regulatory financial reporting is a process designed to provide Jane Doe, Chief Financial Officer Date: llllllllllllllllll statements in accordance with the reasonable assurance regarding the reliability instructions for regulatory reporting [specify (c) Statement Made at Holding Company of financial reporting and the preparation of the regulatory reporting instructions], as of Level—No Material Weaknesses financial statements in accordance with December 31, 20XX, has been audited by To: The Board of Directors and Audit accounting principles generally accepted in [name of auditing firm], an independent Committee, BCD Holding Company the United States of America, including those public accounting firm, as stated in their Re: Management’s Assessment of Internal prepared for regulatory reporting purposes report dated March XX, 20XX. [specify the regulatory reports]. The Control Over Financial Reporting BCD Holding Company Institution’s internal control over financial BCD Holding Company’s (the ‘‘Company’’) lllllllllllllllllllll reporting includes those policies and internal control over financial reporting is a John Doe, Chief Executive Officer procedures that (1) pertain to the process designed to provide reasonable Date: llllllllllllllllll maintenance of records that, in reasonable assurance regarding the reliability of lllllllllllllllllllll detail, accurately and fairly reflect the financial reporting and the preparation of Jane Doe, Chief Financial Officer transactions and dispositions of the assets of financial statements in accordance with Date: llllllllllllllllll the Institution; (2) provide reasonable accounting principles generally accepted in assurance that transactions are recorded as the United States of America, including those (d) Statement Made at Holding Company necessary to permit preparation of financial prepared for regulatory reporting purposes Level—One or More Material Weaknesses statements in accordance with accounting [specify the regulatory reports]. The To: The Board of Directors and Audit principles generally accepted in the United Company’s internal control over financial Committee, BCD Holding Company States of America, and that receipts and reporting includes those policies and Re: Management’s Assessment of Internal expenditures of the Institution are being procedures that (1) pertain to the Control Over Financial Reporting made only in accordance with authorizations maintenance of records that, in reasonable BCD Holding Company’s (the ‘‘Company’’) of management and directors of the detail, accurately and fairly reflect the internal control over financial reporting is a Institution; and (3) provide reasonable transactions and dispositions of the assets of process designed to provide reasonable assurance regarding prevention or timely the Company; (2) provide reasonable assurance regarding the reliability of detection of unauthorized acquisition, use, or assurance that transactions are recorded as financial reporting and the preparation of disposition of the Institution’s assets that necessary to permit preparation of financial financial statements in accordance with could have a material effect on the financial statements in accordance with accounting accounting principles generally accepted in statements. principles generally accepted in the United the United States of America, including those Because of its inherent limitations, internal States of America, and that receipts and prepared for regulatory reporting purposes control over financial reporting may not expenditures of the Company are being made [specify the regulatory reports]. The prevent or detect misstatements. Also, only in accordance with authorizations of Company’s internal control over financial projections of any evaluation of effectiveness management and directors of the Company; reporting includes those policies and to future periods are subject to the risk that and (3) provide reasonable assurance procedures that (1) pertain to the controls may become inadequate because of regarding prevention or timely detection of maintenance of records that, in reasonable changes in conditions, or that the degree of unauthorized acquisition, use, or disposition detail, accurately and fairly reflect the compliance with the policies and procedures of the Company’s assets that could have a transactions and dispositions of the assets of may deteriorate. material effect on the financial statements. the Company; (2) provide reasonable Management assessed the effectiveness of Because of its inherent limitations, internal assurance that transactions are recorded as the Institution’s internal control over control over financial reporting may not necessary to permit preparation of financial financial reporting, including controls over prevent or detect misstatements. Also, statements in accordance with accounting the preparation of regulatory financial projections of any evaluation of effectiveness principles generally accepted in the United

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States of America, and that receipts and with Laws and Regulations and No Material disposition of the Institution’s assets that expenditures of the Company are being made Weaknesses in Internal Control Over could have a material effect on the financial only in accordance with authorizations of Financial Reporting statements. management and directors of the Company; To: The Board of Directors and Audit Because of its inherent limitations, internal and (3) provide reasonable assurance Committee, ABC Depository Institution control over financial reporting may not regarding prevention or timely detection of Re: Management Report prevent or detect misstatements. Also, unauthorized acquisition, use, or disposition projections of any evaluation of effectiveness of the Company’s assets that could have a Statement of Management’s Responsibilities to future periods are subject to the risk that material effect on the financial statements. The management of ABC Depository controls may become inadequate because of Because of its inherent limitations, internal Institution (the ‘‘Institution’’) is responsible changes in conditions, or that the degree of control over financial reporting may not for preparing the Institution’s annual compliance with the policies and procedures prevent or detect misstatements. Also, financial statements in accordance with may deteriorate. projections of any evaluation of effectiveness generally accepted accounting principles; for Management assessed the effectiveness of to future periods are subject to the risk that establishing and maintaining an adequate the Institution’s internal control over controls may become inadequate because of internal control structure and procedures for financial reporting, including controls over changes in conditions, or that the degree of financial reporting, including controls over the preparation of regulatory financial compliance with the policies and procedures the preparation of regulatory financial statements in accordance with the may deteriorate. statements in accordance with the instructions for regulatory reporting [specify Management assessed the effectiveness of instructions for regulatory reporting [specify the regulatory reporting instructions], as of the Company’s internal control over financial the regulatory reporting instructions]; and for December 31, 20XX, based on the framework reporting, including controls over the complying with laws and regulations relating set forth by the Committee of Sponsoring preparation of regulatory financial statements to safety and soundness that are designated Organizations of the Treadway Commission in accordance with the instructions for by the FDIC and the appropriate federal in Internal Control—Integrated Framework. regulatory reporting [specify the regulatory banking agency [specify the appropriate Based on that assessment, management reporting instructions], as of December 31, federal banking agency, if applicable]. concluded that, as of December 31, 20XX, the 20XX, based on the framework set forth by Institution’s internal control over financial the Committee of Sponsoring Organizations Management’s Assessment of Compliance reporting, including controls over the of the Treadway Commission in Internal With Laws and Regulations preparation of regulatory financial statements Control—Integrated Framework. Because of Management of ABC Depository Institution in accordance with the instructions for the material weakness (or weaknesses) noted (the ‘‘Institution’’) has assessed the regulatory reporting [specify the regulatory below, management determined that the Institution’s compliance with the laws and reporting instructions], is effective based on Company’s internal control over financial regulations relating to safety and soundness the criteria established in Internal Control— reporting, including controls over the that are designated by the FDIC and the Integrated Framework. preparation of regulatory financial statements appropriate federal banking agency [specify Management’s assessment of the in accordance with the instructions for the appropriate federal banking agency, if effectiveness of internal control over regulatory reporting [specify the regulatory applicable] during the fiscal year that ended financial reporting, including controls over reporting instructions], was not effective as of on December 31, 20XX. Based upon its the preparation of regulatory financial December 31, 20XX. The following assessment, management has concluded that statements in accordance with the subsidiary institutions of the Company that the Institution complied with the laws and instructions for regulatory reporting [specify are subject to Part 363 are included in the regulations relating to safety and soundness the regulatory reporting instructions], as of scope of this assessment of internal control that are designated by the FDIC and the December 31, 20XX, has been audited by over financial reporting: [Identify the appropriate federal banking agency (specify [name of auditing firm], an independent subsidiary institutions.] the appropriate federal banking agency, if public accounting firm, as stated in their [Identify and describe the material applicable) during the fiscal year that ended report dated March XX, 20XX. weakness or weaknesses.] on December 31, 20XX. ABC Depository Institution Management’s assessment of the lllllllllllllllllllll Management’s Assessment of Internal effectiveness of internal control over John Doe, Chief Executive Officer Control Over Financial Reporting financial reporting, including controls over Date: llllllllllllllllll the preparation of regulatory financial ABC Depository Institution’s (the lllllllllllllllllllll statements in accordance with the ‘‘Institution’’) internal control over financial Jane Doe, Chief Financial Officer instructions for regulatory reporting [specify reporting is a process designed to provide Date: llllllllllllllllll the regulatory reporting instructions], as of reasonable assurance regarding the reliability (b) Management Report Made at Holding December 31, 20XX, has been audited by of financial reporting and the preparation of Company Level—Compliance with Laws and [name of auditing firm], an independent financial statements in accordance with Regulations and No Material Weaknesses in public accounting firm, as stated in their accounting principles generally accepted in Internal Control Over Financial Reporting report dated March XX, 20XX. the United States of America, including those To: The Board of Directors and Audit BCD Holding Company prepared for regulatory reporting purposes Committee, BCD Holding Company lllllllllllllllllllll [specify the regulatory reports]. The Re: Management Report John Doe, Chief Executive Officer Institution’s internal control over financial Statement of Management’s Responsibilities Date: llllllllllllllllll reporting includes those policies and procedures that (1) pertain to the lllllllllllllllllllll The management of BCD Holding maintenance of records that, in reasonable Company (the ‘‘Company’’) is responsible for Jane Doe, Chief Financial Officer detail, accurately and fairly reflect the preparing the Company’s annual financial Date: llllllllllllllllll transactions and dispositions of the assets of statements in accordance with generally 6. Illustrative Management Report— the Institution; (2) provide reasonable accepted accounting principles; for Combined Statement of Management’s assurance that transactions are recorded as establishing and maintaining an adequate Responsibilities, Management’s Assessment necessary to permit preparation of financial internal control structure and procedures for of Compliance with Laws and Regulations, statements in accordance with accounting financial reporting, including controls over and Management’s Assessment of the principles generally accepted in the United the preparation of regulatory financial Effectiveness of Internal Control Over States of America, and that receipts and statements in accordance with the Financial Reporting, if applicable. The expenditures of the Institution are being instructions for regulatory reporting [specify following illustrative management reports made only in accordance with authorizations the regulatory reporting instructions]; and for satisfy the requirements of §§ 363.2(b)(1), (2), of management and directors of the complying with laws and regulations relating and (3). Institution; and (3) provide reasonable to safety and soundness that are designated (a) Management Report Made at Insured assurance regarding prevention or timely by the FDIC and the appropriate federal Depository Institution Level—Compliance detection of unauthorized acquisition, use, or banking agency [specify the appropriate

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federal banking agency, if applicable]. The necessary to permit preparation of financial [name of auditing firm], an independent following subsidiary institutions of the statements in accordance with accounting public accounting firm, as stated in their Company that are subject to Part 363 are principles generally accepted in the United report dated March XX, 20XX. included in the scope of this management States of America, and that receipts and BCD Holding Company report, management’s assessment of expenditures of the Company are being made lllllllllllllllllllll compliance with laws and regulations, and only in accordance with authorizations of John Doe, Chief Executive Officer management’s assessment of internal control management and directors of the Company; Date: llllllllllllllllll over financial reporting: [Identify the and (3) provide reasonable assurance subsidiary institutions.] regarding prevention or timely detection of lllllllllllllllllllll unauthorized acquisition, use, or disposition Jane Doe, Chief Financial Officer Management’s Assessment of Compliance of the Company’s assets that could have a Date: llllllllllllllllll With Laws and Regulations material effect on the financial statements. 7. Illustrative Cover Letter—Compliance by Management of BCD Holding Company Because of its inherent limitations, internal Holding Company Subsidiaries. The (the ‘‘Company’’) has assessed the Company’s control over financial reporting may not following illustrative cover letter satisfies the compliance with the laws and regulations prevent or detect misstatements. Also, requirements of guideline 3, Compliance by relating to safety and soundness that are projections of any evaluation of effectiveness Holding Company Subsidiaries, of Appendix designated by the FDIC and the appropriate to future periods are subject to the risk that A to part 363. federal banking agency [specify the controls may become inadequate because of To: (Appropriate FDIC Regional or Area appropriate federal banking agency, if changes in conditions, or that the degree of Office) Division of Supervision and applicable] during the fiscal year that ended compliance with the policies and procedures Consumer Protection, FDIC, and on December 31, 20XX. Based upon its may deteriorate. (Appropriate District or Regional Office of assessment, management has concluded that Management assessed the effectiveness of the Primary Federal Regulator(s), if not the the Company complied with the laws and the Company’s internal control over financial FDIC), and (Appropriate State Bank regulations relating to safety and soundness reporting, including controls over the Supervisor(s), if applicable) that are designated by the FDIC and the preparation of regulatory financial statements appropriate federal banking agency [specify in accordance with the instructions for Dear [Insert addressees]: appropriate federal banking agency, if regulatory reporting [specify the regulatory BCD Holding Company (the ‘‘Company’’) is applicable] during the fiscal year that ended reporting instructions], as of December 31, filing two copies of the Part 363 Annual on December 31, 20XX. 20XX, based on the framework set forth by Report for the fiscal year ended December 31, the Committee of Sponsoring Organizations 20XX, on behalf of its insured depository Management’s Assessment of Internal of the Treadway Commission in Internal institution subsidiaries listed in the chart Control Over Financial Reporting Control—Integrated Framework. Based on below that are subject to Part 363. The Part BCD Holding Company’s (the ‘‘Company’’) that assessment, management concluded that, 363 Annual Report contains audited internal control over financial reporting is a as of December 31, 20XX, the Company’s comparative annual financial statements, the process designed to provide reasonable internal control over financial reporting, independent public accountant’s report on assurance regarding the reliability of including controls over the preparation of the audited financial statements, financial reporting and the preparation of regulatory financial statements in accordance management’s statement of responsibilities, financial statements in accordance with with the instructions for regulatory reporting management’s assessment of compliance accounting principles generally accepted in [specify the regulatory reporting with laws and regulations, and [if applicable] the United States of America, including those instructions], is effective based on the criteria management’s assessment of and the prepared for regulatory reporting purposes established in Internal Control—Integrated independent public accountant’s attestation [specify the regulatory reports]. The Framework. report on internal controls over financial Company’s internal control over financial Management’s assessment of the reporting. The chart below also indicates the reporting includes those policies and effectiveness of internal control over level (institution or holding company) at procedures that (1) pertain to the financial reporting, including controls over which the requirements of Part 363 are being maintenance of records that, in reasonable the preparation of regulatory financial satisfied. The Company’s insured depository detail, accurately and fairly reflect the statements in accordance with the institution subsidiary that complies with all transactions and dispositions of the assets of instructions for regulatory reporting [specify of the Part 363 annual reporting requirements the Company; (2) provide reasonable the regulatory reporting instructions], as of at the institution level has filed [or will file] assurance that transactions are recorded as December 31, 20XX, has been audited by its Part 363 Annual Report separately.

Management’s Institutions subject to Audited financial Management’s assessment of Management’s Independent auditor’s part 363 statements statement of compliance with laws internal control internal control responsibilities and regulations assessment attestation report

ABC Depository Insti- HC Level ...... HC Level ...... HC Level ...... HC Level ...... HC Level. tution. DEF Depository Insti- HC Level ...... Institution Level ...... Institution Level ...... Institution Level ...... Institution Level. tution.

If you have any questions regarding the BCD Holding Company Federal Deposit Insurance Corporation. annual report [or reports] of the Company’s Date: llllllllllllllllll Robert E. Feldman, insured depository institution subsidiaries [Insert officer’s name and title.] Executive Secretary. subject to part 363 or if you need any further By order of the Board of Directors. information, you may contact me at 987– [FR Doc. E7–21168 Filed 11–1–07; 8:45 am] Dated at Washington, DC, this 16th day of 654–3210. BILLING CODE 6714–01–P October, 2007.

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Part III

Environmental Protection Agency 40 CFR Part 52 Federal Implementation Plans for the Clean Air Interstate Rule: Automatic Withdrawal Provisions; Final Rule

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ENVIRONMENTAL PROTECTION • E-mail: [email protected]. listed in the index, some information is AGENCY Attention Docket ID No. EPA–HQ– not publicly available, e.g., CBI or other OAR–2007–0510. information whose disclosure is 40 CFR Part 52 • Fax: (202) 566–9744. Attention restricted by statute. Certain other Docket ID No. EPA–HQ–OAR–2007– material, such as copyrighted material, [EPA–HQ–0AR–2007–0510; FRL–8485–7] 0510. will be publicly available only in hard • Mail: EPA Docket Center, EPA West copy. Publicly available docket Federal Implementation Plans for the (Air Docket), Attention Docket ID No. materials are available either Clean Air Interstate Rule: Automatic EPA–HQ–OAR–2007–0510, electronically in http:// Withdrawal Provisions Environmental Protection Agency, www.regulations.gov or in hard copy at Mailcode: 6102T, 1200 Pennsylvania the EPA Docket Center, EPA/DC, EPA AGENCY: Environmental Protection Ave., NW., Washington, DC 20460. • West, Room 3334, 1301 Constitution Agency (EPA). Hand Delivery: EPA Docket Center Ave., NW., Washington, DC. The Public ACTION: Direct final rule. (Air Docket), Attention Docket ID No. Reading Room is open from 8:30 a.m. to EPA–HQ–OAR–2007–0510, 4:30 p.m., Monday through Friday, SUMMARY: EPA is taking direct final Environmental Protection Agency, 1301 excluding legal holidays. The telephone action to amend the Federal Constitution Avenue, NW., Room 3334; number for the Public Reading Room is Implementation Plans (FIPs) for the Washington, DC. Such deliveries are (202) 566–1744, and the telephone Clean Air Interstate Rule (CAIR) to only accepted during the Docket’s number for the EPA Docket Center is provide for automatic withdrawal of the normal hours of operation, and special (202) 566–1742. CAIR FIPs in a State upon the effective arrangements should be made for date of EPA’s approval of a full State deliveries of boxed information. Rulemaking actions related to the implementation plan (SIP) revision Instructions: Direct your comments to CAIR and the CAIR FIPs are also meeting the CAIR requirements. All Docket ID No. EPA–HQ–OAR–2007– available at the EPA’s CAIR Web site at CAIR States are required to revise their 0510. EPA’s policy is that all comments http://www.epa.gov/cair. SIPs to include control measures to received will be included in the public FOR FURTHER INFORMATION CONTACT: reduce the emissions of nitrogen oxides docket without change and may be Carla Oldham, Air Quality Planning (NOX) and/or sulfur dioxide (SO2). The made available online at http:// Division, Office of Air Quality Planning EPA issued the CAIR FIPs on April 28, www.regulations.gov, including any and Standards, mail code C539–04, 2006 as a backstop to implement the personal information provided, unless Environmental Protection Agency, CAIR in each CAIR State until that State the comment includes information Research Triangle Park, North Carolina has an EPA-approved CAIR SIP in place claimed to be Confidential Business 27711; telephone number: 919–541– to achieve the required reductions. In Information (CBI) or other information 3347; fax number: 919–541–0824; e-mail whose disclosure is restricted by statute. the FIP rulemaking, EPA stated it would address: [email protected]. withdraw the FIPs in a State in Do not submit information that you coordination with the approval of the consider to be CBI or otherwise SUPPLEMENTARY INFORMATION: protected through www.regulations.gov CAIR SIP for that State. Outline In this action EPA makes the FIP or e-mail. The http:// withdrawal in a State automatic upon www.regulations.gov Web site is an I. Why Is EPA Using a Direct Final Rule? approval of the State’s full CAIR SIP and ‘‘anonymous access’’ system, which II. Does This Action Apply to Me? to the extent of that approval. EPA means EPA will not know your identity III. What Should I Consider As I Prepare My believes it is appropriate for the FIP or contact information unless you Comments? withdrawal to be automatic because to provide it in the body of your comment. IV. What Are the Details for the Potential Public Hearing? the extent EPA approves the State’s full If you send an e-mail comment directly to EPA without going through V. Availability of Related Information CAIR SIP, this corrects that deficiency VI. What Is the Background for This Action? that provided the basis for EPA’s www.regulations.gov your e-mail address will be automatically captured VII. What Is This Direct Final Rule? promulgation of the FIPs in that State. VIII. Statutory and Executive Order Reviews and included as part of the comment DATES: The direct final rule is effective A. Executive Order 12866: Regulatory that is placed in the public docket and on January 16, 2008 without further Planning and Review made available on the Internet. If you notice, unless EPA receives adverse B. Paperwork Reduction Act submit an electronic comment, EPA comment by December 17, 2007. If EPA C. Regulatory Flexibility Act recommends that you include your receives adverse comment, we will D. Unfunded Mandates Reform Act name and other contact information in publish a timely withdrawal in the E. Executive Order 13132: Federalism the body of your comment and with any Federal Register informing the public F. Executive Order 13175: Consultation disk or CD–ROM you submit. If EPA and Coordination With Indian Tribal that the rule will not take effect. cannot read your comment due to Governments Public Hearing: If anyone contacts technical difficulties and cannot contact G. Executive Order 13045: Protection of EPA requesting to speak at a public you for clarification, EPA may not be Children From Environmental Health hearing by November 13, 2007, EPA will able to consider your comment. and Safety Risks hold a public hearing on November 19, Electronic files should avoid the use of H. Executive Order 13211: Actions That 2007 in Research Triangle Park, North special characters and any form of Significantly Affect Energy Supply, Carolina. Distribution, or Use encryption, and be free of any defects or I. National Technology Transfer ADDRESSES: Submit your comments, viruses. For additional information Advancement Act identified by Docket ID No. EPA–HQ– about EPA’s public docket visit the EPA J. Executive Order 12898: Federal Actions OAR–2007–0510, by one of the Docket Center homepage at http:// To Address Environmental Justice in following methods: www.epa.gov/epahome/dockets.htm. Minority Populations and Low-Income • http://www.regulations.gov: Follow Docket: All documents in the docket Populations the on-line instructions for submitting are listed in the http:// K. Congressional Review Act comments. www.regulations.gov index. Although L. Judicial Review

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I. Why Is EPA Using a Direct Final State. Therefore, EPA believes that, commenting on this rule, see the Rule? following the approval of the full CAIR ADDRESSES section of this document. SIP, the Agency must withdraw the FIPs If EPA receives adverse comment, we EPA is publishing this rule without a to the extent of the approval. Further, in will publish a timely withdrawal in the prior proposed rule because we view the rulemaking promulgating the CAIR Federal Register informing the public this as a noncontroversial action and FIPs, EPA provided public notice that that this direct final rule will not take anticipate no adverse comment. Under the withdrawal of the FIPs would be a effect. We would address all public this rule, the CAIR FIPs in a given State necessary consequence of the SIP comments in any subsequent final rule will be automatically withdrawn when, approval. Id. at 25340. Nonetheless, in based on the proposed rule. and to the extent, EPA approves a full CAIR SIP for that State. The FIP will not the ‘‘Proposed Rules’’ section of this II. Does This Action Apply to Me? Federal Register, we are publishing a be withdrawn until the State’s full CAIR This action does not impose any separate document that will serve as the SIP is effective. EPA’s authority to control requirements. It amends the promulgate the CAIR FIPs was based on proposed rule for this FIP withdrawal CAIR FIPs to provide for automatic EPA’s prior findings that the existing final rule action if relevant adverse withdrawal of the CAIR FIPs in a State SIPs did not adequately address comments are received on this direct upon the effective date of EPA’s interstate transport (71 FR 25328, 25338; final rule. We will not institute a second approval of the CAIR SIP for the State. April 28, 2006). To the extent the full comment period on this action. Any EPA promulgated the CAIR FIPs on CAIR SIP is approved for a given State, parties interested in commenting on that April 28, 2006 (71 FR 25328). Categories this corrects this deficiency and thus parallel proposal must do so at this and entities potentially regulated by the eliminates the basis for the FIPs for that time. For further information about CAIR FIPs include the following:

Category NAICS Examples of potentially regulated entities code 1

Industry ...... 221112 Fossil fuel-fired electric utility steam generating units. Federal government ...... 2 221122 Fossil fuel-fired electric utility steam generating units owned by the Federal government. State/local/Tribal government ...... 2 221122 Fossil fuel-fired electric utility steam generating units owned by municipalities. 921150 Fossil fuel-fired electric utility steam generating units in Indian Country. 1 North American Industry Classification System. 2 Federal, State, or local government-owned and operated establishments are classified according to the activity in which they are engaged.

This table is not intended to be Information so marked will not be IV. What Are the Details for the exhaustive, but rather provides a guide disclosed except in accordance with Potential Public Hearing? for readers regarding entities likely to be procedures set forth in 40 CFR part 2. If anyone contacts EPA by November regulated by the CAIR FIPs. To B. Tips for Preparing Your Comments 13, 2007, requesting to speak at a public determine whether your facility is hearing on this action, EPA will hold a affected by the CAIR FIPs, you should When submitting comments, public hearing on November 19, 2007 in examine the definitions and remember to: • Research Triangle Park, North Carolina. applicability criteria in 40 CFR 97.102, Identify the rulemaking by docket The EPA will not hold a hearing if one 97.104, 97.105, 97.202, 97.204, 97.205, number and other identifying is not requested. Please check EPA’s 97.302, 97.304, and 97.305. If you have information (subject heading, Federal Web page at www.epa.gov/cair on any questions regarding the Register date and page number). November 14, 2007 for the • applicability of the CAIR FIPs to a Follow directions—The agency may announcement of whether the hearing particular entity, consult the person ask you to respond to specific questions will be held. listed in the preceding section under or organize comments by referencing a If there is a public hearing, it will be FOR FURTHER INFORMATION CONTACT. Code of Federal Regulations (CFR) part held at the EPA, Building C, 109 T.W. or section number. Alexander Drive, Research Triangle III. What Should I Consider as I • Prepare My Comments? Explain why you agree or disagree; Park, North Carolina, 27709; the room suggest alternatives and substitute number will be announced on the CAIR A. Submitting CBI language for your requested changes. Web site at www.epa.gov/cair. Because Do not submit this information to EPA • Describe any assumptions and this is a U.S. government facility, through www.regulations.gov or e-mail. provide any technical information and/ everyone planning to attend the public Clearly mark the part or all of the or data that you used. hearing, if one is held, should be information that you claim to be CBI. • If you estimate potential costs or prepared to show valid picture For CBI information in a disk or CD– burdens, explain how you arrived at identification to the security staff in ROM that you mail to EPA, mark the your estimate in sufficient detail to order to gain access to the meeting outside of the disk or CD–ROM as CBI allow for it to be reproduced. room. If held, the public hearing will and then identify electronically within • Provide specific examples to begin at 10 a.m. and continue until 5 the disk or CD–ROM the specific illustrate your concerns, and suggest p.m., if necessary, depending on the information that is claimed as CBI. In alternatives. number of speakers. The EPA may end addition to one complete version of the • Explain your views as clearly as the hearing early if all registered comment that includes information possible, avoiding the use of profanity speakers have had an opportunity to claimed as CBI, a copy of the comment or personal threats. speak, but no earlier than 2 p.m. Persons that does not contain the information • Make sure to submit your wishing to present oral testimony that claimed as CBI must be submitted for comments by the comment period have not made arrangements in advance inclusion in the public docket. deadline identified. should register by 2 p.m. the day of the

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hearing. Oral testimony will be limited VI. What Is the Background for This CAIR SIP for that State. To the extent to 5 minutes per commenter. The EPA Action? EPA approves a full CAIR SIP for a encourages commenters to provide In a final rule published on April 25, State, this eliminates the basis for CAIR written versions of their oral testimonies 2005 (70 FR 21147), effective May 25, FIP for the State, which EPA either electronically (on computer disk 2005, EPA made national findings that promulgated as a result of the April 25, or CD–ROM) or in paper copy. Verbatim States had failed to submit SIPs required 2005 findings. In promulgating the FIPs, EPA transcripts and written statements will under section 110(a)(2)(D)(i) of the CAA explained that the FIPs do not limit the be included in the rulemaking docket. to address interstate transport with options available to States to meet the If you want to request a hearing and respect to the PM and 8-hour ozone 2.5 requirements of the CAIR. EPA present oral testimony at the hearing, NAAQS. These SIPs were due in July explained that it intended to avoid you should notify, on or before 2000, 3 years after the promulgation of taking any steps to implement FIP November 13, 2007, Pam Long, EPA, the 1997 PM and 8-hour ozone 2.5 requirements that could impact a State’s Office of Air Quality Planning and NAAQS. The national findings started a ability to regulate their sources in a Standards, Air Quality Policy Division, 2-year clock for EPA to promulgate FIPs C504–03, Research Triangle Park, NC different manner until a year after the to address the requirements of section CAIR SIP submission deadline (71 FR 27711, telephone (919) 541–0641, e-mail 110(a)(2)(D)(i) in all the States. Under [email protected]. The hearing will be 25330–25331). EPA further explained section 110(c)(1), EPA may issue a FIP that States could replace the FIPs strictly limited to the subject matter of for any such State any time after such the proposal, the scope of which is requirements at a later time. findings are made and must do so The CAIR FIPs also provide that discussed below. Any member of the unless a SIP revision correcting the public may file a written comment by States may submit ‘‘abbreviated’’ SIP deficiency is approved by EPA before revisions to replace or supplement the close of the comment period. the FIP is promulgated. specific elements of the FIPs, leaving Written comments should be submitted On May 12, 2005 (70 FR 25162), EPA the remainder of the overall FIPs in to Docket ID No. EPA–HQ–OAR 2007– issued the CAIR, in which it determined place, rather than submitting full CAIR 0510 at the addresses given above for that emissions from 28 States and the SIP revisions that replace the FIPs. The submittal of comments. If a hearing is District of Columbia (collectively, CAIR abbreviated SIP revisions, when held, the hearing schedule, including States) are contributing significantly to approved, will automatically replace or the list of speakers, will be posted on nonattainment of the fine particle supplement the corresponding CAIR FIP EPA’s Web page at www.epa.gov/cair. A (PM2.5) and/or 8-hour ozone national provisions. (See 71 FR at 25345–25346 verbatim transcript of the hearing, if ambient air quality standards (NAAQS) for further details.) The automatic held, and written comments will be in downwind States. The CAIR also withdrawal provisions of this rule only made available for copying during determined the levels of NOX and SO2 apply to EPA approval of full CAIR normal working hours at the EPA emissions reduction requirements SIPs. This rule does not affect the Docket Center address given above for necessary for CAIR-affected States to interaction between the abbreviated inspection of documents. eliminate their significant contribution CAIR SIP provisions and the CAIR FIPs V. Availability of Related Information to downwind nonattainment of the 8- (which remain in place following hour ozone and PM2.5 NAAQS. (See also approval of an abbreviated SIP). The official record for this CAIR revisions on April 28, 2006; 71 FR rulemaking, as well as the public 25328 and December 13, 2006; 71 FR VII. What Is This Direct Final Rule? version, has been established under 74792.) NOX emissions are precursors to In this direct final rule, EPA is Docket ID No. EPA–HQ–OAR–2007– 8-hour and PM2.5; SO2 emissions are revising the CAIR FIPs to provide that 0510 (including comments and data precursors to PM2.5. All CAIR States the FIPs will be automatically submitted electronically as described were required to submit their SIPs to withdrawn in a State upon the effective below). A public version of this record, satisfy the CAIR requirements by date of EPA’s approval of the State’s full including printed, paper versions of September 11, 2006. For States subject CAIR SIP and to the extent of that electronic comments, which does not to the CAIR requirements, an approved approval. If EPA only partially approves include any information claimed as CBI, CAIR SIP will satisfy, to the extent it is the State’s full CAIR SIP submittal, then is available for inspection from 8:30 approved, the section 110(a)(2)(D)(i) the FIP will be automatically withdrawn a.m. to 4:30 p.m., Monday through requirements discussed in the April 25, only to the extent of the partial Friday, excluding legal holidays. The 2005 findings action. approval. If EPA conditionally approves official rulemaking record is located at In a final rule published on April 28, a full CAIR SIP, this automatic the address provided in ADDRESSES at 2006 (71 FR 25328), EPA promulgated withdrawal provision will have no the beginning of this document. In FIPs as a backstop to implement the impact on the FIP, which will remain in addition, the Federal Register CAIR requirements in all CAIR States. place pending further action by EPA. If rulemaking actions and associated As the control requirement for the FIPs, necessary, in any action approving a full documents are located at www.epa.gov/ EPA adopted the model trading rules for CAIR SIP, EPA will provide additional cair. EGUs that EPA provided in CAIR as a details regarding the effect of the The docket for the rulemaking that control option for States, with minor approval action on the status of the FIPs promulgated the CAIR FIPs Rule is changes to account for Federal rather in that State. EPA–HQ–OAR–2004–0076. The than State implementation. The FIPs One scenario under which EPA might rulemaking docket for the related CAIR will regulate EGUs in the affected States partially approve and partially (full title, ‘‘Rule to Reduce Interstate and achieve the emissions reduction disapprove a SIP involves full CAIR Transport of Fine Particulate Matter and requirements established by the CAIR SIPs on which EPA takes final action Ozone’’) is EPA–HQ–OAR–2003–0053. until States have EPA-approved SIPs to after EPA has already begun allocating The CAIR FIPs and the CAIR Federal achieve the reductions. In the FIP NOX allowances under the FIP. For Register rulemaking actions and preamble, EPA stated it would example, if the State submits a SIP that associated documents are also located at withdraw the FIPs in a State in adopts the model cap-and-trade http://www.epa.gov/cair. coordination with the approval of the programs for EGUs and EPA takes final

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action on the SIP after EPA has VIII. Statutory and Executive Order rulemaking requirements under the allocated NOX allowances for 2009 Reviews Administrative Procedure Act or any under the FIP, but before it has allocated other statute unless the agency certifies A. Executive Order 12866: Regulatory any other allowances, EPA likely would that the rule will not have a significant Planning and Review disapprove the portions of the SIP economic impact on a substantial relating to the allocation of 2009 NOX This action is not a ‘‘significant number of small entities. Small entities allowances. The disapproval of the 2009 regulatory action’’ under the terms of include small businesses, small NOX allocations would be necessary to Executive Order 12866 (58 FR 51735, organizations, and small governmental prevent excess and duplicative NOX October 4, 1993) and is therefore not jurisdictions. allowances from entering the trading subject to review under the Executive For purposes of assessing the impacts program. (See Section VI.F.1. of the Order. of this rule on small entities, small CAIR FIPs Rule for the schedule for B. Paperwork Reduction Act entity is defined as: (1) A small business recording NOX allocations in sources’ ‘‘as defined by the Small Business accounts (71 FR 25352)) This action does not impose any new Administration’s (SBA) regulations at 13 Under this scenario, because EPA information collection burden. This CFR 121.201;’’ (2) a small governmental would disapprove the portions of the action amends the CAIR FIPs to provide jurisdiction that is a government of a full CAIR SIP relating to the allocation for automatic withdrawal of the CAIR city, county, town, school district or of 2009 NOX allowances, the FIPs in a State once the State’s CAIR SIP special district with a population of less corresponding portions of the FIP is in place. EPA believes that the than 50,000; and (3) a small providing EPA with authority to allocate Paperwork Reduction Act (44 U.S.C. organization that is any not-for-profit 2009 NOX allowances (including the 3501 et seq.) requirements of the enterprise which is independently authority to allocate NOX allowances existing CAIR FIPs rule are satisfied owned and operated and is not from the new unit set-aside, which through the Information Collection dominant in its field. would not be allocated by EPA until Request (ICR) (EPA ICR number After considering the economic early 2009) would remain in place. 2152.02; OMB control number 2060– impacts of this direct final rule on small However, EPA would approve the 0570) submitted to the OMB for review entities, I certify that this action will not remainder of the SIP if it were found to and approval as part of the CAIR (70 FR have a significant economic impact on be adequate, and thus the remainder of 25162–25405) and approved by the a substantial number of small entities. the FIP would be automatically OMB in September 2005. A copy of the This direct final rule does not impose withdrawn. There would be no OMB approved Information Collection new requirements on any entities, but penalties or negative consequences for Request (ICR) may be obtained from instead provides for the automatic the State associated with this partial SIP Susan Auby, Collection Strategies withdrawal of the CAIR FIPs in certain disapproval, and the State would not Division; U.S. Environmental Protection circumstances. Thus, it does not impose need to take any further corrective SIP Agency (2822T); 1200 Pennsylvania any requirements on small entities. action. Ave., NW., Washington, DC 20460 or by D. Unfunded Mandates Reform Act EPA does not anticipate conditionally calling (202) 566–1672. approving any full CAIR SIPs. However, Burden means the total time, effort, or Title II of the Unfunded Mandates should EPA do so, EPA will address the financial resources expended by persons Reform Act of 1995 (UMRA), P.L. 104– impact of the conditional approval on to generate, maintain, retain, or disclose 4, establishes requirements for Federal the status of the CAIR FIPs in that State or provide information to or for a agencies to assess the effects of their at that time. At this time, EPA is not Federal agency. This includes the time regulatory actions on State, local, and proposing to automatically withdraw needed to review instructions; develop, tribal governments and the private the FIP for a State based on conditional acquire, install, and utilize technology sector. Under section 202 of the UMRA, approval of a SIP for that State because and systems for the purposes of EPA generally must prepare a written a conditional approval carries the risk collecting, validating, and verifying statement, including a cost-benefit that it will convert to a disapproval in information, processing and analysis, for proposed and final rules 1 year if the State does not address the maintaining information, and disclosing with ‘‘Federal mandates’’ that may specified conditions by that time. and providing information; adjust the result in expenditures to State, local, The EPA believes it is appropriate to existing ways to comply with any and tribal governments, in the aggregate, make the CAIR FIP withdrawal previously applicable instructions and or to the private sector, of $100 million automatic in a State upon the effective requirements; train personnel to be able or more in any 1 year. Before date of the approval of the State’s full to respond to a collection of promulgating an EPA rule for which a CAIR SIP because once EPA approves a information; search data sources; written statement is needed, section 205 State’s full CAIR SIP, EPA no longer has complete and review the collection of of the UMRA generally requires EPA to authority for the CAIR FIP in that State information; and transmit or otherwise identify and consider a reasonable to the extent of that approval. Once the disclose the information. number of regulatory alternatives and full CAIR SIP is effective and sources in An agency may not conduct or adopt the least costly, most cost- the State are subject to the SIP, EPA’s sponsor, and a person is not required to effective or least burdensome alternative withdrawal of the appropriate portions respond to a collection of information that achieves the objectives of the rule. of the CAIR FIPs has no practical unless it displays a currently valid OMB The provisions of section 205 do not consequences. Further, making the FIP control number. The OMB control apply when they are inconsistent with withdrawal automatic upon full CAIR numbers for EPA’s regulations in 40 applicable law. Moreover, section 205 SIP approval will provide immediate CFR are listed in 40 CFR part 9. allows EPA to adopt an alternative other clarity to affected sources as to their than the least costly, most cost-effective control requirements and conserve C. Regulatory Flexibility Act or least burdensome alternative if the Agency resources that would otherwise The Regulatory Flexibility Act (RFA) Administrator publishes with the final be needed to conduct numerous generally requires an agency to prepare rule an explanation why that alternative nondiscretionary, noncontroversial FIP a regulatory flexibility analysis of any was not adopted. Before EPA establishes withdrawal rulemakings. rule subject to notice and comment any regulatory requirements that may

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significantly or uniquely affect small regulatory policies that have tribal bodies. The NTTAA directs EPA to governments, including tribal implications.’’ This direct final rule provide Congress, through OMB, governments, it must have developed does not have tribal implications, as explanations when the Agency decides under section 203 of the UMRA a small specified in Executive Order 13175 not to use available and applicable government agency plan. The plan must because it imposes no enforceable duty voluntary consensus standards. provide for notifying potentially on any State, local or tribal governments This direct final rulemaking does not affected small governments, enabling or the private sector. Thus, Executive involve technical standards. Therefore, officials of affected small governments Order 13175 does not apply to this rule. EPA did not consider the use of any to have meaningful and timely input in voluntary consensus standards. G. Executive Order 13045: Protection of the development of EPA regulatory Children From Environmental Health J. Executive Order 12898: Federal proposals with significant Federal and Safety Risks Actions To Address Environmental intergovernmental mandates, and Justice in Minority Populations and informing, educating, and advising Executive Order 13045: ‘‘Protection of Low-Income Populations small governments on compliance with Children from Environmental Health the regulatory requirements. Risks and Safety Risks’’ (62 FR 19885, Executive Order 12898 (59 FR 7629 This rule contains no Federal April 23, 1997) applies to any rule that: (Feb. 16, 1994)) establishes federal mandates (under the regulatory (1) Is determined to be ‘‘economically executive policy on environmental provisions of Title II of the UMRA) for significant’’ as defined under Executive justice. Its main provision directs State, local, or tribal governments or the Order 12866, and (2) concerns an Federal agencies, to the greatest extent private sector. The rule imposes no environmental health or safety risk that practicable and permitted by law, to enforceable duty on any State, local or EPA has reason to believe may have a make environmental justice part of their tribal governments or the private sector; disproportionate effect on children. If mission by identifying and addressing, but would provide automatic the regulatory action meets both criteria, as appropriate, disproportionately high withdrawal of the CAIR FIPs in certain the Agency must evaluate the and adverse human health or circumstances. Thus, this rule is not environmental health or safety effects of environmental effects of their programs, subject to the requirements of sections the planned rule on children, and policies, and activities on minority 202 and 205 of the UMRA. explain why the planned regulation is populations and low-income preferable to other potentially effective populations in the United States. E. Executive Order 13132: Federalism and reasonably feasible alternatives EPA has determined that this final Executive Order 13132, entitled considered by the Agency. rule will not have disproportionately ‘‘Federalism’’ (64 FR 43255, August 10, EPA interprets Executive Order 13045 high and adverse human health or 1999), requires EPA to develop an as applying only to those regulatory environmental effects on minority or accountable process to ensure actions that are based on health or safety low-income populations because it does ‘‘meaningful and timely input by State risks, such that the analysis required not affect the level of protection and local officials in the development of under section 5–501 of the Order has provided to human health or the regulatory policies that have federalism the potential to influence the regulation. environment. This rule imposes no implications.’’ ‘‘Policies that have This rule is not subject to Executive enforceable duty on any State, local or federalism implications’’ is defined in Order 13045 because it does not tribal governments or the private sector. the Executive Order to include establish an environmental standard It will neither increase nor decrease regulations that have ‘‘substantial direct intended to mitigate health or safety environmental protection. effects on the States, on the relationship risks. between the national government and K. Congressional Review Act the States, or on the distribution of H. Executive Order 13211: Actions That The Congressional Review Act, 5 power and responsibilities among the Significantly Affect Energy Supply, U.S.C. 801 et seq., as added by the Small various levels of government.’’ Distribution, or Use Business Regulatory Enforcement This final rule does not have This rule is not subject to Executive Fairness Act of 1996, generally provides federalism implications. It will not have Order 13211, ‘‘Actions Concerning that before a rule may take effect, the substantial direct effects on the States, Regulations That Significantly Affect agency promulgating the rule must on the relationship between the national Energy Supply, Distribution, or Use’’ (66 submit a rule report, which includes a government and the States, or on the FR 28355 (May 22, 2001)) because it is copy of the rule, to each House of the distribution of power and not a significant regulatory action under Congress and to the Comptroller General responsibilities among the various Executive Order 12866. of the United States. EPA will submit a levels of government, as specified in report containing this rule and other I. National Technology Transfer Executive Order 13132. This rule required information to the U.S. Senate, Advancement Act imposes no enforceable duty on any the U.S. House of Representatives, and State, local or tribal governments or the Section 12(d) of the National the Comptroller General of the United private sector. Thus, Executive Order Technology Transfer and Advancement States prior to publication of the rule in 13132 does not apply to this rule. Act of 1995 (‘‘NTTAA’’), Public Law No. the Federal Register. A Major rule 104–113, 12(d) (15 U.S.C. 272 note) cannot take effect until 60 days after it F. Executive Order 13175: Consultation directs EPA to use voluntary consensus is published in the Federal Register. and Coordination With Indian Tribal standards in its regulatory activities This action is not a ‘‘major rule’’ as Governments unless to do so would be inconsistent defined by 5 U.S.C. 804(2). This rule Executive Order 13175, entitled with applicable law or otherwise will be effective January 16, 2008. ‘‘Consultation and Coordination with impractical. Voluntary consensus Indian Tribal Governments’’ (65 FR standards are technical standards (e.g., L. Judicial Review 67249, November 9, 2000), requires EPA materials specifications, test methods, Under CAA section 307(b), judicial to develop an accountable process to sampling procedures, and business review of this final action is available ensure ‘‘meaningful and timely input by practices) that are developed or adopted only by filing a petition for review in tribal officials in the development of by voluntary consensus standards the U.S. Court of Appeals for the District

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of Columbia Circuit on or before January provisions of part 97 of this chapter will remaining CAIR NOX Ozone Season 2, 2008. Under CAA section no longer apply to the sources in that allowances for those years. 307(d)(7)(B), only those objections to the State, except to the extent the (c) The provisions of this section do final rule that were raised with Administrator’s approval of the SIP is not invalidate or otherwise affect the specificity during the period for public partial or conditional or unless such obligations of States, emissions sources, comment may be raised during judicial approval is under § 51.123(p) of this or other responsible entities with review. Moreover, under CAA section chapter. respect to all portions of plans approved 307(b)(2), the requirements established (2) Notwithstanding any provisions of or promulgated under this part or the by this final rule may not be challenged paragraph (a)(1) of this section, if, at the obligations of States under the separately in any civil or criminal time of such approval of the State’s SIP, requirements of §§ 51.123 and 51.125 of proceedings brought by EPA to enforce the Administrator has already allocated this chapter. these requirements. any CAIR NOX allowances to sources in (d)(1) The States with SIPs approved List of Subjects in 40 CFR Part 52 the State for any years, the provisions of by the Administrator as meeting the part 97 of this chapter authorizing the requirements of CAIR for PM2.5 relating Environmental protection, Administrator to complete the to NOX under § 51.123(o) of this chapter Administrative practice and procedure, allocation of CAIR NOX allowances for are: [STATE NAME]. Air pollution control, Electric utilities, those years shall continue to apply, (2) The States with SIPs approved by Intergovernmental relations, Nitrogen unless the Administrator approves a SIP the Administrator as meeting the oxides, Ozone, Particulate matter, that provides for the allocation of the requirements of CAIR for ozone relating Reporting and recordkeeping remaining CAIR NOX allowances for to NOX under § 51.123(aa) of this requirements, Sulfur dioxide. those years. chapter, are: [STATE NAME]. Dated: October 17, 2007. (b)(1) The Federal CAIR NOX Ozone I 3. Section 52.36 is revised to read as Stephen L. Johnson, Season Trading Program provisions of follows: Administrator. part 97 of this chapter constitute the I Clean Air Interstate Rule Federal § 52.36 What are the requirements of the For the reasons set forth in the Federal Implementation Plans (FIPs) for the preamble, part 52 of chapter I of title 40 Implementation Plan provisions that relate to emissions of nitrogen oxides Clean Air Interstate Rule (CAIR) relating to of the Code of Federal Regulations is emissions of sulfur dioxide? amended as follows: (NOX) during the ozone season, as defined in § 97.302 of this chapter. Each (a) The Federal CAIR SO2 Trading PART 52—[AMENDED] State that is described in § 51.123(c)(1) Program provisions of part 97 of this and (3) of this chapter received a finding chapter constitute the Clean Air I 1. The authority citation for part 52 by the Administrator that the State Interstate Rule Federal Implementation continues to read as follows: failed to submit a State Implementation Plan provisions for emissions of sulfur Authority: 42 U.S.C. 7401 et seq. Plan (SIP) to satisfy the requirements of dioxide (SO2). Each State that is section 110(a)(2)(D)(i)(I) of the Clean Air described in § 51.124(c) of this chapter Subpart A—General Provisions Act for the 8-hour ozone NAAQS. The is subject to a finding by the provisions of subparts AAAA through Administrator that the State failed to I 2. Section 52.35 is revised to read as IIII of part 97 of this chapter, regarding submit a State Implementation Plan follows: the CAIR NOX Ozone Season Trading (SIP) to satisfy the requirements of § 52.35 What are the requirements of the Program, apply to sources in each of section 110(a)(2)(D)(i)(I) of the Clean Air Federal Implementation Plans (FIPs) for the these States that has not promulgated a Act for the PM2.5 NAAQS. The Clean Air Interstate Rule (CAIR) relating to SIP revision approved by the provisions of subparts AAA through III emissions of nitrogen oxides? Administrator as correcting that of part 97 of this chapter, regarding the (a)(1) The Federal CAIR NOX Annual deficiency. Following promulgation of CAIR SO2 Trading Program, apply to Trading Program provisions of part 97 of an approval by the Administrator of a sources in each of these States that has this chapter constitute the Clean Air State’s SIP as meeting the requirements not promulgated a SIP revision Interstate Rule Federal Implementation of CAIR for ozone relating to NOX under approved by the Administrator as Plan provisions that relate to annual § 51.123 of this chapter, these correcting that deficiency. Following emissions of nitrogen oxides (NOX). provisions of part 97 of this chapter will promulgation of an approval by the Each State that is described in no longer apply to sources in that State, Administrator of a State’s SIP as § 51.123(c)(1) and (2) of this chapter except to the extent the Administrator’s meeting the requirements of CAIR for received a finding by the Administrator approval of the SIP is partial or PM2.5 relating to SO2 under § 51.124 of that the State failed to submit a State conditional or unless such approval is this chapter, these provisions of part 97 Implementation Plan (SIP) to satisfy the under § 51.123(ee) of this chapter. of this chapter will no longer apply to requirements of section 110(a)(2)(D)(i)(I) (2) Notwithstanding any provisions of sources in that State, except to the of the Clean Air Act for the PM2.5 paragraph (b)(1) of this section, if, at the extent the Administrator’s approval of NAAQS. The provisions of subparts AA time of such approval of the State’s SIP, the SIP is partial or conditional or through II of part 97 of this chapter, the Administrator has already allocated unless such approval is under regarding the CAIR NOX Annual any CAIR NOX Ozone Season § 51.124(r) of this chapter. Trading Program, apply to the sources allowances to sources in the State for (b) The provisions of this section do in each of these States that has not any years, the provisions of part 97 of not invalidate or otherwise affect the promulgated a SIP approved by the this chapter authorizing the obligations of States, emissions sources, Administrator as correcting that Administrator to complete the or other responsible entities with deficiency. Following promulgation of allocation of CAIR NOX Ozone Season respect to all portions of plans approved an approval by the Administrator of a allowances for those years shall or promulgated under this part or the State’s SIP as meeting the requirements continue to apply, unless the obligations of States under the of CAIR for PM2.5 relating to NOX under Administrator approves a SIP that requirements of §§ 51.124 and 51.125 of § 51.123 of this chapter, these provides for the allocation of the this chapter.

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(c) The States with SIPs approved by (2) Notwithstanding any provisions of conditional or unless such approval is the Administrator as meeting the paragraph (b)(1) of this section, if, at the under § 51.123(ee) of this chapter. requirements of CAIR for PM2.5 relating time of such approval of the State’s SIP, (2) Notwithstanding any provisions of to SO2 under § 51.124(o) of this chapter the Administrator has already allocated paragraph (a)(1) of this section, if, at the are: [STATE NAME] CAIR NOX Ozone Season allowances to time of such approval of the State’s SIP, sources in the State for any years, the the Administrator has already allocated Subpart B—Alabama provisions of part 97 of this chapter CAIR NOX Ozone Season allowances to authorizing the Administrator to sources in the State for any years, the I 4. Section 52.54 is revised to read as complete the allocation of CAIR NOX provisions of part 97 of this chapter follows: Ozone Season allowances for those authorizing the Administrator to § 52.54 Interstate pollutant transport years shall continue to apply, unless the complete the allocation of CAIR NOX provisions; What are the FIP requirements Administrator approves a SIP provision Ozone Season allowances for those for decreases in emissions of nitrogen that provides for the allocation of the years shall continue to apply, unless the oxides? remaining CAIR NOX Ozone Season Administrator approves a SIP provision (a)(1) The owner and operator of each allowances for those years. that provides for the allocation of the source located within the State of I 5. Section 52.55 is revised to read as remaining CAIR NOX Ozone Season Alabama and for which requirements follows: allowances for those years. are set forth under the Federal CAIR (b) [Reserved] § 52.55 Interstate pollutant transport NOX Annual Trading Program in subparts AA through II of part 97 of this provisions; What are the FIP requirements Subpart H—Connecticut for decreases in emissions of sulfur chapter must comply with such dioxide? I applicable requirements. The obligation 7. Section 52.386 is revised to read as to comply with these requirements in The owner and operator of each SO2 follows: source located within the State of part 97 of this chapter will be § 52.386 Interstate pollutant transport eliminated by the promulgation of an Alabama and for which requirements provisions; What are the FIP requirements approval by the Administrator of a are set forth under the Federal CAIR SO2 for decreases in emissions of nitrogen revision to the Alabama State Trading Program in subparts AAA oxides? through III of part 97 of this chapter Implementation Plan (SIP) as meeting (a)(1) The owner and operator of each must comply with such applicable the requirements of CAIR for PM2.5 NO source located within the State of requirements. The obligation to comply X relating to NOX under § 51.123 of this Connecticut and for which requirements with these requirements in part 97 of chapter, except to the extent the are set forth under the Federal CAIR this chapter will be eliminated by the Administrator’s approval is partial or NO Ozone Season Trading Program in promulgation of an approval by the X conditional or unless such approval is subparts AAAA through IIII of part 97 Administrator of a revision to the under § 51.123(p) of this chapter. of this chapter must comply with such Alabama State Implementation Plan as (2) Notwithstanding any provisions of applicable requirements. The obligation meeting the requirements of CAIR for paragraph (a)(1) of this section, if, at the to comply with these requirements in PM relating to SO under § 51.124 of time of such approval of the State’s SIP, 2.5 2 part 97 of this chapter will be this chapter, except to the extent the the Administrator has already allocated eliminated by the promulgation of an Administrator’s approval is partial or CAIR NOX allowances to sources in the approval by the Administrator of a conditional or unless such approval is State for any years, the provisions of revision to the Connecticut State under § 51.124(r) of this chapter. part 97 of this chapter authorizing the Implementation Plan (SIP) as meeting Administrator to complete the Subpart E—Arkansas the requirements of CAIR for ozone allocation of CAIR NOX allowances for relating to NOX under § 51.123 of this those years shall continue to apply, I 6. Section 52.184 is revised to read as chapter, except to the extent the unless the Administrator approves a SIP follows: Administrator’s approval is partial or provision that provides for the conditional or unless such approval is allocation of the remaining CAIR NOX § 52.184 Interstate pollutant transport under § 51.123(ee) of this chapter. allowances for those years. provisions; What are the FIP requirements (2) Notwithstanding any provisions of (b)(1) The owner and operator of each for decreases in emissions of nitrogen oxides? paragraph (a)(1) of this section, if, at the NOX source located within the State of time of such approval of the State’s SIP, Alabama and for which requirements (a)(1) The owner and operator of each the Administrator has already allocated are set forth under the Federal CAIR NOX source located within the State of CAIR NOX Ozone Season allowances to NOX Ozone Season Trading Program in Arkansas and for which requirements sources in the State for any years, the subparts AAAA through IIII of part 97 are set forth under the Federal CAIR provisions of part 97 of this chapter of this chapter must comply with such NOX Ozone Season Trading Program in authorizing the Administrator to applicable requirements. The obligation subparts AAAA through IIII of part 97 complete the allocation of CAIR NOX to comply with these requirements in of this chapter must comply with such Ozone Season allowances for those part 97 of this chapter will be applicable requirements. The obligation years shall continue to apply, unless the eliminated by the promulgation of an to comply with these requirements in Administrator approves a SIP provision approval by the Administrator of a part 97 of this chapter will be that provides for the allocation of the revision to the Alabama State eliminated by the promulgation of an remaining CAIR NOX Ozone Season Implementation Plan (SIP) as meeting approval by the Administrator of a allowances for those years. the requirements of CAIR for ozone revision to the Arkansas State (b) [Reserved] relating to NOX under § 51.123 of this Implementation Plan (SIP) as meeting chapter, except to the extent the the requirements of CAIR for ozone Subpart I—Delaware Administrator’s approval is partial or relating to NOX under § 51.123 of this conditional or unless such approval is chapter, except to the extent the I 8. Section 52.440 is revised to read as under § 51.123(ee) of this chapter. Administrator’s approval is partial or follows:

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§ 52.440 Interstate pollutant transport Administrator approves a SIP provision those years shall continue to apply, provisions; What are the FIP requirements that provides for the allocation of the unless the Administrator approves a SIP for decreases in emissions of nitrogen remaining CAIR NOX Ozone Season provision that provides for the oxides? allowances for those years. allocation of the remaining CAIR NOX (a)(1) The owner and operator of each I 9. Section 52.441 is revised to read as allowances for those years. source located within the State of follows: (b)(1) The owner and operator of each Delaware and for which requirements NO source located within the District are set forth under the Federal CAIR § 52.441 Interstate pollutant transport X of Columbia and for which requirements NO Annual Trading Program in provisions; What are the FIP requirements X are set forth under the Federal CAIR subparts AA through II of part 97 of this for decreases in emissions of sulfur NO Ozone Season Trading Program in chapter must comply with such dioxide? X subparts AAAA through IIII of part 97 applicable requirements. The obligation The owner and operator of each SO2 of this chapter must comply with such to comply with these requirements in source located within the State of applicable requirements. The obligation part 97 of this chapter will be Delaware and for which requirements to comply with these requirements in eliminated by the promulgation of an are set forth under the Federal CAIR SO2 part 97 of this chapter will be approval by the Administrator of a Trading Program in subparts AAA revision to the Delaware State through III of part 97 of this chapter eliminated by the promulgation of an Implementation Plan (SIP) as meeting must comply with such applicable approval by the Administrator of a the requirements of CAIR for PM requirements. The obligation to comply revision to the District of Columbia 2.5 State Implementation Plan (SIP) as relating to NOX under § 51.123 of this with these requirements in part 97 of chapter, except to the extent the this chapter will be eliminated by the meeting the requirements of CAIR for Administrator’s approval is partial or promulgation of an approval by the ozone relating to NOX under § 51.123 of conditional or unless such approval is Administrator of a revision to the this chapter, except to the extent the under § 51.123(p) of this chapter. Delaware State Implementation Plan as Administrator’s approval is partial or (2) Notwithstanding any provisions of meeting the requirements of CAIR for conditional or unless such approval is paragraph (a)(1) of this section, if, at the PM2.5 relating to SO2 under § 51.124 of under § 51.123(ee) of this chapter. time of such approval of the State’s SIP, this chapter, except to the extent the (2) Notwithstanding any provisions of the Administrator has already allocated Administrator’s approval is partial or paragraph (b)(1) of this section, if, at the CAIR NOX allowances to sources in the conditional or unless such approval is time of such approval of the District of State for any years, the provisions of under § 51.124(r) of this chapter. Columbia’s SIP, the Administrator has part 97 of this chapter authorizing the already allocated CAIR NOX Ozone Administrator to complete the Subpart J—District of Columbia Season allowances to sources in the allocation of CAIR NO allowances for District of Columbia for any years, the X I 10. Section 52.484 is revised to read those years shall continue to apply, provisions of part 97 of this chapter as follows: unless the Administrator approves a SIP authorizing the Administrator to provision that provides for the § 52.484 Interstate pollutant transport complete the allocation of CAIR NOX allocation of the remaining CAIR NOX provisions; What are the FIP requirements Ozone Season allowances for those allowances for those years. for decreases in emissions of nitrogen years shall continue to apply, unless the (b)(1) The owner and operator of each oxides? Administrator approves a SIP provision NOX source located within the State of (a)(1) The owner and operator of each that provides for the allocation of the Delaware and for which requirements source located within the District of remaining CAIR NOX Ozone Season are set forth under the Federal CAIR Columbia and for which requirements allowances for those years. NOX Ozone Season Trading Program in are set forth under the Federal CAIR I 11. Section 52.485 is revised to read subparts AAAA through IIII of part 97 NOX Annual Trading Program in as follows: of this chapter must comply with such subparts AA through II of part 97 of this applicable requirements. The obligation chapter must comply with such § 52.485 Interstate pollutant transport to comply with these requirements in applicable requirements. The obligation provisions; What are the FIP requirements part 97 of this chapter will be to comply with these requirements in for decreases in emissions of sulfur eliminated by the promulgation of an part 97 of this chapter will be dioxide? approval by the Administrator of a eliminated by the promulgation of an The owner and operator of each SO2 revision to the Delaware State approval by the Administrator of a source located within the District of Implementation Plan (SIP) as meeting revision to the District of Columbia Columbia and for which requirements the requirements of CAIR for ozone State Implementation Plan (SIP) as are set forth under the Federal CAIR SO2 relating to NOX under § 51.123 of this meeting the requirements of CAIR for Trading Program in subparts AAA chapter, except to the extent the PM2.5 relating to NOX under § 51.123 of through III of part 97 of this chapter Administrator’s approval is partial or this chapter, except to the extent the must comply with such applicable conditional or unless such approval is Administrator’s approval is partial or requirements. The obligation to comply under § 51.123(ee) of this chapter. conditional or unless such approval is with these requirements in part 97 of (2) Notwithstanding any provisions of under § 51.123(p) of this chapter. this chapter will be eliminated by the paragraph (b)(1) of this section, if, at the (2) Notwithstanding any provisions of promulgation of an approval by the time of such approval of the State’s SIP, paragraph (a)(1) of this section, if, at the Administrator of a revision to the the Administrator has already allocated time of such approval of the District of District of Columbia State CAIR NOX Ozone Season allowances to Columbia’s SIP, the Administrator has Implementation Plan as meeting the sources in the State for any years, the already allocated CAIR NOX allowances requirements of CAIR for PM2.5 relating provisions of part 97 of this chapter to sources in the District of Columbia for to SO2 under § 51.124 of this chapter, authorizing the Administrator to any years, the provisions of part 97 of except to the extent the Administrator’s complete the allocation of CAIR NOX this chapter authorizing the approval is partial or conditional or Ozone Season allowances for those Administrator to complete the unless such approval is under years shall continue to apply, unless the allocation of CAIR NOX allowances for § 51.124(r) of this chapter.

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Subpart K—Florida authorizing the Administrator to Administrator to complete the complete the allocation of CAIR NOX allocation of CAIR NOX allowances for I 12. Section 52.540 is revised to read Ozone Season allowances for those those years shall continue to apply, as follows: years shall continue to apply, unless the unless the Administrator approves a SIP Administrator approves a SIP provision provision that provides for the § 52.540 Interstate pollutant transport provisions; What are the FIP requirements that provides for the allocation of the allocation of the remaining CAIR NOX for decreases in emissions of nitrogen remaining CAIR NOX Ozone Season allowances for those years. oxides? allowances for those years. (b) [Reserved] I (a)(1) The owner and operator of each I 13. Section 52.541 is revised to read 15. Section 52.585 is revised to read source located within the State of as follows: as follows: Florida and for which requirements are § 52.541 Interstate pollutant transport § 52.585 Interstate pollutant transport set forth under the Federal CAIR NOX provisions; What are the FIP requirements provisions; What are the FIP requirements Annual Trading Program in subparts AA for decreases in emissions of sulfur for decreases in emissions of sulfur through II of part 97 of this chapter must dioxide? dioxide? comply with such applicable The owner and operator of each SO2 The owner and operator of each SO2 requirements. The obligation to comply source located within the State of source located within the State of with these requirements in part 97 of Florida and for which requirements are Georgia and for which requirements are this chapter will be eliminated by the set forth under the Federal CAIR SO2 set forth under the Federal CAIR SO2 promulgation of an approval by the Trading Program in subparts AAA Trading Program in subparts AAA Administrator of a revision to the through III of part 97 of this chapter through III of part 97 of this chapter Florida State Implementation Plan (SIP) must comply with such applicable must comply with such applicable as meeting the requirements of CAIR for requirements. The obligation to comply requirements. The obligation to comply PM2.5 relating to NOX under § 51.123 of with these requirements in part 97 of with these requirements in part 97 of this chapter, except to the extent the this chapter will be eliminated by the this chapter will be eliminated by the Administrator’s approval is partial or promulgation of an approval by the promulgation of an approval by the conditional or unless such approval is Administrator of a revision to the Administrator of a revision to the under § 51.123(p) of this chapter. Florida State Implementation Plan as Georgia State Implementation Plan as (2) Notwithstanding any provisions of meeting the requirements of CAIR for meeting the requirements of CAIR for paragraph (a)(1) of this section, if, at the PM2.5 relating to SO2 under § 51.124 of PM2.5 relating to SO2 under § 51.124 of time of such approval of the State’s SIP, this chapter, except to the extent the this chapter, except to the extent the the Administrator has already allocated Administrator’s approval is partial or Administrator’s approval is partial or CAIR NOX allowances to sources in the conditional or unless such approval is conditional or unless such approval is State for any years, the provisions of under § 51.124(r) of this chapter. under § 51.124(r) of this chapter. part 97 of this chapter authorizing the Administrator to complete the Subpart L—Georgia Subpart O—Illinois allocation of CAIR NO allowances for X I I those years shall continue to apply, 14. Section 52.584 is revised to read 16. Section 52.745 is revised to read unless the Administrator approves a SIP as follows: as follows: provision that provides for the § 52.584 Interstate pollutant transport § 52.745 Interstate pollutant transport allocation of the remaining CAIR NOX provisions; What are the FIP requirements provisions; What are the FIP requirements allowances for those years. for decreases in emissions of nitrogen for decreases in emissions of nitrogen (b)(1) The owner and operator of each oxides? oxides? NOX source located within the State of (a)(1) The owner and operator of each (a)(1) The owner and operator of each Florida and for which requirements are source located within the State of source located within the State of set forth under the Federal CAIR NOX Georgia and for which requirements are Illinois and for which requirements are Ozone Season Trading Program in set forth under the Federal CAIR NOX set forth under the Federal CAIR NOX subparts AAAA through IIII of part 97 Annual Trading Program in subparts AA Annual Trading Program in subparts AA of this chapter must comply with such through II of part 97 of this chapter must through II of part 97 of this chapter must applicable requirements. The obligation comply with such applicable comply with such applicable to comply with these requirements in requirements. The obligation to comply requirements. The obligation to comply part 97 of this chapter will be with these requirements in part 97 of with these requirements in part 97 of eliminated by the promulgation of an this chapter will be eliminated by the this chapter will be eliminated by the approval by the Administrator of a promulgation of an approval by the promulgation of an approval by the revision to the Florida State Administrator of a revision to the Administrator of a revision to the Implementation Plan (SIP) as meeting Georgia State Implementation Plan (SIP) Illinois State Implementation Plan (SIP) the requirements of CAIR for ozone as meeting the requirements of CAIR for as meeting the requirements of CAIR for relating to NOX under § 51.123 of this PM2.5 relating to NOX under § 51.123 of PM2.5 relating to NOX under § 51.123 of chapter, except to the extent the this chapter, except to the extent the this chapter, except to the extent the Administrator’s approval is partial or Administrator’s approval is partial or Administrator’s approval is partial or conditional or unless such approval is conditional or unless such approval is conditional or unless such approval is under § 51.123(ee) of this chapter. under § 51.123(p) of this chapter. under § 51.123(p) of this chapter. (2) Notwithstanding any provisions of (2) Notwithstanding any provisions of (2) Notwithstanding any provisions of paragraph (b)(1) of this section, if, at the paragraph (a)(1) of this section, if, at the paragraph (a)(1) of this section, if, at the time of such approval of the State’s SIP, time of such approval of the State’s SIP, time of such approval of the State’s SIP, the Administrator has already allocated the Administrator has already allocated the Administrator has already allocated CAIR NOX Ozone Season allowances to CAIR NOX allowances to sources in the CAIR NOX allowances to sources in the sources in the State for any years, the State for any years, the provisions of State for any years, the provisions of provisions of part 97 of this chapter part 97 of this chapter authorizing the part 97 of this chapter authorizing the

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Administrator to complete the Subpart P—Indiana authorizing the Administrator to allocation of CAIR NOX allowances for complete the allocation of CAIR NOX those years shall continue to apply, I 18. Section 52.789 is revised to read Ozone Season allowances for those unless the Administrator approves a SIP as follows: years shall continue to apply, unless the Administrator approves a SIP provision provision that provides for the § 52.789 Interstate pollutant transport allocation of the remaining CAIR NOX provisions; What are the FIP requirements that provides for the allocation of the allowances for those years. for decreases in emissions of nitrogen remaining CAIR NOX Ozone Season (b)(1) The owner and operator of each oxides? allowances for those years. I NOX source located within the State of (a)(1) The owner and operator of each 19. Section 52.790 is revised to read Illinois and for which requirements are source located within the State of as follows:

set forth under the Federal CAIR NOX Indiana and for which requirements are § 52.790 Interstate pollutant transport Ozone Season Trading Program in set forth under the Federal CAIR NOX provisions; What are the FIP requirements subparts AAAA through IIII of part 97 Annual Trading Program in subparts AA for decreases in emissions of sulfur of this chapter must comply with such through II of part 97 of this chapter must dioxide? applicable requirements. The obligation comply with such applicable The owner and operator of each SO2 to comply with these requirements in requirements. The obligation to comply source located within the State of part 97 of this chapter will be with these requirements in part 97 of Indiana and for which requirements are eliminated by the promulgation of an this chapter will be eliminated by the set forth under the Federal CAIR SO2 approval by the Administrator of a promulgation of an approval by the Trading Program in subparts AAA revision to the Illinois State Administrator of a revision to the through III of part 97 of this chapter Implementation Plan (SIP) as meeting Indiana State Implementation Plan (SIP) must comply with such applicable the requirements of CAIR for ozone as meeting the requirements of CAIR for requirements. The obligation to comply relating to NOX under § 51.123 of this PM2.5 relating to NOX under § 51.123 of with these requirements in part 97 of chapter, except to the extent the this chapter, except to the extent the this chapter will be eliminated by the Administrator’s approval is partial or Administrator’s approval is partial or promulgation of an approval by the conditional or unless such approval is conditional or unless such approval is Administrator of a revision to the under § 51.123(ee) of this chapter. under § 51.123(p) of this chapter. Indiana State Implementation Plan as (2) Notwithstanding any provisions of (2) Notwithstanding any provisions of meeting the requirements of CAIR for paragraph (b)(1) of this section, if, at the paragraph (a)(1) of this section, if, at the PM2.5 relating to SO2 under § 51.124 of time of such approval of the State’s SIP, time of such approval of the State’s SIP, this chapter, except to the extent the the Administrator has already allocated the Administrator has already allocated Administrator’s approval is partial or CAIR NOX Ozone Season allowances to CAIR NOX allowances to sources in the conditional or unless such approval is sources in the State for any years, the State for any years, the provisions of under § 51.124(r) of this chapter. provisions of part 97 of this chapter part 97 of this chapter authorizing the authorizing the Administrator to Administrator to complete the Subpart Q—Iowa complete the allocation of CAIR NO allocation of CAIR NOX allowances for X I 20. Section 52.840 is revised to read Ozone Season allowances for those those years shall continue to apply, as follows: years shall continue to apply, unless the unless the Administrator approves a SIP Administrator approves a SIP provision provision that provides for the § 52.840 Interstate pollutant transport that provides for the allocation of the allocation of the remaining CAIR NOX provisions; What are the FIP requirements remaining CAIR NOX Ozone Season allowances for those years. for decreases in emissions of nitrogen allowances for those years. (b)(1) The owner and operator of each oxides? I 17. Section 52.746 is revised to read NOX source located within the State of (a)(1) The owner and operator of each as follows: Indiana and for which requirements are source located within the State of Iowa set forth under the Federal CAIR NOX and for which requirements are set forth § 52.746 Interstate pollutant transport Ozone Season Trading Program in under the Federal CAIR NOX Annual provisions; What are the FIP requirements subparts AAAA through IIII of part 97 Trading Program in subparts AA for decreases in emissions of sulfur of this chapter must comply with such through II of part 97 of this chapter must dioxide? applicable requirements. The obligation comply with such applicable The owner and operator of each SO2 to comply with these requirements in requirements. The obligation to comply source located within the State of part 97 of this chapter will be with these requirements in part 97 of Illinois and for which requirements are eliminated by the promulgation of an this chapter will be eliminated by the set forth under the Federal CAIR SO2 approval by the Administrator of a promulgation of an approval by the Trading Program in subparts AAA revision to the Indiana State Administrator of a revision to the Iowa through III of part 97 of this chapter Implementation Plan (SIP) as meeting State Implementation Plan (SIP) as must comply with such applicable the requirements of CAIR for ozone meeting the requirements of CAIR for requirements. The obligation to comply relating to NOX under § 51.123 of this PM2.5 relating to NOX under § 51.123 of with these requirements in part 97 of chapter, except to the extent the this chapter, except to the extent the this chapter will be eliminated by the Administrator’s approval is partial or Administrator’s approval is partial or promulgation of an approval by the conditional or unless such approval is conditional or unless such approval is Administrator of a revision to the under § 51.123(ee) of this chapter. under § 51.123(p) of this chapter. Illinois State Implementation Plan as (2) Notwithstanding any provisions of (2) Notwithstanding any provisions of meeting the requirements of CAIR for paragraph (b)(1) of this section, if, at the paragraph (a)(1) of this section, if, at the PM2.5 relating to SO2 under § 51.124 of time of such approval of the State’s SIP, time of such approval of the State’s SIP, this chapter, except to the extent the the Administrator has already allocated the Administrator has already allocated Administrator’s approval is partial or CAIR NOX Ozone Season allowances to CAIR NOX allowances to sources in the conditional or unless such approval is sources in the State for any years, the State for any years, the provisions of under § 51.124(r) of this chapter. provisions of part 97 of this chapter part 97 of this chapter authorizing the

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Administrator to complete the Subpart S—Kentucky provisions of part 97 of this chapter allocation of CAIR NOX allowances for authorizing the Administrator to I those years shall continue to apply, 22. Section 52.940 is revised to read complete the allocation of CAIR NOX unless the Administrator approves a SIP as follows: Ozone Season allowances for those years shall continue to apply, unless the provision that provides for the § 52.940 Interstate pollutant transport allocation of the remaining CAIR NOX provisions; What are the FIP requirements Administrator approves a SIP provision allowances for those years. for decreases in emissions of nitrogen that provides for the allocation of the (b)(1) The owner and operator of each oxides? remaining CAIR NOX Ozone Season allowances for those years. NOX source located within the State of (a)(1) The owner and operator of each Iowa and for which requirements are set source located within the State of I 23. Section 52.941 is revised to read forth under the Federal CAIR NOX Kentucky and for which requirements as follows: Ozone Season Trading Program in are set forth under the Federal CAIR § 52.941 Interstate pollutant transport subparts AAAA through IIII of part 97 NOX Annual Trading Program in provisions; What are the FIP requirements of this chapter must comply with such subparts AA through II of part 97 of this for decreases in emissions of sulfur applicable requirements. The obligation chapter must comply with such dioxide? to comply with these requirements in applicable requirements. The obligation The owner and operator of each SO2 part 97 of this chapter will be to comply with these requirements in source located within the State of eliminated by the promulgation of an part 97 of this chapter will be Kentucky and for which requirements approval by the Administrator of a eliminated by the promulgation of an are set forth under the Federal CAIR SO2 revision to the Iowa State approval by the Administrator of a Trading Program in subparts AAA Implementation Plan (SIP) as meeting revision to the Kentucky State through III of part 97 of this chapter the requirements of CAIR for ozone Implementation Plan (SIP) as meeting must comply with such applicable relating to NOX under § 51.123 of this the requirements of CAIR for PM2.5 requirements. The obligation to comply chapter, except to the extent the relating to NOX under § 51.123 of this with these requirements in part 97 of Administrator’s approval is partial or chapter, except to the extent the this chapter will be eliminated by the conditional or unless such approval is Administrator’s approval is partial or promulgation of an approval by the under § 51.123(ee) of this chapter. conditional or unless such approval is Administrator of a revision to the (2) Notwithstanding any provisions of under § 51.123(p) of this chapter. Kentucky State Implementation Plan as paragraph (b)(1) of this section, if, at the (2) Notwithstanding any provisions of meeting the requirements of CAIR for time of such approval of the State’s SIP, paragraph (a)(1) of this section, if, at the PM2.5 relating to SO2 under § 51.124 of the Administrator has already allocated time of such approval of the State’s SIP, this chapter, except to the extent the CAIR NOX Ozone Season allowances to the Administrator has already allocated Administrator’s approval is partial or sources in the State for any years, the CAIR NOX allowances to sources in the conditional or unless such approval is provisions of part 97 of this chapter State for any years, the provisions of under § 51.124(r) of this chapter. authorizing the Administrator to part 97 of this chapter authorizing the complete the allocation of CAIR NOX Administrator to complete the Subpart T—Louisiana Ozone Season allowances for those allocation of CAIR NO allowances for X I years shall continue to apply, unless the those years shall continue to apply, 24. Section 52.984 is revised to read Administrator approves a SIP provision unless the Administrator approves a SIP as follows: that provides for the allocation of the provision that provides for the § 52.984 Interstate pollutant transport remaining CAIR NOX Ozone Season allocation of the remaining CAIR NOX provisions; What are the FIP requirements allowances for those years. allowances for those years. for decreases in emissions of nitrogen I 21. Section 52.841 is revised to read (b)(1) The owner and operator of each oxides? as follows: NOX source located within the State of (a)(1) The owner and operator of each Kentucky and for which requirements source located within the State of § 52.841 Interstate pollutant transport are set forth under the Federal CAIR Louisiana and for which requirements provisions; What are the FIP requirements NOX Ozone Season Trading Program in are set forth under the Federal CAIR for decreases in emissions of sulfur subparts AAAA through IIII of part 97 NOX Annual Trading Program in dioxide? of this chapter must comply with such subparts AA through II of part 97 of this The owner and operator of each SO2 applicable requirements. The obligation chapter must comply with such source located within the State of Iowa to comply with these requirements in applicable requirements. The obligation and for which requirements are set forth part 97 of this chapter will be to comply with these requirements in under the Federal CAIR SO2 Trading eliminated by the promulgation of an part 97 of this chapter will be Program in subparts AAA through III of approval by the Administrator of a eliminated by the promulgation of an part 97 of this chapter must comply revision to the Kentucky State approval by the Administrator of a with such applicable requirements. The Implementation Plan (SIP) as meeting revision to the Louisiana State obligation to comply with these the requirements of CAIR for ozone Implementation Plan (SIP) as meeting requirements in part 97 of this chapter relating to NOX under § 51.123 of this the requirements of CAIR for PM2.5 will be eliminated by the promulgation chapter, except to the extent the relating to NOX under § 51.123 of this of an approval by the Administrator of Administrator’s approval is partial or chapter, except to the extent the a revision to the Iowa State conditional or unless such approval is Administrator’s approval is partial or Implementation Plan as meeting the under § 51.123(ee) of this chapter. conditional or unless such approval is requirements of CAIR for PM2.5 relating (2) Notwithstanding any provisions of under § 51.123(p) of this chapter. to SO2 under § 51.124 of this chapter, paragraph (b)(1) of this section, if, at the (2) Notwithstanding any provisions of except to the extent the Administrator’s time of such approval of the State’s SIP, paragraph (a)(1) of this section, if, at the approval is partial or conditional or the Administrator has already allocated time of such approval of the State’s SIP, unless such approval is under CAIR NOX Ozone Season allowances to the Administrator has already allocated § 51.124(r) of this chapter. sources in the State for any years, the CAIR NOX allowances to sources in the

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State for any years, the provisions of conditional or unless such approval is CAIR NOX Ozone Season allowances to part 97 of this chapter authorizing the under § 51.124(r) of this chapter. sources in the State for any years, the Administrator to complete the provisions of part 97 of this chapter allocation of CAIR NOX allowances for Subpart V—Maryland authorizing the Administrator to those years shall continue to apply, complete the allocation of CAIR NOX I 26. Section 52.1084 is revised to read unless the Administrator approves a SIP Ozone Season allowances for those as follows: provision that provides for the years shall continue to apply, unless the allocation of the remaining CAIR NOX § 52.1084 Interstate pollutant transport Administrator approves a SIP provision allowances for those years. provisions; What are the FIP requirements that provides for the allocation of the (b)(1) The owner and operator of each for decreases in emissions of nitrogen remaining CAIR NOX Ozone Season oxides? NOX source located within the State of allowances for those years. Louisiana and for which requirements (a)(1) The owner and operator of each I 27. Section 52.1085 is revised to read are set forth under the Federal CAIR source located within the State of as follows: Maryland and for which requirements NOX Ozone Season Trading Program in § 52.1085 Interstate pollutant transport subparts AAAA through IIII of part 97 are set forth under the Federal CAIR NO Annual Trading Program in provisions; What are the FIP requirements of this chapter must comply with such X for decreases in emissions of sulfur applicable requirements. The obligation subparts AA through II of part 97 of this dioxide? to comply with these requirements in chapter must comply with such applicable requirements. The obligation The owner and operator of each SO2 part 97 of this chapter will be source located within the State of eliminated by the promulgation of an to comply with these requirements in part 97 of this chapter will be Maryland and for which requirements approval by the Administrator of a are set forth under the Federal CAIR SO2 revision to the Louisiana State eliminated by the promulgation of an approval by the Administrator of a Trading Program in subparts AAA Implementation Plan (SIP) as meeting through III of part 97 of this chapter the requirements of CAIR for ozone revision to the Maryland State Implementation Plan (SIP) as meeting must comply with such applicable relating to NOX under § 51.123 of this requirements. The obligation to comply the requirements of CAIR for PM2.5 chapter, except to the extent the with these requirements in part 97 of Administrator’s approval is partial or relating to NOX under § 51.123 of this chapter, except to the extent the this chapter will be eliminated by the conditional or unless such approval is promulgation of an approval by the under § 51.123(ee) of this chapter. Administrator’s approval is partial or conditional or unless such approval is Administrator of a revision to the (2) Notwithstanding any provisions of under § 51.123(p) of this chapter. Maryland State Implementation Plan as paragraph (b)(1) of this section, if, at the (2) Notwithstanding any provisions of meeting the requirements of CAIR for time of such approval of the State’s SIP, paragraph (a)(1) of this section, if, at the PM2.5 relating to SO2 under § 51.124 of the Administrator has already allocated time of such approval of the State’s SIP, this chapter, except to the extent the CAIR NOX Ozone Season allowances to the Administrator has already allocated Administrator’s approval is partial or sources in the State for any years, the CAIR NOX allowances to sources in the conditional or unless such approval is provisions of part 97 of this chapter State for any years, the provisions of under § 51.124(r) of this chapter. authorizing the Administrator to part 97 of this chapter authorizing the complete the allocation of CAIR NOX Administrator to complete the Subpart W—Massachusetts Ozone Season allowances for those allocation of CAIR NOX allowances for I years shall continue to apply, unless the 28. Section 52.1140 is revised to read those years shall continue to apply, as follows: Administrator approves a SIP provision unless the Administrator approves a SIP that provides for the allocation of the provision that provides for the § 52.1140 Interstate pollutant transport remaining CAIR NOX Ozone Season allocation of the remaining CAIR NOX provisions; What are the FIP requirements allowances for those years. allowances for those years. for decreases in emissions of nitrogen I 25. Section 52.985 is revised to read (b)(1) The owner and operator of each oxides? as follows: NOX source located within the State of (a)(1) The owner and operator of each Maryland and for which requirements NOX source located within the State of § 52.985 Interstate pollutant transport are set forth under the Federal CAIR Massachusetts and for which provisions; What are the FIP requirements NOX Ozone Season Trading Program in requirements are set forth under the for decreases in emissions of sulfur subparts AAAA through IIII of part 97 Federal CAIR NOX Ozone Season dioxide? of this chapter must comply with such Trading Program in subparts AAAA The owner and operator of each SO2 applicable requirements. The obligation through IIII of part 97 of this chapter source located within the State of to comply with these requirements in must comply with such applicable Louisiana and for which requirements part 97 of this chapter will be requirements. The obligation to comply are set forth under the Federal CAIR SO2 eliminated by the promulgation of an with these requirements in part 97 of Trading Program in subparts AAA approval by the Administrator of a this chapter will be eliminated by the through III of part 97 of this chapter revision to the Maryland State promulgation of an approval by the must comply with such applicable Implementation Plan (SIP) as meeting Administrator of a revision to the requirements. The obligation to comply the requirements of CAIR for ozone Massachusetts State Implementation with these requirements in part 97 of relating to NOX under § 51.123 of this Plan (SIP) as meeting the requirements this chapter will be eliminated by the chapter, except to the extent the of CAIR for ozone relating to NOX under promulgation of an approval by the Administrator’s approval is partial or § 51.123 of this chapter, except to the Administrator of a revision to the conditional or unless such approval is extent the Administrator’s approval is Louisiana State Implementation Plan as under § 51.123(ee) of this chapter. partial or conditional or unless such meeting the requirements of CAIR for (2) Notwithstanding any provisions of approval is under § 51.123(ee) of this PM2.5 relating to SO2 under § 51.124 of paragraph (b)(1) of this section, if, at the chapter. this chapter, except to the extent the time of such approval of the State’s SIP, (2) Notwithstanding any provisions of Administrator’s approval is partial or the Administrator has already allocated paragraph (a)(1) of this section, if, at the

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time of such approval of the State’s SIP, revision to the Michigan State approval by the Administrator of a the Administrator has already allocated Implementation Plan (SIP) as meeting revision to the Minnesota State CAIR NOX Ozone Season allowances to the requirements of CAIR for ozone Implementation Plan (SIP) as meeting sources in the State for any years, the relating to NOX under § 51.123 of this the requirements of CAIR for PM2.5 provisions of part 97 of this chapter chapter, except to the extent the relating to NOX under § 51.123 of this authorizing the Administrator to Administrator’s approval is partial or chapter, except to the extent the complete the allocation of CAIR NOX conditional or unless such approval is Administrator’s approval is partial or Ozone Season allowances for those under § 51.123(ee) of this chapter. conditional or unless such approval is years shall continue to apply, unless the (2) Notwithstanding any provisions of under § 51.123(p) of this chapter. Administrator approves a SIP provision paragraph (b)(1) of this section, if, at the (2) Notwithstanding any provisions of that provides for the allocation of the time of such approval of the State’s SIP, paragraph (a)(1) of this section, if, at the remaining CAIR NOX Ozone Season the Administrator has already allocated time of such approval of the State’s SIP, allowances for those years. CAIR NOX Ozone Season allowances to the Administrator has already allocated (b) [Reserved] sources in the State for any years, the CAIR NOX allowances to sources in the provisions of part 97 of this chapter State for any years, the provisions of Subpart X—Michigan authorizing the Administrator to part 97 of this chapter authorizing the complete the allocation of CAIR NO I 29. Section 52.1186 is revised to read X Administrator to complete the Ozone Season allowances for those as follows: allocation of CAIR NOX allowances for years shall continue to apply, unless the those years shall continue to apply, § 52.1186 Interstate pollutant transport Administrator approves a SIP provision unless the Administrator approves a SIP provisions; What are the FIP requirements that provides for the allocation of the provision that provides for the for decreases in emissions of nitrogen remaining CAIR NOX Ozone Season allocation of the remaining CAIR NOX oxides? allowances for those years. allowances for those years. (a)(1) The owner and operator of each I 30. Section 52.1187 is revised to read I 32. Section 52.1241 is revised to read source located within the State of as follows: as follows: Michigan and for which requirements are set forth under the Federal CAIR § 52.1187 Interstate pollutant transport § 52.1241 Interstate pollutant transport provisions; What are the FIP requirements NOX Annual Trading Program in provisions; What are the FIP requirements subparts AA through II of part 97 of this for decreases in emissions of sulfur for decreases in emissions of sulfur chapter must comply with such dioxide? dioxide? applicable requirements. The obligation The owner and operator of each SO2 The owner and operator of each SO2 to comply with these requirements in source located within the State of source located within the State of part 97 of this chapter will be Michigan and for which requirements Minnesota and for which requirements eliminated by the promulgation of an are set forth under the Federal CAIR SO2 are set forth under the Federal CAIR SO2 approval by the Administrator of a Trading Program in subparts AAA Trading Program in subparts AAA revision to the Michigan State through III of part 97 of this chapter through III of part 97 of this chapter Implementation Plan (SIP) as meeting must comply with such applicable must comply with such applicable the requirements of CAIR for PM2.5 requirements. The obligation to comply requirements. The obligation to comply relating to NOX under § 51.123 of this with these requirements in part 97 of with these requirements in part 97 of chapter, except to the extent the this chapter will be eliminated by the this chapter will be eliminated by the Administrator’s approval is partial or promulgation of an approval by the promulgation of an approval by the conditional or unless such approval is Administrator of a revision to the Administrator of a revision to the under § 51.123(p) of this chapter. Michigan State Implementation Plan as Minnesota State Implementation Plan as (2) Notwithstanding any provisions of meeting the requirements of CAIR for meeting the requirements of CAIR for paragraph (a)(1) of this section, if, at the PM2.5 relating to SO2 under § 51.124 of PM2.5 relating to SO2 under § 51.124 of time of such approval of the State’s SIP, this chapter, except to the extent the this chapter, except to the extent the the Administrator has already allocated Administrator’s approval is partial or Administrator’s approval is partial or CAIR NOX allowances to sources in the conditional or unless such approval is conditional or unless such approval is State for any years, the provisions of under § 51.124(r) of this chapter. under § 51.124(r) of this chapter. part 97 of this chapter authorizing the Administrator to complete the Subpart Y—Minnesota Subpart Z—Mississippi allocation of CAIR NO allowances for X I 31. Section 52.1240 is revised to read I 33. Section 52.1284 is revised to read those years shall continue to apply, as follows: as follows: unless the Administrator approves a SIP provision that provides for the § 52.1240 Interstate pollutant transport § 52.1284 Interstate pollutant transport allocation of the remaining CAIR NOX provisions; What are the FIP requirements provisions; What are the FIP requirements allowances for those years. for decreases in emissions of nitrogen for decreases in emissions of nitrogen (b)(1) The owner and operator of each oxides? oxides? NOX source located within the State of (a)(1) The owner and operator of each (a)(1) The owner and operator of each Michigan and for which requirements source located within the State of source located within the State of are set forth under the Federal CAIR Minnesota and for which requirements Mississippi and for which requirements NOX Ozone Season Trading Program in are set forth under the Federal CAIR are set forth under the Federal CAIR subparts AAAA through IIII of part 97 NOX Annual Trading Program in NOX Annual Trading Program in of this chapter must comply with such subparts AA through II of part 97 of this subparts AA through II of part 97 of this applicable requirements. The obligation chapter must comply with such chapter must comply with such to comply with these requirements in applicable requirements. The obligation applicable requirements. The obligation part 97 of this chapter will be to comply with these requirements in to comply with these requirements in eliminated by the promulgation of an part 97 of this chapter will be part 97 of this chapter will be approval by the Administrator of a eliminated by the promulgation of an eliminated by the promulgation of an

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approval by the Administrator of a Trading Program in subparts AAA approval by the Administrator of a revision to the Mississippi State through III of part 97 of this chapter revision to the Missouri State Implementation Plan (SIP) as meeting must comply with such applicable Implementation Plan (SIP) as meeting the requirements of CAIR for PM2.5 requirements. The obligation to comply the requirements of CAIR for ozone relating to NOX under § 51.123 of this with these requirements in part 97 of relating to NOX under § 51.123 of this chapter, except to the extent the this chapter will be eliminated by the chapter, except to the extent the Administrator’s approval is partial or promulgation of an approval by the Administrator’s approval is partial or conditional or unless such approval is Administrator of a revision to the conditional or unless such approval is under § 51.123(p) of this chapter. Mississippi State Implementation Plan under § 51.123(ee) of this chapter. (2) Notwithstanding any provisions of as meeting the requirements of CAIR for (2) Notwithstanding any provisions of paragraph (a)(1) of this section, if, at the PM2.5 relating to SO2 under § 51.124 of paragraph (b)(1) of this section, if, at the time of such approval of the State’s SIP, this chapter, except to the extent the time of such approval of the State’s SIP, the Administrator has already allocated Administrator’s approval is partial or the Administrator has already allocated CAIR NOX allowances to sources in the conditional or unless such approval is CAIR NOX Ozone Season allowances to State for any years, the provisions of under § 51.124(r) of this chapter. sources in the State for any years, the part 97 of this chapter authorizing the provisions of part 97 of this chapter Administrator to complete the Subpart AA—Missouri authorizing the Administrator to allocation of CAIR NO allowances for complete the allocation of CAIR NOX X I 35. Section 52.1341 is revised to read those years shall continue to apply, Ozone Season allowances for those as follows: unless the Administrator approves a SIP years shall continue to apply, unless the provision that provides for the § 52.1341 Interstate pollutant transport Administrator approves a SIP provision allocation of the remaining CAIR NOX provisions; What are the FIP requirements that provides for the allocation of the allowances for those years. for decreases in emissions of nitrogen remaining CAIR NOX Ozone Season (b)(1) The owner and operator of each oxides? allowances for those years. NOX source located within the State of (a)(1) The owner and operator of each I 36. Section 52.1342 is revised to read Mississippi and for which requirements source located within the State of as follows: are set forth under the Federal CAIR Missouri and for which requirements § 52.1342 Interstate pollutant transport NOX Ozone Season Trading Program in are set forth under the Federal CAIR provisions; What are the FIP requirements subparts AAAA through IIII of part 97 NOX Annual Trading Program in subparts AA through II of part 97 of this for decreases in emissions of sulfur of this chapter must comply with such dioxide? applicable requirements. The obligation chapter must comply with such The owner and operator of each SO to comply with these requirements in applicable requirements. The obligation 2 source located within the State of part 97 of this chapter will be to comply with these requirements in Missouri and for which requirements eliminated by the promulgation of an part 97 of this chapter will be are set forth under the Federal CAIR SO approval by the Administrator of a eliminated by the promulgation of an 2 Trading Program in subparts AAA revision to the Mississippi State approval by the Administrator of a through III of part 97 of this chapter Implementation Plan (SIP) as meeting revision to the Missouri State must comply with such applicable the requirements of CAIR for ozone Implementation Plan (SIP) as meeting requirements. The obligation to comply relating to NO under § 51.123 of this the requirements of CAIR for PM2.5 X with these requirements in part 97 of chapter, except to the extent the relating to NOX under § 51.123 of this this chapter will be eliminated by the Administrator’s approval is partial or chapter, except to the extent the promulgation of an approval by the conditional or unless such approval is Administrator’s approval is partial or Administrator of a revision to the under § 51.123(ee) of this chapter. conditional or unless such approval is (2) Notwithstanding any provisions of under § 51.123(p) of this chapter. Missouri State Implementation Plan as paragraph (b)(1) of this section, if, at the (2) Notwithstanding any provisions of meeting the requirements of CAIR for time of such approval of the State’s SIP, paragraph (a)(1) of this section, if, at the PM2.5 relating to SO2 under § 51.124 of the Administrator has already allocated time of such approval of the State’s SIP, this chapter, except to the extent the Administrator’s approval is partial or CAIR NOX Ozone Season allowances to the Administrator has already allocated sources in the State for any years, the CAIR NOX allowances to sources in the conditional or unless such approval is provisions of part 97 of this chapter State for any years, the provisions of under § 51.124(r) of this chapter. authorizing the Administrator to part 97 of this chapter authorizing the Administrator to complete the Subpart FF—New Jersey complete the allocation of CAIR NOX Ozone Season allowances for those allocation of CAIR NOX allowances for I 37. Section 52.1584 is revised to read years shall continue to apply, unless the those years shall continue to apply, as follows: Administrator approves a SIP provision unless the Administrator approves a SIP that provides for the allocation of the provision that provides for the § 52.1584 Interstate pollutant transport remaining CAIR NO Ozone Season allocation of the remaining CAIR NOX provisions; What are the FIP requirements X for decreases in emissions of nitrogen allowances for those years. allowances for those years. (b)(1) The owner and operator of each oxides? I 34. Section 52.1285 is revised to read NOX source located within the State of (a)(1) The owner and operator of each as follows: Missouri and for which requirements source located within the State of New § 52.1285 Interstate pollutant transport are set forth under the Federal CAIR Jersey and for which requirements are provisions; What are the FIP requirements NOX Ozone Season Trading Program in set forth under the Federal CAIR NOX for decreases in emissions of sulfur subparts AAAA through IIII of part 97 Annual Trading Program in subparts AA dioxide? of this chapter must comply with such through II of part 97 of this chapter must The owner and operator of each SO2 applicable requirements. The obligation comply with such applicable source located within the State of to comply with these requirements in requirements. The obligation to comply Mississippi and for which requirements part 97 of this chapter will be with these requirements in part 97 of are set forth under the Federal CAIR SO2 eliminated by the promulgation of an this chapter will be eliminated by the

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promulgation of an approval by the Trading Program in subparts AAA revision to the New York State Administrator of a revision to the New through III of part 97 of this chapter Implementation Plan (SIP) as meeting Jersey State Implementation Plan (SIP) must comply with such applicable the requirements of CAIR for ozone as meeting the requirements of CAIR for requirements. The obligation to comply relating to NOX under § 51.123 of this PM2.5 relating to NOX under § 51.123 of with these requirements in part 97 of chapter, except to the extent the this chapter, except to the extent the this chapter will be eliminated by the Administrator’s approval is partial or Administrator’s approval is partial or promulgation of an approval by the conditional or unless such approval is conditional or unless such approval is Administrator of a revision to the New under § 51.123(ee) of this chapter. under § 51.123(p) of this chapter. Jersey State Implementation Plan as (2) Notwithstanding any provisions of (2) Notwithstanding any provisions of meeting the requirements of CAIR for paragraph (b)(1) of this section, if, at the paragraph (a)(1) of this section, if, at the PM2.5 relating to SO2 under § 51.124 of time of such approval of the State’s SIP, time of such approval of the State’s SIP, this chapter, except to the extent the the Administrator has already allocated the Administrator has already allocated Administrator’s approval is partial or CAIR NOX Ozone Season allowances to CAIR NOX allowances to sources in the conditional or unless such approval is sources in the State for any years, the State for any years, the provisions of under § 51.124(r) of this chapter. provisions of part 97 of this chapter part 97 of this chapter authorizing the authorizing the Administrator to Administrator to complete the Subpart HH—New York complete the allocation of CAIR NOX allocation of CAIR NO allowances for Ozone Season allowances for those X I 39. Section 52.1684 is revised to read those years shall continue to apply, years shall continue to apply, unless the as follows: unless the Administrator approves a SIP Administrator approves a SIP provision provision that provides for the § 52.1684 Interstate pollutant transport that provides for the allocation of the allocation of the remaining CAIR NOX provisions; What are the FIP requirements remaining CAIR NOX Ozone Season allowances for those years. for decreases in emissions of nitrogen allowances for those years. (b)(1) The owner and operator of each oxides? I 40. Section 52.1685 is revised to read NOX source located within the State of (a)(1) The owner and operator of each as follows: New Jersey and for which requirements source located within the State of New are set forth under the Federal CAIR York and for which requirements are set § 52.1685 Interstate pollutant transport provisions; What are the FIP requirements NOX Ozone Season Trading Program in forth under the Federal CAIR NOX Annual Trading Program in subparts AA for decreases in emissions of sulfur subparts AAAA through IIII of part 97 dioxide? of this chapter must comply with such through II of part 97 of this chapter must The owner and operator of each SO applicable requirements. The obligation comply with such applicable 2 source located within the State of New to comply with these requirements in requirements. The obligation to comply York and for which requirements are set part 97 of this chapter will be with these requirements in part 97 of forth under the Federal CAIR SO eliminated by the promulgation of an this chapter will be eliminated by the 2 Trading Program in subparts AAA approval by the Administrator of a promulgation of an approval by the through III of part 97 of this chapter revision to the New Jersey State Administrator of a revision to the New must comply with such applicable Implementation Plan (SIP) as meeting York State Implementation Plan (SIP) as requirements. The obligation to comply the requirements of CAIR for ozone meeting the requirements of CAIR for with these requirements in part 97 of relating to NO under § 51.123 of this PM2.5 relating to NOX under § 51.123 of X this chapter will be eliminated by the chapter, except to the extent the this chapter, except to the extent the promulgation of an approval by the Administrator’s approval is partial or Administrator’s approval is partial or Administrator of a revision to the New conditional or unless such approval is conditional or unless such approval is York State Implementation Plan as under § 51.123(ee) of this chapter. under § 51.123(p) of this chapter. (2) Notwithstanding any provisions of (2) Notwithstanding any provisions of meeting the requirements of CAIR for paragraph (b)(1) of this section, if, at the paragraph (a)(1) of this section, if, at the PM2.5 relating to SO2 under § 51.124 of time of such approval of the State’s SIP, time of such approval of the State’s SIP, this chapter, except to the extent the the Administrator has already allocated the Administrator has already allocated Administrator’s approval is partial or conditional or unless such approval is CAIR NOX Ozone Season allowances to CAIR NOX allowances to sources in the sources in the State for any years, the State for any years, the provisions of under § 51.124(r) of this chapter. part 97 of this chapter authorizing the provisions of part 97 of this chapter Subpart II—North Carolina authorizing the Administrator to Administrator to complete the allocation of CAIR NOX allowances for complete the allocation of CAIR NOX I 41. Section 52.1784 is revised to read Ozone Season allowances for those those years shall continue to apply, as follows: years shall continue to apply, unless the unless the Administrator approves a SIP Administrator approves a SIP provision provision that provides for the § 52.1784 Interstate pollutant transport that provides for the allocation of the allocation of the remaining CAIR NOX provisions; What are the FIP requirements allowances for those years. for decreases in emissions of nitrogen remaining CAIR NOX Ozone Season oxides? allowances for those years. (b)(1) The owner and operator of each (a)(1) The owner and operator of each I NOX source located within the State of 38. Section 52.1585 is revised to read New York and for which requirements source located within the State of North as follows: are set forth under the Federal CAIR Carolina and for which requirements are § 52.1585 Interstate pollutant transport NOX Ozone Season Trading Program in set forth under the Federal CAIR NOX provisions; What are the FIP requirements subparts AAAA through IIII of part 97 Annual Trading Program in subparts AA for decreases in emissions of sulfur of this chapter must comply with such through II of part 97 of this chapter must dioxide? applicable requirements. The obligation comply with such applicable The owner and operator of each SO2 to comply with these requirements in requirements. The obligation to comply source located within the State of New part 97 of this chapter will be with these requirements in part 97 of Jersey and for which requirements are eliminated by the promulgation of an this chapter will be eliminated by the set forth under the Federal CAIR SO2 approval by the Administrator of a promulgation of an approval by the

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Administrator of a revision to the North set forth under the Federal CAIR SO2 approval by the Administrator of a Carolina State Implementation Plan Trading Program in subparts AAA revision to the Ohio State (SIP) as meeting the requirements of through III of part 97 of this chapter Implementation Plan (SIP) as meeting CAIR for PM2.5 relating to NOX under must comply with such applicable the requirements of CAIR for ozone § 51.123 of this chapter, except to the requirements. The obligation to comply relating to NOX under § 51.123 of this extent the Administrator’s approval is with these requirements in part 97 of chapter, except to the extent the partial or conditional or unless such this chapter will be eliminated by the Administrator’s approval is partial or approval is under § 51.123(p) of this promulgation of an approval by the conditional or unless such approval is chapter. Administrator of a revision to the North under § 51.123(ee) of this chapter. (2) Notwithstanding any provisions of Carolina State Implementation Plan as (2) Notwithstanding any provisions of paragraph (a)(1) of this section, if, at the meeting the requirements of CAIR for paragraph (b)(1) of this section, if, at the time of such approval of the State’s SIP, PM2.5 relating to SO2 under § 51.124 of time of such approval of the State’s SIP, the Administrator has already allocated this chapter, except to the extent the the Administrator has already allocated CAIR NOX allowances to sources in the Administrator’s approval is partial or CAIR NOX Ozone Season allowances to State for any years, the provisions of conditional or unless such approval is sources in the State for any years, the part 97 of this chapter authorizing the under § 51.124(r) of this chapter. provisions of part 97 of this chapter Administrator to complete the authorizing the Administrator to allocation of CAIR NOX allowances for Subpart KK—Ohio complete the allocation of CAIR NOX those years shall continue to apply, Ozone Season allowances for those I 43. Section 52.1891 is revised to read unless the Administrator approves a SIP years shall continue to apply, unless the as follows: provision that provides for the Administrator approves a SIP provision allocation of the remaining CAIR NOX § 52.1891 Interstate pollutant transport that provides for the allocation of the allowances for those years. provisions; What are the FIP requirements remaining CAIR NOX Ozone Season (b)(1) The owner and operator of each for decreases in emissions of nitrogen allowances for those years. oxides? NOX source located within the State of I 44. Section 52.1892 is revised to read North Carolina and for which (a)(1) The owner and operator of each as follows: requirements are set forth under the source located within the State of Ohio § 52.1892 Interstate pollutant transport Federal CAIR NOX Ozone Season and for which requirements are set forth provisions; What are the FIP requirements Trading Program in subparts AAAA under the Federal CAIR NOX Annual Trading Program in subparts AA for decreases in emissions of sulfur through IIII of part 97 of this chapter dioxide? must comply with such applicable through II of part 97 of this chapter must The owner and operator of each SO requirements. The obligation to comply comply with such applicable 2 source located within the State of Ohio with these requirements in part 97 of requirements. The obligation to comply and for which requirements are set forth this chapter will be eliminated by the with these requirements in part 97 of under the Federal CAIR SO Trading promulgation of an approval by the this chapter will be eliminated by the 2 Program in subparts AAA through III of Administrator of a revision to the North promulgation of an approval by the part 97 of this chapter must comply Carolina State Implementation Plan Administrator of a revision to the Ohio with such applicable requirements. The (SIP) as meeting the requirements of State Implementation Plan (SIP) as obligation to comply with these CAIR for ozone relating to NO under meeting the requirements of CAIR for X requirements in part 97 of this chapter § 51.123 of this chapter, except to the PM2.5 relating to NOX under § 51.123 of will be eliminated by the promulgation extent the Administrator’s approval is this chapter, except to the extent the of an approval by the Administrator of partial or conditional or unless such Administrator’s approval is partial or a revision to the Ohio State approval is under § 51.123(ee) of this conditional or unless such approval is Implementation Plan as meeting the chapter. under § 51.123(p) of this chapter. (2) Notwithstanding any provisions of (2) Notwithstanding any provisions of requirements of CAIR for PM2.5 relating paragraph (b)(1) of this section, if, at the paragraph (a)(1) of this section, if, at the to SO2 under § 51.124 of this chapter, time of such approval of the State’s SIP, time of such approval of the State’s SIP, except to the extent the Administrator’s the Administrator has already allocated the Administrator has already allocated approval is partial or conditional or unless such approval is under CAIR NOX Ozone Season allowances to CAIR NOX allowances to sources in the sources in the State for any years, the State for any years, the provisions of § 51.124(r) of this chapter. part 97 of this chapter authorizing the provisions of part 97 of this chapter Subpart NN—Pennsylvania authorizing the Administrator to Administrator to complete the allocation of CAIR NOX allowances for complete the allocation of CAIR NOX I 45. Section 52.2040 is revised to read Ozone Season allowances for those those years shall continue to apply, as follows: years shall continue to apply, unless the unless the Administrator approves a SIP Administrator approves a SIP provision provision that provides for the § 52.2040 Interstate pollutant transport that provides for the allocation of the allocation of the remaining CAIR NOX provisions; What are the FIP requirements allowances for those years. for decreases in emissions of nitrogen remaining CAIR NOX Ozone Season oxides? allowances for those years. (b)(1) The owner and operator of each (a)(1) The owner and operator of each I NOX source located within the State of 42. Section 52.1785 is revised to read Ohio and for which requirements are set source located within the State of as follows: forth under the Federal CAIR NOX Pennsylvania and for which § 52.1785 Interstate pollutant transport Ozone Season Trading Program in requirements are set forth under the provisions; What are the FIP requirements subparts AAAA through IIII of part 97 Federal CAIR NOX Annual Trading for decreases in emissions of sulfur of this chapter must comply with such Program in subparts AA through II of dioxide? applicable requirements. The obligation part 97 of this chapter must comply The owner and operator of each SO2 to comply with these requirements in with such applicable requirements. The source located within the State of North part 97 of this chapter will be obligation to comply with these Carolina and for which requirements are eliminated by the promulgation of an requirements in part 97 of this chapter

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will be eliminated by the promulgation Pennsylvania and for which requirements. The obligation to comply of an approval by the Administrator of requirements are set forth under the with these requirements in part 97 of a revision to the Pennsylvania State Federal CAIR SO2 Trading Program in this chapter will be eliminated by the Implementation Plan (SIP) as meeting subparts AAA through III of part 97 of promulgation of an approval by the the requirements of CAIR for PM2.5 this chapter must comply with such Administrator of a revision to the South relating to NOX under § 51.123 of this applicable requirements. The obligation Carolina State Implementation Plan chapter, except to the extent the to comply with these requirements in (SIP) as meeting the requirements of Administrator’s approval is partial or part 97 of this chapter will be CAIR for ozone relating to NOX under conditional or unless such approval is eliminated by the promulgation of an § 51.123 of this chapter, except to the under § 51.123(p) of this chapter. approval by the Administrator of a extent the Administrator’s approval is (2) Notwithstanding any provisions of revision to the Pennsylvania State partial or conditional or unless such paragraph (a)(1) of this section, if, at the Implementation Plan as meeting the approval is under § 51.123(ee) of this time of such approval of the State’s SIP, requirements of CAIR for PM2.5 relating chapter. the Administrator has already allocated to SO2 under § 51.124 of this chapter, (2) Notwithstanding any provisions of CAIR NOX allowances to sources in the except to the extent the Administrator’s paragraph (b)(1) of this section, if, at the State for any years, the provisions of approval is partial or conditional or time of such approval of the State’s SIP, part 97 of this chapter authorizing the unless such approval is under the Administrator has already allocated Administrator to complete the § 51.124(r) of this chapter. CAIR NOX Ozone Season allowances to allocation of CAIR NOX allowances for sources in the State for any years, the those years shall continue to apply, Subpart PP—South Carolina provisions of part 97 of this chapter unless the Administrator approves a SIP authorizing the Administrator to I 47. Section 52.2140 is revised to read provision that provides for the complete the allocation of CAIR NOX as follows: allocation of the remaining CAIR NOX Ozone Season allowances for those allowances for those years. § 52.2140 Interstate pollutant transport years shall continue to apply, unless the (b)(1) The owner and operator of each provisions; What are the FIP requirements Administrator approves a SIP provision NOX source located within the State of for decreases in emissions of nitrogen that provides for the allocation of the Pennsylvania and for which oxides? remaining CAIR NOX Ozone Season requirements are set forth under the (a)(1) The owner and operator of each allowances for those years. Federal CAIR NOX Ozone Season source located within the State of South I 48. Section 52.2141 is revised to read Trading Program in subparts AAAA Carolina and for which requirements are as follows: through IIII of part 97 of this chapter set forth under the Federal CAIR NOX must comply with such applicable Annual Trading Program in subparts AA § 52.2141 Interstate pollutant transport requirements. The obligation to comply through II of part 97 of this chapter must provisions; What are the FIP requirements comply with such applicable for decreases in emissions of sulfur with these requirements in part 97 of dioxide? this chapter will be eliminated by the requirements. The obligation to comply The owner and operator of each SO promulgation of an approval by the with these requirements in part 97 of 2 source located within the State of South Administrator of a revision to the this chapter will be eliminated by the Carolina and for which requirements are Pennsylvania State Implementation Plan promulgation of an approval by the set forth under the Federal CAIR SO (SIP) as meeting the requirements of Administrator of a revision to the South 2 Trading Program in subparts AAA CAIR for ozone relating to NO under Carolina State Implementation Plan X through III of part 97 of this chapter § 51.123 of this chapter, except to the (SIP) as meeting the requirements of must comply with such applicable extent the Administrator’s approval is CAIR for PM2.5 relating to NOX under requirements. The obligation to comply partial or conditional or unless such § 51.123 of this chapter, except to the with these requirements in part 97 of approval is under § 51.123(ee) of this extent the Administrator’s approval is this chapter will be eliminated by the chapter. partial or conditional or unless such (2) Notwithstanding any provisions of approval is under § 51.123(p) of this promulgation of an approval by the paragraph (b)(1) of this section, if, at the chapter. Administrator of a revision to the South time of such approval of the State’s SIP, (2) Notwithstanding any provisions of Carolina State Implementation Plan as the Administrator has already allocated paragraph (a)(1) of this section, if, at the meeting the requirements of CAIR for PM2.5 relating to SO2 under § 51.124 of CAIR NOX Ozone Season allowances to time of such approval of the State’s SIP, sources in the State for any years, the the Administrator has already allocated this chapter, except to the extent the provisions of part 97 of this chapter CAIR NOX allowances to sources in the Administrator’s approval is partial or authorizing the Administrator to State for any years, the provisions of conditional or unless such approval is part 97 of this chapter authorizing the under § 51.124(r) of this chapter. complete the allocation of CAIR NOX Administrator to complete the Ozone Season allowances for those Subpart RR—Tennessee years shall continue to apply, unless the allocation of CAIR NOX allowances for those years shall continue to apply, Administrator approves a SIP provision I 49. Section 52.2240 is revised to read unless the Administrator approves a SIP that provides for the allocation of the as follows: provision that provides for the remaining CAIR NOX Ozone Season allowances for those years. allocation of the remaining CAIR NOX § 52.2240 Interstate pollutant transport provisions; What are the FIP requirements I allowances for those years. 46. Section 52.2041 is revised to read (b)(1) The owner and operator of each for decreases in emissions of nitrogen as follows: NOX source located within the State of oxides? § 52.2041 Interstate pollutant transport South Carolina and for which (a)(1) The owner and operator of each provisions; What are the FIP requirements requirements are set forth under the source located within the State of for decreases in emissions of sulfur Federal CAIR NOX Ozone Season Tennessee and for which requirements dioxide? Trading Program in subparts AAAA are set forth under the Federal CAIR The owner and operator of each SO2 through IIII of part 97 of this chapter NOX Annual Trading Program in source located within the State of must comply with such applicable subparts AA through II of part 97 of this

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chapter must comply with such § 52.2241 Interstate pollutant transport § 52.2284 Interstate pollutant transport applicable requirements. The obligation provisions; What are the FIP requirements provisions; What are the FIP requirements to comply with these requirements in for decreases in emissions of sulfur for decreases in emissions of sulfur dioxide? dioxide? part 97 of this chapter will be

eliminated by the promulgation of an The owner and operator of each SO2 The owner and operator of each SO2 source located within the State of Texas approval by the Administrator of a source located within the State of and for which requirements are set forth revision to the Tennessee State Tennessee and for which requirements are set forth under the Federal CAIR SO2 under the Federal CAIR SO2 Trading Implementation Plan (SIP) as meeting Program in subparts AAA through III of the requirements of CAIR for PM Trading Program in subparts AAA 2.5 through III of part 97 of this chapter part 97 of this chapter must comply relating to NO under § 51.123 of this X must comply with such applicable with such applicable requirements. The chapter, except to the extent the requirements. The obligation to comply obligation to comply with these Administrator’s approval is partial or with these requirements in part 97 of requirements in part 97 of this chapter conditional or unless such approval is this chapter will be eliminated by the will be eliminated by the promulgation under § 51.123(p) of this chapter. promulgation of an approval by the of an approval by the Administrator of (2) Notwithstanding any provisions of Administrator of a revision to the a revision to the Texas State paragraph (a)(1) of this section, if, at the Tennessee State Implementation Plan as Implementation Plan as meeting the time of such approval of the State’s SIP, meeting the requirements of CAIR for requirements of CAIR for PM2.5 relating the Administrator has already allocated PM2.5 relating to SO2 under § 51.124 of to SO2 under § 51.124 of this chapter, except to the extent the Administrator’s CAIR NOX allowances to sources in the this chapter, except to the extent the State for any years, the provisions of Administrator’s approval is partial or approval is partial or conditional or part 97 of this chapter authorizing the conditional or unless such approval is unless such approval is under Administrator to complete the under § 51.124(r) of this chapter. § 51.124(r) of this chapter. allocation of CAIR NOX allowances for Subpart VV—Virginia those years shall continue to apply, Subpart SS—Texas I unless the Administrator approves a SIP I 51. Section 52.2283 is revised to read 53. Section 52.2440 is revised to read provision that provides for the as follows: as follows: allocation of the remaining CAIR NO X § 52.2440 Interstate pollutant transport § 52.2283 Interstate pollutant transport allowances for those years. provisions; What are the FIP requirements provisions; What are the FIP requirements for decreases in emissions of nitrogen (b)(1) The owner and operator of each for decreases in emissions of nitrogen oxides? NOX source located within the State of oxides? Tennessee and for which requirements (a)(1) The owner and operator of each (a)(1) The owner and operator of each are set forth under the Federal CAIR source located within the State of source located within the State of Texas Virginia and for which requirements are NOX Ozone Season Trading Program in and for which requirements are set forth subparts AAAA through IIII of part 97 set forth under the Federal CAIR NOX under the Federal CAIR NOX Annual Annual Trading Program in subparts AA of this chapter must comply with such Trading Program in subparts AA applicable requirements. The obligation through II of part 97 of this chapter must through II of part 97 of this chapter must comply with such applicable to comply with these requirements in comply with such applicable part 97 of this chapter will be requirements. The obligation to comply requirements. The obligation to comply with these requirements in part 97 of eliminated by the promulgation of an with these requirements in part 97 of approval by the Administrator of a this chapter will be eliminated by the this chapter will be eliminated by the promulgation of an approval by the revision to the Tennessee State promulgation of an approval by the Implementation Plan (SIP) as meeting Administrator of a revision to the Administrator of a revision to the Texas Virginia State Implementation Plan the requirements of CAIR for ozone State Implementation Plan (SIP) as (SIP) as meeting the requirements of relating to NO under § 51.123 of this X meeting the requirements of CAIR for CAIR for PM relating to NO under chapter, except to the extent the 2.5 X PM2.5 relating to NOX under § 51.123 of § 51.123 of this chapter, except to the Administrator’s approval is partial or this chapter, except to the extent the extent the Administrator’s approval is conditional or unless such approval is Administrator’s approval is partial or partial or conditional or unless such under § 51.123(ee) of this chapter. conditional or unless such approval is approval is under § 51.123(p) of this (2) Notwithstanding any provisions of under § 51.123(p) of this chapter. chapter. paragraph (b)(1) of this section, if, at the (2) Notwithstanding any provisions of (2) Notwithstanding any provisions of time of such approval of the State’s SIP, paragraph (a)(1) of this section, if, at the paragraph (a)(1) of this section, if, at the the Administrator has already allocated time of such approval of the State’s SIP, time of such approval of the State’s SIP, the Administrator has already allocated CAIR NOX Ozone Season allowances to the Administrator has already allocated CAIR NOX allowances to sources in the sources in the State for any years, the CAIR NOX allowances to sources in the State for any years, the provisions of provisions of part 97 of this chapter State for any years, the provisions of part 97 of this chapter authorizing the authorizing the Administrator to part 97 of this chapter authorizing the Administrator to complete the complete the allocation of CAIR NOX Administrator to complete the allocation of CAIR NOX allowances for allocation of CAIR NOX allowances for Ozone Season allowances for those those years shall continue to apply, years shall continue to apply, unless the those years shall continue to apply, unless the Administrator approves a SIP unless the Administrator approves a SIP Administrator approves a SIP provision provision that provides for the that provides for the allocation of the provision that provides for the allocation of the remaining CAIR NOX allocation of the remaining CAIR NOX remaining CAIR NOX Ozone Season allowances for those years. allowances for those years. allowances for those years. (b) [Reserved] (b)(1) The owner and operator of each I 50. Section 52.2241 is revised to read I 52. Section 52.2284 is revised to read NOX source located within the State of as follows: as follows: Virginia and for which requirements are

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set forth under the Federal CAIR NOX Virginia and for which requirements are I 56. Section 52.2541 is revised to read Ozone Season Trading Program in set forth under the Federal CAIR NOX as follows: subparts AAAA through IIII of part 97 Annual Trading Program in subparts AA of this chapter must comply with such § 52.2541 Interstate pollutant transport through II of part 97 of this chapter must provisions; What are the FIP requirements applicable requirements. The obligation comply with such applicable for decreases in emissions of sulfur to comply with these requirements in requirements. The obligation to comply dioxide? part 97 of this chapter will be with these requirements in part 97 of The owner and operator of each SO2 eliminated by the promulgation of an this chapter will be eliminated by the source located within the State of West approval by the Administrator of a promulgation of an approval by the Virginia and for which requirements are revision to the Virginia State Administrator of a revision to the West set forth under the Federal CAIR SO Implementation Plan (SIP) as meeting 2 Virginia State Implementation Plan Trading Program in subparts AAA the requirements of CAIR for ozone (SIP) as meeting the requirements of through III of part 97 of this chapter relating to NO under § 51.123 of this X CAIR for PM2.5 relating to NOX under must comply with such applicable chapter, except to the extent the § 51.123 of this chapter, except to the requirements. The obligation to comply Administrator’s approval is partial or extent the Administrator’s approval is with these requirements in part 97 of conditional or unless such approval is partial or conditional or unless such this chapter will be eliminated by the under § 51.123(ee) of this chapter. approval is under § 51.123(p) of this (2) Notwithstanding any provisions of promulgation of an approval by the chapter. Administrator of a revision to the West paragraph (b)(1) of this section, if, at the (2) Notwithstanding any provisions of time of such approval of the State’s SIP, Virginia State Implementation Plan as paragraph (a)(1) of this section, if, at the meeting the requirements of CAIR for the Administrator has already allocated time of such approval of the State’s SIP, PM2.5 relating to SO2 under § 51.124 of CAIR NOX Ozone Season allowances to the Administrator has already allocated sources in the State for any years, the this chapter, except to the extent the CAIR NOX allowances to sources in the Administrator’s approval is partial or provisions of part 97 of this chapter State for any years, the provisions of authorizing the Administrator to conditional or unless such approval is part 97 of this chapter authorizing the under § 51.124(r) of this chapter. complete the allocation of CAIR NOX Administrator to complete the Ozone Season allowances for those allocation of CAIR NOX allowances for Subpart YY—Wisconsin years shall continue to apply, unless the those years shall continue to apply, Administrator approves a SIP provision unless the Administrator approves a SIP I 57. Section 52.2587 is revised to read that provides for the allocation of the provision that provides for the as follows: remaining CAIR NO Ozone Season X allocation of the remaining CAIR NOX allowances for those years. § 52.2587 Interstate pollutant transport allowances for those years. provisions; What are the FIP requirements I 54. Section 52.2441 is revised to read (b)(1) The owner and operator of each for decreases in emissions of nitrogen as follows: NOX source located within the State of oxides? § 52.2441 Interstate pollutant transport West Virginia and for which (a)(1) The owner and operator of each provisions; What are the FIP requirements requirements are set forth under the source located within the State of for decreases in emissions of sulfur Federal CAIR NOX Ozone Season Wisconsin and for which requirements dioxide? Trading Program in subparts AAAA are set forth under the Federal CAIR The owner and operator of each SO2 through IIII of part 97 of this chapter NOX Annual Trading Program in source located within the State of must comply with such applicable subparts AA through II of part 97 of this Virginia and for which requirements are requirements. The obligation to comply chapter must comply with such set forth under the Federal CAIR SO2 with these requirements in part 97 of applicable requirements. The obligation Trading Program in subparts AAA this chapter will be eliminated by the to comply with these requirements in through III of part 97 of this chapter promulgation of an approval by the part 97 of this chapter will be must comply with such applicable Administrator of a revision to the West eliminated by the promulgation of an requirements. The obligation to comply Virginia State Implementation Plan approval by the Administrator of a with these requirements in part 97 of (SIP) as meeting the requirements of revision to the Wisconsin State this chapter will be eliminated by the CAIR for ozone relating to NOX under Implementation Plan (SIP) as meeting promulgation of an approval by the § 51.123 of this chapter, except to the the requirements of CAIR for PM2.5 Administrator of a revision to the extent the Administrator’s approval is relating to NOX under § 51.123 of this Virginia State Implementation Plan as partial or conditional or unless such chapter, except to the extent the meeting the requirements of CAIR for approval is under § 51.123(ee) of this Administrator’s approval is partial or PM2.5 relating to SO2 under § 51.124 of chapter. conditional or unless such approval is this chapter, except to the extent the (2) Notwithstanding any provisions of under § 51.123(p) of this chapter. Administrator’s approval is partial or paragraph (b)(1) of this section, if, at the (2) Notwithstanding any provisions of conditional or unless such approval is time of such approval of the State’s SIP, paragraph (a)(1) of this section, if, at the under § 51.124(r) of this chapter. the Administrator has already allocated time of such approval of the State’s SIP, CAIR NOX Ozone Season allowances to the Administrator has already allocated Subpart XX—West Virginia sources in the State for any years, the CAIR NOX allowances to sources in the provisions of part 97 of this chapter State for any years, the provisions of I 55. Section 52.2540 is revised to read authorizing the Administrator to part 97 of this chapter authorizing the as follows: complete the allocation of CAIR NOX Administrator to complete the § 52.2540 Interstate pollutant transport Ozone Season allowances for those allocation of CAIR NOX allowances for provisions; What are the FIP requirements years shall continue to apply, unless the those years shall continue to apply, for decreases in emissions of nitrogen Administrator approves a SIP provision unless the Administrator approves a SIP oxides? that provides for the allocation of the provision that provides for the (a)(1) The owner and operator of each remaining CAIR NOX Ozone Season allocation of the remaining CAIR NOX source located within the State of West allowances for those years. allowances for those years.

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(b)(1) The owner and operator of each time of such approval of the State’s SIP, Wisconsin and for which requirements NOX source located within the State of the Administrator has already allocated are set forth under the Federal CAIR SO2 Wisconsin and for which requirements CAIR NOX Ozone Season allowances to Trading Program in subparts AAA are set forth under the Federal CAIR sources in the State for any years, the through III of part 97 of this chapter NOX Ozone Season Trading Program in provisions of part 97 of this chapter must comply with such applicable subparts AAAA through IIII of part 97 authorizing the Administrator to requirements. The obligation to comply of this chapter must comply with such complete the allocation of CAIR NOX with these requirements in part 97 of applicable requirements. The obligation Ozone Season allowances for those this chapter will be eliminated by the to comply with these requirements in years shall continue to apply, unless the promulgation of an approval by the part 97 of this chapter will be Administrator approves a SIP provision Administrator of a revision to the eliminated by the promulgation of an that provides for the allocation of the Wisconsin State Implementation Plan as approval by the Administrator of a remaining CAIR NOX Ozone Season meeting the requirements of CAIR for revision to the Wisconsin State allowances for those years. PM2.5 relating to SO2 under § 51.124 of Implementation Plan (SIP) as meeting I 58. Section 52.2588 is revised to read the requirements of CAIR for ozone this chapter, except to the extent the as follows: Administrator’s approval is partial or relating to NOX under § 51.123 of this chapter, except to the extent the § 52.2588 Interstate pollutant transport conditional or unless such approval is Administrator’s approval is partial or provisions; What are the FIP requirements under § 51.124(r) of this chapter. for decreases in emissions of sulfur conditional or unless such approval is [FR Doc. E7–20849 Filed 11–1–07; 8:45 am] under § 51.123(ee) of this chapter. dioxide? BILLING CODE 6560–50–P (2) Notwithstanding any provisions of The owner and operator of each SO2 paragraph (b)(1) of this section, if, at the source located within the State of

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Part IV

Federal Communications Commission Auction of 700 MHz Band Licenses Scheduled for January 24, 2008; Notice and Filing Requirements, Minimum Opening Bids, Reserved Prices, Upfront Payments and Other Procedures for Auctions 73 and 76; Notice

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FEDERAL COMMUNICATIONS date of the bidders’ seminar for offered licenses for which the Auction COMMISSION Auctions 73 and 76 from November 19, 73 results do not satisfy applicable 2007 to November 20, 2007. The reserve prices. Based on the record and [AU Docket No. 07–157; Report No. AUC– after considering comments provided in 07–73–B (Auctions 73 and 76); DA 07–4171] Auctions 73 and 76 Procedures Public Notice and related Commission response to the 700 MHz Auction Public Auction of 700 MHz Band Licenses documents may also be purchased from Notice, the Bureau hereby announces Scheduled for January 24, 2008; Notice the Commission’s duplicating the final procedures for Auctions 73 and and Filing Requirements, Minimum contractor, Best Copy and Printing, Inc. Auction 76. Opening Bids, Reserved Prices, (BCPI), Portals II, 445 12th Street, SW., 3. The Auctions 73 and 76 Procedures Upfront Payments and Other Room CY–B402, Washington, DC, Public Notice provides, among other Procedures for Auctions 73 and 76 20554, telephone 202–488–5300, things, procedures for the following: (1) facsimile 202–488–5563, or Web site: Anonymous bidding, to enhance AGENCY: Federal Communications http://www.BCPIWEB.com. When competition by safeguarding against Commission. ordering documents from BCPI, please potential anti-competitive auction ACTION: Notice. provide the appropriate FCC document strategies; (2) package bidding, to enable number, for example, DA 07–4171 for bidders trying to combine multiple C SUMMARY: This document announces the the Auctions 73 and 76 Procedures Block licenses to place bids on packages procedures and minimum opening bids Public Notice. The Auctions 73 and 76 of those licenses; (3) block-specific for the upcoming auction of certain 700 Procedures Public Notice and related aggregate reserve prices, to help assure MHz Band Licenses (Auctions 73 and documents are also available on the that the public recovers a portion of the 76). This document is intended to Internet at the Commission’s Web site: value of the spectrum resource; and (4) familiarize prospective bidders with the http://wireless.fcc.gov/auctions/73/. prompt subsequent bidding in Auction procedures and minimum opening bids 76, to offer licenses for relevant block(s) for these auctions. I. General Information in the event Auction 73 results do not DATES: Applications to participate in A. Introduction satisfy applicable reserve prices. 700 MHz Band Licenses Auctions 73 4. Anonymous Bidding. In the 700 and 76 must be filed before 6 p.m. ET 1. The Wireless Telecommunications MHz Second Report and Order, 65 FR on December 3, 2007. Bidding for Bureau (the Bureau) announces the 17594, April, 4, 2000, the Commission Auction No. 73 is scheduled to begin on procedures and minimum opening bid found that the public interest would be January 24, 2008. Contingent amounts for the upcoming auction of served if the auction for new 700 MHz subsequent bidding in Auction 76, if licenses for services in the 698-806 MHz Band licenses is conducted using necessary, will begin on a date to be band (700 MHz Band) scheduled to anonymous (or limited information) announced after Auction 73 has closed. begin on January 24, 2008. This auction bidding procedures, regardless of any is designated as Auction 73. Auction 73 FOR FURTHER INFORMATION CONTACT: pre-auction measurement of likely will offer 700 MHz Band licenses for Wireless Telecommunications Bureau, auction competition. Such information initial bidding and the 700 MHz Band procedures are intended to reduce the Auctions Spectrum and Access licenses may be offered in contingent Division: For legal questions: Scott potential for anti-competitive bidding subsequent bidding. In the event that behavior, including bidding activity that Mackoul, Stephen Johnson or Howard any licenses are offered in contingent Davenport at (202) 418–0660. For aims to prevent the entry of new subsequent bidding, that event will be competitors. Having proposed and general auction questions: Lisa Stover at designated as Auction 76. On August (717) 338–2868. Mobility Division: For sought comment on more detailed 17, 2007, in accordance with Section procedures for employing anonymous service rule questions: Erin McGraft 309(j)(3) of the Communications Act of (legal), Keith Harper (engineering) and bidding for the upcoming auction, the 1934, as amended, the Bureau released Bureau now announces the anonymous Denise Walter (licensing) at (202) 418– a public notice seeking comment on 0620. To request materials in accessible bidding procedures. competitive bidding procedures for both 5. Package Bidding for C Block formats (Braille, large print, electronic the initial bidding and the contingent Licenses. The Commission also files or audio format) for people with subsequent bidding for 700 MHz Band determined in the 700 MHz Second disabilities, send an e-mail to licenses. Interested parties submitted 12 Report and Order that providing for [email protected] or call the Consumer comments and 8 reply comments in package bidding for C Block licenses and Governmental Affairs Bureau at response to the 700 MHz Auction Public would serve the public interest. The (202) 418–0530 or (202) 418–0432 Notice, 72 FR 48272, August 23, 2007, Commission found that package bidding (TTY). as well as a number of ex parte for these licenses should facilitate the SUPPLEMENTARY INFORMATION: This is a communications. entry of entities seeking to create a summary of the Auctions 73 and 76 2. In the 700 MHz Auction Public nationwide footprint and whose Procedures Public Notice released on Notice, the Bureau proposed to include business plans require the economies of October 5, 2007. The complete text of all available, commercial 700 MHz Band scale that only can be obtained with the Auctions 73 and 76 Procedures licenses (1,099 licenses) for initial nationwide operation. At Commission Public Notice, including attachments, as bidding in Auction 73 using the direction, the Bureau previously well as related Commission documents Commission’s standard simultaneous proposed and sought comment on are available for public inspection and multiple-round (SMR) auction format detailed procedures for implementing copying from 8 a.m. to 4:30 p.m. Eastern for the A, B, D, and E block licenses and package bidding for the C Block licenses Time (ET) Monday through Thursday or an auction design with hierarchical and not for licenses in the other blocks from 8 a.m. to 11:30 a.m. on Friday at package bidding (HPB) for the C Block to be auctioned. In the Auctions 73 and the FCC Reference Information Center, licenses. The 700 MHz Auction Public 76 Procedures Public Notice, the Bureau Portals II, 445 12th Street, SW., Room Notice also proposed procedures for the detailed the process for package bidding CY–A257, Washington, DC 20554. On contingent subsequent bidding, now for the C Block licenses. October 19, 2007, a Public Notice was designated Auction 76, on licenses for 6. Block-Specific Aggregate Reserve released announcing a change in the spectrum associated with any initially Prices. The Commission also decided to

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provide for aggregate reserve prices for procedures for conducting Auction 76, C1 and C2 Blocks that add to the joint licenses authorizing the use of each if necessary. aggregate reserve price. Licenses in both block of the commercial 700 MHz Band 8. The Commission will conduct blocks will be assigned if the joint yet to be licensed. The Commission bidding in Auction 73 and any aggregate reserve price is met. If the concluded that, consistent with its contingent subsequent bidding in joint aggregate reserve price is not met statutory mandate, disclosed reserve Auction 76 for 700 MHz Band licenses but one of the block-specific reserve prices would promote the recovery of a as a single auction to the extent prices is met, licenses in the block for portion of the value of the public possible, given the strong public interest which the reserve price is met will be spectrum resource. The Commission in promptly assigning all 700 MHz Band assigned. Licenses in the other block directed the Bureau to adopt aggregate licenses for recovered analog spectrum will not be assigned. This will assure reserve prices reflecting the potential and the related nature of the licenses the aggregate reserve price in the initial market value of this spectrum based on being offered in Auctions 73 and 76. auction continues to apply while a variety of factors including, but not Thus, pursuant to the 700 MHz Second maximizing the opportunity for licenses Report and Order, the Bureau will limited to, the characteristics of this for either Block C1 or C2 to be assigned. permit only qualified bidders in the band and the auction prices of other initial auction to participate in the i. Background of Proceeding recently auctioned licenses, such as contingent subsequent auction. To 10. The Commission is offering the licenses for Advanced Wireless Services enable a prompt start to Auction 76 after in the 1710–1755 MHz and 2110–2155 licenses in Auction 73 consistent with Auction 73, applicants must select any the requirements of the Digital MHz bands (AWS–1). Accordingly, the licenses on which they may bid in Television Transition and Public Safety Bureau proposed and sought comment Auction 76 by the deadline for filing Act of 2005 (DTV Act). Pursuant to the on the following block-specific their Auction 73 application. Applicants DTV Act the Commission must conduct aggregate reserve prices: Block A, must select those licenses by submitting the auction of licenses for recovered $1.807380 billion; Block B, $1.374426 a separate abbreviated short-form analog spectrum by commencing the billion; Block C, $4.637854 billion; application to participate in Auction 76. bidding not later than January 28, 2008. Block D, $1.330000 billion; Block E, The abbreviated Auction 76 application A number of incumbent broadcasters are $0.903690 billion. Further, the Bureau must be filed together with the licensed and operating on these proposed that if the sum of the applicant’s standard application for frequencies (TV Channels 52–53, 56–58, provisionally winning bids for the Auction 73, following procedures 60–62, and 65–67) and adjacent licenses in a block does not satisfy the described in the Auctions 73 and 76 channels. relevant aggregate reserve price, none of Procedures Public Notice. In the event the relevant licenses for the particular that Auction 76 takes place, bidder ii. Licenses To Be Offered in Auction 73 block will be assigned based on the identity and other information on the 11. Auction 73 will offer a total of auction results. In the Auctions 73 and applicant’s completed Auction 73 short- 1,099 licenses: 176 Economic Area (EA) 76 Procedures Public Notice, the Bureau form application will be combined with licenses in each of the A and E Blocks, adopted this proposal. the licenses selected in the abbreviated 734 Cellular Market Area (CMA) 7. Auction 76 Overview. The Auction 76 application to create the licenses in the B Block, 12 Regional Commission decided that, if licenses applicant’s Auction 76 application. This Economic Area Grouping (REAG) initially offered for the A, B, C, or E process will minimize the time period licenses in the C Block, and one Blocks are not assigned because the between auctions by eliminating any nationwide license, to be used as part of auction results do not satisfy the need for applicants to take time the 700 MHz Public/Private Partnership, applicable aggregate reserve price(s) for following Auction 73 to file new in the D Block. those licenses, the Commission applications or select additional licenses, and for the Commission to B. Rules and Disclaimers promptly will offer alternative licenses review newly-filed short-form for those blocks. More specifically, the i. Relevant Authority applications. Applicants in Auction 76, Commission will offer licenses for the however, will have an opportunity after 12. Prospective applicants must A, B, and E Blocks subject to alternative Auction 73 to obtain additional familiarize themselves thoroughly with performance requirements. With respect eligibility for any licenses offered in the Commission’s general competitive to the C Block, the Commission will Auction 76 by supplementing their bidding rules set forth in Title 47, part offer alternative licenses without the upfront monies on deposit with the 1, of the CFR, including recent open platform conditions and based on Commission pursuant to the procedures amendments and clarifications; rules different geographic areas and spectrum as provided for in the 700 MHz Second relating to the 700 MHz Band contained bandwidth. If the D Block license is not Report and Order. in Title 47, part 27, of the CFR; rules assigned because the auction results do 9. The Bureau also will use the relating to the public/private not satisfy the D Block reserve price, the Auction 73 design in Auction 76, partnership applicable to the D Block Commission may re-offer that license including an aggregate reserve price for contained in Title 47, part 90, of the subject to the same rules or reconsider each block that matches the applicable CFR; and rules relating to applications, the applicable rules. For administrative initial reserve price. In the event that environment, practice and procedure purposes, the Bureau will designate as alternative licenses for the C Block are contained in Title 47, part 1, of the CFR. Auction 76 any subsequent bidding for offered for Blocks C1 and C2, the Bureau Prospective applicants must also be alternative licenses for the A, B, C or E will conduct package bidding for the C2 thoroughly familiar with the Blocks or for the D Block license that Block only, using the pre-determined procedures, terms and conditions occurs because Auction 73 results for packages. Alternative licenses for Blocks (terms) contained in the Auctions 73 licenses initially offered for the relevant C1 and C2 will be subject to reserve and 76 Procedures Public Notice and blocks do not satisfy the applicable prices. There will be a joint aggregate the Commission’s decisions in aggregate reserve price(s). In the reserve price equal to the initial auction proceedings regarding competitive Auctions 73 and 76 Procedures Public C Block aggregate reserve price, and bidding procedures, application Notice, the Bureau announced detailed separate aggregate reserve prices for the requirements, and obligations of

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Commission licensees. For example, § 1.2105(a)(2)(viii)) must affirmatively b. Prohibition Applies Until Down among other Commission orders, avoid all communications with or Payment Deadline prospective bidders should be familiar disclosures to each other that affect or 18. Section 1.2105(c)’s anti-collusion with the 700 MHz First Report and have the potential to affect bids or prohibition begins at the short-form Order, 65 FR 3139, January 20, 2000, bidding strategy, which may include application filing deadline and ends at and the 700 MHz Second Report and communications regarding the post- the down payment deadline after the Order. auction market structure. This auction. In recognition of the related 13. The terms contained in the prohibition applies to all applicants nature of the initial auction and any Commission’s rules, relevant orders, regardless of whether such applicants contingent auction of alternative and public notices are not negotiable. become qualified bidders or actually licenses, the Commission concluded in The Commission may amend or bid. Information concerning applicants’ the 700 MHz Second Report and Order supplement the information contained license selections will not be available that the provisions of the anti-collusion in its public notices at any time, and to the public. Therefore, the will issue public notices to convey any rule would continue to apply until the Commission will inform each applicant down payment deadline for the new or supplemental information to by letter of the identity of each of the applicants. It is the responsibility of all subsequent auction. other applicants that has applied for 19. Some commenters argue that the applicants to remain current with all licenses covering any of the same Commission rules and with all public Bureau should allow applicants to opt- geographic areas as the licenses that it out from the anti-collusion prohibition notices pertaining to Auctions 73 and has selected in its short-form 76. in the event Auction 76 is conducted. A application. commenter proposed that an applicant ii. Prohibition of Collusion; Compliance 16. For purposes of this prohibition, that has no intention to bid in the With Antitrust Laws § 1.2105(c)(7)(i) defines applicant as subsequent auction could inform the 14. To ensure the competitiveness of including all officers and directors of Commission of its intent in writing with the auction process, § 1.2105(c) of the the entity submitting a short-form a certification that its decision is not Commission’s rules prohibits auction application to participate in the auction, based on any discussion with other applicants for licenses in any of the all controlling interests of that entity, as competing bidders of auction strategy or same geographic license areas from well as all holders of partnership and post-auction market structure. As one communicating with each other about other ownership interests and any stock commenter acknowledges, changing the bids, bidding strategies, or settlements 9 interest amounting to 10 percent or application of the rule in this way is unless such applicants have identified more of the entity, or outstanding stock, beyond the Bureau’s delegated authority each other on their short-form or outstanding voting stock of the entity and beyond the scope of this non- applications (FCC Forms 175) as parties submitting a short-form application. rulemaking proceeding and would with whom they have entered into require action by the Commission to 17. Entities and parties subject to the agreements pursuant to reconsider its determination in the 700 anti-collusion rule should take special § 1.2105(a)(2)(viii). MHz Second Report and Order. Thus, care in circumstances where their the Bureau is unable to adopt the a. Entities Subject to Anti-Collusion employees may receive information proposed opt-out certification Rule directly or indirectly from a competing procedure. If it is necessary to conduct 15. The anti-collusion rule will apply applicant relating to any competing Auction 76, the provisions of the anti- to any applicants that submit short-form applicant’s bids or bidding strategies. In collusion rule will apply to all applications for Auctions 73 or 76 and situations where the anti-collusion rule applicants until the down payment select licenses in the same or views the same person as the applicant deadline, which will occur after the overlapping CMAs, EAs, REAGs or the with respect to two different entities close of bidding on licenses offered in nationwide license in the D Block. For filing competing applications, under Auction 76. example, assume that one applicant Bureau precedent the bids and bidding applies for a REAG license and a second strategies of one applicant are c. Prohibited Communications applicant applies for an EA license necessarily conveyed to the other and, 20. Prospective applicants for covering any area within that REAG. absent a disclosed bidding agreement, upcoming Auctions 73 and 76 and other The two entities will have applied for an apparent violation of the anti- parties that may be engaged in licenses covering the same geographic collusion rule occurs. The Bureau has discussion with such prospective areas and would be precluded from not addressed situations where applicants are cautioned of the need to communicating with each other under employees who do not qualify as the comply with the Commission’s anti- the rule. The rule also applies where applicant, (e.g., are not officers or collusion rule, § 1.2105(c). The anti- one applicant has selected a license in directors) receive information regarding collusion rule prohibits not only a Auction 73 and another applicant a competing applicant’s bids or bidding communication about an applicant’s selects a license in Auction 76 that strategies and whether that information own bids or bidding strategy, but also a covers any of the same geographic area. might be deemed to necessarily convey communication of another applicant’s In addition, the rule precludes to the applicant. The Bureau notes that bids or bidding strategy. While the anti- applicants that apply to bid for the the exception to the anti-collusion rule collusion rule provisions do not nationwide license in the D Block, or all providing that non-controlling interest prohibit business negotiations among the licenses in any other block, from holders may have interests in more than auction applicants, applicants must communicating with all other one competing bidder without violating remain vigilant so as not to applicants. Thus, applicants that have the anti-collusion rule, provided communicate directly or indirectly applied for licenses covering the same specified conditions are met (including information that affects, or could affect, markets (unless they have identified a certification that no prohibited bids or bidding strategy, or the each other on their FCC Form 175 communications have occurred or will negotiation of settlement agreements. applications as parties with whom they occur), does not extend to controlling 21. The Commission remains vigilant have entered into agreements under interest holders. about prohibited communications

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taking place in other situations. For violation of the anti-collusion rule not outweigh specific evidence that example, the Commission has warned where a bidder used the Commission’s collusive behavior has occurred, nor that prohibited communications bidding system to disclose its bidding will it preclude the initiation of an concerning bids and bidding strategies strategy in a manner that explicitly investigation when warranted. The may include communications regarding invited other auction participants to Commission has stated that it intends to capital calls or requests for additional cooperate and collaborate in specific scrutinize carefully any instances in funds in support of bids or bidding markets, and has placed auction which bidding patterns suggest that strategies to the extent such participants on notice that the use of its collusion may be occurring. Any communications convey information bidding system to disclose market applicant found to have violated the concerning the bids and bidding information to competitors will not be anti-collusion rule may be subject to strategies directly or indirectly. tolerated and will subject bidders to sanctions. 22. Applicants are hereby placed on sanctions. notice that public disclosure of 24. In addition, when completing f. Antitrust Laws information relating to bidder interests short-form applications, applicants 27. Applicants are also reminded that, and bidder identities that is confidential should avoid any statements or regardless of compliance with the in both Auctions 73 and 76 at the time disclosures that may violate the Commission’s rules, they remain subject of disclosure may violate the anti- Commission’s anti-collusion rule, to the antitrust laws, which are designed collusion rule. This is so even though particularly in light of the Commission’s to prevent anticompetitive behavior in similar types of information were procedures for limited information. the marketplace. Compliance with the revealed prior to and during other Specifically, applicants should avoid disclosure requirements of the Commission auctions subject to including any information in their Commission’s anti-collusion rule will different information procedures. short-form applications that might not insulate a party from enforcement of Bidders should use caution in their convey information regarding their the antitrust laws. For instance, a dealings with other parties, such as license selection, such as using violation of the antitrust laws could members of the press, financial analysts, applicant names that refer to licenses arise out of actions taking place well or others who might become a conduit being offered, referring to certain before any party submits a short-form for the communication of prohibited licenses or markets in describing application. The Commission has cited bidding information. For example, bidding agreements, or including any a number of examples of potentially where limited information disclosure information in attachments that may anticompetitive actions that would be procedures are in place, as for Auctions otherwise disclose applicants’ license prohibited under antitrust laws: For 73 and 76, a qualified bidder’s statement selections. example, actual or potential competitors to the press that it has lost bidding may not agree to divide territories d. Disclosure of Bidding Agreements eligibility and stopped bidding in the horizontally in order to minimize and Arrangements auction could give rise to a finding of competition, regardless of whether they an anti-collusion rule violation. 25. The Commission’s rules do not split a market in which they both do Similarly, an applicant’s public prohibit applicants from entering into business, or whether they merely statement of intent not to participate in otherwise lawful bidding agreements reserve one market for one and another Auction 76 bidding could also violate before filing their short-form for the other. Similarly, the Bureau has the rule. applications, as long as they disclose the long reminded potential applicants and 23. Applicants for licenses for any of existence of the agreement(s) in their others that even where the applicant the same geographic license areas must short-form application. If parties agree discloses parties with whom it has not communicate directly or indirectly in principle on all material terms prior reached an agreement on the short-form about bids or bidding strategy. to the short-form filing deadline, each application, thereby permitting Accordingly, such applicants are party to the agreement must identify the discussions with those parties, the encouraged not to use the same other party or parties to the agreement applicant is nevertheless subject to individual as an authorized bidder. A on its short-form application under existing antitrust laws. To the extent the violation of the anti-collusion rule could § 1.2105(c), even if the agreement has Commission becomes aware of specific occur if an individual acts as the not been reduced to writing. If the allegations that suggest that violations of authorized bidder for two or more parties have not agreed in principle by the federal antitrust laws may have competing applicants, and conveys the short-form filing deadline, they occurred, the Commission may refer information concerning the substance of should not include the names of parties such allegations to the United States bids or bidding strategies between such to discussions on their applications, and Department of Justice for investigation. applicants. Also, if the authorized they may not continue negotiations, If an applicant is found to have violated bidders are different individuals discussions or communications with the antitrust laws or the Commission’s employed by the same organization any other applicants for licenses rules in connection with its (e.g., law firm or engineering firm or covering any of the same or overlapping participation in the competitive bidding consulting firm), a violation similarly geographic areas after the short-form process, it may be subject to forfeiture could occur. In such a case, at a filing deadline. of its upfront payment, down payment, minimum, applicants should certify on or full bid amount and may be their applications that precautionary e. Anti-Collusion Certification prohibited from participating in future steps have been taken to prevent 26. By electronically submitting a auctions, among other sanctions. communication between authorized short-form application following the 28. One commenter urges the bidders and that applicants and their electronic filing procedures set forth in Commission to adopt an auction rule bidding agents will comply with the Attachments D and E to the Auctions 73 that states that a bidder cannot release anti-collusion rule. A violation of the and 76 Procedures Public Notice, each any bidding information to the public anti-collusion rule could occur in other applicant certifies its compliance with during the course of the auction, and contexts, such as an individual serving § 1.2105(c). However, the Bureau provide notice that all parties remain as an officer for two or more applicants. cautions that merely filing a certifying subject to the antitrust laws. As another Moreover, the Commission has found a statement as part of an application will commenter points out, however, the

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Commission has consistently provided Commission’s auction anti-collusion b. Quiet Zones such guidance in prior auctions. The Web page. 37. 700 MHz Band licensees must Bureau does so again here: All parties iii. Protection of Incumbent Operations protect the radio quiet zones set forth in remain subject to the antitrust laws. the Commission’s rules. Licensees are g. Duty to Report Prohibited 34. A number of incumbent cautioned that they must receive the Communications broadcasters are licensed and operating appropriate approvals directly from the on these frequencies (TV Channels 52– relevant quiet zone entity prior to 29. If an applicant makes or receives 53, 56–58, 60–62, and 65–67) and operating within the areas described in a communication that appears to violate adjacent channels. In accordance with the Commission’s rules. the anti-collusion rule, it must report the Commission’s rules, 700 MHz Band such communication in writing to the iv. Due Diligence licensees must protect analog and Commission immediately and in no case digital TV incumbents from harmful 38. The Bureau cautions potential later than five business days after the interference through February 17, 2009, applicants formulating their bidding communication occurs. The strategies to investigate and consider the Commission recently clarified that each the end of the DTV transition period. After February 17, 2009, 700 MHz extent to which 700 MHz Band applicant’s obligation to report any such frequencies are occupied. Applicants communication continues beyond the licensees must continue to operate in accordance with the Commission’s rules and their investors should also five-day period after the communication understand that Commission rules and to reduce the potential for interference is made, even if the report is not made requirements place limitations on the to public reception of the signals of DTV within the five day period. ability of 700 MHz Band licensees to use broadcast stations transmitting on DTV 30. Section 1.65 of the Commission’s this spectrum. There are a number of Channel 51. These limitations may rules requires an applicant to maintain incumbent broadcast television restrict the ability of such geographic the accuracy and completeness of licensees already licensed and operating information furnished in its pending area licensees to use certain portions of in the band that will be subject to the application and to notify the the electromagnetic spectrum or provide upcoming auction. Geographic area Commission within 30 days of any service to some parts of their geographic licensees operating on the spectrum substantial change that may be of license areas. associated with Channels 52–53, 56–58, decisional significance to that 35. In the 700 MHz Second Report 60–62, and 65–67 must comply with the application. Thus, § 1.65 requires an and Order, the Commission co-channel and the adjacent channel auction applicant to notify the grandfathered an incumbent guard band provision of § 27.60 of the Commission’s Commission of any substantial change B Block licensee in Major Economic rules. These limitations may restrict the to the information or certifications Areas (MEAs) 21 and 39 at 761–763 ability of such geographic area licensees included in its pending short-form MHz and 791–793 MHz of the D Block. to use certain portions of the application. Applicants are therefore The new D Block licensee will be electromagnetic spectrum or provide required by § 1.65 to report to the authorized on a secondary basis at 761– service to certain areas in their Commission any communications they 763 MHz and 791–793 MHz in these geographic license areas. For example, have made to or received from another markets, and it may not cause bidders should become familiar with applicant after the short-form filing interference to the primary operations of any petitions or other pleadings filed in deadline that affect or have the potential the grandfathered licensee. If the response to the 700 MHz First Report to affect bids or bidding strategy unless grandfathered licensee, or a successor or and Order, 700 MHz Second Report and such communications are made to or assignee, cancels either of the Order, and any other orders that have received from parties to agreements grandfathered licenses, or if either been or may be released affecting the identified under § 1.2105(a)(2)(viii). license cancels automatically, is 700 MHz Band. 31. Applicants must be aware that terminated by the Commission, or 39. Potential bidders are reminded failure to comply with the expires, then the licensed geographic that they are solely responsible for Commission’s rules can result in area will revert to the D Block licensee investigating and evaluating all enforcement action. automatically. technical and marketplace factors that may have a bearing on the value of 700 h. Winning Bidders Must Disclose a. International Coordination MHz Band licenses. The FCC makes no Terms of Agreements representations or warranties about the 32. Applicants that are winning 36. Potential bidders seeking licenses use of this spectrum for particular bidders will be required to disclose in for geographic areas that are near the services. Applicants should be aware their long-form applications the specific Canadian or Mexican borders are subject that an FCC auction represents an terms, conditions, and parties involved to international agreements with Canada opportunity to become an FCC licensee in any bidding consortia, joint ventures, and Mexico. Pursuant to these in the 700 MHz Band subject to certain partnerships, and other arrangements agreements, the U.S. must protect the conditions and regulations. An FCC entered into relating to the competitive signals of Canadian and Mexican auction does not constitute an bidding process. television broadcast stations located in endorsement by the FCC of any the border area. Unless otherwise particular service, technology, or i. Additional Information Concerning modified by international treaty, product, nor does an FCC license Anti-Collusion Rule licensees must not cause interference to, constitute a guarantee of business 33. A summary listing of documents and must accept harmful interference success. Applicants should perform issued by the Commission and the from, television broadcast operations in their individual due diligence before Bureau addressing the application of the Mexico and Canada. Further, until such proceeding as they would with any new anti-collusion rule may be found in time as existing agreements are replaced business venture. Attachment I of the Auctions 73 and 76 or modified to reflect the new uses, 40. Potential bidders are strongly Procedures Public Notice. These licensees in the band will be subject to encouraged to conduct their own documents are available on the existing agreements. research prior to the beginning of

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bidding in Auction 73 in order to 43. Applicants are solely responsible connection with Auctions 73 and 76. determine the existence of any pending for identifying associated risks and for Moreover, no obligation or liability will legislative, administrative or judicial investigating and evaluating the degree arise out of the Commission’s technical, proceedings that might affect their to which such matters may affect their programming or other advice or service decision regarding participation in the ability to bid on, otherwise acquire, or provided in connection with the FCC auction, including any subsequent make use of licenses being offered. Auction System. auction (if necessary). Participants in 44. Applicants may use the licensing Auctions 73 and 76 are strongly database for the Media Bureau on the vi. Fraud Alert encouraged to continue such research Internet in order to determine which 48. As is the case with many business throughout the auction. In addition, frequencies are already licensed to investment opportunities, some potential bidders should perform incumbent licensees. Licensing records technical analyses sufficient to assure for the Media Bureau are contained in unscrupulous entrepreneurs may themselves that, should they prevail in the Media Bureau’s Consolidated Data attempt to use Auction 73 to deceive competitive bidding for a specific Base System (CDBS) and may be and defraud unsuspecting investors. license, they will be able to build and researched on the Internet at http:// Information about deceptive operate facilities that will fully comply www.fcc.gov/mb/cdbs.html. Potential telemarketing investment schemes is with the Commission’s technical and bidders should direct questions available from the Commission as well legal requirements as well as other regarding the search capabilities of as the FTC and SEC. Complaints about applicable Federal, state, and local laws. CDBS to the Media Bureau help line at specific deceptive telemarketing 41. Applicants should also be aware (202) 418–2662, or via e-mail at investment schemes should be directed that certain pending and future [email protected]. to the FTC, the SEC, or the National 45. The Commission makes no proceedings, including rulemaking Fraud Information Center at (800) 876– representations or guarantees regarding proceedings or petitions for rulemaking, 7060. the accuracy or completeness of applications (including those for information in its databases or any third vii. Environmental Review modification), requests for special party databases, including, for example, Requirements temporary authority, waiver requests, court docketing systems. To the extent petitions to deny, petitions for the Commission’s databases may not 49. Licensees must comply with the reconsideration, informal oppositions, include all information deemed Commission’s rules regarding and applications for review, before the necessary or desirable by an applicant, implementation of the National Commission may relate to particular applicants may obtain or verify such Environmental Policy Act and other applicants or incumbent licensees or the information from independent sources federal environmental statutes. The licenses available in Auctions 73 and or assume the risk of any construction of a wireless antenna 76. For example, bidders should note incompleteness or inaccuracy in said facility is a federal action and the that petitions have been filed for databases. Furthermore, the licensee must comply with the reconsideration of certain decisions Commission makes no representations Commission’s environmental rules for made in the 700 MHz First Report and or guarantees regarding the accuracy or Order and the 700 MHz Second Report each such facility. The Commission’s completeness of information that has environmental rules require, among and Order. In addition, applicants been provided by incumbent licensees should be aware that the Commission other things, that the licensee consult and incorporated into its databases. with expert agencies having has sought comment on a range of 46. Potential applicants are strongly environmental responsibilities, proposals concerning consumer encouraged to physically inspect any including the U.S. Fish and Wildlife education about the DTV transition, prospective sites located in, or near, the including the possible imposition of geographic area for which they plan to Service, the State Historic Preservation reporting requirements on winning bid, and also to familiarize themselves Office, the Army Corps of Engineers and bidders for 700 MHz band licenses. Of with the environmental review the Federal Emergency Management course, pending and future judicial obligations. Agency (through the local authority proceedings may relate to particular with jurisdiction over floodplains). In applicants or incumbent licensees, or v. Use of Integrated Spectrum Auction assessing the effect of facilities the licenses available in Auctions 73 System construction on historic properties, the and 76. Prospective bidders are 47. The Commission will make licensee must follow the provisions of responsible for assessing the likelihood available a browser-based bidding the Nationwide Programmatic of the various possible outcomes, and system to allow bidders to participate in Agreement Regarding the Section 106 considering their potential impact on Auction 73 over the Internet using the National Historic Preservation Act spectrum licenses available in Auctions Commission’s Integrated Spectrum Review Process. The licensee must 73 and 76. Auction System (ISAS or FCC Auction prepare environmental assessments for 42. Applicants should perform due System). The Commission makes no facilities that may have a significant diligence to identify and consider all warranty 21 whatsoever with respect to impact in or on wilderness areas, proceedings that may affect the the FCC Auction System. In no event wildlife preserves, threatened or spectrum licenses being auctioned and shall the Commission, or any of its endangered species or designated that could have an impact on the officers, employees or agents, be liable critical habitats, historical or availability of spectrum for Auction 73. for any damages whatsoever (including, archaeological sites, Indian religious In addition, although the Commission but not limited to, loss of business sites, floodplains, and surface features. may continue to act on various pending profits, business interruption, loss of applications, informal objections, business information, or any other loss) The licensee also must prepare petitions, and other requests for arising out of or relating to the environmental assessments for facilities Commission relief, some of these existence, furnishing, functioning or use that include high intensity white lights matters may not be resolved by the of the FCC Auction System that is in residential neighborhoods or beginning of bidding in the auction. accessible to qualified bidders in excessive radio frequency emission.

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C. Auction Specifics auction on the statutory deadline for bidding, that will be designated as commencing the auction, or one Auction 76. i. Auction 73 Start Date business day prior to the deadline 50. Bidding in Auction 73 will begin would provide insufficient time to iii. Bidding Methodology on Thursday, January 24, 2008. address unexpected matters that might 55. The bidding methodology for 51. This change of the previously- arise just prior to the start of bidding. announced start date for Auction 73 will Auction 73 will be simultaneous provide interested parties with 53. The initial schedule for bidding multiple round (SMR) bidding for the A, additional time after this announcement will be announced by public notice at B, D, and E Block licenses and an of competitive bidding procedures to least one week before the start of the auction design with hierarchical develop business plans, assess market auction. Moreover, unless otherwise package bidding (HPB) for the C Block conditions, and evaluate the availability announced, bidding on all licenses and licenses. The Commission will conduct of equipment for new 700 MHz Band packages will be conducted on each Auctions 73 and 76 over the Internet services. business day until bidding has stopped using the FCC Auction System, and 52. Some commenters had sought a on all licenses and packages. telephonic bidding will be available as well. Qualified bidders are permitted to postponement of the previously- ii. Auction Title announced start date until January 25 or bid electronically via the Internet or by 28, 2008. Pursuant to the Congressional 54. The auction in which the 700 telephone. All telephone calls are mandate, the Commission must conduct MHz Band licenses will initially be recorded. the auction of licenses for recovered offered is designated as Auction 73— iv. Pre-Auction Dates and Deadlines analog spectrum in the 700 MHz Band 700 MHz Band. In the event that any by commencing the bidding not later licenses, including alternative licenses, 56. The following dates and deadlines than January 28, 2008. Starting the are offered in contingent subsequent apply:

Auction Seminar ...... November 20, 2007. Auction 73 and 76 Short-Form Application (FCC Form 175) Filing Window Opens ...... November 19, 2007; 12 noon ET. Auction 73 and 76 Short-Form Application (FCC Form 175) Filing Window Deadline ...... December 3, 2007; prior to 6 p.m. ET. Auction 73 Upfront Payments (via wire transfer) ...... December 28, 2007; 6 p.m. ET. Mock Auction ...... January 18, 2008. Auction 73 Begins ...... January 24, 2008.

57. If contingent subsequent bidding Form (FCC Form 159) by 6 p.m. ET, the commencement of Auction 73. The is necessary, the Bureau intends to December 28, 2007, following the commenter also requests that the announce the start date for Auction 76 procedures and instructions set forth in Commission investigate alleged and the deadline for additional upfront Attachment F to the Auctions 73 and 76 violations of the Commission’s ex parte payments within five business days Procedures Public Notice; (4) for rules by a wireless company concerning after the end of bidding in Auction 73. Auction 76 (if necessary), submit a policy on the open platform provisions The Bureau expects that Auction 76 sufficient upfront payment and an FCC for C Block licenses, and proposes would begin within three weeks of that Remittance Advice Form (FCC Form excluding that company from Auction announcement. 159) by the deadline to be announced 73 as a possible sanction for violating following the end of bidding in Auction the Commission’s rules. v. Requirements for Participation in 73; and (5) comply with all provisions 60. These issues are outside the scope Auction 73 and 76 outlined in this Public Notice and of this non-rulemaking proceeding, 58. Those wishing to participate in applicable Commission rules. which is confined to establishing Auction 73 and 76 (should any competitive bidding procedures for subsequent auction become necessary), D. Other Issues Raised by Commenters Auction 73. The Bureau notes that some must: (1) For Auction 73, submit a 59. Two commenters raised issues of these issues have been presented to short-form application (FCC Form 175) that are unrelated to those raised in the the Commission in petitions for electronically prior to 6 p.m. ET, 700 MHz Auction Public Notice. One reconsideration of the 700 MHz Second December 3, 2007, following the commenter proposes that the Report and Order and will be addressed electronic filing procedures set forth in Commission should require that all in that proceeding. Attachment D to the Auctions 73 and 76 licenses offered in Auction 73 be made Procedures Public Notice; (2) for available to public safety personnel for II. Short-Form Application (FCC Form Auction 76, submit short-form priority use during critical emergencies. 175) Requirements applications (FCC Form 175) The commenter also suggests that such 61. Entities seeking licenses available electronically prior to 6 p.m. ET, a requirement be considered in the in Auction 73 must file a short-form December 3, 2007, for each auction event of a contingent auction, if any. application electronically via the FCC following the electronic filing Another commenter urges the Auction System prior to 6 p.m. ET on procedures set forth in Attachments D Commission to require applicants to December 3, 2007, following the and E to the Auctions 73 and 76 disclose on their short-form applications procedures prescribed in Attachment D Procedures Public Notice. Bidding in whether winning the licenses they have to the Auctions 73 and 76 Procedures Auction 76 is open only to applicants selected would cause their spectrum Public Notice. Applicants filing a short- that qualify to participate in Auction 73, holdings to exceed 70 MHz of spectrum form application are subject to the and that comply with all of the in the markets of the selected licenses. Commission’s anti-collusion rules requirements for participating in In the event that any applicants indicate beginning on the deadline for filing. For Auction 76, including submitting a that their spectrum holdings would Auctions 73 and 76, applicants filing a separate short-form application; (3) for exceed this amount, the commenter short-form application for Auction 73 Auction 73, submit a sufficient upfront proposed that their short-form will remain subject to the Commission’s payment and an FCC Remittance Advice applications should be dismissed before anti-collusion rules through the

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completion of Auction 76, if conducted. and address, certification of the form’s receive a 25 percent discount on its If an applicant claims eligibility for a contents, etc. As noted in the winning bid. bidding credit, the information provided procedures for filing the abbreviated 68. Bidding credits are not in its FCC Form 175 will be used in short-form application for Auction 76, cumulative; a qualifying applicant determining whether the applicant is applicants must provide the same receives either the 15 percent or 25 eligible for the claimed bidding credit. information submitted in their percent bidding credit on its winning Applicants bear full responsibility for application for Auction 73 as they bid, but not both. submitting accurate, complete and provide in their Auction 76 application. 69. Every applicant that claims timely short-form applications. All Most importantly, if an entity wishes to eligibility for a bidding credit as either applicants must certify on their short- submit a short-form application for a small business or a very small form applications under penalty of Auction 76, it must do so using the business, or a consortium of small perjury that they are legally, technically, same FRN that it uses for its short-form businesses or very small businesses, financially and otherwise qualified to application for Auction 73. In addition, will be required to provide information hold a license. Applicants should read the same person must certify both regarding revenues attributable to the the instructions set forth in Attachment applications, as the certification applies applicant, its affiliates, its controlling D to the Auctions 73 and 76 Procedures to information submitted in both interests, and the affiliates of its Public Notice carefully and should applications. controlling interests on its FCC Form consult 26 the Commission’s rules to 175 short-form application for Auction 65. An entity may not submit more 73 to establish that it satisfies the ensure that all the information that is than one short-form application for required under the Commission’s rules applicable eligibility requirement. An Auction 73. Similarly, an entity may not is included with their short-form applicant’s disclosure of this submit more than one short-form applications. information in the short-form 62. Entities seeking licenses that may application for Auction 76. If a party application for Auction 73 will become be offered in Auction 76, if Auction 76 submits multiple short-form part of the applicant’s Auction 76 is conducted, must file electronically applications for either Auction 73 or application, in the event the via the FCC Auction System prior to 6 Auction 76, only one application for Commission conducts Auction 76. p.m. ET on December 3, 2007 both a each will be accepted for filing. Accordingly, applicants are not short-form application for Auction 73, 66. Applicants also should note that required—and will not be able to— following the procedures prescribed in submission of a short-form application submit this information in their Attachment D to the Auctions 73 and 76 (and any amendments thereto) abbreviated Auction 76 application. Procedures Public Notice, and an constitutes a representation by the Applicants claiming eligibility as a abbreviated short-form application for certifying official that he or she is an designated entity in Auction 73 and Auction 76, following the procedures authorized representative of the Auction 76 should review carefully the prescribed in Attachment E to the applicant, that he or she has read the CSEA/Part 1 Report and Order, 71 FR Auctions 73 and 76 Procedures Public form’s instructions and certifications, 6992, February 10, 2006, the Designated Notice. Applicants filing short-form and that the contents of the application, Entity Second Report and Order, 71 FR applications for both Auctions 73 and its certifications, and any attachments 26245, May 5, 2006, and the Order on 76 are subject to the Commission’s anti- are true and correct. Applicants are not Reconsideration of the Designated collusion rules beginning on the permitted to make major modifications Entity Second Report and Order, 71 FR deadline for filing both applications. to their applications; such 34272, June 14, 2006. In that 63. To streamline the application impermissible changes include a change connection, the Commission adopted process, other than license selection of the certifying official to the rules governing eligibility for designated requirements, all relevant information application. Submission of a false entity benefits in the Designated Entity for the application to participate in certification to the Commission may Second Report and Order. The Auction 76 must be submitted as part of result in penalties, including monetary Commission’s rules regarding applicants the application to participate in Auction forfeitures, license forfeitures, seeking eligibility for designated entity 73. The Auction 76 abbreviated ineligibility to participate in future benefits require the disclosure of: (1) All application will request—and will auctions, and/or criminal prosecution. parties with which the applicant has accept—only information that the FCC entered into arrangements for the lease Auction System requires in order to A. Preferences for Small Businesses and or resale (including wholesale enable applicants to submit license Others agreements) of any of the capacity of selections for Auction 76. For example, i. Size Standards for Bidding Credits any of the applicant’s spectrum; and (2) applicants seeking to submit the gross revenues, separately and in the information regarding bidding 67. A bidding credit represents the aggregate, of entities with which the agreements with respect to licenses amount by which a bidder’s winning applicant has an attributable material offered in Auction 76 will not be able bid will be discounted. For Auction 73 relationship, as defined in to access the bidding agreement screens and Auction 76, bidding credits will be § 1.2110(b)(3)(iv)(B). that are usually part of the short-form available to small businesses and very 70. The Commission has adopted a application in the Auction 76 small businesses, and consortia thereof, narrow exemption from the attribution abbreviated application. Instead, such as follows: (1) A bidder with attributed rule for the officers and directors of a applicants must submit information average annual gross revenues that rural telephone cooperative pursuant to regarding those agreements as part of exceed $15 million and do not exceed which the gross revenues of the their Auction 73 short-form application. $40 million for the preceding three affiliates of the cooperative’s officers 64. To comply with FCC Auction years (small business) will receive a 15 and directors are not attributed to the System requirements, however, percent discount on its winning bid; applicant. An applicant (or controlling applicants will be required to repeat and (2) a bidder with attributed average interest) seeking to claim this exemption some information submitted in their annual gross revenues that do not must include in its short-form Auction 73 application, e.g., their FCC exceed $15 million for the preceding application a certification that it is Registration Number (FRN), their name three years (very small business) will validly organized under the most

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closely applicable organizing statute for then create additional customized lists applicants, provided that: (1) The a cooperative, and that such to select additional licenses. attributable interest holder certifies that organization is reflected in its articles of 75. Applicants will not be able to it has not and will not communicate incorporation, bylaws, and/or other change their license selections for either with any party concerning the bids or relevant organic documents. Applicants Auction 73 or Auction 76 after the bidding strategies of more than one of seeking to claim this exemption must short-form application filing deadline. the applicants in which it holds an meet all of the conditions specified in Applicants interested in participating in attributable interest, or with which it § 1.2110(b)(3)(iii) of the Commission’s Auctions 73 and 76 must have selected has entered into a joint bidding rules. Additional guidance on license(s) available in the respective arrangement; and (2) the arrangements completing the FCC Form 175 to claim auction by the short-form application do not result in a change in control of this exemption may be found in deadline. Applicants must confirm their any of the applicants. While the anti- Attachment D to the Auctions 73 and 76 license selections before the deadline collusion rules do not prohibit non- Procedures Public Notice. for submitting FCC Form 175. The FCC auction-related business negotiations Auction System will not accept bids among auction applicants, applicants ii. Tribal Lands Bidding Credit from an applicant on individual licenses are reminded that certain discussions or 71. To encourage the growth of that the applicant has not selected on its exchanges could touch upon wireless services in federally recognized FCC Form 175. In addition, the FCC impermissible subject matters because tribal lands, the Commission has Auction System will not accept bids they may convey pricing information implemented a tribal lands bidding from an applicant on a pre-defined and bidding strategies. Compliance with credit. Applicants do not provide hierarchical package unless the the disclosure requirements of the information regarding tribal lands applicant selected on its FCC Form 175 Commission’s anti-collusion rule will bidding credits on their FCC Form 175 all the individual licenses that comprise not insulate a party from enforcement of short-form applications. Instead, the package. the antitrust laws. winning bidders may apply for the tribal C. Disclosure of Bidding Arrangements D. Ownership Disclosure Requirements lands bidding credit after the auction 76. Applicants will be required to 79. All applicants must comply with when they file their FCC Form 601 long- identify in their short-form application the uniform part 1 ownership disclosure form applications. for Auction 73 all parties with whom standards and provide information iii. Installment Payments they have entered into any agreements, required by § 1.2105 and 1.2112 of the arrangements, or understandings of any Commission’s rules. Specifically, in 72. Installment payment plans will kind relating to the licenses being completing the short-form application not be available in Auction 73 or in auctioned in Auctions 73 and 76, for Auction 73, applicants will be Auction 76. including any agreements relating to required to fully disclose information on B. License Selection post-auction market structure. The the real party or parties-in-interest and agreements identified in the short-form ownership structure of the applicant. 73. An applicant must select the application for Auction 73 will become The ownership disclosure standards for initially offered licenses on which it part of the applicant’s Auction 76 the short-form application are wants to bid individually or as part of application, in the event the 31 prescribed in § 1.2105 and 1.2112 of the a pre-defined package in Auction 73 Commission conducts Auction 76. Commission’s rules. Each applicant is from the Eligible Licenses list on its Accordingly, applicants are not responsible for information submitted in short-form application for Auction 73. required—and will not be able to— its short-form application being An applicant interested in bidding on disclose bidding agreements in their complete and accurate. An applicant’s licenses in the contingent subsequent abbreviated Auction 76 application. disclosure of ownership information in auction must select those licenses from 77. Applicants also will be required to the short-form application for Auction the Eligible Licenses list on its short- certify under penalty of perjury in their 73 will become part of the applicant’s form application for Auction 76. short-form applications that they have Auction 76 application, in the event the Applicants will be able to bid on pre- not entered and will not enter into any Commission conducts Auction 76. defined packages of initially offered C explicit or implicit agreements, Accordingly, applicants are not Block licenses and alternative C2 Block arrangements or understandings of any required—and will not be able to— licenses, if offered in subsequent kind with any parties, other than those submit ownership disclosure bidding, pursuant to the package identified in the application to information in their abbreviated bidding procedures, only if they have participate in Auction 73, regarding the Auction 76 application. selected all the individual licenses that amount of their bids, bidding strategies, 80. An applicant’s most current comprise the relevant package on their or the particular licenses on which they ownership information on file with the respective short-form applications. will or will not bid. If an applicant has Commission, if in an electronic format 74. To assist applicants in identifying had discussions, but has not reached an compatible with the short-form licenses of interest that will be available agreement by the short-form application application (FCC Form 175) (such as in Auctions 73 and 76, FCC Form 175 filing deadline, it would not include the information submitted in an online FCC will include a filtering mechanism that names of parties to the discussions on Form 602 or in an FCC Form 175 filed allows an applicant to filter the Eligible its application and may not continue for a previous auction using ISAS) will Licenses list. The applicant will make such discussions with any applicants automatically be entered into the selections for one or more of the filter after the deadline. applicant’s short-form application. An criteria and the system will produce a 78. After the filing of short-form applicant is responsible for ensuring list of licenses satisfying the specified applications, the Commission’s rules do that the information submitted in its criteria. The applicant may select all the not prohibit a party holding a non- short-form application for Auction 73 is licenses in the customized list or select controlling, attributable interest in one complete and accurate. Accordingly, individual licenses from the list. applicant from acquiring an ownership applicants should carefully review any Applicants also will be able to select interest in or entering into a joint information automatically entered to licenses from one customized list and bidding arrangement with other confirm that it is complete and accurate

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as of the deadline for filing the short- Commission does not impose specific the context of future assignments, form application. Applicants can update equity requirements on controlling transfers of control, spectrum leases, or any information that was entered interest holders. Once the principals or other reportable eligibility events. automatically and needs to be changed entities with a controlling interest are Rather, the occurrence of any of those directly in the short-form application. determined, only the revenues of those 35 eligibility events after the release principals or entities; the affiliates of date of the Designated Entity Second E. Bidding Credit Revenue Disclosures those principals or entities; the Report and Order triggers a 81. To determine which applicants applicant and its affiliates; and any reexamination of the applicant’s or qualify for bidding credits as small parties having an attributable material licensee’s designated entity eligibility, businesses or very small businesses, the relationship with the applicant will be taking into account all existing material Commission considers the gross counted in determining small business relationships, including those revenues of the applicant, its affiliates, eligibility. previously grandfathered. its controlling interests, and the 84. In the Designated Entity Second 87. In recent years the Commission affiliates of its controlling interests. Report and Order, the Commission has also made other modifications to its Therefore, entities applying to bid as adopted material relationship rules. The rules governing the attribution of gross small businesses or very small Commission now requires the revenues for purposes of determining businesses (or consortia of small consideration of certain leasing and small business eligibility. These changes businesses or very small businesses) resale (including wholesale) include exempting the gross revenues of will be required to disclose on their relationships—material relationships— the affiliates of a rural telephone short-form applications for Auction 73 in determining designated entity cooperative’s officers and directors from the gross revenues of the preceding eligibility. Material relationships fall attribution to the applicant if certain three years for each of the following: (1) into two categories: impermissible and specified conditions are met. The The applicant; (2) its 33 affiliates; (3) its attributable. An applicant or licensee Commission has also clarified that, in controlling interests; and (4) the has an impermissible material calculating an applicant’s gross affiliates of its controlling interests. relationship when it has agreements revenues under the controlling interest Certification that the average annual with one or more other entities for the standard, it will not attribute the gross revenues of such entities and lease or resale (including under a personal net worth, including personal individuals for the preceding three years wholesale agreement) of, on a income, of its officers and directors to do not exceed the applicable limit is not cumulative basis, more than 50 percent the applicant. sufficient. Applicants must also disclose of the spectrum capacity of any of its 88. A consortium of small businesses the gross revenues of the entities with licenses. If an applicant or a licensee or very small businesses is a which they have attributable material has an impermissible material conglomerate organization composed of relationships, as defined by the relationship, it is, as a result, (1) two or more entities, each of which Commission’s rules. Additionally, if an ineligible for the award of designated individually satisfies the definition of a applicant is applying as a consortium of entity benefits, and (2) subject to unjust small business or very small business as small businesses or very small enrichment on a license-bylicense basis. those terms are defined in the service- businesses, this information must be 85. An applicant or licensee has an specific rules. Thus, each member of a provided for each consortium member. attributable material relationship when consortium of small or very small An applicant’s disclosure of bidding it has one or more agreements with any businesses that applies to participate in credit revenue information in the short- individual entity for the lease or resale Auction 73 must individually meet the form application for Auction 73 will (including under a wholesale definition of small business or very become part of the applicant’s Auction agreement) of, on a cumulative basis, small business adopted by the 76 application, in the event the more than 25 percent of the spectrum Commission for the 700 MHz Band. Commission conducts Auction 76. capacity of any individual license held Each consortium member must disclose Accordingly, applicants are not required by the applicant or licensee. The its gross revenues along with those of its and will not be able to submit bidding attributable material relationship will affiliates, its controlling interests, the credit revenue information in their cause the gross revenues and, if affiliates of its controlling interests, and abbreviated Auction 76 application. applicable, total assets of that entity and any entities having an attributable 82. Controlling interests of an its attributable interest holders to be material relationship with the member. applicant include individuals and attributed to the applicant or licensee Although the gross revenues of the entities with either de facto or de jure for the purposes of determining the consortium members will not be control of the applicant. Typically, applicant’s or licensee’s (1) eligibility aggregated for purposes of determining ownership of at least 50.1 percent of an for designated entity benefits and (2) the consortium’s eligibility as a small entity’s voting stock evidences de jure liability for unjust enrichment on a business or very small business, this control. De facto control is determined license-by-license basis. information must be provided to ensure on a case-by-case basis. The following 86. The Commission grandfathered that each individual consortium are some common indicia of de facto material relationships in existence member qualifies for any bidding credit control: (1) The entity constitutes or before the release of the Designated awarded to the consortium. appoints more than 50 percent of the Entity Second Report and Order, board of directors or management meaning that those preexisting F. Provisions Regarding Former and committee; (2) the entity has authority relationships would not alone cause the Current Defaulters to appoint, promote, demote, and fire Commission to examine a designated 89. Each applicant must state under senior executives that control the day- entity’s ongoing eligibility for benefits penalty of perjury on its short-form to-day activities of the licensee; and (3) or its liability for unjust enrichment. application whether or not the the entity plays an integral role in The Commission did not, however, applicant, its affiliates, its controlling management decisions. grandfather preexisting material interests, and the affiliates of its 36 83. Officers and directors of an relationships for determinations of an controlling interests, as defined by applicant are also considered to have applicant’s or licensee’s designated § 1.2110, have ever been in default on controlling interest in the applicant. The entity eligibility for future auctions or in any Commission licenses or have ever

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been delinquent on any non-tax debt purposes of § 1.2105(a) and 1.2106(a) form applications regarding this status. owed to any Federal agency. In only after the expiration of a final This applicant status information is addition, each applicant must certify payment deadline. Therefore, with collected for statistical purposes only under penalty of perjury on its short- respect to regulatory or application fees, and assists the Commission in form application that, as of the short- the provisions of § 1.2105(a) and monitoring the participation of form filing deadline, the applicant, its 1.2106(a) regarding default and designated entities in its auctions. affiliates, its controlling interests, and delinquency in connection with H. Minor Modifications to Short-Form the affiliates of its controlling interests, competitive bidding are limited to Applications (FCC Form 175) as defined by § 1.2110, are not in default circumstances in which the relevant on any payment for Commission party has not complied with a final 96. Applicants are not permitted to licenses (including down payments) and Commission payment deadline. make major modifications to their short- that they are not delinquent on any non- 93. The Commission considers form applications (e.g., change their tax debt owed to any Federal agency. outstanding debts owed to the United license selections, change control of the Prospective applicants are reminded States Government, in any amount, to be applicant, change the certifying official, that submission of a false certification to a serious matter. The Commission or change their size to claim eligibility the Commission is a serious matter that adopted rules, including a provision for a higher bidding credit) after the may result in severe penalties, including referred to as the red light rule, that short-form application deadline. Thus, monetary forfeitures, license implement the Commission’s any change in control of an applicant, revocations, exclusion from obligations under the Debt Collection resulting from a merger for example, participation in future auctions, and/or Improvement Act of 1996, which will be considered a major modification criminal prosecution. These statements governs the collection of claims owed to to the applicant’s FCC Form 175, which and certifications are prerequisites to the United States. Under the red light will consequently be dismissed. submitting an application in the FCC rule, the Commission will not process 97. Applicants are, however, Auction System. Accordingly, applications and other requests for permitted to make only minor changes applicants seeking licenses that may be benefits filed by parties that have to their FCC Form 175 after the short- offered in Auction 76 will be required outstanding debts owed to the form application deadline. Permissible to make these statements and Commission. In the same rulemaking minor changes include, for example, certifications in both their short-form order, the Commission explicitly deletion and addition of authorized application for Auction 73 and their declared, however, that the bidders (to a maximum of three) and abbreviated Auction 76 application. Commission’s competitive bidding rules revision of addresses and telephone 90. Former defaulters—i.e., are not affected by the red light rule. As numbers of the applicants and their applicants, including any of their a consequence, the Commission’s contact persons. affiliates, any of their controlling adoption of the red light rule does not 98. If an applicant wishes to make interests, or any of the affiliates of their alter the applicability of any of the permissible minor changes to its short- controlling interests, that in the past Commission’s competitive bidding form application, such changes should have defaulted on any Commission rules, including the provisions and be made electronically to its Auction 73 licenses or been delinquent on any non- certifications of § 1.2105 and 1.2106, short-form application using the FCC tax debt owed to any Federal agency, with regard to current and former Auction System. Applicants should not but that have since remedied all such defaults or delinquencies. Applicants make changes to short-form applications defaults and cured all of their are reminded, however, that the 39 associated with Auction 76. outstanding non-tax delinquencies—are Commission’s Red Light Display Applicants are reminded to click on the eligible to bid in Auctions 73 and 76, System, which provides information SUBMIT button in the FCC Auction provided that they are otherwise regarding debts owed to the System for the changes to be submitted qualified. Former defaulters are required Commission, may not be determinative and considered by the Commission. to pay upfront payments that are fifty of an auction applicant’s ability to After the revised application has been percent more than the normal upfront comply with the default and submitted, a confirmation page will be payment amounts. delinquency disclosure requirements of displayed that states the submission 91. Current defaulters—i.e., § 1.2105. Thus, while the red light rule time and date, along with a unique file applicants, including any of their ultimately may prevent the processing number. affiliates, any of their controlling of long-form 38 applications by auction 99. In addition, during those periods interests, or any of the affiliates of their winners, an auction applicant’s red light outside of the initial and resubmission controlling interests, that are in default status is not necessarily determinative filing windows (i.e., when an applicant on any payment for any Commission of its eligibility to participate in an cannot electronically update its FCC licenses (including down payments) or auction or of its upfront payment Form 175), an applicant should submit are delinquent on any non-tax debt obligation. a letter briefly summarizing the changes owed to any Federal agency as of the 94. Prospective applicants should and subsequently update its short-form filing deadline for short-form note that any long-form applications applications in ISAS as soon as applications—are not eligible to bid in filed after the close of competitive possible. After the filing window has either Auction 73 or Auction 76. bidding will be reviewed for compliance closed, the auction system will not 92. Applicants are encouraged to with the Commission’s red light rule, permit applicants to make certain review the Bureau’s previous guidance and such review may result in the changes, such as legal classification and on default and delinquency disclosure dismissal of a winning bidder’s long- bidding credit. Any letter describing requirements in the context of the short- form application. changes to an applicant’s short-form form application process. For example, application should be submitted by it has been determined that to the extent G. Other Information electronic mail to the following address: that Commission rules permit late 95. Applicants owned by members of [email protected]. The electronic mail payment of regulatory or application minority groups and/or women, as summarizing the changes must include fees accompanied by late fees, such defined in § 1.2110(c)(3), may identify a subject or caption referring to Auction debts will become delinquent for themselves in filling out their short- 73 and the name of the applicant (e.g.,

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RE: Changes to Auction 73 Short-Form other matters related to Auctions 73 and identifying: (1) Those applications Application of ABC Corp.), and should 76. accepted for filing; (2) those not reference Auction 76. 104. To register, please provide the applications rejected; and (3) those 100. Applicants must not submit information listed on the Auctions 73 applications which have minor defects application-specific material through and 76 Public Notice released October that may be corrected, and the deadline the Commission’s Electronic Comment 19, 2007 (DA 07–4236), by fax (717) for resubmitting corrected applications. Filing System (ECFS). 338–2850, e-mail [email protected] or 109. After the December 3, 2007, telephone (717) 338–2868 to the FCC by short-form filing deadline, applicants I. Maintaining Current Information in Friday, November 16, 2007. For may make only minor corrections to Short-Form Applications (FCC Form individuals who are unable to attend, an their applications. Applicants will not 175) Audio/Video webcast of this seminar be permitted to make major will be available from the FCC’s Auction modifications to their applications (e.g., 101. Section 1.65 of the Commission’s 73 Web page at http://wireless.fcc.gov/ change their license selections, change rules requires an applicant to maintain auctions/73/. control of the applicant, change the accuracy and completeness of certifying official, or change their size to B. Short-Form Applications (FCC Form information furnished in its pending claim eligibility for a higher bidding 175)—Due Prior to 6 p.m. ET on application and to notify the credit). Accordingly, applicants December 3, 2007 Commission within 30 days of any interested in participating in any substantial change that may be of 105. In order to be eligible to bid in potential contingent subsequent bidding decisional significance to that Auction 73 or Auction 76, applicants must have selected license(s) available application. Changes that cause a loss of must first follow the procedures set in the initial bidding as well as licenses or reduction in eligibility for a bidding forth in Attachments D and E to the that may be available in contingent credit must be reported immediately. If Auctions 73 and 76 Procedures Public subsequent bidding, including an amendment reporting substantial Notice to submit an FCC Form 175 alternative licenses, by the deadline for changes is a major amendment as application electronically via the FCC submitting their application to defined by § 1.2105, the major Auction System. The application must participate in Auction 73. FCC amendment will not be accepted and be received at the Commission prior to personnel will communicate regarding a may result in the dismissal of the short- 6 p.m. ET on December 3, 2007. Late short-form application only with an form application. applications will not be accepted. There applicant’s contact person or certifying 102. After the short-form filing is no application fee required when official, as designated on the applicant’s deadline, applicants may make only filing an FCC Form 175, but an FCC Form 175, unless the applicant’s minor changes to their short-form applicant must submit an upfront certifying official or contact person applications, such as deleting or adding payment to be eligible to bid. notifies the Commission in writing that authorized bidders (to a maximum of 106. Applications may generally be applicant’s counsel or other three). Applicants must click on the filed at any time beginning at noon ET representative is authorized to speak on SUBMIT button in the FCC Auction on November 19, 2007, and the filing its behalf. System for the changes to be submitted window will close prior to 6 p.m. ET on D. Upfront Payments—Due December and considered by the Commission. In December 3, 2007. Applicants are 28, 2007 addition, applicants must submit a strongly encouraged to file early and are letter, briefly summarizing the changes, responsible for allowing adequate time 110. In order to be eligible to bid in by electronic mail at the following for filing their applications. Applicants Auction 73 and any contingent address: [email protected]. The may update or amend their applications subsequent auction, applicants must electronic mail summarizing the multiple times until the filing deadline submit an upfront payment changes must include a subject or on December 3, 2007. accompanied by an FCC Remittance caption referring to Auction 73 and the 107. Applicants must always click on Advice Form (FCC Form 159). Only name of the applicant. Applicants must the SUBMIT button on the Certify & applicants that become qualified not submit application-specific material Submit screen of the electronic form to bidders in Auction 73, by, among other through ECFS. successfully submit or modify their FCC things, making upfront payments to be Form 175. Any form that is not eligible to bid in Auction 73, will be III. Pre-Auction Procedures submitted will not be reviewed by the eligible to participate in any contingent A. Auction Seminar—November 20, FCC. Additional information about subsequent auction. However, qualified 2007 accessing, completing, and viewing the bidders in Auction 73 will be permitted FCC Form 175 is included in to make additional upfront payments 103. On Tuesday November 20, 2007, Attachments D and E of the Auctions 73 with respect to licenses being offered in the FCC will sponsor a free seminar for and 76 Procedures Public Notice. FCC any contingent subsequent auction at a parties interested in participating in Auctions Technical Support is available later date. After completing the FCC Auctions 73 and 76 at the FCC at (877) 480–3200, or (202) 414–1255 Form 175, filers will have access to an headquarters, located at 445 12th Street, (text telephone (TTY)); hours of service electronic version of the FCC Form 159 SW., Washington, DC. The seminar will are Monday through Friday, from 8 a.m. that can be printed and sent by facsimile provide attendees with information to 6 p.m. ET. to Mellon Bank in Pittsburgh, PA. All about pre-auction procedures, upfront payments for Auction 73 must C. Application Processing and Minor completing FCC Form 175, auction be received in the proper account at Corrections conduct, the FCC Auction System, Mellon Bank by 6 p.m. ET on December auction rules, and the 700 MHz Band 108. After the deadline for filing 28, 2007. service rules. The seminar will also short-form applications, the provide an opportunity for prospective Commission will process all timely i. Making Upfront Payments by Wire bidders to ask questions of FCC staff submitted applications to determine Transfer concerning the auction, auction which are acceptable for filing, and 111. Wire transfer payments for procedures, filing requirements and subsequently will issue a public notice Auction 73 must be received by 6 p.m.

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ET on December 28, 2007. No other payment amounts, is accurate. The FCC the sum of $0.05/MHz-pop for counties payment method is acceptable. To avoid Form 159 can be completed contained within an MSA and $0.03/ untimely payments, applicants should electronically, but must be filed with MHz-pop for counties contained within discuss arrangements (including bank Mellon Bank via facsimile. an RSA; (3) for licenses covering REAGs closing schedules) with their banker in the 50 states in which the iii. Upfront Payments and Bidding several days before they plan to make corresponding licenses in all three Eligibility the wire transfer, and allow sufficient REAG blocks offered in Auction 66 were time for the transfer to be initiated and 115. In the 700 MHz Auction Public sold, the sum of $0.05/MHz-pop for completed before the deadline. The BNF Notice, the Bureau proposed that the counties contained within an MSA and and Lockbox number are specific to the amount of the upfront payment would $0.03/MHz-pop for counties contained upfront payments for Auction 73. Do determine a bidder’s initial bidding within an RSA; (4)for licenses covering not use BNF or Lockbox numbers from eligibility, the maximum number of geographic areas for which an Auction previous auctions. Wire transfer bidding units on which a bidder may 66 license was unsold, $0.01/MHz-pop; information for Auction 76 will be made place bids. In addition, consistent with (5)for licenses covering the Gulf of available in a future public notice. the Commission’s direction in the 700 Mexico, $1,000 per MHz; and (6) for all 112. At least one hour before placing MHz Second Report and Order, the remaining licenses, $0.01/MHz-pop. For the order for the wire transfer (but on Bureau proposed that qualified bidders all licenses, the results of the above the same business day), applicants must in Auction 73 would have an calculations are subject to a minimum of send by facsimile a completed FCC opportunity to submit additional $500 per license and are rounded using Form 159 (Revised 2/03) to Mellon Bank upfront payments to obtain bidding its standard rounding procedure. at (412) 209–6045. On the cover sheet of eligibility for licenses in any contingent 118. The Bureau set forth the specific the facsimile, write Wire Transfer— subsequent auction (Auction 76). upfront payments and bidding units for Auction Payment for Auction 73. In 116. Under the Bureau’s proposal, in each license in Attachment A of the 700 order to meet the Commission’s upfront order to bid on a particular license or MHz Auction Public Notice and sought payment deadline, an applicant’s package, qualified bidders must have comment on this proposal. The Bureau payment must be credited to the selected the license(s) on FCC Form 175 did not receive any comments in Commission’s account before the and must have a current eligibility level response to the proposed upfront deadline. Applicants are responsible for that meets or exceeds the number of payments, or on its proposal that the obtaining confirmation from their bidding units assigned to that license or upfront payment amount would financial institution that Mellon Bank package. For a package, the bidding determine a bidder’s initial bidding has timely received their upfront units are calculated by adding together eligibility. Therefore, the Bureau adopt payment and deposited it in the proper the bidding units of the individual the upfront payments and bidding units account. licenses that make up the package. At a for each 46 license in Auction 73 as 113. Please note that: (1) All payments minimum, therefore, an applicant’s total proposed and set forth in Attachment A must be made in U.S. dollars; (2) all upfront payment must be enough to of the Auctions 73 and 76 Procedures payments must be made by wire establish eligibility to bid on at least one Public Notice. transfer; (3) upfront payments for of the licenses selected on its FCC Form 119. In calculating its upfront Auction 73 go to a lockbox number 175 for Auction 73, or else the applicant payment amount, an applicant different from the lockboxes used in will not be eligible to participate in interested in bidding only on individual previous FCC auctions, and different Auction 73 or in Auction 76. An licenses should determine the from the lockbox number to be used for applicant does not have to make an maximum number of bidding units on post-auction payments; and (4) failure to upfront 45 payment to cover all licenses which it may wish to be active (bid on deliver the upfront payment as the applicant selected on its FCC Form or hold provisionally winning bids on) instructed by the December 28, 2007, 175, but rather to cover the maximum in any single round in Auction 73, and deadline will result in dismissal of the number of bidding units that are submit an upfront payment amount application and disqualification from associated with licenses on which the covering that number of bidding units. participation in the auction as well as bidder wishes to place bids and hold Applicants interested in bidding on ineligibility for participation in any provisionally winning bids (via bids on packages should determine their upfront contingent subsequent bidding for 700 licenses and/or packages) at any given payment amount by calculating the sum MHz Band licenses. time in Auction 73. If contingent of bidding units associated with each subsequent bidding is necessary, discrete license they wish to include in ii. FCC Form 159 qualified bidders for Auction 73 will be new bids (package or individual bids) or 114. A completed FCC Remittance given an opportunity to supplement have included in provisionally winning Advice Form (FCC Form 159, Revised 2/ their upfront payments in order to bids in any single round. The bidding 03) must be sent by facsimile to Mellon increase their bidding eligibility for units associated with a given license, Bank to accompany each upfront Auction 76. even if the license is included in more payment. Proper completion of FCC 117. In the 700 MHz Auction Public than one bid, will be counted only once Form 159 (Revised 2/03) is critical to Notice, the Bureau proposed to calculate per bidder per round. In order to make ensuring correct crediting of upfront upfront payments as follows: (1) For this calculation, an applicant should payments. Detailed instructions for licenses covering CMAs in the 50 states add together the upfront payments for completion of FCC Form 159 are in which the licenses offered in Auction all licenses comprising all combinations included in Attachment F to the 66 were sold, $0.05 per MHz per of licenses and packages of licenses on Auctions 73 and 76 Procedures Public population (MHz-pop) for Metropolitan which it seeks to be active in any given Notice. An electronic pre-filled version Statistical Area (MSA) licenses and round. If a bidder has enough eligibility of the FCC Form 159 is available after $0.03/MHz-pop for Rural Service Area to bid on certain licenses, it can place submitting the FCC Form 175. Payors (RSA) licenses; (2) for licenses covering bids on the licenses individually and on using a pre-filled FCC Form 159 are EAs in the 50 states in which the packages containing those licenses responsible for ensuring that all of the corresponding licenses in both EA without needing additional eligibility. information on the form, including blocks offered in Auction 66 were sold, For example, if licenses A, B, and C

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each have 10,000 bidding units, and a will be required to place bids, the G. Mock Auction—January 18, 2008 bidder wishes in a single round to be Integrated Spectrum Auction System 129. All qualified bidders will be able to bid on licenses A, B, and C (ISAS) Bidder’s Guide, and the Auction eligible to participate in a mock auction individually and on packages AB and Bidder Line phone number. ABC, the bidder needs 30,000 bidding on Friday, January 18, 2008. The mock 125. Qualified bidders that do not auction will enable applicants to units of eligibility. Applicants should receive this registration mailing will not check their calculations carefully, as become familiar with the FCC Auction be able to submit bids. Therefore, any System prior to the auction. there is no provision for increasing a qualified bidder that has not received bidder’s eligibility for Auction 73 after Participation by all bidders is strongly this mailing by noon on Tuesday, recommended. Details will be the upfront payment deadline. January 15, 2008, should call (717) 338– 120. The Bureau reiterates that, in the announced by public notice. 2868. Receipt of this registration mailing event it is necessary to conduct Auction is critical to participating in the auction, IV. Auction 73 76, bidders will have an opportunity to and each applicant is responsible for supplement their upfront payments in 130. The first round of bidding for ensuring it has received all of the order to increase their bidding eligibility Auction 73 will begin on Thursday, registration material. for Auction 76. The instructions and January 24, 2008. The initial bidding deadline for doing so would be 126. In the event that SecurID  schedule will be announced in a public announced within five business days tokens are lost or damaged, only a notice listing the qualified bidders, after the end of bidding in Auction 73. person who has been designated as an which is to be released approximately 121. For Auction 73 and any authorized bidder, the contact person, 10 days before the start of the auction. contingent subsequent auction, former or the certifying official on the A. Auction 73 Structure defaulters must calculate their upfront applicant’s short-form application may payment for all licenses and packages request replacement registration i. Simultaneous Multiple Round by multiplying the number of bidding material. Qualified bidders requiring the Auction With Package Bidding on C units on which they wish to be active replacement of these items must call Block Licenses by 1.5. In order to calculate the number Technical Support at (877) 480–3201 or 131. In the 700 MHz Auction Public of bidding units to assign to former (202) 414–1255 (TTY). Notice, the Bureau proposed using the defaulters, the Commission will divide F. Remote Electronic Bidding Commission’s standard simultaneous the upfront payment received by 1.5 and multiple-round (SMR) auction format round the result up to the nearest 127. The Commission will conduct for the A, B, D, and E Block licenses, bidding unit. Auctions 73 and 76 over the Internet while enabling package bidding for C iv. Applicant’s Wire Transfer and telephonic bidding will be available Block licenses using an auction design Information for Purposes of Refunds of as well. Qualified bidders are permitted with hierarchical package bidding Upfront Payments to bid electronically and telephonically. (HPB). An SMR–HPB auction format Each applicant should indicate its 122. To ensure that refunds of upfront offers every license for bid at the same bidding preference—electronic or time and consists of successive bidding payments are processed in an telephonic—on the FCC Form 175. In expeditious manner, the Commission is rounds in which eligible bidders may either case, each authorized bidder must place bids on individual licenses and on requesting that all pertinent information  have its own SecurID token, which the certain pre-defined packages of be supplied to the FCC. Applicants can FCC will provide at no charge. Each provide the information electronically specified licenses, which, for Auction applicant with one authorized bidder 73, only include C Block licenses. A during the initial short-form application will be issued two SecurID  tokens, filing window after the form has been bidder may bid on, and potentially win, while applicants with two or three any number of licenses and/or packages. submitted. Applicants are reminded that authorized bidders will be issued three information submitted as part of an FCC Typically, bidding remains open on all tokens. For security purposes, the licenses until bidding stops on every Form 175 will be available to the public; SecurID  tokens, the telephonic for that reason, wire transfer license, unless an alternative version of bidding telephone number, and the the stopping rule is invoked. information should not be included in Integrated Spectrum Auction System an FCC Form 175. 132. The 700 MHz Auction Public (ISAS) Bidder’s Guide are only mailed Notice proposed pre-defined packages E. Auction Registration to the contact person at the contact for C Block licenses according to a address listed on the FCC Form 175. 123. Approximately ten days before  hierarchical structure. The initial level the auction, the FCC will issue a public Please note that each SecurID token is consists of individual licenses, and the tailored to a specific auction; therefore, notice announcing all qualified bidders  next level consists of non-overlapping for Auction 73. Qualified bidders are SecurID tokens issued for other packages of those licenses, such that a those applicants whose FCC Form 175 auctions or obtained from a source other given license is included only once in applications have been accepted for than the FCC will not work for Auction each level. The winning set of bids filing and have timely submitted 73. In the event that it is necessary to could therefore consist of bids from upfront payments sufficient to make conduct Auction 76, qualified bidders various levels as long as each license is for Auction 76 will use the same them eligible to bid on license(s)  included in only one winning bid. The initially offered in Auction 73. SecurID tokens as they used for Bureau proposed to accept individual 124. All qualified bidders are Auction 73. bids on C Block licenses for REAGs 1– automatically registered for the auction. 128. Please note that the SecurID  12 (Level 1) and package bids on the Registration materials will be tokens can be recycled, and the Bureau following combinations of C Block distributed prior to the auction by encourages bidders to return the tokens REAG licenses (Level 2): (1) REAGs 1– overnight mail. The mailing will be sent to the FCC. The Bureau will provide 8 (the 50 States package); (2) REAGs 10 only to the contact person at the contact pre-addressed envelopes that bidders and 12, comprising Puerto Rico, the U.S. address listed in the FCC Form 175 and may use to return the tokens once the Virgin Islands and the Gulf of Mexico will include the SecurID  tokens that auction is closed. (the Atlantic package); and (3) REAGs 9

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and 11, comprising the U.S. Pacific licenses and on pre-defined packages of the public interest would be served if territories (the Pacific package). licenses in each round of the auction the auction for new 700 MHz Band 133. The Bureau also sought comment until bidding stops on every license, licenses is conducted using anonymous on alternative levels or alternative ways allowing bidders to take advantage of (or limited information) bidding of packaging licenses within levels. synergies that exist among licenses. procedures, regardless of any pre- Additionally, the Bureau proposed to 136. With regard to the proposed pre- auction measurement of likely auction conduct the auction using standard defined packages for C Block licenses, competition. Such information SMR procedures for all of the licenses, the Bureau declines to adopt the procedures are intended to reduce the including the C Block licenses in the alternate packages suggested by two potential for anti-competitive bidding event that currently unforeseen commenters. One commenter asserts behavior, including bidding activity that difficulties make it impracticable to that it sees value in adopting a 12 REAG aims to prevent the entry of new implement package bidding. package or even allowing bidders to competitors. The Commission therefore 134. The majority of commenters choose their own package. The second directed the Bureau to propose and seek support package bidding for C Block commenter proposed adopting packages comment on more detailed procedures licenses either in general or for the HPB of regions larger than REAGs (e.g., East, for employing anonymous bidding for auction format specifically. Some Midwest, West Coast) and a package of the 700 MHz auction. commenters, however, urge the Bureau only the lower 48 States. The 139. In the 700 MHz Auction Public to abandon package bidding for Auction commenter bases its proposal for a Notice, the Bureau proposed to 73 under the unforeseen difficulties lower 48 State package on the premise withhold, until after the close of exception to the Commission’s directive that prospective nationwide bidders bidding, public release of (1) bidders’ to use package bidding for the C Block have limited interest in Hawaii and license selections on their short-form licenses. These parties assert that the Alaska, and that these states would be applications, (2) the amounts of bidders’ SMR-HPB format is too complex, will better served if they are not included in upfront payments and bidding disadvantage bidders interested in only a nationwide package. The State of eligibility, and (3) information that may individual licenses, and will not be Hawaii submitted reply comments reveal the identities of bidders placing fully understood by bidders or challenging the assertion that bids and taking other bidding-related implemented by the Bureau in time for nationwide carriers have little interest actions. In contrast to procedures the start of the auction. When the in providing coverage to Hawaii, noting implemented for anonymous bidding in Commission directed the Bureau to several major carriers already do in fact past auctions, and consistent with the adopt package bidding for the C Block, operate in Hawaii. The State of Hawaii 700 MHz Second Report and Order, the it noted that package bidding minimizes also asserts that any nationwide package Bureau proposed to withhold this exposure risk for applicants whose without Hawaii and Alaska unfairly information irrespective of any pre- business plans require the economies of discriminates against these states and its auction measurement of likely auction scale that only can be obtained with inhabitants, which would not only be competition. nationwide operation, but would not inconsistent with the Communications 140. Commenters generally support preclude the participation of entities Act, but also with Commission the proposal to implement limited wishing to bid on individual licenses. precedent. The commenter also suggests information disclosure procedures for The HPB auction format was chosen in that the Bureau eliminate the Atlantic the 700 MHz auction, though they differ part because it mitigates issues inherent and Pacific packages on the grounds on the disclosure of specific data in some other package bidding formats that bidders would not obtain any elements. Some commenters suggest that give bidders interested in large benefits from bidding on the licenses as that the Commission should inform packages an advantage over bidders packages. The Bureau sees no bidders of the license(s) or license interested in individual licenses. Of disadvantages to including the block(s) for which an overlap occurs course, to the extent that providing packages. with other applicants, citing bidders the option of package bidding 137. The Commission adopted fundamental differences between the favors those bidders seeking packages package bidding for C Block licenses to different 700 MHz license blocks and over those seeking individual licenses, reduce the exposure problem that might the particular needs of small and rural the Bureau notes that the same otherwise inhibit bidders seeking to bidders to better identify those bidders argument could be applied in reverse to create a nationwide footprint. At the interested in nationwide/open access the other 1,087 licenses in Auction 73 same time, the Commission directed the licenses. A commenter opposes that bidders will not have the option to Bureau to implement package bidding disclosure of this information. The package in order to decrease their without imposing disadvantages on Bureau finds that revealing information exposure risk. After review of the parties that wish to bid on individual on license blocks selected by competing record, the Bureau concluded that licenses comprising the nationwide applicants would be inconsistent with considerations raised in the comments footprint. The Bureau finds that offering the goals of limiting information opposing package bidding are not the three packages—the 50 States, Atlantic, disclosure. Thus, the Bureau will not kinds of unforeseen difficulties and Pacific packages—meets this release information on licenses or regarding the feasibility of package balance by reducing exposure risk of license blocks selected until after the bidding for the C Block licenses that the bidders seeking to provide nationwide close of bidding. Commission envisioned in the 700 MHz coverage without disadvantaging those 141. Commenters also recommend Second Report and Order. bidders seeking individual licenses. releasing each bidder’s upfront payment 135. Therefore, the Bureau concludes Therefore, the Bureau adopts the pre- amount and initial bidding eligibility that the SMR format for A, B, E and D defined packages as proposed in the 700 before the auction on the grounds that Block licenses, and the HPB auction MHz Auction Public Notice. this information would help small format for the C Block licenses, will best companies better gauge the level of meet the needs of bidders in Auction 73, ii. Information Available to Bidders competition. Some entities also seek and therefore adopt them as proposed. Before and During the Auctions disclosure of an aggregate eligibility As is typical with both formats, bids 138. In the 700 MHz Second Report ratio after each round. A commenter will be accepted on all individual and Order, the Commission found that advocates releasing the total number of

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active bidders and, for each license and each license the number of bidders that winning bidder for the D Block license package, the number of bids and amount placed a bid on the license. in Auction 73, the Bureau will make of the bids after each round. While these Furthermore, the Bureau will indicate public before the close of bidding in an parties contend that release of this whether any proactive waivers were Auction 76 only such information as information would not facilitate submitted in each round, and the may be necessary to proceed with anticompetitive practices and would not Bureau will release the stage transition promptly facilitating the D Block disclose bidder identities, the Bureau percentage—the percentages of licenses winner’s obligations to negotiate a disagrees. As a commenter notes, release (as measured in bidding units) on which Network Sharing Agreement with the of bidder eligibility before the auction there were new bids—for the round. In national Public Safety Broadband could be used by incumbents to block addition, after each round, bidders Licensee in the adjacent spectrum block. new entrants or for other strategic logged in to the FCC Auction System 146. Commenting parties also urge the purposes. Similarly, a commenter will be able to see whether their own Commission to allow applicants to opt- contends that release of this information bids are provisionally winning. The out of Auction 76 in order to be free of weakens anonymous bidding. This Bureau will provide samples of anti-collusion prohibition, so long as information could potentially be used to publicly-available and bidder-specific bidder certifies that its decision has not discern the identities of individual (non-public) results files prior to the been based on discussion with other bidders. Moreover, the Bureau is start of the auction. parties concerning auction strategy or particularly concerned that release of 144. Several commenters argue that post-auction market structure. As one such information could foster information about the initial auction commenter acknowledges, reversal of anticompetitive bidding activity, results (for Auction 73) should not be the Commission’s determination on this particularly in light of the use of reserve withheld in the event that a contingent issue would need to be addressed by prices in this auction. auction (Auction 76) must be full Commission. As such, the Bureau 142. Two commenters urge the conducted. Some commenters urge cannot implement such a change in this Commission to release names of auction disclosure of initial auction results for proceeding. applicants and provide access to the blocks that meet their reserve prices 147. Other Issues. The Bureau ownership information in applicants’ before the contingent auction, claiming concluded in the rulemaking proceeding short form applications. This that such information may be necessary that the information disclosure information has been made publicly to meet Securities and Exchange procedures established for this auction available in past auctions even where Commission and other regulatory limited information procedures have requirements, to allow bidders to will not interfere with the been implemented. The Bureau plans to communicate with financial administration of or compliance with continue to make available the names of institutions, and to facilitate network the Commission’s anti-collusion rule. applicants and their ownership build-out. Similarly, other commenters Section 1.2105(c)(1) of the information, as release of that favor allowing bidders to announce that Commission’s rules provides that after information is necessary for other they won licenses in a block that has the short-form application filing applicants to comply with the anti- met its reserve price if required by law deadline, all applicants for licenses in collusion rules and does not undermine or regulation. These parties do not, any of the same geographic license areas the purpose of its anonymous bidding however, cite any specific regulatory are prohibited from disclosing to each procedures. To enable applicants to requirements that would compel such other in any manner the substance of comply with the Commission’s anti- disclosures, and the Bureau is not aware bids or bidding strategies until after the collusion rules, once the Bureau has of any such regulations. To the extent down payment deadline, subject to conducted its initial review of that any such requirements are related specified exceptions. When limited applications to participate in Auction 73 to winning bidders’ payments, the information procedures are not in effect and Auction 76, each applicant will Bureau notes that if Auction 76 were to for a particular auction, each applicant’s receive a letter that lists the other be held, winning bidders in Auction 73 selection of licenses has been publicly applicants in Auction 73 and Auction of licenses in the A, B, C, or E Blocks available through the Commission’s 76 that have applied for licenses in any will not be required to make down online short-form application database. of the same geographic areas as the payments until after the subsequent In Auction 73 and Auction 76, however, applicant. bidding. The Bureau finds that the Commission will not disclose 143. The Bureau adopts the proposals premature disclosure to financial information regarding license selection set out in the 700 MHz Auction Public institutions, vendors, and others of or the amounts of bidders’’ upfront Notice. Thus, the Bureau will disclose identities of successful bidders in payments and bidding eligibility. As in after the conclusion of each round the Auction 73 would undermine the the past, the Commission will disclose amount of every bid placed and whether purposes of the limited information the other portions of applicants’’ short- a bid was withdrawn. More generally, procedures. form applications, through its online the Bureau will disclose, after the 145. Regarding Auction 76 and the database and certain application-based conclusion of each round, all relevant timing of information disclosure, the information through public notices. information about all bids placed, Bureau adopts its proposal not to release Thus, even without information withdrawn, or dropped except for the until after the close of bidding in both regarding license selection, applicants identities of the bidders performing the auctions: (a) Information on the winning would be able to comply with actions and the net amounts of the bids bidders for licenses in blocks for which § 1.2105(c) by not disclosing bids or placed, withdrawn, or dropped. As in the reserve price was met in the first bidding strategies to any other past auctions conducted with limited auction, (b) information on bidder applicants in the auction. This information procedures, for each license license selections and eligibility, and (c) approach, however, could inhibit the Bureau will indicate the minimum any other information that may reveal otherwise lawful communications with acceptable bid amount for the next the identities of bidders placing bids applicants for licenses in other round and whether the license has a and taking other bidding-related actions geographic license areas, which the provisionally winning bid. After each on licenses in all blocks. For the D Commission’s anti-collusion rule round, the Bureau will also release for Block, however, in the event there is a permits.

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148. Consequently, the Bureau will bidding units) for Auction 73. The bidder’s activity would be 20,000 notify separately each applicant with amount of the upfront payment bidding units, calculated as the sum of short-form applications to participate in submitted by a bidder determines initial the bidding units of licenses A and B. a pending auction whether applicants in bidding eligibility, the maximum Note that the bidding units for license Auction 73 and Auction 76 have number of bidding units on which a A are not counted twice. A bidder is applied for licenses in any of the same bidder may be active. Each license is considered active on a license in the geographic areas as that applicant. assigned a specific number of bidding current round if it is either the Specifically, after the Bureau conducts units listed in Attachment A of the provisionally winning bidder at the end its initial review of applications to Auctions 73 and 76 Procedures Public of the previous bidding round and does participate in Auction 73 and Auction Notice. Bidding units for a given license not withdraw the provisionally winning 76, each applicant with a pending short- do not change as prices rise during the bid in the current round, or if it submits form application will receive a letter auction. A bidder’s upfront payment is a bid in the current round. that lists the applicants in Auction 73 not attributed to specific licenses or 154. The minimum required activity and Auction 76 that have applied for packages. Rather, a bidder may place is expressed as a percentage of the licenses in any of the same geographic bids on any of the licenses selected on bidder’s current eligibility, and areas as the applicant. The list will its FCC Form 175 as long as the total increases by stage as the auction identify the Auction 73 and Auction 76 number of bidding units associated with progresses. Because these procedures applicant(s) by name but will not list those licenses does not exceed its have proven successful in maintaining the license selections of the Auction 73 current eligibility. Eligibility cannot be the pace of previous auctions, the and Auction 76 applicant(s). As in past increased during Auction 73; it can only Commission adopts them for Auction auctions, additional information remain the same or decrease. Thus, in 73. Failure to maintain the requisite regarding applicants in Auction 73 and calculating its upfront payment amount, activity level will result in the use of an Auction 76 that is needed to comply an applicant must determine the activity rule waiver, if any remain, or a with § 1.2105(c), e.g., the identities of maximum number of bidding units it reduction in the bidder’s eligibility, controlling interest(s) in an applicant may wish to bid on or hold possibly curtailing or eliminating the and ownership interests greater than ten provisionally winning bids on in any bidder’s ability to place additional bids percent, will be available through the single round, and submit an upfront in the auction. publicly accessible online short-form payment amount covering that total 155. With package bidding in the C application database. number of bidding units. At a Block, it is possible that a bidder may 149. When completing short-form minimum, an applicant’s upfront have an activity level that exceeds its applications, applicants should avoid payment must cover the bidding units eligibility, since the FCC Auction any statements or disclosures that may for at least one of the licenses it selected System considers bids placed in 60 violate the Commission’s anti-collusion on its FCC Form 175 for Auction 73. previous rounds when determining the rule, particularly in light of the The total upfront payment does not provisionally winning set. If a non- Commission’s procedures regarding the affect the total dollar amount a bidder winning bid placed in a previous round availability of certain information in may bid on any given license or package later becomes provisionally winning, Auction 73 and Auction 76. While of licenses. the bidder will receive activity for the applicants’’ license selection will not be 151. A bidder is eligible to bid on a newly provisionally winning bid. When disclosed until after Auction 73 and package of licenses if it selected all the added to the activity for the bidder’s Auction 76 close, the Commission will licenses in the package on its FCC Form provisionally winning bids from the disclose other portions of short-form 175 and has sufficient eligibility. The previous round and its new bids— applications through its on-line bidding units for a package are which were limited by the bidder’s database and public notices. calculated by adding together the current bidding eligibility—the total Accordingly, applicants should avoid bidding units of the individual licenses activity may exceed the bidder’s current including any information in their that make up the package. bidding eligibility. If this occurs, the short-form applications that might 152. In order to ensure that an auction bidder’s current bidding eligibility will convey information regarding license closes within a reasonable period of not increase to accommodate the selections. For example, applicants time, an activity rule requires bidders to additional activity. In subsequent should avoid using applicant names that bid actively throughout the auction, rounds, the bidder will not be permitted refer to licenses being offered, referring rather than wait until late in the auction to place new bids if its total activity to certain licenses or markets in before participating. Bidders are from provisionally winning bids describing bidding agreements, or required to be active on a specific exceeds its bidding eligibility. including any information in minimum percentage of their current 156. A commenter argues that the attachments that may otherwise disclose bidding eligibility during each round of Bureau should allow bidders limited applicants’’ license selections. If an the auction. additional eligibility so that they can applicant is found to have violated the 153. A bidder’s activity level in a continue to bid on licenses or packages Commission’s rules or antitrust laws in round is the sum of the bidding units that become provisionally winning in connection with its participation in the associated with any licenses covered by later rounds. The Bureau finds that competitive bidding process, the new and provisionally winning bids. allowing maximum eligibility to be applicant may be subject to various The bidding units associated with a increased in this way may provide an sanctions, including forfeiture of its given license will be counted only once incentive for bidders to intentionally upfront payment, down payment, or full in a bidder’s activity calculation for the place bids that are likely to become bid amount and prohibition from round, even if the bidder places a bid provisionally winning in later rounds, participating in future auctions. on the license and a bid on a package so as to increase their eligibility outside containing the license. For example, of the usual pre-auction process that iii. Eligibility and Activity Rules consider two licenses, A and B, each requires them to purchase eligibility 150. The Bureau will use upfront having 10,000 bidding units. Assuming with upfront payments. Thus, the payments to determine initial a bidder bids on license A as well as the Bureau will not modify its procedures (maximum) eligibility (as measured in package AB in a given round, the as suggested.

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157. A commenter proposes that the one commenter opposes any minimum 162. Stage One: During the first stage Bureau modify the activity rules to activity level decrease and instead of the auction, a bidder desiring to reduce the difference between the proposes a Stage Three with a 98 maintain its current bidding eligibility number of bidding units associated with percent activity threshold. will be required to be active on licenses the C Block licenses and the bidding 160. The Bureau finds that adding a representing at least 80 percent of its units associated with the D Block new initial first stage with a lower current bidding eligibility in each license. It maintains that the C and D eligibility threshold is at this time bidding round. Failure to maintain the Blocks are in many ways substitutes, but unnecessary. When determining the required activity level will result in the notes that since the C Block has a bidding schedule, the Bureau needs to use of an activity rule waiver or, if the bandwidth of 22 MHz compared to 10 balance the desirability of concluding bidder has no activity rule waivers MHz for the D Block, the C Block has the auction reasonably swiftly with the remaining, a reduction in the bidder’s many more bidding units. The benefit in giving bidders sufficient time bidding eligibility in the next round. commenter contends that because of the for placing bids during rounds and for During Stage One, reduced eligibility for activity rule, the effect of this difference analysis between rounds. The Bureau the next round will be calculated by is to harm bidders that alternatively bid finds no compelling reason to create a multiplying the bidder’s current round in the C and D Blocks. It therefore favors new first stage that requires only a 60 activity (the sum of bidding units of the the modification of the activity rules percent eligibility requirement. Such a bidder’s provisionally winning bids and through the attribution of a total lower activity requirement would bids during the current round) by five- bandwidth of 22 MHz to the D Block. unnecessarily prolong the auction by fourths (5/4). The commenter maintains that this allowing bidders to postpone bidding 163. Stage Two: During the second would enable bidders to freely alternate activity until the later rounds of the stage of the auction, a bidder desiring to between the C and D Blocks, increasing auction. Establishing an 80 percent maintain its current bidding eligibility auction efficiency and revenues. activity threshold to start the auction, is required to be active on 95 percent of Another commenter criticizes this and retaining the discretion to make its current bidding eligibility. Failure to proposal on several grounds, including changes as circumstances warrant maintain the required activity level will arguing that the proposal would depart represents the best compromise between result in the use of an activity rule from established auction practice and is allowing auction participants time to waiver or, if the bidder has no activity inconsistent with the reserve prices. The learn from the information revealed in rule waivers remaining, a reduction in the bidder’s bidding eligibility in the Bureau declines to adopt the proposal. the auction, and requiring them to next round. During Stage Two, reduced The Bureau finds that its current participate actively throughout the eligibility for the next round will be method of determining bidding units, auction. combined with its activity and calculated by multiplying the bidder’s 161. The Bureau likewise sees no eligibility rules, offer bidders adequate current round activity (the sum of need to establish, at this time, a third opportunities to change bidding bidding units of the bidder’s stage with a 98 percent eligibility strategies. provisionally winning bids and bids requirement, finding that a 95 percent during the current round) by twenty- iv. Auction Stages threshold should be a sufficiently high nineteenths (20/19). Since activity 158. In the 700 MHz Auction Public activity requirement for the final stage requirements increase in Stage Two, Notice, the Bureau proposed to conduct of the auction. In past auctions, the bidders must carefully check their the auction in two stages and employ an Bureau established three stages using 80 activity during the first round following activity rule. The Bureau further percent, 90 percent, and 98 percent a stage transition to ensure that they are proposed that, in each round of Stage activity requirements. In many of these meeting the increased activity One, a bidder desiring to maintain its auctions, however, implementing Stage requirement. This is especially critical current bidding eligibility would be Two had little effect in terms of for bidders that have provisionally required to be active on licenses increasing bidding activity, and Stage winning bids and do not plan to submit representing at least 80 percent of its Three was implemented shortly new bids. In past auctions, some bidders current bidding eligibility. Finally, the thereafter. Based on this experience, the have inadvertently lost bidding Bureau proposed that in each round of Bureau has generally moved away from eligibility or used an activity rule Stage Two, a bidder desiring to maintain three-stage auctions in favor of two- waiver because they did not re-verify its current bidding eligibility would be stage auctions. Moreover, a 95 percent their activity status at stage transitions. required to be active on at least 95 threshold allows bidders a little more Bidders may check their activity against percent of its current bidding eligibility. flexibility in fulfilling their activity the required activity level by logging 159. Some commenters favor the requirements during the final stage of into the FCC Auction System. addition of a third stage with either a the auction. Therefore, the Bureau 164. Because the foregoing procedures reduced eligibility threshold (before the declines to establish a 98 percent have proven successful in maintaining two proposed stages) or a higher activity threshold at this time. The the proper pace in previous auctions, threshold (after the two proposed Bureau has the discretion to further alter the Bureau adopts them for Auction 73. stages). According to a commenter small the activity requirements before and/or and regional bidders need time to during the auction as circumstances v. Stage Transitions acquaint themselves with the many new warrant, and also has other mechanisms 165. In the 700 MHz Auction Public features and procedures in Auction 73. by which it may influence the speed of Notice, the Bureau proposed that the Therefore, the commenter proposes an auction. The Bureau finds that, for auction would advance to the next stage creating a new Stage One with a 60 now, two stages for an activity (i.e., from Stage One to Stage Two) after percent activity threshold and moving requirement adequately balances the considering a variety of measures of the 80 percent and 95 percent activity desire to conclude the auction quickly auction activity, including, but not thresholds to Stages Two and Three, with giving sufficient time for bidders to limited to, the percentages of licenses respectively. While some other consider the status of the bidding and to (as measured in bidding units) on which commenters support adopting a 60 place bids. Therefore, the Bureau adopts there are new bids, the number of new percent activity threshold for Stage One, the two stages. bids, and the increase in revenue. The

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Bureau further proposed that the Bureau that are closely affiliated. That eligibility rather than use an activity would retain the discretion to change commenter expresses concern with rule waiver must affirmatively override the activity requirements during the bidders entering more than one entity in the automatic waiver mechanism during auction. For example, the Bureau could the auction in order to receive more the bidding round by using the reduce decide not to transition to Stage Two if than standard three activity rule eligibility function in the FCC Auction it believes the auction is progressing waivers, allowing it to preserve bidding System. In this case, the bidder’s satisfactorily under the Stage One eligibility for later in the auction. The eligibility is permanently reduced to activity requirement, or to transition to commenter proposes a total limit of bring the bidder into compliance with Stage Two with an activity requirement three activity rule waivers for all closely the activity rules. Once eligibility has that is higher or lower than the 95 affiliated applicants, i.e., under common been reduced, a bidder will not be percent. The Bureau proposed to alert control, applying for overlapping permitted to regain its lost bidding bidders of stage advancements by licenses. Still another commenter eligibility even if the round has not yet announcement during the auction. disagrees noting that, while affiliated ended. 166. The Bureau adopts this proposal bidders may get twice the number of 173. Finally, a bidder may apply an for stage transitions. Thus, the auction waivers, they would use them twice as activity rule waiver proactively as a will start in Stage One. The Bureau will fast as a single bidder in rounds in means to keep the auction open without regulate the pace of the auction by which they were not bidding. The placing a bid. If a bidder proactively announcement. The Bureau retains the Bureau agrees with the other commenter applies an activity waiver (using the discretion to transition the auction to that no clear advantage seems possible. apply waiver function in the FCC Stage Two, add an additional stage with The Bureau also adds that entities are Auction System) during a bidding round a higher activity requirement, not to prohibited from submitting more than in which no bids are placed or transition to Stage Two, or to transition one application. This measure prevents withdrawn, the auction will remain to Stage Two with an activity bidders from entering multiple entities open and the bidder’s eligibility will be requirement that is higher or lower than while permitting legitimate business preserved. However, an automatic 95 percent. This determination will be plans that entail common control among waiver applied by the FCC Auction based on a variety of measures of more than one applicant. System in a round in which there are no auction activity, including, but not 170. Therefore, the Bureau adopts its new bids, withdrawals, or proactive limited to, the number of new bids and proposal to provide bidders with three waivers will not keep the auction open. the percentages of licenses (as measured activity rule waivers. Bidders may use A bidder cannot submit a proactive in bidding units) on which there are an activity rule waiver in any round waiver after submitting a bid in a round, new bids. during the course of the auction. Use of and submitting a proactive waiver will an activity rule waiver preserves the preclude a bidder from placing any bids vi. Activity Rule Waivers bidder’s current bidding eligibility in that round. It is important for bidders 167. In the 700 MHz Auction Public despite the bidder’s activity in the to understand that applying a waiver is Notice, the Bureau proposed that each current round being below the required irreversible. Once a bidder submits a bidder in the auction be provided with minimum activity level. An activity rule proactive waiver, the bidder cannot three activity rule waivers. Commenters waiver applies to an entire round of unsubmit the waiver even if the round proposed two variations on the Bureau’s bidding and not to a particular license. has not yet ended. proposal regarding activity rule waivers. Activity rule waivers can be either vii. Auction Stopping Rules The Bureau declines to adopt these applied proactively by the bidder (a alternatives and adopts the proposed proactive waiver) or applied 174. For Auction 73, the Bureau three activity rule waivers per bidder. automatically by the FCC Auction proposed to employ a simultaneous 168. One commenter advocates System (an automatic waiver) and are stopping rule approach. A simultaneous providing bidders with two additional principally a mechanism for auction stopping rule means that all licenses activity rule waivers to allow more time participants to avoid the loss of bidding remain available for bidding until for decision-making during the auction. eligibility in the event that exigent bidding closes simultaneously on all The commenter suggests that the two circumstances prevent them from licenses. More specifically, bidding will additional waivers would provide placing a bid in a particular round. close simultaneously on all licenses and bidders, especially those that are 171. The FCC Auction System packages after the first round in which consortia, greater flexibility during the assumes that bidders with insufficient no bidder submits any new bids, applies auction. Another commenter opposes activity would prefer to apply an a proactive waiver, or withdraws any any additional activity rule waivers activity rule waiver (if available) rather provisionally winning bids. because, it argues, no clear connection than lose bidding eligibility. Therefore, 175. The Bureau also sought comment exists between having additional the system will automatically apply a on alternative versions of the waivers and decision-making. The waiver at the end of any bidding round simultaneous stopping rule for Auction Bureau agrees with the opposing where a bidder’s activity level is below 73: Option 1. The auction would close commenter that the request for the minimum required unless: (1) There for all licenses after the first round in additional waivers does not demonstrate are no activity rule waivers available; or which no bidder applies a waiver, why the proposed three waivers are (2) the bidder overrides the automatic withdraws a provisionally winning bid, insufficient, or why consortia might application of a waiver by reducing or places any new bids on any license have a greater need for flexibility than eligibility. If a bidder has no waivers or package on which it is not the any other bidder. The Bureau is satisfied remaining and does not satisfy the provisionally winning bidder. Thus, that providing three waivers over the activity requirement, the FCC Auction absent any other bidding activity, a course of the auction will give bidders System will permanently reduce the bidder placing a new bid on a license a sufficient number of waivers and bidder’s eligibility, possibly curtailing or a package of licenses for which it is flexibility, while also safeguarding the or eliminating the bidder’s ability to the provisionally winning bidder would integrity of the auction. place additional bids in the auction. not keep the auction open under this 169. Another commenter proposes a 172. A bidder with insufficient modified stopping rule; Option 2. The limit on activity rule waivers for bidders activity that wants to reduce its bidding auction would end after a specified

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number of additional rounds. If the viii. Auction Delay, Suspension, or time between rounds, or the number of Bureau invokes this special stopping Cancellation rounds per day, depending upon rule, it will accept bids in the specified 180. In the 700 MHz Auction Public bidding activity and other factors. final round(s) and the auction will Notice, the Bureau proposed that, by 184. A commenter advocates limiting close; and Option 3. The auction would public notice or by announcement the number of rounds per day in the remain open even if no bidder places during the auction, the Bureau may first phase (Stage One) of Auction 73. any new bids, applies a proactive delay, suspend, or cancel the auction in More than four rounds in the auction’s waiver, or withdraws any provisionally the event of natural disaster, technical early stage would place substantial winning bids in a round. In this event, obstacle, administrative or weather strains on consortia’s more deliberate the effect will be the same as if a bidder necessity, evidence of an auction decision-making processes. The had applied a waiver. Thus, the activity security breach or unlawful bidding commenter, however, suggests lifting rule will apply as usual, and a bidder activity, or for any other reason that the limit for Stage Two. Another with insufficient activity will either use affects the fair and efficient conduct of commenter opposes limiting the number an activity rule waiver (if it has any left) competitive bidding. The Bureau of rounds per day. The Bureau agrees or lose bidding eligibility. received no comment on this issue. with the opposing commenter that 176. The Bureau proposed to exercise 181. Because the Bureau’s approach to lifting the limited for Stage Two fails to these options only in circumstances notification of delay during an auction demonstrate why consortia would be such as where the auction is proceeding has proven effective in resolving exigent disadvantaged vis-a`-vis other bidders unusually slowly or quickly, where circumstances in previous auctions, the unless Stage One had a maximum of there is minimal overall bidding Bureau adopts its proposed rules four rounds per day. The Bureau add activity, or where it appears likely that regarding auction delay, suspension, or that the commenter does not provide the auction will not close within a cancellation. By public notice or by any rationale why, if a limit were reasonable period of time or will close announcement during the auction, the necessary to allow effective decision- prematurely, e.g., before bidders have Bureau may delay, suspend, or cancel making amongst consortia members, it had an adequate opportunity to satisfy the auction in the event of natural would not hold true in Stage Two of the any applicable reserve prices. The disaster, technical obstacle, auction, particularly when the stakes are Bureau noted that before exercising administrative or weather necessity, even higher. Therefore, the Bureau these options, it is likely to attempt to evidence of an auction security breach declines to adopt any limit on rounds increase the pace of the auction by, for or unlawful bidding activity, or for any per day. Rather, the Bureau will example, changing the number of other reason that affects the fair and continue to exercise discretion with bidding rounds per day and/or changing efficient conduct of competitive regard to the number of rounds per day the minimum acceptable bids. bidding. In such cases, the Bureau, in its under the particular circumstances of 177. One commenter advocates sole discretion, may elect to resume the the auction. explicitly adopting an alternate stopping auction starting from the beginning of rule that would give bidders one final ii. Reserve Price and Minimum Opening the current round, resume the auction opportunity to place bids that would Bids starting from some previous round, or meet the reserve prices. The commenter 185. Section 309(j) of the cancel the auction in its entirety. believes adopting this measure will curb Communications Act of 1934, as Network interruption may cause the any incentive by some to bid in such a amended, calls upon the Commission to Bureau to delay or suspend the auction. way to avoid the reserves being met. prescribe methods by which a The Bureau emphasize that exercise of Another commenter opposes the reasonable reserve price will be required this authority is solely within the proposal, given the unique nature of this or a minimum opening bid established auction and the complexity of the discretion of the Bureau, and its use is when applications for FCC licenses are eligibility management issues. not intended to be a substitute for subject to auction (i.e., because they are 178. The Bureau finds that the situations in which bidders may wish to mutually exclusive), unless the stopping rules as proposed are apply their activity rule waivers. Commission determines that a reserve appropriate for Auction 73. The B. Bidding Procedures price or minimum opening bid is not in Bureau’s experience in prior auctions the public interest. Consistent with this demonstrates that these stopping rules i. Round Structure mandate, the Commission directed the balance interests of administrative 182. The initial schedule of bidding Bureau to seek comment on the use of efficiency and maximum bidder rounds will be announced in the public a minimum opening bid and/or reserve participation. Therefore, Auction 73 notice listing the qualified bidders, price prior to the start of each auction. will begin under the simultaneous which is released approximately 10 Among other factors, the Bureau must stopping rule approach. days before the start of the auction. Each consider the amount of spectrum being 179. While the Bureau declines to bidding round is followed by the release auctioned, levels of incumbency, the adopt any of the alternate stopping rules of round results. Multiple bidding availability of technology to provide at this time, the Bureau retains the rounds may be conducted in a given service, the size of the geographic discretion to employ the alternative day. Details regarding round results service areas, the extent of interference versions of the stopping rule, with or formats and locations will also be with other spectrum bands, and any without prior announcement during the included in the qualified bidders public other relevant factors that could have an auction. The Bureau will not, however, notice. impact on the spectrum being employ the first alternative (i.e., Option 183. The Bureau has discretion to auctioned. The Commission concluded 1) until the reserve prices have been change the bidding schedule in order to that the Bureau should have the met. This will allow bidders to continue foster an auction pace that reasonably discretion to employ either or both of to place new bids even if they are the balances speed with the bidders’’ need these mechanisms for future auctions. provisional winning bidders. Bidders, to study round results and adjust their therefore, will continue to have the bidding strategies. The Bureau may a. Reserve Price opportunity to place bids until the increase or decrease the amount of time 186. In the 700 MHz Second Report reserve prices are met. for the bidding rounds, the amount of and Order, the Commission concluded

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that establishing separate aggregate block size, AWS–1 auction results might attempted to determine the value of the reserve prices for all the licenses in each suggest a D Block reserve price of $1.7 licenses but will rely on the auction block of the 700 MHz Band spectrum to billion. However, in light of the D Block process to do so. Rather, pursuant to be offered in Auction 73 will serve the license conditions essential to the statutory mandate and Commission public interest. More specifically, the public safety purpose of the public/ direction, the Bureau proposed reserve Commission directed the Bureau to private partnership, it might be prices intended to represent a likely low adopt and publicly disclose block- appropriate to expect bidders to bid end of the licenses’ potential value, in specific aggregate reserve prices, only about 75 percent to 80 percent of order to assure that the public recovers pursuant to its existing delegated such an amount, or about $1.33 billion. a portion of the value of the public authority and the regular pre-auction In addition, when determining relative spectrum resource. Consistent with the process and consistent with the valuation of other blocks, the Bureau guidance of the Commission, the Bureau Commission’s conclusions in the 700 should consider the relative valuation of adopts the proposal and will use the MHz Second Report and Order. In the differing blocks in the recent auction of following block-specific aggregate 700 MHz Auction Public Notice, the AWS–1 licenses. reserve prices for Auction 73: Block A, Bureau proposed that the sum of the 189. The Commission further noted $1.807380 billion; Block B, $1.374426 provisionally winning gross bids for all that in setting block-specific reserve billion; Block C, $4.637854 billion; licenses in each block must equal or prices, the Bureau should also give Block D, $1.330000 billion; Block E, exceed the disclosed aggregate reserve consideration to Congress’s view as to $0.903690 billion. Together, these price for the block before the the value of the spectrum, as reflected block-specific aggregate reserves sum to Commission will assign licenses in that in Congressional mandates regarding the $10.053350 billion. block. More specifically, the Bureau uses for revenues from this auction. 193. The D Block reserve price of proposed the following block-specific 190. Comments. A commenter $1.33 billion is discounted from an aggregate reserve prices to be used contends that the proposed reserve amount based more closely on AWS–1 under this proposal: Block A, $1.807380 prices are excessive and proposes an bids because of the unique service rules billion; Block B, $1.374426 billion; alternative set of reserve prices roughly and related obligations imposed upon Block C, $4.637854 billion; Block D, equal to one-fifth the reserve prices the D Block licensee. For the A, B, C, $1.330000 billion; Block E, $0.903690 proposed by the Bureau. The and E Blocks, the Bureau based the billion. The Bureau adopts this commenter asserts that the Bureau’s reserve prices on the respective market proposal. proposed reserve price represent an value reflected in AWS–1 bids, adding 187. Background. In the 700 MHz estimate of final license values and that one percent, and rounding to the nearest Second Report and Order, the establishing such a reserve, particularly thousand dollars. Because of the value- Commission concluded that the block- in light of the potential subsequent enhancing propagation characteristics specific aggregate prices should reflect auction of alternative licenses, is and relatively unencumbered nature of current assessments of the potential misguided. The commenter further the 700 MHz Band spectrum, the Bureau market value of licenses for the 700 argues that the Bureau’s reliance on believes these are conservative MHz Band. The Commission directed bidding for AWS licenses is misplaced estimates, at the low end of the that this assessment be based on various in that it does not take into account spectrum’s potential value. Given this factors including, but not limited to, the subsequent changes in the credit approach, there is no need to further characteristics of this band and the markets or significant differences reduce the proposed reserves based on value of other recently auctioned between AWS licenses and 700 MHz the specific rules applicable to licenses licenses, such as licenses for Advanced licenses, which should reduce the for the A, B, C, and E Blocks. Wireless Services. The Commission relative value of the 700 MHz licenses. 194. As proposed in the 700 MHz reasoned that using AWS–1 auction 191. In reply, and in opposition to the Auction Public Notice, the Bureau will results might be an appropriate guide comments, two commenters echo the use gross bid amounts rather than net for setting block-specific reserve prices Commission’s observation that that the bid amounts in determining whether the reflecting a conservative estimate of value of the 700 MHz licenses in fact block-specific reserve prices have been final market value. Spectrum in the 700 should be greater than the AWS licenses met. No commenter suggested any MHz Band possesses superior and contend that the Bureau’s proposed alternative to this aspect of the Bureau’s propagation characteristics to AWS–1 reserve prices reflect a conservative reserve price procedures. Anonymous spectrum. In addition, as of February 18, estimate of the likely value of the 700 bidding procedures that will be used in 2009, the 700 MHz Band spectrum will MHz licenses. As one commenter notes, Auction 73 preclude disclosing the be unencumbered, while full access to attempts to take into account the identity of bidders and the net amounts AWS–1 spectrum requires the relocation fluctuating state of the credit market are of bids made until after the close of of both Government and commercial not appropriate, given the degree of bidding. Consequently, if net bids incumbent users. Thus, other factors uncertainty inherent in such attempts. determined whether or not reserves had aside, 700 MHz Band licenses with While another commenter notes that the been met, publicly disclosing whether comparable geographic service areas Bureau’s proposal takes into account reserves had been met might and bandwidth should have a higher conditions placed on the various blocks inadvertently disclose whether market value than AWS–1 licenses. of 700 MHz spectrum. Finally, the same applicants eligible for bidding credits 188. The Commission expressly noted commenter notes that the proposed held certain provisionally winning bids, that the detailed rules regarding the D reserves are consistent with potentially disclosing the identity of the Block license, the D Block licensee’s Congressional expectations. bidders. For example, presuming net required construction of a network to be 192. Discussion. The Bureau does not bids determined whether or not the shared by public safety service users, find the commenters arguments for reserve is met, for the reserve not to be and the resulting limitations on the reducing the proposed reserve prices met when the provisionally winning bid flexibility of the D Block licensee, persuasive. The commenter errs in on the D Block license is for $1.5 billion should be given weight in assessing the asserting that the Bureau’s proposed dollars, the party making the bid must D Block’s potential market value. Based reserves seek to estimate the final value be an applicant eligible for a bidding solely on geographic area and spectrum of the licenses. The Bureau has not credit. Depending on the number of

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parties eligible for a bidding credit winning bid for a license is less than a System stating that a reserve has been competing for the D Block license, this withdrawn provisionally winning bid. met immediately following the first information might disclose the identity 197. Second, counting withdrawn round in which that occurs. Both the of the provisionally winning bidder, bids is essential to assuring that once a registered bidders and the general thwarting the Commission’s anonymous reserve price is met, that fact does not public will be able to view such bidding procedures. Moreover, net bid change. With regards to bid announcements through the amounts, unlike gross bid amounts, may withdrawals, when a bid is withdrawn, Commission’s Web site. The current decline even as the gross bids increase. there is no provisionally winning bid on total of relevant provisionally winning For example, a party not eligible for a that license until a new high bid is bids may not determine whether or not bidding credit might hold a placed on it in a subsequent round. the reserve has been met, given that the provisionally winning bid of $1.4 Accordingly, if the Bureau does not Bureau also will count withdrawn bids billion on the D Block license, in which count withdrawn bids, then the amount toward meeting the reserve. By making case the reserve would be met. counted for a particular license toward an announcement when the reserve is However, in the next round, a party meeting the reserve price could drop met, the Bureau will free auction eligible for a bidding credit might place from whatever the withdrawn bid is to observers and participants therefore a provisionally winning bid of $1.5 zero. For example, if a provisionally from a need to monitor withdrawn bids billion, increasing the value bid for the winning bid on the D Block license of over the course of the auction in order license. However, because the party $2.66 billion is withdrawn and only a to determine whether the reserve has eligible for a bidding credit might have provisionally winning high bid is been met and avoid any uncertainty. counted toward the reserve, the reserve a net bid less than the reserve, now the b. Minimum Opening Bids reserve would not be met. The Bureau will not be met, notwithstanding the believes that it serves the public interest fact that a round before there was a 201. In addition to proposing for bidders to know when the reserve is provisionally winning bid in an amount aggregate reserve prices, the Bureau met and to know that once a reserve is equal to twice the reserve. proposed in the 700 MHz Auction met that fact will not change. This 198. Third, if the Bureau does not Public Notice to establish minimum certainty will give bidders greater count a withdrawn bid toward meeting opening bids for each license, while confidence in the significance of their the reserve, the Bureau would allow a retaining discretion to lower the bids and therefore may enhance bidder’s decision to withdraw a bid to minimum opening bids. Specifically, for Auction 73, the Bureau proposed to competition. For these reasons, the affect whether or not the reserve price calculate minimum opening bid Bureau will use gross bid amounts has been met. As the foregoing example amounts as follows: (1) For licenses rather than net bid amounts in indicates, a bidder could outbid rivals for a license in amounts far in excess of covering geographic areas in the 50 determining whether block-specific the reserve and then, at the last minute, states for which all of the corresponding reserve prices have been met. withdraw its bid in an attempt to licenses offered in Auction 66 for the 195. The Bureau will count the gross prevent the auction results from meeting exact same geographic area were sold, amount of any withdrawn bids for the applicable reserve price. If the 25 percent of the dollars per MHz per licenses toward meeting the reserve withdrawing bidder’s competitors had population (MHz-pop) of the net prices for several reasons. First, moved to other blocks due to the amounts of the Auction 66 winning bids withdrawn bids presumably reflect withdrawn bid, they may no longer have for licenses covering the same sincere valuations of the license, an interest or the budget to return and geographic license area, subject to a notwithstanding the withdrawal and the bid again on the license subject to the minimum of $0.03/MHz-pop; (2) for reserve is intended to measure that withdrawal. In that event, the licenses covering geographic areas for valuation. Second, counting withdrawn withdrawal might succeed at preventing which a corresponding Auction 66 bids assures that once a reserve is met the reserve from being met and at license was unsold, $0.01/MHz-pop; (3) that fact will not change. Third, if the forcing an auction of alternative for licenses covering the Gulf of Mexico, Bureau did not count withdrawn bids, licenses. $1,000 per MHz; and (4)for all bidders could attempt to use bid 199. The Bureau will count the gross remaining licenses, $0.01/MHz-pop. For withdrawals as a strategic mechanism to amount of either the provisionally all licenses, the results of the above prevent auction results from satisfying a winning bid on a license, or on a calculations are subject to a minimum of reserve in order to force an auction of package that includes the license, or, if $500 per license and are rounded using alternative licenses. higher, the highest withdrawn the Bureau’s standard rounding 196. The Commission’s rules and the provisionally winning bid on a license procedure. The Bureau proposed to procedures for Auction 73 allow each when determining whether a reserve calculate the minimum opening bid for bidder one round in which the bidder price has been met. The Bureau will not any package as the sum of the minimum may withdraw provisionally winning count more than one bid per license, be opening bids for the licenses in the bids for licenses not subject to package it a provisionally winning or withdrawn package. The Bureau sought comment bidding. Allowing bidders to withdraw bid, towards meeting the relevant on this proposal and, in the alternative, provisionally winning bids enables reserve price. In the case of licenses whether, consistent with Section 309(j), bidders to respond to price discovery as with multiple withdrawn bids or a the public interest would be served by the auction develops by adopting withdrawn bid and a provisionally having no minimum opening bids. alternative plans, thereby encouraging winning bid, the Bureau will count the 202. The Bureau received a range of bidders to compete at early stages in the highest of the gross bid amounts toward comments concerning the proposed auction. Accordingly, the Bureau the reserve price. Other than the gross minimum opening bids. One commenter presumes that bids placed and amounts of withdrawn bids, licenses supports the Bureau’s proposed method withdrawn reflect bidders’ sincere without provisionally winning bids will for establishing minimum opening bid valuations of the relevant licenses. not count towards meeting a reserve amounts. However, another commenter Consistent with this presumption, the price. advocates calculating minimum opening Commission’s rules require bidders to 200. Finally, the Bureau will issue an bids on the same basis that was used for cover any shortfall if a subsequent announcement in the FCC Auction Auction 66, rather than on one that uses

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the winning bids from that auction. A and set the minimum opening bids amounts. Under the proposal, the FCC third commenter opposes using using the revised formulas as follows: Auction System interface will list the minimum opening bids based on (1) For licenses covering geographic acceptable bid amounts for each license Auction 66 results, arguing that the 700 areas in the 50 states for which all of the or package. A commenter proposed best MHz Band spectrum is not readily corresponding licenses offered in and final bid procedures to allow comparable to that offered in Auction Auction 66 for the exact same bidders a chance to enter their own bid 66. It maintains that some prices in that geographic area were sold, 25 percent of amounts, if they wish to bid more for a auction resulted from one-time bidding the dollars per MHz per population license but less than the minimum wars, so that RSA minimum opening (MHz-pop) of the net amounts of the acceptable bid increment would require. bids based on these prices would be Auction 66 winning bids for licenses The commenter believes adopting a best overly high and harm small and rural covering the same geographic license and final bid procedure would give carriers. A commenter also contends area, subject to a minimum of $0.03/ bidders a better opportunity to bid up to that the proposed minimum opening MHz-pop, for RSA licenses only, subject the full amount of their final license bids would discourage these carriers to a maximum of $0.10/MHz-pop; (2) for valuations. Two commenters oppose from participating. It proposes that the licenses covering geographic areas for creating this best and final bid minimum opening bids from Auction 66 which a corresponding Auction 66 procedure because it may encourage should generally be used. In addition, license was unsold, $0.01/MHz-pop; gaming the auction system and would the same commenter claims that (3)for licenses covering the Gulf of be unfair to bidders that have a reducing the minimum opening bids Mexico, $1,000 per MHz; and (4) for all provisionally winning bid. The Bureau would prevent the auction from remaining licenses, $0.01/MHz-pop. recognize that there may be proceeding at too rapid a pace. RTG 205. Two commenters suggest that the circumstances under which the agrees that the proposed minimum minimum opening bid for the D Block proposed procedure could enhance the opening bids for some RSAs are too should be set at its reserve price since economical efficiency of the auction, high, and proposes that these be it is only one license and will not be but find that the costs in terms of reduced to either the same level as the assigned if the reserve is not met. increased auction complexity and upfront payments or capped at 25 Another commenter opposes this opportunity for anti-competitive percent of the median net high bid for suggestion, arguing that setting the D signaling would outweigh the benefits all RSAs sold in Auction 66. Another Block minimum opening bid at the in Auction 73. The Bureau adopts the commenter generally criticizes as reserve bid would deny bidders the proposal set out in the 700 MHz Auction arbitrary the proposals to lower the opportunity to determine the relative Public Notice. minimum opening bids to the value of value of the D Block, and may even hurt 209. Minimum Acceptable Bids. the upfront payments, but agrees that the winning bidder’s ability to finance Under the Bureau’s proposed certain RSA minimum opening bids its bid for the D Block. The Bureau procedures, the first of the acceptable may be overly high. A commenter agrees that there may be value, to bid amounts is called the minimum expresses support for the argument that bidders and others, in accepting bids for acceptable bid amount. The minimum reducing the minimum opening bids the D Block short of the reserve. acceptable bid amount for a license will will make the auction less likely to Therefore, the Bureau adopts the be equal to its minimum opening bid proceed overly quickly. minimum opening bid for the D Block amount until there is a provisionally 203. The Bureau finds that the as proposed in the 700 MHz Auction winning bid for the license or package minimum opening bid amounts Public Notice. that includes the license. The minimum proposed in the 700 MHz Auction 206. The Commission did not receive acceptable bid amount for a package Public Notice are generally appropriate. any comments addressing the proposal will be the sum of the minimum While the record indicates that the that the Bureau retain the discretion to acceptable bid amounts for the licenses proposed minimum opening bid reduce minimum opening bid amounts. in the package. Minimum acceptable amounts are higher than many parties The Bureau adopts this proposal. The bids are calculated based on current would like, the proposed amounts better minimum opening bid amounts are price estimates and an activity-based enable the Commission to meet the reducible at the discretion of the formula. statutory objective of recovering for the Bureau. The Bureau emphasize, 210. Current Price Estimates. Under public a portion of the value of the however, that such discretion will be the proposed HPB auction procedures, spectrum resource made available for exercised, if at all, sparingly and early after there is a provisionally winning commercial use. The proposed in the auction, i.e., before bidders lose bid for a license, the FCC will determine minimum opening bid amounts also all activity waivers. During the course of a current price estimate (CPE) for each will help the Commission meet its the auction, the Bureau will not license in each round as a basis for statutory deadlines for auctioning this entertain requests to reduce the calculating minimum acceptable bids. spectrum. minimum opening bid amount on For non-C Block licenses the CPE will 204. In response to comments, specific licenses or packages. be the provisionally winning bid however, the Bureau modifies the 207. The specific minimum opening amount, so that minimum acceptable proposed minimum opening bids for bid amounts for each license available bids are based on provisionally winning certain rural licenses. The Bureau in Auction 73 calculated pursuant to the bid amounts, as in an SMR auction recognize concerns commenters raised procedures set forth in Attachment A of without package bidding. For licenses in regarding proposed minimum opening the Auctions 73 and 76 Procedures the C Block subject to HPB, if a bid on bids and the potential for some licenses, Public Notice. an individual license is provisionally particularly those in rural areas, to winning, the CPE for that license will be remain unsold after the auction. Thus, iii. Bid Amounts the provisionally winning bid amount. for RSA licenses only (CMAs 307–734), 208. In the 700 MHz Auction Public If a package bid is provisionally minimum opening bids will not be Notice, the Bureau proposed that in winning, the CPEs for individual greater than $0.10/MHz-pop. each round, eligible bidders be able to licenses in the package will be Accordingly, the Bureau adopts the place a bid on a given license or package constructed by scaling up the bids on revised minimum opening bid amounts using one or more predefined bid individual licenses so that the sum of

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the license CPEs equals the 215. Activity-Based Formula. Under 219. In the 700 MHz Auction Public provisionally winning package bid. Bids the Bureau’s proposal, once CPEs are Notice, the Bureau notes that it retains are scaled up by adding shares to the calculated, minimum acceptable bids discretion to limit the absolute amount highest bid received so far in the are then determined for each license as by which a minimum acceptable bid for auction for each license in the package. the amount of the CPE plus a percentage a license may increase over the previous These shares are proportional to the of the CPE. The percentage is calculated provisionally winning bid—for bidding units associated with each using the activity-based formula. In example, the Bureau could set a $10 license relative to the total number of general, the percentage will be higher million cap on increases in minimum bidding units in the package. The when many bidders are bidding on a acceptable bid amounts over proposed mechanism for determining license, or on a package containing a provisionally winning bids—and the CPEs in an HPB auction format is license, than when few bidders are Bureau sought comment on the described in more detail in Attachment bidding on a license. circumstances under which the Bureau H of the Auctions 73 and 76 Procedures 216. The percentage of the should employ such a limit. A Public Notice. provisionally winning bid used to commenter suggested a cap on bid 211. Commenters disagree on the establish the minimum acceptable bid increments of $150 million per license method for calculating the CPEs for C amount (the additional percentage) is per round would help avoid problems Block packages. One commenter calculated at the end of each round, associated with bids rising more quickly suggests using current high bids as based on an activity index which is a than bidders, especially new entrants, weights when scaling up bids. Another weighted average of (a) the number of can obtain approval for the additional commenter advocates using distinct bidders placing a bid on the funds, and would not delay the auction provisionally winning bids, not bidding license, including package bids, in that significantly. units, to determine CPEs for C Block round, and (b) the activity index from 220. The Bureau recognize bidder bids while other commenters support the prior round. Specifically, the concerns that very rapid increases in the Bureaus proposed method of activity index is equal to a weighting minimum acceptable bids may calculating CPEs. factor times the number of bidders potentially discourage bidder 212. The Bureau does not agree that placing a bid covering the license in the participation, inhibit price discovery, it should scale up license prices using most recent bidding round plus one and create bid approval issues, current bid amounts, since doing so may minus the weighting factor times the especially since the minimum opening bids in Auction 73 are higher than were encourage undesirable strategic bidding. activity index from the prior round. The the Bureau’s starting bids, for example, Bidders would have an incentive to bid additional percentage is determined as in Auction 66. At the same time, since up the prices of other licenses while one plus the activity index times a the licenses initially offered in Auction holding back on the licenses they are minimum percentage amount, with the 73 will not be sold unless reserve prices interested in, in order to force other result not to exceed a given maximum. are met, it will be useful for the auction license prices to bear a larger share of The additional percentage is then to move at a reasonably fast pace at least the shortfall. multiplied by the CPE amount to obtain until reserve prices are satisfied. The the minimum acceptable bid for the 213. The Bureau also declines to Bureau reiterates that it has the next round. adopt the suggestions of commenters discretion to modify minimum that it base the minimum acceptable 217. The Bureau proposed initially to acceptable bid amounts—by changing bids for C Block REAG licenses directly set the weighting factor at 0.5, the the activity-based formula parameters or on the highest bids for those licenses. minimum percentage (floor) at 0.1 by imposing or modifying a cap on the Scaling up the minimum acceptable bid (10%), and the maximum percentage dollar amount of bid increments—as it amounts for licenses in a package, so (ceiling) at 0.2 (20%). At these initial sees fit during the auction. Taking that the sum of bids on individual settings, the minimum acceptable bid commenter concerns into account, the licenses equals the minimum acceptable for a license will be between ten percent Bureau determined that it will retain bid on the package, mitigates the and twenty percent higher than the CPE initial floor and ceiling parameters at 10 coordination or threshold problem that (which for non-C Block licenses will and 20 percent, respectively, as may face bidders trying to compete with equal the provisionally winning bid), proposed, but the Bureau will begin the a large package bid in a package bidding depending upon the bidding activity auction with a $100 million cap on the auction. Absent such a procedure, covering the license. Equations and amount of the bid increment. That is, package bid prices could become examples are shown in Attachment G of minimum acceptable bids for the next disproportionately large relative to the the Auctions 73 and 76 Procedures round generally will be between 10 and prices for the package components, Public Notice. 20 percent higher than provisionally making it difficult for bidders on the 218. A number of commenters winning bids, but they will not exceed individual licenses to compete with the addressed the activity-based formula to provisionally winning bids by more package bid, especially since bidders on calculate minimum acceptable bids. than $100 million dollars. the individual licenses may bid One advocates increasing the activity 221. Additional Bid Amounts. Any cautiously, hoping that bidders on other weight factor from 0.5 to, for example, additional bid amounts are calculated licenses will make up the difference 0.75, so that the current round’s activity using the minimum acceptable bid required to catch up with the package has more weight in determining the next amount and a bid increment percentage. bid. rounds minimum acceptable bid and The first additional acceptable bid 214. The Bureau does not believe that further advocates modifying the amount equals the minimum acceptable the proposed method of calculating minimum acceptable bid formula by bid amount times one plus the bid CPEs is overly complex. In fact, the decreasing the floor from the proposed increment percentage, rounded. If, for Bureau will use HPB in part because the 10 percent to 5 percent, and decreasing example, the bid increment percentage mechanism for calculating CPEs is the ceiling from the proposed 20 percent is ten percent, the calculation is significantly simpler than other package to 10 percent. Other commenters (minimum acceptable bid amount) * (1 bidding pricing mechanisms that express support for the change in floor + 0. 1), rounded, or (minimum adequately address coordination issues. and ceiling percentages. acceptable bid amount) * 1. 1, rounded;

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the second additional acceptable bid number of acceptable bid amounts, and feeling pressure to submit their bids amount equals the minimum acceptable the parameters of the formulas used to hastily which would raise bidding costs, bid amount times one plus two times calculate minimum acceptable bid 86 increase the potential for bidding errors, the bid increment percentage, rounded, amounts and additional bid amounts if and discourage proper analysis and or (minimum acceptable bid amount) * it determines that circumstances so review before submitting bids. 1.2, rounded; etc. The Bureau will dictate. Further, the Bureau retains the 229. In previous FCC auctions, even round the results of these calculations discretion to do so on a license-by- though up to nine acceptable bid and the minimum acceptable bid license and package-by-package basis. amounts were permitted, multiple calculations using the Bureau’s standard increment bids accounted for only a iv. Provisionally Winning Bids rounding procedures. small fraction of the total number of 222. For Auction 73, the Bureau 226. At the end of each bidding bids placed. The Bureau does not expect proposed to set the bid increment round, a provisionally winning bid will that the frequency of tied bids will be percentage at 0. 1, so that any additional be determined based on which significantly different than in past bid amounts above the minimum combination of bids together provides auctions, and the Bureau does not adopt acceptable bid would each be 10 percent the greatest aggregate gross amount. any changes to its tie-breaking 85 higher. For non-C Block licenses, the Provisionally winning bids at the end of procedures. Hence, the Bureau adopts Bureau proposed to begin the auction the auction become the winning bids, the proposal. The FCC Auction System with one acceptable bid amount per provided that applicable reserve prices will assign a random number to each license (the minimum acceptable bid are met. For the 1,087 licenses not license in each bid upon submission. In amount). For C Block licenses subject to subject to package bidding, the FCC the event of ties among bids that HPB, the Bureau proposed to begin the Auction System determines a generate the highest aggregate gross bid auction with three acceptable bid provisionally winning bid for each amount, the set of bids with the highest amounts per license (the minimum license based on the highest bid amount sum of random numbers becomes acceptable bid amount and two received for the license, taking into provisionally winning. Bidders, additional bid amounts) and one account the bids placed in the round regardless of whether they hold a acceptable bid amount per package (the and the provisionally winning bids from provisionally winning bid, can submit minimum acceptable bid amount and no the previous round. For licenses in the higher bids in subsequent rounds. additional bid amounts). C Block subject to HPB, the FCC However, if the auction were to end 223. The Bureau received no Auction System will determine which with no other bids being placed, the comments on its proposal to set the bid combination of individual and package winning bidder would be the one that increment percentage at 0.1. The bids yields the highest aggregate gross placed the provisionally winning bid. Bureaus adopts the proposal to begin bid amount, taking into consideration 230. All bidding will take place the auction with a bid increment each bidder’s highest bid on each remotely either through the FCC percentage of 0.1. license or package submitted up to that Auction System or by telephonic 224. Several commenters, however, point in the auction. These bids become bidding. There will be no on-site advocate providing more than one the provisionally winning bids for the bidding during Auction 73. Please note acceptable bid amount per license for round. Bidders are reminded that that telephonic bid assistants are the non-C Block licenses. The Bureau is provisionally winning bids count required to use a script when entering not persuaded that additional bid toward activity for purposes of the bids placed by telephone. Telephonic amounts provide bidders with activity rule. bidders are therefore reminded to allow significantly more flexibility to express 227. In order to determine which sufficient time to bid by placing their their valuations. The Bureau experience combination of bids on licenses and/or calls well in advance of the close of a with past auctions indicates that bidders packages yields the highest aggregate round. The length of a call to place a rarely use multiple increment bids as bid amount in a HPB auction, the FCC telephonic bid may vary; please allow a the commenters suggest—to express Auction System compares aggregate bid minimum of ten minutes. their final valuations more precisely— amounts across the various levels in a 231. A bidder’s ability to bid on but more frequently use jump bids as a recursive process. It first compares, for specific licenses or packages of licenses means of signaling other bidders. As each package in the second level, the is determined by two factors: (1) The noted in the 700 MHz Auction Public sum of the highest individual license licenses selected on the bidder’s FCC Notice, the Bureau proposed that bids from the first level with the highest Form 175; and (2) the bidder’s bidders on licenses in the C Block be bids on packages in the second level eligibility. The bid submission screens able to make multiple increment bids to containing those licenses. Those bids will allow bidders to submit bids on ensure that bidders on individual that generate the maximum total bid only those licenses the bidder selected licenses can effectively compete with amounts become provisionally winning. on its FCC Form 175. package bids, even when there are not Attachment H of the Auctions 73 and 76 232. In order to access the bidding individual bids on one or more of the Procedures Public Notice provides function of the FCC Auction System, licenses in the package. Absent that additional detail on this procedure. bidders must be logged in during the need for multiple increment bids in the 228. In the 700 MHz Auction Public bidding round using the passcode non-package bidding blocks, the Bureau Notice, the Bureau proposed to break generated by the SecurID token and a will not modify its proposal. Therefore, ties randomly. A commenter suggests personal identification number (PIN) the Bureau will begin the auction with that because there will be at most a created by the bidder. Bidders are one acceptable bid amount for each non- single acceptable bid amount for all but strongly encouraged to print a round C Block license and C Block packages the individual C Block licenses, there summary for each round after they have and three acceptable bid amounts for will be multiple ties, and that therefore, completed all of their activity for that each C Block license. 87 the Bureau should consider alternate round. 225. The Bureau retains the discretion means of breaking ties. Another 233. In each round, eligible bidders to change the minimum acceptable bid commenter opposes this proposal, will be able to place bids on a given amounts, the additional bid amounts, arguing that adopting such a procedure license or package in one or more pre- the dollar cap on bid increments, the for breaking ties would result in bidders defined bid amounts. For each license

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and package, the FCC Auction System licenses with bidding units exceeding bidding in no more than one round of will list the acceptable bid amounts in its eligibility at the auction’s end. The the auction. a drop-down box. Bidders use the drop- commenters argue that winning 241. Bid Removal. Before the close of down box to select from among the reactivated bids may force bidders to a bidding round, a bidder has the option acceptable bid amounts. The FCC win more licenses than they can afford. of removing any bids placed in that Auction System also includes an upload The Bureau does not accept the round. By using the remove bids function that allows bidders to upload proposal that it not allow bidders to win function in the FCC Auction System, a text files containing bid information. licenses with bidding units that exceed bidder may effectively unsubmit any bid 234. Until a bid has been placed on its eligibility. The Bureau recognizes placed within that round. A bidder a license or a package that includes the that occasionally bidders may need to removing a bid placed in the same license, the minimum acceptable bid change bid strategies as prices rise. round is not subject to withdrawal amount for that license will be equal to Accordingly, the Bureau provide limited payments. Removing a bid will affect a its minimum opening bid amount. Once opportunities for bidders to withdraw bidder’s activity for the round in which there are bids on a license or a package and drop bids, which if used carefully, it is removed, i.e., a bid that is removed that includes the license, minimum allow bidders to avoid winning licenses does not count toward bidding activity. acceptable bids for a license. they no longer wish to win. Thus, the These procedures will enhance bidder 235. During a round, an eligible Bureau finds that the requested flexibility during the auction, and bidder may submit bids for as many restriction on winning bids that exceed therefore the Bureau adopts them for licenses as it wishes, remove bids eligibility is unnecessary to protect Auction 73. placed in the current bidding round, bidders from winning more than they 242. Bid Withdrawal. Once a round withdraw provisionally winning bids wish to win. closes, a bidder may no longer remove a bid. However, in a later round, a from previous rounds (in blocks without 238. The Bureau encourages bidders package bidding), drop non- bidder may withdraw provisionally on licenses and packages in the C Block provisionally winning bids (C-Block winning bids from previous rounds for to bear in mind that their highest bid on licenses or packages), or permanently non-C Block licenses using the each package or license will be reduce eligibility. If a bidder submits withdraw bids function in the FCC considered every time the FCC Auction multiple bids for the same license or Auction System. A 91 provisionally System determines a new set of package in the same round—multiple winning bidder that withdraws its provisionally winning bids. This feature bids on the exact same license or provisionally winning bid from a allows bidders on individual licenses to package, not one bid on a package and previous round during the auction is compete more effectively with package one bid on a license in that package— subject to the bid withdrawal payments bids, since their individual license bid the system takes the last bid entered as specified in 47 CFR 1.2104(g). Once a that bidder’s bid for the round. Bidders can combine with bids on other withdrawal is submitted during a round, should note that the bidding units individual licenses placed in previous that withdrawal cannot be unsubmitted associated with licenses for which the rounds, and stabilizes CPEs. Bidders even if the round has not yet ended. bidder has removed, dropped, or will be able to evaluate the extent to 243. If a provisionally winning bid is withdrawn its bid do not count towards which a bid placed in a previous 90 withdrawn, the minimum acceptable the bidder’s current activity. round is likely to become winning by bid amount will equal the amount of the 236. For licenses subject to package comparing the bid to the other second highest bid received for the bidding in HPB, the FCC Auction considered bids for the license or license, which may be less than, or in System considers each bidder’s highest package. the case of tied bids, equal to, the bid on each license or package when 239. Finally, bidders are cautioned to amount of the withdrawn bid. The determining the 89 provisionally select their bid amounts carefully Commission will serve as a place holder winning bids. Consequently, for licenses because bidders that withdraw a provisionally winning bidder on the in the C Block, an individual license or provisionally winning bid from a license until a new bid is submitted on package bid that does not become a previous round, even if the bid was that license. provisionally winning bid at the mistakenly or erroneously made, are 244. The 700 MHz Auction Public conclusion of the round in which it was subject to bid withdrawal payments. Notice proposed limiting each bidder to placed may become a provisionally v. Bid Removal, Bid Withdrawal, and withdrawals in no more than two winning bid at the conclusion of a Dropped Bids rounds during the course of the auction. subsequent round. This may occur even The round in which withdrawals are if the bidder does not have the bidding 240. In the 700 MHz Auction Public used would be at each bidder’s eligibility to cover the newly- Notice, the Commission proposed bid discretion. The Bureau received no provisionally winning bid. This removal, bid withdrawal, and dropped comments on the number of proposed contrasts with the SMR procedure used bids procedures. The Bureau sought withdrawal rounds. for licenses not subject to package comment on permitting a bidder to 245. The Bureau has decided, in bidding, in which only provisionally remove a bid before the close of the contrast to the proposal in the 700 MHz winning bids from the previous round round in which the bid was placed. Auction Public Notice, to limit each and bids placed during the round are With respect to bid withdrawals, the bidder to withdrawing bids in only one considered when determining Commission proposed limiting each round of the auction. In recent auctions, provisionally winning bids. bidder to withdrawals of provisionally the Bureau has detected bidder conduct 237. A commenter requests that the winning bids on licenses not subject to that, arguably, may have constituted Bureau clarify that a bidder can win a package bidding (i.e., all licenses except anticompetitive behavior through the license or package that becomes in the C Block) in no more than two use of bid withdrawals. While provisionally winning, after not having rounds during the course of the auction. continuing to recognize that bid been part of the winning set in the The Bureau further proposed that withdrawals may reduce risk associated previous rounds; the Bureau clarifies bidders be able to drop non- with efforts to secure various licenses in that point here. Another commenter provisionally winning bids on packages combination, analysis of previous opposes allowing a bidder to win and on licenses subject to package auctions indicates that bidders rarely

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need two withdrawal rounds to avoid recognizing that D Block bidders may bids on that license or package are aggregation risk. Therefore, the Bureau also need to consider their financial removed from consideration. concluded that, for Auction 73, commitment to bids in the C Block, 252. No payments are associated with adoption of a limit on the use of where they are unable to withdraw dropped bids. The round in which a withdrawals to one round per bidder provisionally winning bids. bidder may drop non-provisionally will better balance the need for bidding 249. Dropped Bids. A bid for a winning bids from consideration will be flexibility with the goal of discouraging package or a license in the C Block can at the bidder’s discretion. The Bureau anti-competitive bidding behavior. The become provisionally winning many sought comment on these proposals, Bureau will therefore limit the number rounds after it was placed, since HPB and on the possibilities of not allowing of rounds in which bidders may place considers bids made in previous rounds dropped bids, of allowing dropped bids withdrawals to one round. when determining provisionally not subject to all the restrictions 246. The Bureau received a number of winning bids. These non-provisionally proposed, and of imposing other comments and replies addressing the winning bids are useful to the auction restrictions than proposed. proposal not to allow withdrawals on since they enhance the ability of bidders 253. The Bureau received a number of provisionally winning bids for licenses interested in single licenses or smaller comments and reply comments in the C Block. One commenter urges packages to combine their bids with the addressing dropped bids. Several that bidders on C Block licenses should bids of others to compete with a large entities favor permitting bidders to re- have the same withdrawal options as package bid, and they provide stability bid on licenses they previously other bidders. It asserts that this would to the process for determining current dropped, some also suggested that reduce the exposure risk concerns for C price estimates. It may be the case, dropped bids should be subject to Block bidders. Another commenter however, that a bidder wishes to focus withdrawal payments that the Bureau asserts that the Bureau’s proposal to not on alternative licenses instead, and no should consider disallowing dropped allow withdrawals on C Block licenses longer wishes to win one of its previous bids, and that dropped bids should be creates major financial risks for bidders. bids. In order to allow bidders to opt out announced in advance. A commenter A third commenter contends that the of non-provisionally winning bids that argues that permitting dropped bids in proposed bid withdrawal rules should they no longer wish to win, the Bureau only one round favors package bidders, be modified, because they could proposed that under HPB, for licenses and may discourage bidders interested discourage bidding in the C Block and subject to package bidding, bidders be in individual licenses from competing restrict bidders from seeking alternative allowed a limited number of in the C Block. licenses in later rounds of the auction. opportunities to drop non-provisionally 254. Another commenter maintains A commenter maintains that the highest winning bids from further consideration that the individual C Block REAG bids on individual C Block REAG in the auction. licenses should be subject to standard licenses should be subject to standard 250. Eliminating non-provisionally bid withdrawal rules, rather than those bid withdrawal rules, rather than those winning bids from consideration may for dropped bids. It also proposes that for dropped bids. affect the current price estimates of bidders that are outbid on individual 247. The Bureau proposed not to other licenses, thereby affecting other REAG C Block licenses should not be permit withdrawals of provisionally bidders. This ability to affect the bids of committed to their bids if the higher winning bids in the C Block because, other bidders may lead to undesirable bidder withdraws or drops its bid. with package bidding, a withdrawn bid strategic use of dropped bids. Therefore, Instead, the commenter recommends can affect the composition of the the 700 MHz Auction Public Notice that the individual license should revert provisionally winning set of bids, thus proposed to permit bidders to drop non- to the Commission with a minimum affecting the status of the bids of other provisionally winning bids on packages acceptable bid equal to the second bidders. In addition, under the and on licenses subject to package highest bid price. mechanism used to determine CPEs in bidding in no more than one round of 255. The Bureau also received several HPB, a withdrawn bid can affect the the auction. To discourage bidders from requests for clarification of its intended prices of other licenses. In SMR, in dropping bids in order to disadvantage procedures with respect to dropped contrast, license-by-license bidding their competitors, the 700 MHz Auction bids. A commenter suggests that the ensures that a withdrawn bid affects Public Notice also proposed the Bureau allow bidders who drop a only the status of the bidder placing the following restrictions on the package bid to be able to bid on the withdrawal. Since bidders would be circumstances under which bids may be individual licenses in the dropped able to use withdrawals in the C Block dropped and on the bidder’s subsequent package. The Bureau clarifies that this is to affect other bidders, permitting bidding activity: (1) A bidder that is a its intention. The Bureau is not withdrawals would facilitate provisionally winning bidder on a persuaded that it should modify the 95 undesirable strategic bidding behavior. package will not be permitted to drop proposed procedures on dropped bids. Therefore, to avoid the potential for bids on licenses that are included in the Dropped bid procedures in a package gaming, the Bureau maintains its package; (2) a bidder that drops its bids bidding environment must be designed position not to permit withdrawals of on a license or package will not be to avoid creating disadvantages for other provisionally winning bids in the C permitted to submit further bids on that bidders—intentionally or Block. particular license or package during the unintentionally—when bids are pulled 248. A commenter suggests that auction; and (3) a bidder that drops its out of consideration, and the Bureau’s withdrawals not be permitted in the D bids on a license will not be permitted rules are designed with that goal in Block. Because the D Block license is to submit any bids on packages mind. For example, since withdrawn nationwide, bidders do not face the risk containing that license for the duration provisionally winning bids can affect of winning an incomplete aggregation of of the auction. the winning bids of other bidders, the licenses in the block. The Bureau will 251. Under these proposals, if a Bureau permit drops on non- permit that each bidder have only one bidder drops a bid on a package, it will provisionally winning bids only. round in which to withdraw bids, but it be permitted to bid individually on the Because it is more difficult for bidders does not impose a special prohibition licenses in the package. When a bid is on individual licenses to compete on withdrawals in the D Block, dropped, all of the bidder’s previous against a package bid when only current

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round bids are considered, the Bureau Auction 76. In the 700 MHz Auction for the relevant blocks in a subsequent considers bids placed in all rounds, Public Notice, the Bureau proposed to auction, as soon as possible after the including after a bid is dropped, in establish the percentage at ten percent initial auction. Similarly, if the license order not to give an undue advantage to (10%) for the 700 MHz Band auction for the D Block is not assigned because package bidders. and sought comment on the proposal. the reserve price for that license is not 256. In addition, the Bureau finds that 259. The Bureau received no met, the license for the D Block may be these dropped bids procedures, and comments on this issue and adopts its offered again. For administrative HPB procedures in general, strike a proposal. The Commission will assess purposes, the Bureau designates any careful balance between permitting an interim withdrawal payment equal to such subsequent bidding as Auction 76. bidders adequate bidding flexibility and ten percent (10%) of the amount of the 263. As detailed in the 700 MHz discouraging insincere and anti- withdrawn bids. The ten percent (10%) Second Report and Order, any competitive bidding behavior. For interim payment will be applied toward alternative A, B and E Block licenses example, the prohibition against any final bid withdrawal payment that will be subject to alternative rebidding on a license that has been will be assessed after subsequent performance requirements. Alternative dropped will keep bidders from auction of the license. Assessing an C Block licenses will be based on strategically shifting off of a license so interim bid withdrawal payment different geographic areas and spectrum that its price will fall relative to the ensures that the Commission receives a bandwidth. In addition, the alternative other licenses competing against a minimal withdrawal payment pending C Block licenses will not be subject to package bid, and then rebidding at a assessment of any final withdrawal the open platform conditions applicable lower relative price. The Bureau adopts payment. to the licenses initially offered for the C the proposal to permit bidders on Block. licenses and packages in the C Block to vi. Round Results 264. The Commission concluded that drop non-provisionally winning bids 260. Limited information about the the public interest in prompt licensing during any one round of the auction. results of a round will be made public of 700 MHz spectrum and the related 257. Calculation of Bid Withdrawal after the conclusion of the round. nature of licenses in Auctions 73 and 76 Payment. Generally, the Commission Specifically, after a round closes, the made it appropriate to adopt auction imposes payments on bidders that Bureau will make available for each procedures treating Auctions 73 and 76 withdraw high bids during the course of license, its current provisionally as a single auction for purposes of an auction. If a bidder withdraws its bid winning bid amount, the minimum assessing bidders’ qualifications and and there is no higher bid in the same acceptable bid amount for the following applying the Commission’s anti- or subsequent auction(s), the bidder that round, the amounts of all bids placed on collusion rule. The Commission withdrew its bid is responsible for the the license during the round, and directed the Bureau to permit only difference between its withdrawn bid whether the license is FCC held. If the qualified bidders in Auction 73, to and the provisionally winning bid in the license is provisionally winning and participate in Auction 76, and to use the same or subsequent auction(s). In part of a larger package additional same auction design, including the Auction 73, if a bid is withdrawn on a details regarding the package that applicable aggregate reserve price(s), license in a block that does not meet the contains the specific license will be 97 insofar as possible. The Commission reserve price in the initial auction, available. The system will also provide also required the Bureau to establish withdrawal payments will be based on an entire license history detailing all procedures that give applicants an the provisionally winning bid or bids activity that has taken place on a license opportunity to obtain bidding eligibility for the license in Auction 76, or in any with the ability to sort by round specifically for licenses offered in a subsequent auction, consistent with the number. The reports will be publicly contingent subsequent auction. Bureau’s usual withdrawal payment accessible. Moreover, after the auction, Accordingly, the Bureau sought rule. In the case of multiple bid the Bureau will make available comment on specific procedures for withdrawals on a single license, within complete reports of all bids placed contingent subsequent bidding. the same or subsequent auctions(s), the during each round of the auction, Generally, the Bureau will apply the 96 payment for each bid withdrawal including bidder identities. Commission’s competitive bidding rules will be calculated based on the with a presumption that Auctions 73 sequence of bid withdrawals and the vii. Auction Announcements and 76 should be considered to be a amounts withdrawn. No withdrawal 261. The Commission will use auction single auction, subject to explicit payment will be assessed for a announcements to announce items such exceptions when necessary. With the withdrawn bid if either the subsequent as schedule changes and stage following detailed exceptions, the winning bid or any subsequent transitions. All auction announcements Bureau will apply all of the previously intervening withdrawn bid, in either the will be available by clicking a link in discussed procedures for Auction 73 to same or subsequent auctions(s), equals the FCC Auction System. Auction 76. or exceeds that withdrawn bid. Thus, a bidder that withdraws a bid will not be V. Auction 76 A. Announcement of Auction 76 responsible for any final withdrawal 262. In the 700 MHz Second Report 265. If, at the close of bidding in payment if there is a subsequent higher and Order, the Commission noted the Auction 73, the aggregate reserve price bid in the same or subsequent strong public interest in promptly for any block has not been met, the auction(s). assigning all 700 MHz Band licenses for Bureau will issue an announcement that 258. Section 1.2104(g)(1) of the rules recovered analog spectrum. bidding in Auction 73 has closed and sets forth the payment obligations of a Accordingly, the Commission that Auction 76 will commence on a bidder that withdraws a high bid on a concluded that if licenses for the A, B, date not later than three weeks license during the course of an auction, C or E Blocks are not assigned because following the announcement. The and provides for the assessment of the auction results do not satisfy the announcement of Auction 76 will interim bid withdrawal payments. No applicable aggregate reserve price(s) in establish the deadline by which Auction interim bid withdrawal payments will Auction 73, the public interest will be 73 qualified bidders that selected be assessed until the conclusion of served by offering alternative licenses licenses to be offered in Auction 76 may

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obtain additional bidding eligibility for for C2 Block licenses. This approach competitive bidding rules, which Auction 76 by supplementing their balances the Commission’s interest in prohibits changes in license selection upfront payments, if necessary. In the providing opportunities for new after the initial application filing event that the reserve price for the D entrants competing on a nationwide deadline. Moreover, the commenter Block license is met during Auction 73, basis with its goal of offering alternative contends that requiring applicants to a Closing Public Notice will be released licenses that may be of greater interest select potential alternative licenses prior with respect to the D Block. In the event to a different mix of bidders, including to Auction 73 will limit the amount of that Auction 73 results meet the reserve smaller entities. time required between Auction 73 and prices in all blocks, the Bureau will 270. Accordingly, if there is any contingent subsequent auction. proceed to issue a Closing Public Notice subsequent bidding on alternative 275. Given the presumption that and Auction 76 will not be held. licenses in the C Block, the Bureau will Auction 73 and any contingent employ the HPB auction design for the subsequent bidding on licenses should B. Licenses To Be Offered C2 Block only, with package bids be treated as a single auction, the 266. Any licenses in the A, B, D and accepted on the packages. The Bureau has concluded that applicants E Blocks available in Auction 76 will procedures applicable to the HPB should select both licenses offered in cover the same geographic areas and auction of C2 Block licenses will be the Auction 73 and licenses that may be frequencies as such licenses offered in same as those with respect to C Block offered in Auction 76 by the initial Auction 73. However, the alternative C licenses in Auction 73, subject to the deadline for filing an application to Block will include C1 Block licenses differences. participate in Auction 73. The Bureau offered in each of the 176 EAs and C2 271. Licenses in the C1 Block will be concluded that bidders will be able to Block licenses offered in each of the 12 auctioned using the SMR auction make informed selections prior to REAGs. A complete list of licenses that procedures for licenses in Blocks A, B, Auction 73 of licenses, including may be available in Auction 76 is D and E in auctions 73 and 76. Bids for alternative licenses that may be offered included as Attachment B of the alternative C1 Block licenses will be in contingent subsequent bidding. Auctions 73 and 76 Procedures Public accepted on individual EA Block Bidders will have the opportunity to Notice. licenses only. obtain additional bidding eligibility for 272. With respect to C2 Block licenses to be offered subsequently. C. Auction Structure licenses, bids will be accepted on These procedures will enable contingent i. Licenses for Blocks A, B, D and/or E individual REAG licenses, and on three subsequent bidding, if necessary, to packages, consisting of a package of proceed with minimal delay. 267. If Auction 76 offers licenses in REAGs 1–8 (the 50 States), REAGs 10 & blocks not subject to package bidding in 12 (the Atlantic territories), and REAGs i. Bidder Status Auction 73—Blocks A, B, D, and/or E— 9 & 11 (the Pacific territories). The 276. To participate in Auction 76, a those block will not be subject to hierarchical package structure for the C2 potential bidder must: (1) Have become package bidding in Auction 76, and will licenses is the same as was adopted for qualified to bid for at least one license be offered using the Commission’s the C Block licenses in auction 73. offered in Auction 73 by selecting standard SMR auction design. The license(s) offered in Auction 73 and procedures applicable to the auction D. Bidder Qualification making an upfront payment sufficient to will be the same with respect to licenses 273. As directed by the Commission, establish eligibility to bid for at least for Blocks A, B, D and E in Auction 73. only applicants found qualified to bid in one of those license(s), and (2) file an Auction 73 may be eligible to bid in ii. Alternative Licenses for C Block— abbreviated Auction 76 application and Auction 76. To be eligible to bid in Available Packages selected at least one license offered in Auction 76, an Auction 73 qualified Auction 76. Qualified bidders in 268. In the 700 MHz Auction bidder also must have selected a license Auction 73 need not bid on the licenses Comment Public Notice, the Bureau offered in Auction 76 on the abbreviated offered in Auction 73 in order to be able sought comment on whether to accept Auction 76 application filed together to become qualified to participate in package bids for alternative licenses for with its application to participate in Auction 76. the C Block using the HPB auction Auction 73. The announcement that design for the initial C Block licenses. Auction 73 bidding has ended without ii. Auction 76 Initial Bidding Eligibility One commenter proposed that package one or more aggregate reserve prices 101 277. For Auction 76, qualified bidders bids be accepted on three potential being met also will announce the will have their initial bidding eligibility packages, one package of all C1 Block deadline by which such bidders may based on their initial bidding eligibility licenses, one package of all C2 Block submit supplemental upfront payments in Auction 73 and will also have an licenses, and one package of all C 1 and to purchase bidding eligibility in the opportunity to purchase additional C2 Block licenses. Two other subsequent auction. bidding eligibility. However, qualified commenters argue against accepting any 274. In response to the 700 MHz bidders’’ initial bidding eligibility for package bids for alternative C Block Auction Public Notice, a commenter Auction 73 will be reduced for Auction licenses, contending that the complexity contends that the Commission’s 76 if they hold winning bids for any that they believe should preclude treatment of Auction 73 and any licenses offered in Auction 73 in blocks package bidding with respect to the contingent subsequent auction as a for which the reserve price was met in original 12 C Block licenses will be single auction for purposes of the Auction 73. For winning bidders of further exacerbated should the Commission’s anti-collusion rule licenses in the A, B, C, or E Blocks, the Commission offer 188 alternative C1 requires that applicants select all amount of the reduction will be equal to and C2 Block licenses in subsequent licenses in which they may be the number of bidding units associated bidding. interested, including potential with the licenses won. For the winning 269. The Bureau concluded that it alternative licenses, prior to bidding in bidder of the D Block license, the will use non-package bidding SMR Auction 73. The commenter contends amount of the reduction will be equal to procedures for licenses in the C1 Block that this result is compelled by the the amount of any withdrawal payment and HPB package bidding procedures § 1.2105(b)(2) of the Commission’s owed for withdrawn bid(s) on the D

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Block license plus the amount of the net 281. In the 700 MHz Second Report the assignment of licenses. Specifically, winning bid for the D Block license, up and Order, the Commission noted that the Bureau proposed that bidders to the amount of the winning bidder’s the Bureau has delegated authority to defaulting on winning bids in Auction initial Auction 73 bidding eligibility. determine how to allocate the C Block 73 should be denied eligibility in any reserve price upon auction of alternative subsequent auction. The Bureau iii. Supplementing Upfront Payments licenses. Accordingly, in the 700 MHz declines to restrict the circumstances To Obtain Additional Eligibility Auction Comment Public Notice, the under which it might deny bidding 278. All bidders qualified to Bureau proposed to apply the C Block eligibility in a contingent subsequent participate in Auction 76 will have an aggregate reserve price of $4.637854 auction to an otherwise qualified opportunity to purchase additional billion to all of the alternative C Block bidder. The Commission retains the bidding eligibility. Bidders will be able licenses. That is, the sum of the gross authority to sanction bidders that are to purchase additional bidding bid amounts on the C1 and C2 Block found to have violated the antitrust laws eligibility for licenses to be offered in licenses must equal or exceed $4.637854 or the 105 Commission’s rules in Auction 76 by supplementing their billion in order to meet the reserve connection with competitive bidding by upfront payments pursuant to the price. No commenters addressed this requiring forfeiture of any upfront procedures for making upfront proposal. payments, down payment or full bid 282. The Bureau adopts its proposal, payments by wire transfer set forth in amounts, and by prohibiting the bidders with one additional feature. In the event the Auction 73 and 76 Procedures participation in future auctions. The that the sum of the gross bid amounts Public Notice, subject to a schedule to Commission intends to make full use of on the C1 and C2 Block licenses does be announced following the close of this authority, including banning not meet the reserve price 104 covering bidding in Auction 73. participation in a contingent subsequent both blocks, the Bureau then will auction, with respect to bidders that iv. Continuing Applicability of the Anti- apportion the aggregate reserve price seek to thwart the assignment of Collusion Rule between the two blocks based on their licenses in Auction 73. respective bandwidth and apply those 279. In the 700 MHz Second Report aggregate reserve prices to the respective VI. Post-Auction Procedures and Order, the Commission directed the blocks separately. More specifically, if A. Considerations Relating to Certain Bureau to adopt any procedures that the aggregate reserve price of $4.637854 Post-Auction Payment Rules may enhance the effectiveness of an billion covering both Blocks C1 and C2 auction of licenses in Auction 73 or any is not met, the Commission nevertheless i. Apportioning Package Bids contingent subsequent auction. In part, will assign licenses for the respective 285. In package bidding, when a the Commission found that the block based on the auction results if the bidder places an all-or-nothing bid on a Commission’s anti-collusion rule should gross bid amounts on the C 1 Block package of licenses, there will be no treat Auction 73 and any such licenses exceed $2.529739 billion or the identifiable bid amounts on the subsequent auction as a single auction, gross bid amounts on the C2 Block individual licenses that comprise the given the related nature of the auctions. licenses exceed $2.108115 billion. package. However, the Commission’s Accordingly, the applicable down Applying these separate aggregate competitive bidding rules and payment deadline marking the end of reserve prices will increase the procedures assume that the amount of the anti-collusion period for Auction 73 likelihood that licenses will be assigned each bid on an individual license and any subsequent auction shall be the for the respective blocks in the always is known. For example, rules for down payment deadline established contingent subsequent auction, while calculating the amount of small following the close of the subsequent continuing to apply the aggregate business, new entrant, or tribal land auction. reserve price from the initial auction to bidding credits presume that the winning bid on the license is known. E. Bidding Procedures each block in proportion to the megahertz in each block. Similarly, in determining the amount of i. Aggregate Reserve Prices a default or withdrawal payment, which ii. Minimum Opening Bids involves a comparison between the 280. As required by the Commission, 283. For Auction 76, the Bureau will withdrawing or defaulting bidder’s bid the licenses in subsequent bidding will calculate minimum opening bid and a subsequent bid, the rules assume be subject to the same aggregate reserve amounts on a license-by-license basis that there are bid amounts for price(s) applicable in the initial auction. using the same approach as in Auction individual licenses. Accordingly, the A commenter argues in its comments 73, drawing on the Auction 66 prices Commission recently adopted a rule that the licenses in the second auction that were bid on licenses for the exact providing that, in advance of each should not be subject to any reserve same geographic areas. For any licenses auction with package bidding, the prices because using a reserve price in that may be offered in Auction 76, Commission shall establish a the contingent subsequent auction runs including alternative C1 and C2 Block methodology for determining how to the risk that the licenses will not be licenses, minimum opening bids are set estimate the price or bid on an awarded prior to the June 30, 2008, forth in Attachment B of the Auction 73 individual license included in a package statutory deadline for filing auction and 76 Procedures Public Notice. of licenses. proceeds. As a commenter 286. The Bureau proposed to acknowledges in its comments, the F. Additional Procedures apportion package bids when regulatory Commission decision in the 700 MHz 284. In the 700 MHz Auction calculations require individual license Second Report and Order is binding, Comment Public Notice, pursuant to bid amounts by dividing the package absent reconsideration of that Order by Commission direction, the Bureau bid amount among the licenses the Commission as a whole. sought comment on the possibility of comprising the package in proportion to Consequently, the commenters proposal denying bidding eligibility in a the number of bidding units for each is beyond the scope of the present non- contingent subsequent auction based on license. Alternatively, the Bureau rulemaking auctions procedures bidder behavior in Auction 73, if that proposed to use the final round CPEs for process. behavior appeared designed to thwart each license to apportion package bids.

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The Bureau sought comment on these legitimate interest in using withdrawals 293. The percentage of the bid that a proposals. to facilitate their efforts to aggregate defaulting bidder must pay in addition 287. A commenter suggests that the licenses across potentially substitutable to the deficiency will depend on the Bureau use a measure more closely blocks of licenses not subject to package auction format ultimately chosen for a related to relative license values, such bidding. The Bureau also observed that particular auction. In non-package as minimum opening bid amounts, to the likely significant bid amounts for auctions, the amount can range from apportion package bid amounts among licenses in this auction (and resulting three percent up to a maximum of the licenses in the package. The Bureau absolute value of withdrawal payments) twenty percent, established in advance accepts the commenter’s will in themselves serve as a deterrent of the auction and based on the nature recommendation that relative license to unnecessary withdrawals. Therefore, of the service and the inventory of the values be used to apportion package the Bureau did not propose to set the licenses being offered. In auctions with bids, but rather than use a pre-auction interim bid withdrawal payment at the package bidding, the additional estimate of value such as minimum maximum rate of twenty percent. At the payment is set, pursuant to opening bids, the Bureau will use the same time, the Bureau noted that a rate § 1.2104(g)(2)(ii), at 25 percent of the final CPEs of the licenses in the above the minimum three percent will applicable bid. This higher level reflects package, as in its alternative proposal. help deter undesirable strategic use of the fact that a defaulted winning bid in Final CPEs will reflect relative prices as withdrawals. Specifically, the Bureau an auction with package bidding may determined in Auction 73. Therefore, proposed to establish an interim bid have affected which other bids were when regulatory calculations require withdrawal payment of ten percent of winning other licenses. individual license bid amounts, the the withdrawn bid in the 700 MHz 294. The Bureau proposed to establish Bureau will divide the package bid auction and sought comment on this an additional default payment of fifteen amount among the licenses comprising issue. percent with respect to bids on licenses the package in proportion to the final 291. No commenters suggested any in Blocks A, B, D, and E, which are not round CPEs for the licenses. alternative to the Bureau’s proposed subject to package bidding. As percentage for interim withdrawal ii. Interim Withdrawal Payment previously noted by the Commission, payments. For the reasons set forth Percentage defaults weaken the integrity of the above and in the 700 MHz Auction auction process and impede the 288. In general, the Commission’s Public Notice, the Bureau adopts its deployment of service to the public, and rules provide that a bidder that proposal. The Commission will assess withdraws a bid during an auction is an interim withdrawal payment equal to an additional default payment of more subject to a withdrawal payment equal ten percent (10%) of the amount of the than three percent will be more effective to the difference between the amount of withdrawn bids. The ten percent (10%) in deterring defaults. Moreover, the the withdrawn bid and the amount of interim payment will be applied toward Bureau concluded an additional default the winning bid in the same or a any final bid withdrawal payment that payment greater than ten percent, which subsequent auction. However, if a will be assessed after subsequent the Commission has established in license for which a bid has been auction of the license. Assessing an several recent auctions, is appropriate withdrawn does not receive a interim bid withdrawal payment for the 700 MHz auction. Because no subsequent higher bid or winning bid in ensures that the Commission receives a licenses in Blocks A, B, or E will be sold the same auction, the final withdrawal minimal withdrawal payment pending unless the aggregate reserve price for payment cannot be calculated until a assessment of any final withdrawal that block is met, bidders may have an corresponding license receives a higher payment. Section 1.2104(g) provides additional incentive to bid on a license bid or winning bid in a subsequent specific examples showing application and later default (after determination auction. When that final payment of the bid withdrawal payment rule. that the reserve price has been met), in cannot yet be calculated, the bidder order to help ensure that the reserve responsible for the withdrawn bid is iii. Additional Default Payment price is met and other initial licenses in assessed an interim bid withdrawal Percentage the block are assigned. The Bureau payment, which will be applied toward 292. Any winning bidder that defaults concluded that a higher additional any final bid withdrawal payment that or is disqualified after the close of an default 109 payment will help deter is ultimately assessed. auction (i.e., fails to remit the required such behavior. With respect to the D 289. The Commission recently down payment within the prescribed Block, for which there is a single amended its rules to provide that in period of time, fails to submit a timely nationwide license that will not be advance of the auction, the Commission long-form application, fails to make full assigned unless the D Block reserve shall establish a percentage between payment, or is otherwise disqualified) is price is met, a default by the winning three percent and twenty percent of the liable for a default payment under bidder will delay the especially time- withdrawn bid to be assessed as an § 1.2104(g)(2) of the Commission’s rules. sensitive process of establishing a interim bid withdrawal payment. When This payment consists of a deficiency public-private partnership for the it adopted the new rule, the payment, equal to the difference provision of public safety services. Commission indicated that it would between the amount of the bidder’s bid Given the unusually large public consider the nature of the service and and the amount of the winning bid the interest benefits of timely licensing the the inventory of the licenses being next time a license covering the same D Block, the Bureau proposed to deter offered when determining the level of spectrum is won in an auction, plus an defaults by imposing a higher additional the interim withdrawal payment in a additional payment equal to a default payment in that block as well. particular auction. percentage of the defaulter’s bid or of Accordingly, it proposed an additional 290. In the 700 MHz Auction Public the subsequent winning bid, whichever default payment of fifteen percent on Notice, the Bureau noted that the 700 is less. Until recently this additional licenses in the A, B, D, and E Blocks. MHz auction will offer licenses under payment for non-combinatorial auctions The Bureau sought comment on this several different geographic licensing has been set at three percent of the proposal. The Bureau stated that for schemes and bandwidth sizes, and it defaulter’s bid or of the subsequent licenses in the C Block, because they are found that bidders may have a winning bid, whichever is less. subject to package bidding, the

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additional default payment will be sufficient funds (in addition to its set forth in 47 CFR 1.913, 1.919, and twenty-five percent as set forth in upfront payment) to bring its total 1.2112. An ownership disclosure record § 1.2104(g)(2)(ii). This additional default amount of money on deposit with the is automatically created in ULS for any payment will apply to all bids for Commission for licenses offered in applicant that submits an FCC Form packages and for licenses that are Auction 73 and Auction 76 to 20 175. However, winning bidders will be subject to package bidding. percent of the net amount of its winning required to review and confirm that it is 295. While no comments were filed in bids (gross bids less any applicable complete and accurate as of the date of response to the 700 MHz Auction Public small business or very small business filing Form 601. Further instructions Notice focused on the appropriate bidding credits). will be provided to winning bidders at percentage for the additional default the close of the auction. payments, a commenter proposed in its C. Final Payments comments that the Commission impose 299. Each winning bidder will be F. Tribal Lands Bidding Credit no default penalty in connection with required to submit the balance of the net 303. A winning bidder that intends to any defaults on a winning bid for the D amount of its winning bids within 10 use its license(s) to deploy facilities and Block license. The commenter’s business days after the applicable provide services to federally recognized argument focused particularly on a deadline for submitting down payments. tribal lands that are unserved by any telecommunications carrier or that have scenario where the winning bidder is D. Long-Form Application (FCC Form a wireline penetration rate equal to or unable to negotiate a Network Sharing 601) Agreement with the Public Safety below 85 percent is eligible to receive a Licensee, even while negotiating in 300. Within ten business days after tribal lands bidding credit as set forth in good faith. Another commenter opposed release of the auction closing notice, 47 CFR 1.2107 and 1.2110(f). A tribal this proposal in its reply because it runs winning bidders must electronically lands bidding credit is in addition to, counter to the Commission’s decision in submit a properly completed long-form and separate from, any other bidding the 700 MHz Second Report and Order, application (FCC Form 601) for each credit for which a winning bidder may which held that [i]n the event that the license won through Auction 73 and/or qualify. long-form application filed by the Auction 76. Winning bidders that are 304. Unlike other bidding credits that winning bidder for the D Block license small 111 businesses or very small are requested prior to the auction, a is denied, the winning bidder of the D businesses must demonstrate their winning bidder applies for the tribal Block licenses will be deemed to have eligibility for a small business or very lands bidding credit after winning the defaulted * * * [and] it will be liable small business bidding credit. Further auction when it files its long-form for the default payment set forth in the filing instructions will be provided to application (FCC Form 601). When Commission’s competitive bidding auction winners at the close of the initially filing the long-form application, rules. Accordingly, the commenter’s auction. the winning bidder will be required to proposal is beyond the scope of the 301. The CSEA/Part 1 Report and advise the Commission whether it current non-rulemaking auction Order, 71 FR 6214, February 7, 2006, intends to seek a tribal lands bidding procedures process. modified the procedure by which a credit, for each license won in the 296. The Bureau adopts its proposal consortium that is a winning bidder in auction, by checking the designated and sets the additional default payment Auction 73 and/or Auction 76 will box(es). After stating its intent to seek a percentage at fifteen percent of the apply for a license. In particular, (a) tribal lands bidding credit, the applicant defaulted bid for licenses in the A, B, D each member or group of members of a will have 180 days from the close of the and E Blocks. Pursuant to existing winning consortium seeking separate long-form filing window to amend its Commission rules regarding licenses licenses will be required to file a application to select the specific tribal subject to package bidding, the separate long-form application for its lands to be served and provide the additional default payment percentage respective license(s) and, in the case of required tribal government will be twenty-five percent of the a license to be partitioned or certifications. Licensees receiving a defaulted bid for licenses in the C Block. disaggregated, the member or group tribal lands bidding credit are subject to These percentages are appropriate to filing the applicable long-form performance criteria as set forth in 47 reduce the risk that bidders may default application shall provide the parties’ CFR 1.2110(f)(3)(vi). on their winning bids. partitioning or disaggregation agreement 305. For additional information on the in its long-form application; (b) two or tribal lands bidding credit, including B. Down Payments more consortium members seeking to be how the amount of the credit is 297. After bidding has ended in licensed together shall first form a legal calculated, applicants should review the Auction 73 and Auction 76, the business entity; and (c) any such entity Commission’s rule making proceeding Commission will issue a public notice must meet the applicable eligibility regarding tribal lands bidding credits declaring the auction(s) closed and requirements for small business status. and related public notices. Relevant identifying winning bidders, down Applicants applying as consortia should documents can be viewed on the payments and final payments due. In review the CSEA/Part 1 Report and Commission’s Web site by going to addition, if the D Block bidding satisfies Order in detail and monitor any relevant http://wireless.fcc.gov/auctions and the reserve price and there is a winning future proceedings to understand how clicking on the Tribal Land Credits link. bidder for the D Block license in the members of the consortia will apply G. Default and Disqualification Auction 73, the Commission will issue for a license in the event they are a public notice identifying the winning winning bidders. 306. Any winning bidder that defaults bidder, down payments and final or is disqualified after the close of the payments due after bidding ends in E. Ownership Disclosure Information auction (i.e., fails to remit the required Auction 73, even if Auction 76 will be Report (FCC Form 602) down payment within the prescribed held for licenses in any other block(s). 302. At the time it submits its long- period of time, fails to submit a timely 298. Within ten business days after form application (FCC Form 601), each long-form application, fails to make full release of the auction closing notice, winning bidder also must comply with payment, or is otherwise disqualified) each winning bidder must submit the ownership reporting requirements as will be subject to the payments

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described in 47 CFR 1.2104(g)(2). The the applicant and its principals Commission has never provided for payments include both a deficiency ineligible to bid in future auctions, and refunds of upfront payments to such payment, equal to the difference may take any other action that it deems bidders. In the past, the Commission has between the amount of the bidder’s bid necessary, including institution of provided for refunds of upfront payment and the amount of the winning bid the proceedings to revoke any existing to bidders that have no auction next time a license covering the same licenses held by the applicant. liabilities and no remaining bidding spectrum is won in an auction, plus an eligibility prior to the competition of an H. Refund of Remaining Upfront additional payment equal to a auction. Nevertheless, the Commission Payment Balance percentage of the defaulter’s bid or of has not made any such refunds in the subsequent winning bid, whichever 311. The Commission received two auctions subject to anonymous bidding. is less. sets of comments addressing the refund For all of these reasons, the Bureau 307. Pursuant to recent modifications of upfront payments. One commenter concluded that bidders reasonably to the rule governing default payments, urges that the Commission clarify that it should be required to maintain their the percentage of the applicable bid to will promptly refund upfront payments upfront payments in Auction 73 and be assessed as an additional payment for after the close of the initial auction, Auction 76 on deposit with the defaults in a particular auction is prior to Auction 76. It maintains that Commission until the conclusion of any established in advance of the auction. this would promote full participation in contingent subsequent auction. Accordingly, in the 700 MHz Auction the auction. Another commenter 313. All upfront payments submitted Public Notice, the Bureau proposed to advocates the adoption of procedures by applicants in Auction 73 and all set the additional default payment for for the refund of upfront payments, and upfront payments submitted by Auction the auction of 700 MHz Band licenses other deposits, after they are deposited 73 qualified bidders in connection with at fifteen percent of the applicable bid in the Digital Television Transition and Auction 76 may be available to be with respect to bids on licenses in Public Safety Fund on June 30, 2008, refunded after the conclusion of any Blocks A, B, D, and E, which are not pursuant to the DTV Act. The contingent subsequent auction; subject subject to package bidding. For licenses commenter argues that the lack of such in the C Block, because they are subject to any required payments (i.e. winning procedures would discourage the bid, deficiency, withdrawal, and/or to package bidding, the additional participation of potential applicants. default payment will be twenty-five default payments). All refunds will be 312. The Commission concluded that returned to the payer of record, as percent as set forth in § 1.2104(g)(2)(ii). Auction 73 and Auction 76 are a single 308. The Commission will apportion identified on the FCC Form 159, unless auction event for purposes of the package bids when regulatory the payer submits written authorization Commission’s anti-collusion rule. calculations require individual license instructing otherwise. bid amounts by dividing the package Applicants in Auction 73 are prohibited 314. Bidders are encouraged to file bid amount among the licenses from communicating bids or bidding their refund information electronically comprising the package in proportion to strategies prior to the conclusion of using the Refund Information icon the final round CPEs for the licenses. Auction 76. Disclosing the activity of found on the Auction Application Accordingly, in the event that a winning applicants in Auction 73 or Auction 76 Manager page or through the Wire bidder defaults on a package bid for C by providing for refunds of upfront Transfer for Refund Purposes link Block licenses and the licenses payments prior to the conclusion of available in various locations subsequently are won individually or in Auction 76 would conflict with this throughout the FCC Auction System. If a different combination, the Bureau will conclusion. As a practical matter, the an applicant has completed the refund apportion the defaulted package bid for Bureau notes that applicants in any instructions electronically, the refund the C Block licenses based on the ratio Commission auction must take into will be sent automatically. If an of the bidding units for the relevant account the fact that the Commission’s applicant has not completed the refund licenses to the bidding units for the auctions are of indefinite duration. instructions electronically, the applicant entire package. Thus, even if Auction 76 should not may send a written request for the 309. The Bureau adopted its proposal prove necessary, applicants cannot refund, including wire transfer and sets the additional default payment reasonably expect the return of funds by instructions and FCC Registration for the auction of 700 MHz Band any specific date and therefore cannot Number (FRN) by facsimile to the licenses at fifteen percent of the reasonably require that funds be Auctions Accounting Group at (202) applicable bid for licenses in Blocks A, refunded immediately after the 418–2843 or by mail to: Federal B, D, and E and at twenty-five percent Commission announces that it will Communications Commission, of the applicable bid for Block C make alternative licenses available for Financial Operations Center, Auctions packages and licenses. Auction 76. Moreover, bidders in Accounting Group, Gail Glasser, 445 310. Finally, the Bureau notes that in Auction 73 subject to any liabilities 12th Street, SW., Room 1–C864, the event of a default, the Commission arising from Auction 73 may not have Washington, DC 20554. may re-auction the license or offer it to the extent of their liability determined the next highest bidder (in descending prior to the close of Auction 76. For Federal Communications Commission. order) at its final bid amount. In example a bidder that withdrew a Gary D. Michaels, addition, if a default or disqualification provisionally winning bid in Auction 73 Deputy Chief, Auctions and Spectrum Access involves gross misconduct, would be subject to a determination of Division, WTB. misrepresentation, or bad faith by an the extent of its liability only after the [FR Doc. E7–21528 Filed 11–1–07; 8:45 am] applicant, the Commission may declare conclusion of Auction 76. The BILLING CODE 6712–01–P 117

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Part V

The President Proclamation 8195—National Adoption Month, 2007 Proclamation 8196—National American Indian Heritage Month, 2007 Proclamation 8197—National Family Caregivers Month, 2007 Proclamation 8198—National Hospice Month, 2007 Proclamation 8199—Veterans Day, 2007

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Federal Register Presidential Documents Vol. 72, No. 212

Friday, November 2, 2007

Title 3— Proclamation 8195 of October 31, 2007

The President National Adoption Month, 2007

By the President of the United States of America

A Proclamation During National Adoption Month, we recognize the adoptive and foster families who have shared their homes and hearts with children in need, and we encourage more Americans to consider adopting young people of all ages. Families who adopt show the generous spirit of our Nation. Every child desires a permanent home, and when parents adopt a child to love as their own, lives are forever changed. For parents, the decision to adopt a child is among life’s greatest and happiest turning points. On November 17, families across the country will celebrate National Adoption Day by finalizing their adoptions, and each one of these homes will be richer for the addition of new family members. My Administration is committed to promoting adoption of children of all ages. We are working to bring together more children with loving, adoptive parents through the Collaboration to AdoptUsKids at adoptuskids.org and by providing States with financial assistance through the Adoption Incentives Program. The Promoting Safe and Stable Families Program helps improve care and services to children and families and ensure more young people in America have a caring, secure, and permanent home. Together, these efforts are building a brighter future for our youth. During National Adoption Month, we honor adoptive and foster parents as they raise children of conviction and character. By accepting the gift of these children, parents are helping shape lives and contributing to the strength of our great Nation. NOW, THEREFORE, I, GEORGE W. BUSH, President of the United States of America, by virtue of the authority vested in me by the Constitution and laws of the United States, do hereby proclaim November 2007 as National Adoption Month. I call upon all Americans to observe this month with appropriate programs and activities to honor adoptive families and to partici- pate in efforts to find permanent homes for waiting children.

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IN WITNESS WHEREOF, I have hereunto set my hand this thirty-first day of October, in the year of our Lord two thousand seven, and of the Independ- ence of the United States of America the two hundred and thirty-second.

[FR Doc. 07–5508 Filed 11–1–07; 9:38 am] Billing code 3195–01–P

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Proclamation 8196 of October 31, 2007

National American Indian Heritage Month, 2007

By the President of the United States of America

A Proclamation National American Indian Heritage Month is an opportunity to honor the many contributions of American Indians and Alaska Natives and to recognize the strong and living traditions of the first people to call our land home. American Indians and Alaska Natives continue to shape our Nation by preserving the heritage of their ancestors and by contributing to the rich diversity that is our country’s strength. Their dedicated efforts to honor their proud heritage have helped others gain a deeper understanding of the vibrant and ancient customs of the Native American community. We also express our gratitude to the American Indians and Alaska Natives who serve in our Nation’s military and work to extend the blessings of liberty around the world. My Administration is committed to supporting the American Indian and Alaska Native cultures. In June, I signed the ‘‘Native American Home Owner- ship Opportunity Act of 2007,’’ which reauthorizes the Indian Housing Loan Guarantee Program, guaranteeing loans for home improvements and expanding home ownership for Native American families. Working with tribal governments, we will strive for greater security, healthier lifestyles, better schools, and new economic opportunities for American Indians and Alaska Natives. During National American Indian Heritage Month, we underscore our com- mitment to working with tribes on a government-to-government basis and to supporting tribal sovereignty and self-determination. During this month, I also encourage Federal agencies to continue their work with tribal govern- ments to ensure sound cooperation. Efforts such as on-line training programs will improve interagency collaboration in the Federal Indian Affairs commu- nity and help to strengthen relationships with tribes, building a brighter future for all our citizens. NOW, THEREFORE, I, GEORGE W. BUSH, President of the United States of America, by virtue of the authority vested in me by the Constitution and laws of the United States, do hereby proclaim November 2007 as National American Indian Heritage Month. I call upon all Americans to commemorate this month with appropriate programs and activities.

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IN WITNESS WHEREOF, I have hereunto set my hand this thirty-first day of October, in the year of our Lord two thousand seven, and of the Independ- ence of the United States of America the two hundred and thirty-second.

[FR Doc. 07–5509 Filed 11–1–07; 9:38 am] Billing code 3195–01–P

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Proclamation 8197 of October 31, 2007

National Family Caregivers Month, 2007

By the President of the United States of America

A Proclamation Each year during National Family Caregivers Month, we celebrate all those who dedicate themselves to caring for others and recognize their efforts to comfort and improve the lives of their loved ones in need. One of our Nation’s defining values is compassion, and we must do our best to see that every citizen is treated with dignity and respect. Family caregivers demonstrate this compassion, often at great sacrifice, to assist with everyday activities for family members who are elderly, chronically ill, or disabled. This dedication contributes to a culture of caring and respon- sibility across our country. My Administration remains committed to supporting family caregivers by enhancing their access to services, agencies, and other providers. Late last year, I signed ‘‘The Lifespan Respite Care Act of 2006,’’ which establishes a program to assist family caregivers in accessing affordable and high-quality respite care. The National Family Caregiver Support Program encourages cooperation among agencies and other organizations that support and work with the family caregivers. This program offers information, training, and counseling to help family caregivers assist their loved ones. National Family Caregivers Month is a time to recognize family caregivers for their good hearts and tireless support. Their love and devotion exemplify the true spirit of America. NOW, THEREFORE, I, GEORGE W. BUSH, President of the United States of America, by virtue of the authority vested in me by the Constitution and laws of the United States, do hereby proclaim November 2007 as National Family Caregivers Month. I encourage all Americans to honor the selfless service of caregivers who support their loved ones in need.

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IN WITNESS WHEREOF, I have hereunto set my hand this thirty-first day of October, in the year of our Lord two thousand seven, and of the Independ- ence of the United States of America the two hundred and thirty-second.

[FR Doc. 07–5510 Filed 11–1–07; 9:38 am] Billing code 3195–01–P

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Proclamation 8198 of October 31, 2007

National Hospice Month, 2007

By the President of the United States of America

A Proclamation One of America’s greatest values is compassion, and our country is blessed by all those who dedicate themselves to caring for others. During National Hospice Month, we recognize the dedicated professionals and volunteers who provide love and comfort to those who are terminally ill. Across our Nation, hospice physicians, nurses, counselors, and volunteers provide invaluable support that enables many of our citizens to spend their final days in comfort and dignity. By providing physical, psychological, and social assistance, hospice care workers help ensure their patients can spend valuable time with loved ones. Hospice caregivers also help by pro- viding guidance and counseling to the families of those who are ill. Our Nation is committed to helping ensure that citizens with terminal illness and their families receive the assistance they need. We believe in the dignity and worth of every person at every stage of life, and hospice care brings support and comfort to those in need. Hospice care professionals and volunteers are answering a timeless call to love their neighbors as themselves. During National Hospice Month, we recognize these individuals for their strength and compassion. Their efforts make our country a more loving and caring place. NOW, THEREFORE, I, GEORGE W. BUSH, President of the United States of America, by virtue of the authority vested in me by the Constitution and laws of the United States, do hereby proclaim November 2007 as National Hospice Month. I encourage all Americans to observe this month with appro- priate programs and activities. I also ask Americans to recognize our health care professionals and volunteers for their contributions to helping provide comfort and care to those facing terminal illness.

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IN WITNESS WHEREOF, I have hereunto set my hand this thirty-first day of October, in the year of our Lord two thousand seven, and of the Independ- ence of the United States of America the two hundred and thirty-second.

[FR Doc. 07–5511 Filed 11–1–07; 9:38 am] Billing code 3195–01–P

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Proclamation 8199 of October 31, 2007

Veterans Day, 2007

By the President of the United States of America

A Proclamation

Throughout our history, America has been protected by patriots who cher- ished liberty and made great sacrifices to advance the cause of freedom. The brave members of the United States Armed Forces have answered the call to serve our Nation, ready to give all for their country. On Veterans Day, we honor these extraordinary Americans for their service and sacrifice, and we pay tribute to the legacy of freedom and peace that they have given our great Nation. In times of war and of peace, our men and women in uniform stepped forward to defend their fellow citizens and the country they love. They shouldered great responsibility and lived up to the highest standards of duty and honor. Our veterans held fast against determined and ruthless enemies and helped save the world from tyranny and terror. They ensured that America remained what our founders meant her to be: a light to the nations, spreading the good news of human freedom to the darkest corners of the earth. Like the heroes before them, today a new generation of men and women are fighting for freedom around the globe. Their determination, courage, and sacrifice are laying the foundation for a more secure and peaceful world. Veterans Day is dedicated to the extraordinary Americans who protected our freedom in years past, and to those who protect it today. They represent the very best of our Nation. Every Soldier, Sailor, Airman, Marine, and Coast Guardsman has earned the lasting gratitude of the American people, and their service and sacrifice will be remembered forever. In the words of Abraham Lincoln: ‘‘ . . . let us strive on to finish the work we are in, to bind up the Nation’s wounds, to care for him who shall have borne the battle . . . .’’ On this Veterans Day, I ask all Americans to express their appreciation to our Nation’s veterans. With respect for and in recognition of the contributions our service men and women have made to the cause of peace and freedom around the world, the Congress has provided (5 U.S.C. 6103(a)) that November 11 of each year shall be set aside as a legal public holiday to honor our Nation’s veterans. NOW, THEREFORE, I, GEORGE W. BUSH, President of the United States of America, do hereby proclaim November 11, 2007, as Veterans Day and urge all Americans to observe November 11 through November 17, 2007, as National Veterans Awareness Week. I encourage all Americans to recognize the valor and sacrifice of our veterans through ceremonies and prayers. I call upon Federal, State, and local officials to display the flag of the United States and to support and participate in patriotic activities in their communities. I invite civic and fraternal organizations, places of worship, schools, businesses, unions, and the media to support this national observ- ance with commemorative expressions and programs.

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IN WITNESS WHEREOF, I have hereunto set my hand this thirty-first day of October, in the year of our Lord two thousand seven, and of the Independ- ence of the United States of America the two hundred and thirty-second.

[FR Doc. 07–5512 Filed 11–1–07; 9:38 am] Billing code 3195–01–P

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Part VI

The President Notice of November 1, 2007— Continuation of the National Emergency With Respect to Sudan

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Federal Register Presidential Documents Vol. 72, No. 212

Friday, November 2, 2007

Title 3— Notice of November 1, 2007

The President Continuation of the National Emergency With Respect to Sudan

On November 3, 1997, by Executive Order 13067, the President declared a national emergency with respect to Sudan, pursuant to the International Emergency Economic Powers Act (50 U.S.C. 1701–1706), to deal with the unusual and extraordinary threat to the national security and foreign policy of the United States constituted by the actions and policies of the Government of Sudan. On April 26, 2006, in Executive Order 13400, I determined that the conflict in Sudan’s Darfur region posed an unusual and extraordinary threat to the national security and foreign policy of the United States, expanded the scope of the national emergency to deal with that threat, and ordered the blocking of property of certain persons connected to the conflict. On October 13, 2006, I issued Executive Order 13412 to take addi- tional steps with respect to the national emergency and to implement the Darfur Peace and Accountability Act of 2006. Because the actions and policies of the Government of Sudan continue to pose an unusual and extraordinary threat to the national security and foreign policy of the United States, the national emergency declared on November 3, 1997, as expanded on April 26, 2006, must continue in effect beyond November 3, 2007. Therefore, consistent with section 202(d) of the National Emergencies Act (50 U.S.C. 1622(d)), I am continuing for 1 year the national emergency with respect to Sudan. This notice shall be published in the Federal Register and transmitted to the Congress.

THE WHITE HOUSE, November 1, 2007. [FR Doc. 07–5528

Filed 11–1–07; 1:41 pm] Billing code 3195–01–P

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Reader Aids Federal Register Vol. 72, No. 212 Friday, November 2, 2007

CUSTOMER SERVICE AND INFORMATION CFR PARTS AFFECTED DURING NOVEMBER

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. 33 CFR Presidential Documents 3 CFR 165...... 62117 Executive orders and proclamations 741–6000 Proclamations: The United States Government Manual 741–6000 8195...... 62395 34 CFR 8196...... 62397 Other Services 668...... 62014 8197...... 62399 674...... 61960, 62014 Electronic and on-line services (voice) 741–6020 8198...... 62401 Privacy Act Compilation 741–6064 676...... 62014 8199...... 62403 682...... 61960, 62014 Public Laws Update Service (numbers, dates, etc.) 741–6043 Executive Orders: 685...... 61960, 62014 TTY for the deaf-and-hard-of-hearing 741–6086 13067 (See Notice of 690...... 62014 November 1, 691...... 62014 2007) ...... 62407 ELECTRONIC RESEARCH 13400 (See Notice of 36 CFR World Wide Web November 1, Proposed Rules: 2007) ...... 62407 Full text of the daily Federal Register, CFR and other publications 1191...... 61826 is located at: http://www.gpoaccess.gov/nara/index.html Administrative Orders: 1193...... 61827 Notices: 1194...... 61827 Federal Register information and research tools, including Public Notice of November 1, 1195...... 61828 Inspection List, indexes, and links to GPO Access are located at: 2007 ...... 62407 http://www.archives.gov/federallregister 37 CFR 7 CFR E-mail 202...... 61801 1170...... 62105 40 CFR FEDREGTOC-L (Federal Register Table of Contents LISTSERV) is Proposed Rules: an open e-mail service that provides subscribers with a digital 47...... 61820 52 ...... 61806, 62119, 62338 form of the Federal Register Table of Contents. The digital form Proposed Rules: of the Federal Register Table of Contents includes HTML and 8 CFR 52...... 62175 PDF links to the full text of each document. 245...... 61791 44 CFR To join or leave, go to http://listserv.access.gpo.gov and select Proposed Rules: Online mailing list archives, FEDREGTOC-L, Join or leave the list 103...... 61821 65...... 62121 (or change settings); then follow the instructions. 204...... 61821 67...... 61806 PENS (Public Law Electronic Notification Service) is an e-mail 214...... 61821 Proposed Rules: 67 ...... 61828, 61850, 62178, service that notifies subscribers of recently enacted laws. 299...... 61821 62184, 62194 To subscribe, go to http://listserv.gsa.gov/archives/publaws-l.html 9 CFR and select Join or leave the list (or change settings); then follow 47 CFR 381...... 61793 the instructions. 11...... 62123 FEDREGTOC-L and PENS are mailing lists only. We cannot 12 CFR 64...... 61813 Proposed Rules: respond to specific inquiries. Proposed Rules: 11...... 62195 Reference questions. Send questions and comments about the 308...... 62310 Federal Register system to: [email protected] 363...... 62310 48 CFR The Federal Register staff cannot interpret specific documents or 14 CFR Proposed Rules: regulations. 2...... 61854 23...... 62105 4...... 61854 39...... 61796 FEDERAL REGISTER PAGES AND DATE, NOVEMBER 12...... 61854 71 ...... 62107, 62108, 62110, 14...... 61854 62111 61791–62104...... 1 15...... 61854 Proposed Rules: 62105–62408...... 2 16...... 61854 39 ...... 61822, 61824, 62143 19...... 61854 27...... 61854 20 CFR 30...... 61854 Proposed Rules: 31...... 61854 616...... 62145 32...... 61854 42...... 61854 21 CFR 44...... 61854 Proposed Rules: 49...... 61854 101...... 62149 52...... 61854 22 CFR 49 CFR 62...... 61800, 62112 571...... 62135 585...... 62135 24 CFR Proposed Rules: 3285...... 62308 571...... 62198

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579...... 62198 1121...... 62200 1180...... 62200 50 CFR 1114...... 62200 1150...... 62200 600...... 61815

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REMINDERS by 11-5-07; published 10- Michigan; comments due by The items in this list were RULES GOING INTO 4-07 [FR 07-04780] 11-8-07; published 10-9- editorially compiled as an aid EFFECT NOVEMBER 3, COMMERCE DEPARTMENT 07 [FR E7-19634] to Federal Register users. 2007 National Oceanic and FEDERAL Inclusion or exclusion from Atmospheric Administration COMMUNICATIONS this list has no legal COMMISSION COMMERCE DEPARTMENT Fishery conservation and significance. management: Common carrier services: National Oceanic and Atmospheric Administration Alaska; fisheries of Satellite communications— Exclusive Economic Fishery conservation and Broadcasting-satellite RULES GOING INTO Zone— management: service; policies and EFFECT NOVEMBER 2, Groundfish; comments service rules; comments Caribbean, Gulf, and South 2007 due by 11-6-07; due by 11-5-07; Atlantic fisheries— published 10-25-07 [FR published 8-22-07 [FR Gulf of Mexico and South ENVIRONMENTAL 07-05292] E7-16565] Atlantic coastal West Coast States and PROTECTION AGENCY migratory pelagic FEDERAL TRADE Western Pacific COMMISSION Air quality implementation resources; published fisheries— plans; approval and 11-5-07 Trade regulation rules: Pacific Coast groundfish; promulgation; various Mail or telephone order HOMELAND SECURITY comments due by 11-5- States: merchandise; comments DEPARTMENT 07; published 10-4-07 due by 11-7-07; published Mississippi; published 10-3- Coast Guard [FR 07-04917] 07 9-11-07 [FR E7-17778] Ports and waterways safety; DEFENSE DEPARTMENT Pesticides; tolerances in food, regulated navigation areas, HEALTH AND HUMAN Defense Acquisition SERVICES DEPARTMENT animal feeds, and raw safety zones, security Regulations System agricultural commodities: Centers for Medicare & zones, etc.: Acquisition regulations: Medicaid Services Commodity vocabulary data Calumet Sag Channel, IL; Contractors and Medicaid: base; nomenclature published 10-11-07 subcontractors using changes; technical members of selected School administration amendment; published 9- RULES GOING INTO reserve; evaluation factor; expenditures and 18-07 EFFECT NOVEMBER 4, comments due by 11-5- transportation for school- age children; elimination Correction; published 10- 2007 07; published 9-6-07 [FR 31-07 E7-17424] of reimbursement; comments due by 11-6- FEDERAL ELECTION COMMERCE DEPARTMENT Security-guard functions; comments due by 11-5- 07; published 9-7-07 [FR COMMISSION National Oceanic and 07-04356] Bipartisan Campaign Reform 07; published 9-6-07 [FR Atmospheric Administration HOMELAND SECURITY Act; implementation: E7-17436] Fishery conservation and Technical data rights; DEPARTMENT Campaign funds use for management: comments due by 11-5- Coast Guard donations to non-Federal Atlantic coastal fisheries 07; published 9-6-07 [FR candidates and any other Ports and waterways safety; cooperative E7-17422] regulated navigation areas, lawful purpose other than management— personal use; published ENVIRONMENTAL safety zones, security American lobster; PROTECTION AGENCY zones, etc.: 10-3-07 published 10-5-07 Air pollutants, hazardous; Appomattox River, Hopewell, GOVERNMENT ETHICS TRANSPORTATION national emission standards: VA; comments due by 11- OFFICE DEPARTMENT Petroleum refineries; 5-07; published 10-5-07 Executive branch regulations: Standard time zone wastewater treatment [FR E7-19676] Sole and exclusive nature of boundaries: systems and storage INTERIOR DEPARTMENT conferred authority to Southwest Indiana; vessels; requirements; Fish and Wildlife Service Executive branch published 9-25-07 comments due by 11-5- Endangered and threatened departments and 07; published 9-4-07 [FR species: agencies; clarifying E7-17009] COMMENTS DUE NEXT Rio Grande silvery minnow; amendments; published Air quality implementation WEEK nonessential experimental 10-3-07 plans; approval and population reintroduction promulgation; various NATIONAL CREDIT UNION in the Big Bend Reach (of ADMINISTRATION AGRICULTURE States: DEPARTMENT the Rio Grande); Credit unions: Kentucky; comments due by Agricultural Marketing comments due by 11-5- 11-5-07; published 10-4- 07; published 9-5-07 [FR Organization and Service 07 [FR E7-19327] operations— 07-04286] Dates (domestic) produced or Maryland; comments due by Survival enhancement Books, records and packed in California; 11-5-07; published 10-4- permits— minutes; member comments due by 11-6-07; 07 [FR E7-19626] inspection rights New York; Karner blue published 9-7-07 [FR 07- North Carolina; comments standardization and butterfly; safe harbor 04368] due by 11-5-07; published clarification; published agreement; comments Pistachios grown in California; 10-5-07 [FR E7-19317] 10-3-07 due by 11-9-07; comments due by 11-6-07; Pennsylvania; comments SECURITIES AND published 9-7-07 [FR 07- published 10-10-07 [FR due by 11-5-07; published E7-19882] EXCHANGE COMMISSION 04370] 10-5-07 [FR E7-19516] LABOR DEPARTMENT Securities: AGRICULTURE South Carolina; comments Broker and dealer DEPARTMENT due by 11-8-07; published Mine Safety and Health definitions; bank Import quota and fees: 10-9-07 [FR E7-19646] Administration exemptions; published 10- Dairy Import Licensing Hazardous waste program Coal mine safety and health: 3-07 Program; comments due authorizations: Underground mines—

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Rescue teams; revision of 07; published 10-10-07 Advisory bulletins— Superintendent of Documents, existing standards for [FR E7-19934] Mobile acetylene trailers; U.S. Government Printing training, certification, TRANSPORTATION use, operation, Office, Washington, DC 20402 etc.; comments due by DEPARTMENT fabrication, etc.; (phone, 202–512–1808). The 11-9-07; published 9-6- Federal Aviation comments due by 11-5- text will also be made 07 [FR 07-04317] Administration 07; published 9-6-07 available on the Internet from Rescue teams; revision of Airworthiness directives: [FR 07-04355] GPO Access at http:// existing standards for Aircraft Industries, a.s.; TREASURY DEPARTMENT www.gpoaccess.gov/plaws/ index.html. Some laws may training, certification, comments due by 11-5- Internal Revenue Service etc.; comments due by not yet be available. 07; published 10-4-07 [FR Income taxes: 11-9-07; published 9-6- E7-19619] Employee benefits; cafeteria 07 [FR 07-04318] Boeing; comments due by H.R. 3678/P.L. 110–108 plans; comments due by 11-5-07; published 9-19- MERIT SYSTEMS 11-5-07; published 8-6-07 Internet Tax Freedom Act 07 [FR E7-18420] PROTECTION BOARD [FR E7-14827] Amendments Act of 2007 DG Flugzeugbau GmbH; Practice and procedures: (Oct. 31, 2007; 121 Stat. comments due by 11-5- Correction; comments due Homeland Security 1024) 07; published 10-5-07 [FR by 11-5-07; published Department human E7-19682] 9-26-07 [FR Z7-14827] resources management S. 2258/P.L. 110–109 General Electric Co.; TREASURY DEPARTMENT system; comments due by comments due by 11-6- Third Higher Education 11-5-07; published 10-5- Thrift Supervision Office 07; published 9-7-07 [FR Extension Act of 2007 (Oct. 07 [FR E7-19574] Prohibited consumer credit E7-17680] practices: 31, 2007; 121 Stat. 1028) NUCLEAR REGULATORY Honeywell; comments due COMMISSION Unfair or deceptive acts or Last List October 30, 2007 by 11-5-07; published 9-4- practices; comments due Rulemaking petitions: 07 [FR E7-17384] by 11-5-07; published 8-6- EnergySolutions; comments McDonnell Douglas; 07 [FR E7-15179] due by 11-5-07; published comments due by 11-5- 8-21-07 [FR E7-16476] 07; published 9-19-07 [FR Public Laws Electronic Notification Service PERSONNEL MANAGEMENT E7-18447] LIST OF PUBLIC LAWS OFFICE TRANSPORTATION (PENS) This is a continuing list of Allowances and differentials: DEPARTMENT Federal Railroad public bills from the current Cost-of-living allowances session of Congress which Administration PENS is a free electronic mail (nonforeign areas)— have become Federal laws. It Railroad locomotive safety notification service of newly Puerto Rico and Hawaii; may be used in conjunction standards: enacted public laws. To rate changes; with ‘‘PLUS’’ (Public Laws Electronically controlled subscribe, go to http:// comments due by 11-5- Update Service) on 202–741– pneumatic brake systems; listserv.gsa.gov/archives/ 07; published 9-6-07 6043. This list is also comments due by 11-5- publaws-l.html [FR E7-17638] 07; published 9-4-07 [FR available online at http:// POSTAL SERVICE 07-04297] www.archives.gov/federal- register/laws.html. Note: This service is strictly Domestic Mail Manual: TRANSPORTATION for E-mail notification of new Express Mail Corporate DEPARTMENT The text of laws is not laws. The text of laws is not Accounts; local trust Pipeline and Hazardous published in the Federal available through this service. accounts; cash and check Materials Safety Register but may be ordered PENS cannot respond to deposits elimination; Administration in ‘‘slip law’’ (individual specific inquiries sent to this comments due by 11-9- Pipeline safety: pamphlet) form from the address.

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