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2 III

Contents Federal Register Vol. 62, No. 34

Thursday, February 20, 1997

Agricultural Marketing Service Commodity Futures Trading Commission RULES RULES Dates (domestic) produced or packed in California, 7660– Commodity Exchange Act: 7663 Written record requirements; alternative method of Melons grown in Texas, 7659–7660 compliance (electronic order-routing systems), 7675– Oranges, grapefruit, tangerines, and tangelos, and grapefruit 7678 grown in Florida, 7655–7657 NOTICES Tomatoes grown in— Contract market proposals: Florida, 7657–7659 Chicago Board of Trade— NOTICES Dual trading prohibition in affected contract markets; Poultry grade standards, voluntary: exemption, 7754–7755 Cooked, boneless-skinless products without added Chicago Mercantile Exchange— ingredients, 7748–7749 Dual trading prohibition in affected contract markets; exemption, 7755 New York Cotton Exchange— Agriculture Department Dual trading prohibition in affected contract market; See Agricultural Marketing Service exemption, 7755–7756 See Food Safety and Inspection Service New York Mercantile Exchange— See Rural Utilities Service Dual trading prohibition in affected contract markets; NOTICES exemption, 7756 Agency information collection activities: Meetings; Sunshine Act, 7756–7757 Submission for OMB review; comment request, 7748 Corporation for National and Community Service Alcohol, Tobacco and Firearms Bureau NOTICES PROPOSED RULES Grants and cooperative agreements; availability, etc.: Alcoholic beverages: AmeriCorps program— Distilled spirits, wine, and malt beverages; labeling and State, National, and Tribes and U.S. Territories advertising— programs, 7757–7760 Margarita; use of term, 7742–7743 Defense Department See Army Department Army Department See Engineers Corps See Engineers Corps NOTICES Delaware River Basin Commission Meetings: NOTICES Army Education Advisory Committee, 7760 Hearings, 7761–7762 U.S. Army Command and General Staff College Advisory Committee, 7760–7761 Education Department NOTICES Grants and cooperative agreements; availability, etc.: Centers for Disease Control and Prevention Native Hawaiian curriculum development, teacher NOTICES training, and recruitment program, 7856 Meetings: State childhood lead poisoning prevention grantees, 7787 Employment and Training Administration NOTICES Children and Families Administration Agency information collection activities: Proposed collection; comment request, 7800–7801 NOTICES Organization, functions, and authority delegations: Employment Standards Administration Planning, Research and Evaluation Office, 7787–7788 NOTICES Minimum wages for Federal and federally-assisted Commerce Department construction; general wage determination decisions, See Foreign-Trade Zones Board 7801–7802 See International Trade Administration See National Institute of Standards and Technology Energy Department See National Oceanic and Atmospheric Administration See Energy Efficiency and Renewable Energy Office See Federal Energy Regulatory Commission NOTICES Committee for the Implementation of Textile Agreements Meetings: NOTICES Environmental Management Site Specific Advisory Cotton, wool, and man-made textiles: Board— Malaysia, 7754 Nevada Test Site, 7762–7763 IV Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Contents

Energy Efficiency and Renewable Energy Office Federal Communications Commission PROPOSED RULES RULES Consumer products; energy conservation program: Common carrier services: Certification requirements and test procedures— Telecommunications Act of 1996; implementation— Plumbing products and residential appliances, 7834– Telemessaging, electronic publishing, and alarm 7853 monitoring services; clarification and interpretation, 7690–7720 Engineers Corps PROPOSED RULES NOTICES Common carrier services: Environmental statements; availability, etc.: Telecommunications Act of 1996; implementation— Cherry Creek Dam, CO; safety evaluation, 7761 Telemessaging, electronic publishing, and alarm monitoring services; clarification of terms, 7744– Environmental Protection Agency 7747 RULES Hazardous waste: Federal Deposit Insurance Corporation Identification and listing— PROPOSED RULES Exclusions, 7684–7685 Resolution and receivership rules: Pesticides; tolerances in food, animal feeds, and raw Least cost resolutions, 7725–7727 agricultural commodities: Zinc phosphide, 7679–7684 PROPOSED RULES Federal Energy Regulatory Commission Air programs: NOTICES Ambient air quality standards, national— Electric rate and corporate regulation filings: Ozone and particulate matter, etc., 7743–7744 PECO Energy Co. et al., 7766–7768 NOTICES Environmental statements; availability, etc.: Agency information collection activities: Seneca Falls Power Corp., 7768 Proposed collection; comment request, 7769–7774 Wisconsin River Power Co. et al., 7768–7769 Submission for OMB review; comment request, 7774– Applications, hearings, determinations, etc.: 7776 El Paso Natural Gas Co., 7763 Pesticide, food, and feed additive petitions: KN Interstate Gas Transmission Co., 7763 Abbott Laboratories, 7778–7780 Koch Gateway Pipeline Co., 7763 Good Bugs, Inc., 7780–7782 NorAm Gas Transmission Co., 7763–7764 Pesticide registration, cancellation, etc.: Panhandle Eastern Pipe Line Co., 7764–7765 Stine Microbial Products, 7776 Panhandle Eastern Pipe Line Co. et al., 7764 W. Neudorff GmbH KG et al., 7776–7778 Southern Natural Gas Co., 7765 Transcontinental Gas Pipe Line Corp., 7765 Executive Office of the President Trunkline Gas Co., 7765–7766 See Trade Representative, Office of United States Federal Financial Institutions Examination Council Federal Aviation Administration NOTICES RULES Interagency coordination of formal corrective action by Air traffic operating and flight rules: Federal bank regulatory agencies; policy statement Rocky Mountain National Park, CO; special flight rules in revision, 7782–7783 vicinity (SFAR No. 78) Correction, 7674–7675 Airworthiness directives: Federal Reserve System Aerospatiale, 7665–7667 NOTICES Pacific Scientific Co., 7669–7671 Banks and bank holding companies: Pratt & Whitney; correction, 7671 Formations, acquisitions, and mergers, 7783–7784 Raytheon, 7667–7669 Permissible nonbanking activities, 7784–7785 Textron Lycoming; correction, 7671 Class B airspace; correction, 7671–7672 Federal Trade Commission Class D airspace, 7672–7674 NOTICES Class E airspace, 7674 Prohibited trade practices: PROPOSED RULES Splitfire, Inc., 7785–7786 Airworthiness directives: Zale Corp., 7786–7787 Airbus Industrie, 7727–7729 AlliedSignal Inc. et al., 7730–7731 Boeing, 7729–7730 Fish and Wildlife Service Raytheon, 7731–7733 NOTICES Class E airspace, 7733–7738 Endangered and threatened species: En route domestic airspace area, 7741–7742 Recovery plans— NOTICES Florida salt marsh vole, 7793–7794 Airport noise compatibility program: Environmental statements; availability, etc.: Tallahassee Regional Airport, FL, 7815–7818 Incidental take permits— Passenger facility charges; applications, etc.: Saipan, Northern Mariana Islands; nightingale reed- La Crosse Municipal Airport, WI, 7818–7819 warbler, 7794–7795 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Contents V

Food and Drug Administration International Trade Administration RULES NOTICES Food additives: Agency information collection activities: Secondary direct food additives— Proposed collection; comment request, 7751–7752 Sulphopropyl cellulose, 7678–7679 NOTICES Justice Department Meetings: See Justice Programs Office Advisory committees, panels, etc., 7789–7790 See Juvenile Justice and Delinquency Prevention Office Center for Drug Evaluation and Research postmarketing surveillance program; adverse event reporting system Justice Programs Office review, 7790–7791 NOTICES Agency information collection activities: Food Safety and Inspection Service Proposed collection; comment request, 7799 NOTICES Juvenile Justice and Delinquency Prevention Office Meetings: NOTICES President’s National Food Safety Initiative, 7749 Agency information collection activities: Foreign-Trade Zones Board Proposed collection; comment request, 7800 NOTICES Labor Department Applications, hearings, determinations, etc.: See Employment and Training Administration Indiana, 7749 See Employment Standards Administration Massachusetts, 7750 Ohio, 7750 Land Management Bureau Oregon, 7750 NOTICES Pennsylvania Environmental statements; availability, etc.: Tosco Corp.; oil refinery complex, 7751 Cave Gulch-Bullfrog-Waltman Natural Gas Development Texas Project, WY, 7795 California Microwave-Microwave Network Systems, Management framework plans, etc.: Inc.; microwave telecommunications products Utah, 7795–7796 manufacturing facility, 7751 Public land orders: Oregon, 7796–7797 Health and Human Services Department See Centers for Disease Control and Prevention Minerals Management Service See Children and Families Administration NOTICES See Food and Drug Administration Agency information collection activities: See Health Care Financing Administration Proposed collection; comment request, 7797–7798 See National Institutes of Health See Public Health Service National Highway Traffic Safety Administration NOTICES PROPOSED RULES Scientific misconduct findings; administrative actions: Motor vehicle safety standards: Boone, James B., Jr., Ph.D., 7787 Child restraint systems— Tether anchorages and anchorage system, 7858–7897 Health Care Financing Administration NOTICES NOTICES Grants and cooperative agreements; availability, etc.: Agency information collection activities: Innovative alcohol-impaired driving projects; Submission for OMB review; comment request, 7791– demonstration and evaluation, 7819–7825 7792 National Institute of Standards and Technology Housing and Urban Development Department NOTICES Meetings: NOTICES Advanced Technology Visiting Committee, 7752 Agency information collection activities: Proposed collection; comment request, 7792–7793 National Institutes of Health NOTICES Indian Affairs Bureau Meetings: PROPOSED RULES National Institute of Arthritis and Musculoskeletal and Tribal revenue allocation plans, 7742 Skin Diseases, 7792 National Institute of Mental Health, 7792 Interior Department See Fish and Wildlife Service National Oceanic and Atmospheric Administration See Indian Affairs Bureau NOTICES See Land Management Bureau Agency information collection activities: See Minerals Management Service Proposed collection; comment request, 7752–7753 See National Park Service Meetings: Caribbean Fishery Management Council, 7753 Internal Revenue Service NOTICES National Park Service Agency information collection activities: NOTICES Proposed collection; comment request, 7826–7829 Concession contract policies review, 7798 VI Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Contents

National Register of Historic Places: Applications, hearings, determinations, etc.: Pending nominations, 7798–7799 Sun Growth Variable Annuity Fund, Inc., 7812

National Science Foundation Social Security Administration NOTICES NOTICES Meetings: Magnetic media filing requirements changes: Active Tectonics Special Emphasis Panel, 7802–7803 Corrected wage reports, 7814 Computer and Computation Research Special Emphasis Representative Payment Advisory Committee; report Panel, 7803 availability, 7814 Electrical and Communications Systems Special Emphasis Panel, 7803 State Department Mathematical Sciences Special Emphasis Panel, 7803 NOTICES Meetings: National Transportation Safety Board Overseas Security Advisory Council, 7814 NOTICES Aircraft accidents; hearings, etc.: Surface Transportation Board Classification system, severity of consequences-based— Statistical reporting changes, 7804 NOTICES Railroad services abandonment: Nuclear Regulatory Commission CSX Transportation, Inc., 7825 PROPOSED RULES Plants and materials; physical protection: Textile Agreements Implementation Committee Nuclear power plant security requirements; deletion of See Committee for the Implementation of Textile certain requirements associated with internal threat, Agreements 7721–7725 NOTICES Trade Representative, Office of United States Generic letters: NOTICES Assurance of sufficient net positive suction head for World Trade Organization: emergency core cooling and containment heat Hungary; agricultural products export subsidies; dispute removal pumps, 7806–7809 settlement proceeding, 7815 Meetings: Reactor Safeguards Advisory Committee, 7810–7811 Transportation Department Regulatory guides; issuance, availability, and withdrawal, See Federal Aviation Administration 7811–7812 See National Highway Traffic Safety Administration Applications, hearings, determinations, etc.: See Surface Transportation Board Commonwealth Edison Co., 7804–7806 Southern Nuclear Operating Co., Inc., et al., 7806 Treasury Department See Alcohol, Tobacco and Firearms Bureau Office of United States Trade Representative See Internal Revenue Service See Trade Representative, Office of United States NOTICES Privacy Act: Public Health Service Computer matching programs, 7825–7826 See Centers for Disease Control and Prevention See Food and Drug Administration United States Information Agency See National Institutes of Health NOTICES RULES Grants and cooperative agreements; availability, etc.: Vaccine injury compensation program: Fulbright teacher exchange program orientation, 7829– Vaccine injury table revision, 7685–7690 7832 Rural Utilities Service RULES Electric loans: Separate Parts In This Issue Pre-loan policies and procedures; conventional utility indenture use as security instrument, 7663–7665 Part II PROPOSED RULES Department of Energy; Energy Efficiency and Renewable Electric loans: Energy Office, 7834–7853 Pre-loan policies and procedures; conventional utility indenture use as security instrument, 7721 Part III Department of Education, 7856 Securities and Exchange Commission RULES Part IV Public utility holding companies: Department of Transportation; National Highway Traffic Acquisition of securities of nonutility companies engaged Safety Administration, 7858–7897 in energy-related and gas-related activities; exemption, 7900–7919 NOTICES Part V Self-regulatory organizations; proposed rule changes: Securities and Exchange Commission, 7900–7919 Chicago Board Options Exchange, Inc., 7812–7814 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Contents VII

Reader Aids Additional information, including a list of public laws, telephone numbers, reminders, and finding aids, appears in the Reader Aids section at the end of this issue.

Electronic Bulletin Board Free Electronic Bulletin Board service for Public Law numbers, Federal Register finding aids, and a list of documents on public inspection is available on 202–275– 1538 or 275–0920. VIII Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Contents

CFR PARTS AFFECTED IN THIS ISSUE

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

7 CFR 905...... 7655 944...... 7655 966...... 7657 979...... 7659 987...... 7660 1710...... 7663 Proposed Rules: 1710...... 7721 10 CFR Proposed Rules: 73...... 7721 430...... 7834 12 CFR Proposed Rules: 360...... 7725 14 CFR 39 (5 documents) ...... 7665, 7667, 7669, 7671 71 (4 documents) ...... 7671 7672, 7674 91...... 7674 119...... 7674 121...... 7674 135...... 7674 Proposed Rules: 39 (4 documents) ...... 7727, 7729, 7730, 7731 71 (9 documents) ...... 7733, 7734, 7735, 7736, 7737, 7739, 7740, 7741 17 CFR 1...... 7675 250...... 7900 259...... 7900 21 CFR 173...... 7678 25 CFR Proposed Rules: 290...... 7742 27 CFR Proposed Rules: 5...... 7742 7...... 7742 40 CFR 180...... 7679 261...... 7684 Proposed Rules: 50...... 7743 51...... 7743 53...... 7743 58...... 7743 42 CFR 100...... 7685 47 CFR Ch. I ...... 7690 Proposed Rules: Ch. I ...... 7744 49 CFR Proposed Rules: 571...... 7858 7655

Rules and Regulations Federal Register Vol. 62, No. 34

Thursday, February 20, 1997

This section of the FEDERAL REGISTER Fax # (941) 299–5169. Small businesses place of business, has jurisdiction to contains regulatory documents having general may request information on compliance review the Secretary’s ruling on the applicability and legal effect, most of which with this regulation by contacting: Jay petition, provided an action is filed not are keyed to and codified in the Code of Guerber, Marketing Order later than 20 days after the date of the Federal Regulations, which is published under Administration Branch, Fruit and entry of the ruling. 50 titles pursuant to 44 U.S.C. 1510. Vegetable Division, AMS, USDA, P.O. There are no administrative The Code of Federal Regulations is sold by Box 96456, room 2525–S, Washington, procedures which must be exhausted the Superintendent of Documents. Prices of DC 20090–6456; telephone (202) 720– prior to any judicial challenge to the new books are listed in the first FEDERAL 2491; Fax # (202) 720–5698. provisions of import regulations issued REGISTER issue of each week. SUPPLEMENTARY INFORMATION: This final under section 8e of the Act. rule is issued under Marketing The order for Florida citrus provides Agreement No. 84 and Marketing Order for the establishment of minimum grade DEPARTMENT OF AGRICULTURE No. 905 (7 CFR Part 905), as amended, and size requirements. The minimum grade and size requirements are Agricultural Marketing Service regulating the handling of oranges, grapefruit, tangerines, and tangelos designed to provide fresh markets with 7 CFR Parts 905 and 944 grown in Florida, hereinafter referred to fruit of acceptable quality, thereby as the order. The order is effective under maintaining consumer confidence for [Docket No. FV96±905±4 FIR] the Agricultural Marketing Agreement fresh Florida citrus. This helps create buyer confidence and contributes to Oranges, Grapefruit, Tangerines, and Act of 1937, as amended (7 U.S.C. 601– 674), hereinafter referred to as the stable marketing conditions. This is in Tangelos Grown in Florida; and Import the interest of producers, packers, and Regulations (Grapefruit); Relaxation of ‘‘Act.’’ This rule is also issued under section consumers, and is designed to increase the Minimum Size Requirement for Red 8e of the Act, which provides that returns to Florida citrus growers. Grapefruit whenever certain specified The Committee met October 8, 1996, AGENCY: Agricultural Marketing Service, commodities, including grapefruit, are and unanimously recommended USDA. regulated under a Federal marketing relaxing the red seedless grapefruit ACTION: Final rule. order, imports of these commodities minimum size requirement from size 48 into the United States are prohibited (39⁄16 inches diameter) to size 56 (35⁄16 SUMMARY: The Department of unless they meet the same or inches diameter) for the period Agriculture (Department) is adopting as comparable grade, size, quality, or November 11, 1996, through November a final rule, without change, the maturity requirements as those in effect 9, 1997. This relaxation was effectuated provisions of an interim final rule for the domestically produced by an interim final rule issued on changing regulations under the Florida commodities. November 27, 1996 (61 FR 64251). citrus marketing order and grapefruit The Department is issuing this rule in Absent this change, the size would have import regulations. This rule relaxes the conformance with Executive Order reverted back to size 48 (39⁄16 inches minimum size requirement for red 12866. diameter), on November 11, 1996. seedless grapefruit from 39⁄16 inches in This rule has been reviewed under Section 905.52 of the order authorizes diameter (size 48) to 35⁄16 inches in Executive Order 12988, Civil Justice the Committee to recommend minimum diameter (size 56). The Citrus Reform. This rule is not intended to grade and size regulations to the Administrative Committee (Committee), have retroactive effect. This rule will Secretary. Section 905.306 (7 CFR the agency that locally administers the not preempt any State or local laws, 905.306) specifies minimum grade and marketing order for oranges, grapefruit, regulations, or policies, unless they size requirements for different varieties tangerines, and tangelos grown in present an irreconcilable conflict with of fresh Florida grapefruit. Such Florida, unanimously recommended this rule. requirements for domestic shipments this change. This change will enable The Act provides that administrative are specified in Section 905.306 in handlers and importers to continue to proceedings must be exhausted before Table I of paragraph (a), and for export ship size 56 red seedless grapefruit for parties may file suit in court. Under shipments in Table II of paragraph (b). the entire 1996–97 season. Section 608c(15)(A) of the Act, any Minimum grade and size requirements EFFECTIVE DATE: March 24, 1997. handler subject to an order may file for grapefruit imported into the United FOR FURTHER INFORMATION CONTACT: with the Secretary a petition stating that States are currently in effect under Caroline C. Thorpe, Marketing the order, any provision of the order, or Section 944.106 (7 CFR 944.106), as Specialist, Marketing Order any obligation imposed in connection reinstated on July 26, 1993 (58 FR Administration Branch, F&V, AMS, with the order is not in accordance with 39428, July 23, 1993). Export USDA, room 2525–S, P.O. Box 96456, law and request a modification of the requirements are not changed by this Washington, D.C. 20090–6456; order or to be exempted therefrom. A rule. telephone: (202) 720–5127, Fax # (202) handler is afforded the opportunity for In making its recommendation, the 720–5698; or William G. Pimental, a hearing on the petition. After the Committee considered estimated supply Marketing Specialist, Southeast hearing, the Secretary would rule on the and current shipments. According to Marketing Field Office, Fruit and petition. The Act provides that the both the National Agricultural Statistics Vegetable Division, AMS, USDA, P.O. district court of the United States in any Service and the Committee, production Box 2276, Winter Haven, Florida district in which the handler is an of red seedless grapefruit is expected to 33883–2276; telephone: (941) 299–4770, inhabitant, or has his or her principal increase in comparison to last year 7656 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Rules and Regulations

(1995–96). Both sources estimate an Section 905.306 (7 CFR 905.306) under be higher as most of these handlers also increase in production for this season Marketing Order No. 905. ship to processing markets, which are (1996–97) of about 10 percent to 31.5 During the last 5 years (1991–1995) not included in Committee data but million boxes and about 3 percent to 29 imports to the United States of fresh would contribute to total handler million boxes, respectively. The grapefruit averaged less than 2 percent receipts. Committee reports that it expects that of total domestic consumption or less Section 905.52 of the order authorizes fresh market demand will be sufficient than 15,000 tons per year. Based on the establishment of minimum size to permit the shipment of size 56 red Departmental data, domestic regulations for Florida citrus, and seedless grapefruit grown in Florida consumption averaged 766,000 tons per section 8e of the Act requires that when during the entire 1996–97 season. The year for that period. The major exporter such regulations are in effect for Committee believes that markets have of grapefruit to the United States was grapefruit, the same or comparable been developed for size 56 and that they the Bahamas. The Bahamas shipped an requirements be applied to imports. should continue to supply those average of 95 percent of all grapefruit This action continues a relaxation in markets. imports to the United States during that the minimum size requirement This size relaxation will enable time period. Other exporters of established for Florida and imported red Florida grapefruit shippers to continue grapefruit to the United States included seedless grapefruit from size 48 (39⁄16 shipping size 56 red seedless grapefruit Mexico, Jamaica, Dominican Republic, inches diameter) to size 56 (35⁄16 inches to the domestic market. This rule will Israel, and Thailand. diameter) for the period November 11, have a beneficial impact on producers Pursuant to requirements set forth in 1996, through November 9, 1997. and handlers, since it will permit the Regulatory Flexibility Act (RFA), the Absent this change, the size would have Florida grapefruit handlers to make Agricultural Marketing Service (AMS) reverted back to size 48 (39⁄16 inches available those sizes of fruit needed to has considered the economic impact of diameter), on November 11, 1996. meet consumer needs. This is consistent this action on small entities. This rule is expected to have a with current and anticipated demand in Accordingly, AMS has prepared this positive impact on growers, handlers those markets for the 1996–97 season, regulatory flexibility analysis. and importers, as it will permit the and will provide for the maximization The purpose of the RFA is to fit shipment of smaller size grapefruit, of shipments to fresh market channels. regulatory actions to the scale of allowing the industry to meet market There are some exemptions to these business subject to such actions in order needs. There is a small established regulations provided under the order. that small businesses will not be unduly market for size 56 red seedless Handlers may ship up to 15 standard or disproportionately burdened. grapefruit and elimination of all packed cartons (12 bushels) of fruit per Marketing orders issued pursuant to the shipments of this size would cause a day. Handlers may also ship unlimited Act, and rules issued thereunder, are hardship on the industry. The relaxed gift packages of up to 2 standard packed unique in that they are brought about minimum size requirement will be cartons of fruit per day, which are through group action of essentially applied to both small and large handlers individually addressed and not for small entities acting on their own and importers in the same way. resale. Fruit shipped for animal feed is behalf. Thus, both statutes have small Based on shipment data from the also exempt under specific conditions. entity orientation and compatibility. Committee, total fresh Florida citrus Fruit shipped to commercial processors Import regulations issued under the Act shipments for interstate and export for conversion into canned or frozen are based on those established under markets averaged 65,935 million 4⁄5 products or into a beverage base is not Federal marketing orders. bushel boxes during the last 5 seasons subject to the handling requirements. There are approximately 100 handlers (1991–1995). During this period, size 56 Section 8e of the Act provides that of Florida citrus who are subject to red seedless grapefruit comprised when certain domestically produced regulation under the marketing order, approximately 3 to 5 percent of total commodities, including grapefruit, are approximately 11,000 producers of fresh shipments, or 2 to 3 million 4⁄5 regulated under a Federal marketing citrus in the regulated area, and about bushel boxes. The average price for the order, imports of that commodity must 25 grapefruit importers. Small last 5 seasons ranged from $5.54 to meet the same or comparable grade, agricultural service firms are defined by $5.68 per 4⁄5 bushel box for size 56 red size, quality, and maturity requirements. the Small Business Administration (13 seedless grapefruit. Thus, potential Since this rule continues a relaxation in CFR 121.601) as those having annual revenue from the sale of this fruit would the minimum size requirement under receipts of less than $5,000,000, and range from $11 million to $17 million. the domestic handling regulations, a small agricultural producers are defined This relaxation is consistent with corresponding change to the import as those whose annual receipts are less current and anticipated market demand regulations must also be considered. than $500,000. The majority of Florida for the 1996–97 season, and will Minimum grade and size citrus producers and grapefruit provide for the maximization of requirements for grapefruit imported importers may be classified as small shipments to fresh market channels. The into the United States are currently in entities. The majority of Florida citrus benefits of this rule are not expected to effect under Section 944.106 (7 CFR handlers are estimated to be large be disproportionately greater or less for 944.106), as reinstated on July 26, 1993 entities. small handlers, growers or importers (58 FR 39428, July 23, 1993). This final Based on Committee shipping data than for larger entities. rule continues a relaxation the and estimates for 1994–95, The Committee discussed an minimum size requirements for approximately 60 percent of all handlers alternative to this change, which was to imported red seedless grapefruit to 35⁄16 handled 83 percent of Florida fresh not relax the minimum size inches in diameter (size 56) for the domestic and export citrus shipments. requirement. This alternative would period November 11, 1996, through The handlers included in this figure have prevented the industry from November 9, 1997, which reflects the shipped 500,000 or more boxes of fresh shipping fruit to current viable markets. relaxation being made under the order citrus. The average price for Florida While only a small amount of the crop for grapefruit grown in Florida. The citrus was $7.00 per 4⁄5 bushel box for is expected to be affected by relaxing the minimum grade and size requirements all domestic shipments. The actual minimum size, the Committee believes for Florida grapefruit are specified in receipts of these handlers is estimated to that this relaxation will benefit Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Rules and Regulations 7657 producers and handlers with smaller December 4, 1996) will tend to FOR FURTHER INFORMATION CONTACT: fruit this season. Thus, the Committee effectuate the declared policy of the Act. Aleck Jonas, Marketing Specialist, unanimously recommended this action. Southeast Marketing Field Office, Fruit List of Subjects This rule relaxes size requirements and Vegetable Division, AMS, USDA, under the order and the grapefruit 7 CFR Part 905 P.O. Box 2276, Winter Haven, Florida import regulations. Accordingly, this Grapefruit, Marketing agreements, 33883–2276; telephone: (941) 299–4770, action will not impose any additional Oranges, Reporting and recordkeeping or FAX: (941) 299–5169; or Mark reporting or recordkeeping requirements requirements, Tangelos, Tangerines. Slupek, Marketing Order on either small or large Florida citrus Administration Branch, F&V, AMS, handlers or grapefruit importers. As 7 CFR Part 944 USDA, room 2525–S, P.O. Box 96456, with all Federal marketing order Avocados, Food grades and standards, Washington, DC 20090–6456: telephone: programs and companion import Grapefruit, Grapes, Imports, Kiwifruit, (202) 205–2830, or FAX: (202) 720– regulations, reports and forms are Limes, Olives, Oranges. 5698. Small businesses may request periodically reviewed to reduce For the reasons set forth above, 7 CFR information on compliance with this information requirements and parts 905 and 944 are amended as regulation by contacting: Jay Guerber, duplication by industry and public follows: Marketing Order Administration sector agencies. Branch, Fruit and Vegetable Division, The Department has not identified PART 905ÐORANGES, GRAPEFRUIT, AMS, USDA, P.O. Box 96456, room any relevant Federal rules that TANGERINES, AND TANGELOS 2523–S, Washington, DC 20090–6456; duplicate, overlap or conflict with this GROWN IN FLORIDA telephone (202) 720–2491; Fax # (202) rule. In addition to minimum size 720–5698. requirements, Florida and imported PART 944ÐFRUITS; IMPORT SUPPLEMENTARY INFORMATION: grapefruit is required to meet minimum REGULATIONS This rule grade requirements that are based on the is issued under Marketing Agreement U.S. Standards for Grades of Florida Accordingly, the interim final rule No. 125 and Order No. 966 (7 CFR part Grapefruit (7 CFR 51.750 through amending 7 CFR parts 905 and 944 966), both as amended, regulating the 51.784) which are issued under the which was published at 61 FR 64251 on handling of tomatoes grown in Florida, Agricultural Marketing Act of 1946 (7 December 4, 1996, is adopted as a final hereinafter referred to as the order. The U.S.C. 1621 through 1627). rule without change. order is effective under the Agricultural Additionally, the Department of Citrus Dated: February 13, 1997. Marketing Agreement Act of 1937, as for the State of Florida regulates citrus Robert C. Keeney, amended (7 U.S.C. 601–674), hereinafter through the Citrus Fruit Laws, Chapter Director, Fruit and Vegetable Division. referred to as the Act. The Department of Agriculture is 601, Florida Citrus Code of 1949. [FR Doc. 97–4113 Filed 2–19–97; 8:45 am] issuing this rule in conformance with The Committee’s meeting was widely BILLING CODE 3410±02±P publicized throughout the Florida citrus Executive Order 12866. industry and all interested persons were This rule has been reviewed under invited to attend the meeting and 7 CFR Part 966 Executive Order 12988, Civil Justice participate in Committee deliberations Reform. This rule is not intended to on all issues. Like all Committee [Docket No. FV96±966±2 FIR] have retroactive effect. This rule will meetings, the October 8, 1996, meeting not preempt any State or local laws, Tomatoes Grown in Florida; Partial regulations, or policies, unless they was a public meeting and all entities, Exemption From the Handling both large and small, were able to present an irreconcilable conflict with Regulation for Single Layer and Two this rule. express views on this issue. The Layer Place Packed Tomatoes Committee itself is composed of 18 The Act provides that administrative members, of which 9 are producers, 8 AGENCY: Agricultural Marketing Service, proceedings must be exhausted before are handlers and 1 is a public member. USDA. parties may file suit in court. Under The majority of Committee members ACTION: Final rule. section 608c(15)(A) of the Act, any represent small entities. handler subject to an order may file The interim final rule was issued on SUMMARY: The Department of with the Secretary a petition stating that November 27, 1996, and published in Agriculture (Department) is adopting as the order, any provision of the order, or the Federal Register (61 FR 64251, a final rule, without change, the any obligation imposed in connection December 4, 1996), with an effective provisions of an interim final rule with the order is not in accordance with date of November 11, 1996. That rule providing an exemption to the pack and law and request a modification of the amended §§ 905.306 and 944.106 of the container requirements currently order or to be exempted therefrom. A rules and regulations in effect. That rule prescribed under the Florida tomato handler is afforded the opportunity for provided a 30-day comment period marketing order. The marketing order a hearing on the petition. After the which ended January 3, 1997. No regulates the handling of tomatoes hearing the Secretary would rule on the comments were received. grown in Florida and is administered petition. The Act provides that the In accordance with section 8e of the locally by the Florida Tomato district court of the United States in any Act, the United States Trade Committee (Committee). This rule district in which the handler is an Representative has concurred with the exempts shipments of single layer and inhabitant, or has his or her principal issuance of this final rule. two layer place packed tomatoes from place of business, has jurisdiction to After consideration of all relevant the container net weight requirements review the Secretary’s ruling on the material presented, including the under the marketing order. This rule petition, provided an action is filed not Committee’s recommendation, and facilitates the movement of single layer later than 20 days after date of the entry other available information, it is found and two layer place packed tomatoes of the ruling. that finalizing the interim final rule, and should improve returns to Pursuant to requirements set forth in without change, as published in the producers of Florida tomatoes. the Regulatory Flexibility Act (RFA), the Federal Register (61 FR 64251, EFFECTIVE DATE: March 24, 1997. Agricultural Marketing Service (AMS) 7658 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Rules and Regulations has considered the economic impact of have a significant economic impact on box. To facilitate this type of pack, most this action on small entities. a substantial number of small entities. handlers use plastic cells, cardboard The purpose of the RFA is to fit The interim final rule was issued on partitions, or trays to position the regulatory actions to the scale of October 29, 1996, and published in the tomatoes. The majority of place packed business subject to such actions in order Federal Register (61 FR 55729, October tomatoes are sold by count per container that small businesses will not be unduly 29, 1996), with an effective date of rather than by weight. or disproportionately burdened. October 30, 1996. That rule amended Throughout the harvesting season, the Marketing orders issued pursuant to the § 966.323 of the rules and regulations in weight of equal size tomatoes may vary Act, and rules issued thereunder, are effect under the order. That rule dramatically. When tomatoes are place unique in that they are brought about provided a 30-day comment period packed into a container, the handler through group action of essentially which ended November 29, 1996. No cannot add extra tomatoes if the small entities acting on their own comments were received. container’s net weight is light. Because behalf. Thus, both statutes have small Under the Florida tomato marketing the tomatoes are packed in layers, when entity orientation and compatibility. order, tomatoes produced in the a layer is complete there are no spaces There are approximately 75 handlers production area and shipped to fresh for adding additional tomatoes. of tomatoes who are subject to market channels are required to meet Similarly, when the tomatoes are heavy, regulation under the order and certain handling requirements. These the handler cannot remove a tomato to approximately 90 producers of tomatoes requirements include minimum grade, meet a maximum weight requirement. in the regulated area. Small agricultural size, and pack and container Buyers expect a full pack with no service firms, which include handlers, specifications. spaces, and a missing tomato could are defined by the Small Business This final rule revises § 966.323 result in a loose pack which could allow Administration (13 CFR 121.601) as paragraph (d) of the rules and shifting or bruising during transport. those having annual receipts of less than regulations to make single layer and two The Committee made this $5,000,000, and small agricultural layer place packed tomatoes exempt recommendation to overcome this producers are defined as those whose from the current net weight problem and allow the industry to annual receipts are less than $500,000. requirements. This exemption is the develop this market. This change allows The majority of handlers and producers same as granted for specialty packed red the industry to place pack single layer of Florida tomatoes may be classified as ripe tomatoes and yellow meated and two layer packs exempt from the small entities. tomatoes. The exemption is from net current net weight requirements. This rule finalizes an exemption for weight only. The tomatoes are still However, all other packs must continue shipments of single layer and two layer subject to all other provisions of the to meet the requirements. place packed tomatoes from container handling regulation, including Single layer and two layer place net weight requirements currently established grade, size, pack, and packed tomatoes are common in today’s specified under the order. Place packing inspection requirements. The markets. Many tomato growing areas requires a certain number of tomatoes to Committee met September 5, 1996, and within the United States utilize them, as fill a container, making it difficult to unanimously recommended this change. do most shippers of Mexican tomatoes. meet established weight requirements. Section 966.52 of the Florida tomato Buyer demand for this type of container Tomatoes are packed in one or two marketing order provides authority for is well established. Tomatoes packed in layers, which some industry members the modification, suspension, and single layer and two layer containers believe is superior to the bulk container termination of regulations. Section have a strong market share. Some pack. Place packing is labor intensive, 966.323(a)(3)(i) of the order’s rules and Committee members stated that this with most of the packing being done by regulations defines the net weight pack provides a superior presentation of hand, but it allows handlers to ship container requirements. These the tomatoes when compared to the higher colored, more mature tomatoes. requirements specify that all tomatoes bulk net weight container. Committee Place packed tomatoes, which are be packed in containers of 10, 20, and members believe that Florida tomato shipped from many domestic and 25 pound designated net weights. The shippers can compete well in this foreign growing areas, currently net weight cannot be less than the market. maintain a strong market share. designated weight or exceed the Another advantage of the place pack This exemption is the same as granted designated weight by more than two is that a more mature tomato can be for specialty packed red ripe tomatoes pounds. shipped if desired. The Committee and yellow meated tomatoes. This Most tomatoes from Florida are expressed interest in beginning to ship exemption appears to be the most viable shipped at the mature green stage, and a higher colored, more mature tomato. alternative to present requirements are packed in volume fill containers. Volume packing such a tomato could because it facilitates the use of place When volume fill containers are packed, cause bruising or other damage. Place packing in Florida, and provides the tomatoes are placed by hand or packing in single layer or two layer handlers an additional shipping option. machine into the container until the packs would prevent damage and help Also, while we lack sufficient required net weight is reached. This a mature tomato arrive at market in good information necessary to quantify these procedure, by design, works well when condition. benefits at this time, we believe that this packing to meet a specified weight. The Committee is focusing on ways to exemption will be beneficial to the In contrast, it is very difficult to pack continue to be competitive, develop industry. After the industry operates to a specified weight when place new markets, and increase grower under the relaxed requirements for a packing in a single layer or two layer returns. The Committee believes this time, additional information will be pack. Place packing a container requires change will provide the industry with available. Because the exemption and a fixed number of tomatoes to fill the more flexibility and additional the packing techniques required affect container. In place packing, the marketing opportunities. both small and large handlers equally, tomatoes are packed in layers, with the Section 8(e) of the Act requires that both will benefit proportionally from fill determined by the size of the tomato, whenever grade, size, quality, or the exemption. Therefore, the AMS has dimensions of the container, and the maturity requirements are in effect for determined that this action will not way the tomatoes are positioned in the certain commodities under a domestic Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Rules and Regulations 7659 marketing order, including tomatoes, DATES: Effective on October 1, 1996. The Act provides that administrative imports of that commodity must meet Comments received by March 24, 1997, proceedings must be exhausted before the same or comparable requirements. will be considered prior to issuance of parties may file suit in court. Under Since the Act does not authorize the a final rule. section 608c(15)(A) of the Act, any imposition of pack or container ADDRESSES: Interested persons are handler subject to an order may file requirements on imports, even when invited to submit written comments with the Secretary a petition stating that such requirements are in effect under a concerning this rule. Comments must be the order, any provision of the order, or domestic marketing order, no change is sent in triplicate to the Docket Clerk, any obligation imposed in connection necessary in the tomato import Fruit and Vegetable Division, AMS, with the order is not in accordance with regulations as a result of this action. USDA, P.O. Box 96456, room 2525–S, law and request a modification of the After consideration of all relevant Washington, DC 20090–6456, FAX 202– order or to be exempted therefrom. Such material presented, the information and 720–5698. Comments should reference handler is afforded the opportunity for recommendations submitted by the the docket number and the date and a hearing on the petition. After the hearing the Secretary would rule on the Committee, and other available page number of this issue of the Federal petition. The Act provides that the information, it is found that finalizing, Register and will be available for public district court of the United States in any without change, the interim final rule as inspection in the Office of the Docket district in which the handler is an published in the Federal Register (61 Clerk during regular business hours. FR 55729, October 29, 1996) will tend inhabitant, or has his or her principal to effectuate the declared policy of the FOR FURTHER INFORMATION CONTACT: place of business, has jurisdiction to Act. Belinda G. Garza, Marketing Specialist, review the Secretary’s ruling on the McAllen Marketing Field Office, Fruit petition, provided an action is filed not List of Subjects in 7 CFR Part 966 and Vegetable Division, AMS, USDA, later than 20 days after the date of the Marketing agreements, Reporting and 1313 East Hackberry, McAllen, TX entry of the ruling. recordkeeping requirements, Tomatoes. 78501, telephone 210–682–2833, FAX Pursuant to requirements set forth in 210–682–5942, or Martha Sue Clark, For the reasons set forth in the the Regulatory Flexibility Act (RFA), the Program Assistant, Marketing Order preamble, 7 CFR part 966 is amended as Agricultural Marketing Service (AMS) Administration Branch, Fruit and follows: has considered the economic impact of Vegetable Division, AMS, USDA, P.O. this rule on small entities. PART 966ÐTOMATOES GROWN IN Box 96456, room 2525–S, Washington, The purpose of the RFA is to fit FLORIDA DC 20090–6456; telephone 202–720– regulatory actions to the scale of 9918; FAX 202–720–5698. Small business subject to such actions in order Accordingly, the interim final rule businesses may request information on that small businesses will not be unduly amending 7 CFR part 966 which was compliance with this regulation by or disproportionately burdened. published at 61 FR 55729 on October contacting Jay Guerber, Marketing Order Marketing orders issued pursuant to the 29, 1996, is adopted as a final rule Administration Branch, Fruit and Act, and the rules issued thereunder, are without change. Vegetable Division, AMS, USDA, P.O. unique in that they are brought about Dated: February 12, 1997. Box 96456, room 2525–S, Washington, through group action of essentially Robert C. Kenney, DC 20090–6456; telephone 202–720– small entities acting on their own 2491; FAX 202–720–5698. behalf. Thus, both statutes have small Director, Fruit and Vegetable Division. entity orientation and compatibility. SUPPLEMENTARY INFORMATION: [FR Doc. 97–4110 Filed 2–19–97; 8:45 am] This rule There are approximately 32 producers BILLING CODE 3410±02±P is issued under Marketing Agreement of South Texas melons in the No. 156 and Order No. 979, both as production area and approximately 24 amended (7 CFR part 979), regulating handlers subject to regulation under the 7 CFR Part 979 the handling of melons grown in South marketing order. Small agricultural Texas, hereinafter referred to as the producers have been defined by the [Docket No. FV97±979±1 IFR] ‘‘order.’’ The marketing agreement and Small Business Administration (13 CFR order are effective under the 121.601) as those having annual receipts Melons Grown in South Texas; Agricultural Marketing Agreement Act Assessment Rate less than $500,000 and small of 1937, as amended (7 U.S.C. 601–674), agricultural service firms are defined as AGENCY: Agricultural Marketing Service, hereinafter referred to as the ‘‘Act.’’ those whose annual receipts are less USDA. The Department of Agriculture than $5,000,000. The majority of South ACTION: Interim final rule with request (Department) is issuing this rule in Texas melon producers and handlers for comments. conformance with Executive Order may be classified as small entities. 12866. The melon marketing order provides SUMMARY: This interim final rule This rule has been reviewed under authority for the Committee, with the establishes an assessment rate for the Executive Order 12988, Civil Justice approval of the Department, to South Texas Melon Committee Reform. Under the marketing order now formulate an annual budget of expenses (Committee) under Marketing Order No. in effect, South Texas melon handlers and collect assessments from handlers 979 for the 1996–97 and subsequent are subject to assessments. It is intended to administer the program. The fiscal periods. The Committee is that the assessment rate as issued herein members of the Committee are responsible for local administration of will be applicable to all assessable producers and handlers of South Texas the marketing order which regulates the melons beginning October 1, 1996, and melons. They are familiar with the handling of melons grown in South continuing until amended, suspended, Committee’s needs and with the costs Texas. Authorization to assess Texas or terminated. This rule will not for goods and services in their local area melon handlers enables the Committee preempt any State or local laws, and are thus in a position to formulate to incur expenses that are reasonable regulations, or policies unless they an appropriate budget and assessment and necessary to administer the present an irreconcilable conflict with rate. The assessment rate is formulated program. this rule. and discussed in a public meeting. 7660 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Rules and Regulations

Thus, all directly affected persons have suspended, or terminated by the For the reasons set forth in the an opportunity to participate and Secretary upon recommendation and preamble, 7 CFR part 979 is amended as provide input. information submitted by the follows: The Committee, in a telephone vote Committee or other available on September 25, 1996, unanimously information. PART 979ÐMELONS GROWN IN SOUTH TEXAS recommended 1996–97 administrative Although this assessment rate is expenses of $100,000 for personnel, effective for an indefinite period, the 1. The authority citation for 7 CFR office and the travel portion of the Committee will continue to meet prior part 979 continues to read as follows: compliance budget. These expenses to or during each fiscal period to were approved by the Department in Authority: 7 U.S.C. 601–674. recommend a budget of expenses and October 1996. The assessment rate and consider recommendations for 2. A new subpart titled ‘‘Assessment funding for the research projects and the modification of the assessment rate. The Rates’’ consisting of a new § 979.219 road guard station maintenance portion dates and times of Committee meetings and a new subpart heading titled of the compliance budget were to be are available from the Committee or the ‘‘Handling Regulations’’ are added recommended at a later Committee Department. Committee meetings are immediately preceding § 979.304, to meeting. read as follows: The Committee subsequently met on open to the public and interested December 17, 1996, and unanimously persons may express their views at these Note: This section will appear in the Code recommended 1996–97 expenditures of meetings. The Department will evaluate of Federal Regulations. Committee recommendations and other $308,000 and an assessment rate of SubpartÐAssessment Rates $0.07 per carton of melons. In available information to determine comparison, last year’s budgeted whether modification of the assessment § 979.219 Assessment rate. rate is needed. Further rulemaking will expenditures were $395,159. The On and after October 1, 1996, an assessment rate of $0.07 is the same as be undertaken as necessary. The Committee’s 1996–97 budget and those assessment rate of $0.07 per carton is last year’s established rate. Major established for South Texas melons. expenditures recommended by the for subsequent fiscal periods will be Committee for the 1996–97 fiscal period reviewed and, as appropriate, approved Dated: February 13, 1997. include $84,500 for personnel and by the Department. Robert C. Keeney, administrative expenses, $115,500 for After consideration of all relevant Director, Fruit and Vegetable Division. compliance, $64,000 for a melon disease material presented, including the [FR Doc. 97–4112 Filed 2–19–97; 8:45 am] management program, $33,125 for information and recommendation BILLING CODE 3410±02±P breeding and variety development, and submitted by the Committee and other $10,875 for melon variety evaluation. available information, it is hereby found Budgeted expenses for these items in that this rule, as hereinafter set forth, 7 CFR Part 987 1995–96 were $95,544, $139,500, will tend to effectuate the declared [Docket No. FV±96±987±3 FR] $86,716, $32,674, and $10,875, policy of the Act. respectively. Pursuant to 5 U.S.C. 553, it is also Domestic Dates Produced or Packed in The assessment rate recommended by found and determined upon good cause Riverside County, California; the Committee was derived by dividing that it is impracticable, unnecessary, Temporary Relaxation of Size anticipated expenses by expected Requirements for Deglet Noor Dates shipments of South Texas melons. and contrary to the public interest to Melon shipments for the year are give preliminary notice prior to putting AGENCY: Agricultural Marketing Service, estimated at 3,870,000 cartons, which this rule into effect, and that good cause USDA. exists for not postponing the effective should provide $270,900 in assessment ACTION: Final rule. income. Income derived from handler date of this rule until 30 days after assessments, along with interest income publication in the Federal Register SUMMARY: This final rule revises the size and funds from the Committee’s because: (1) The Committee needs to requirements currently prescribed for authorized reserve, will be adequate to have sufficient funds to pay its expenses the Deglet Noor variety of dates under cover budget expenses. Funds in the which are incurred on a continuous the California date marketing order. The reserve will be kept within the basis; (2) the 1996–97 fiscal period marketing order regulates the handling maximum permitted by the order. began on October 1, 1996, and the of domestic dates produced or packed in While this rule will impose some marketing order requires that the rate of Riverside County, California, and is additional costs on handlers, the costs assessment for each fiscal period apply administered locally by the California are in the form of uniform assessments to all assessable melons handled during Date Administrative Committee on all handlers. Some of the additional such fiscal period; (3) handlers are (committee). This rule will increase the costs may be passed on to producers. aware of this action which was current tolerance for individual, whole However, these costs will be offset by unanimously recommended by the Deglet Noor dates weighing less than 6.5 the benefits derived by the operation of Committee at a public meeting and is grams (the prescribed minimum) from the marketing order. Therefore, the AMS similar to other assessment rate actions 10 to 15 percent and will be in effect has determined that this rule will not issued in past years; and (4) this interim through October 31, 1997. The have a significant economic impact on final rule provides a 30-day comment relaxation is necessary because dates a substantial number of small entities. period, and all comments timely from the 1996–97 crop are smaller in Interested persons are invited to submit received will be considered prior to size and weight than normal. The information on the regulatory and finalization of this rule. decrease in size and weight is due to informational impacts of this action on List of Subjects in 7 CFR Part 959 extremely high temperatures small businesses. experienced last spring in the The assessment rate established in Marketing agreements, Melons, production area. This relaxation was this rule will continue in effect Reporting and recordkeeping recommended by the committee to make indefinitely unless modified, requirements. a larger quantity of the 1996–97 crop Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Rules and Regulations 7661 available for sale domestically and in district in which the handler is an Section 987.112a also specifies Canada and is expected to benefit inhabitant, or has his or her principal requirements for the remaining two producers, handlers, and consumers. place of business, has jurisdiction to outlet categories of dates—export and EFFECTIVE DATE: This final rule becomes review the Secretary’s ruling on the product. Except for some minor effective February 21, 1997. petition, provided an action is filed not differences stated in the section, export FOR FURTHER INFORMATION CONTACT: later than 20 days after date of the entry and product dates must meet the Maureen Pello, California Marketing of the ruling. requirements for U.S. Grade C as Field Office, Marketing Order This final rule revises the size specified in the Standards. Administration Branch, F&V, AMS, requirements currently prescribed for At its meeting on October 31, 1996, USDA, 2202 Monterey Street, Suite the Deglet Noor variety of dates under the committee recommended increasing 102B, Fresno, California 93721; the California date marketing order. the current tolerance for individual, telephone: (209) 487–5901, Fax # (209) This rule will increase the current whole Deglet Noor dates weighing less tolerance for individual, whole Deglet than 6.5 grams from 10 to 15 percent to 487–5906; or Valerie L. Emmer, Noor dates weighing less than 6.5 grams be handled in the DAC and FP outlet Marketing Specialist, Marketing Order (the prescribed minimum) from 10 to 15 categories. The committee also Administration Branch, F&V, AMS, percent. The rule will be in effect recommended that this relaxation be in USDA, room 2536-S, P.O. Box 96456, through October 31, 1997, and was effect through October 31, 1997. This Washington, DC 20090–6456: telephone: recommended by the committee. will allow the rule to be in effect for the (202) 205–2829, Fax # (202) 720–5698. Section 987.39 of the date marketing remainder of the 1996–97 season, which Small businesses may request order provides authority for the ends on September 30, plus an information on compliance with this establishment of minimum quality additional month. By the end of October regulation by contacting: Jay Guerber, requirements for varieties of California 1997, as prescribed under the order, the Marketing Order Administration dates to be handled in designated committee is required to meet and Branch, Fruit and Vegetable Division, outlets. Section 987.40 of the order also review its marketing policy for the next AMS, USDA, P.O. Box 96456, Room provides authority for the committee to season. Five committee members voted 2525–S, Washington, DC 20090–6456: # recommend to the Secretary additional for this change, three voted against, and telephone (202) 720–2491; Fax (202) grade or size requirements for any one abstained. 720–5698. variety of dates to be handled in any In its deliberations, the committee SUPPLEMENTARY INFORMATION: This final designated outlet when it deems commented that the average fruit size rule is issued under Marketing advisable. Pursuant to § 987.12, there for the 1996–97 crop is expected to be Agreement and Order No. 987 (7 CFR are four designated outlet categories for much smaller this season than in recent part 987), both as amended, regulating California dates—‘‘DAC’’ dates, ‘‘dates years, primarily due to the hot, dry the handling of domestic dates for further processing’’ (FP dates), spring. Increasing the tolerance from 10 produced or packed in Riverside ‘‘export’’ dates, and ‘‘product’’ dates. to 15 percent for dates weighing less County, California, hereinafter referred Section 987.112a of the order’s than 6.5 grams should allow a greater to as the ‘‘order.’’ The marketing administrative rules prescribes grade, quantity of Deglet Noor dates which are agreement and order are effective under size, and container requirements for of good quality but weigh less than 6.5 the Agricultural Marketing Agreement each of the four outlet categories of grams to meet the requirements for DAC Act of 1937, as amended (7 U.S.C. 601– dates. Paragraph (b)(2) of that section and FP dates. Currently, the industry 674), hereinafter referred to as the prescribes such requirements for DAC average of the number of dates packed ‘‘Act.’’ dates. DAC dates are marketable whole per pound is 60. The additional five The Department of Agriculture or pitted dates that are inspected and percent tolerance for undersize dates (Department) is issuing this rule in certified as meeting the grade, size, will allow handlers to include conformance with Executive Order container, and applicable identification approximately two additional smaller 12866. requirements for handling in the United dates per pound. Thus, more of the crop This final rule has been reviewed States and Canada. Currently, DAC would be utilized as whole dates under Executive Order 12988, Civil dates must meet the requirements for domestically and in Canada. The Justice Reform. This rule is not intended U.S. Grade B, as specified in the U.S. committee estimates total 1996–97 to have retroactive effect. This rule will Standards for Grades of Dates marketable date shipments at 33.5 not preempt any State or local laws, (Standards) issued by the Department. million pounds. Of that amount, Deglet regulations, or policies, unless they In addition, with respect to whole dates Noor shipments are estimated at present an irreconcilable conflict with of the Deglet Noor variety, the approximately 32.4 million pounds, this rule. individual dates in a sample from a lot with about 15 million pounds likely to The Act provides that administrative must weigh at least 6.5 grams, with a meet the current requirements for DAC proceedings must be exhausted before tolerance of 10 percent per lot for dates and FP dates. According to the parties may file suit in court. Under weighing less than 6.5 grams. committee, increasing the tolerance section 608c(15)(A) of the Act, any Paragraph (c)(2) of § 987.112a from 10 to 15 percent should allow handler subject to an order may file provides similar requirements for FP about three to five percent more Deglet with the Secretary a petition stating that dates. FP dates are marketable whole Noor dates to meet the DAC and FP the order, any provision of the order, or dates acquired by one handler from requirements, or between 450,000 and any obligation imposed in connection another handler that are certified as 750,000 pounds. Making more Deglet with the order is not in accordance with meeting the same grade and size Noor dates of satisfactory quality law and request a modification of the requirements as for DAC dates, with the available for sale domestically and in order or to be exempted therefrom. A exception of moisture requirements and Canada should provide for maximum handler is afforded the opportunity for applicable identification requirements. utilization of the 1996–97 crop, thereby a hearing on the petition. After the Currently, FP dates must also meet the benefiting producers, handlers, and hearing the Secretary would rule on the requirements for U.S. Grade B as consumers. petition. The Act provides that the specified in the Standards, except for The three committee members who district court of the United States in any moisture. opposed the recommendation believe 7662 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Rules and Regulations that the overall quality of dates packed spring in the production area. The percent during the 1992–93 season and will be decreased if smaller fruit is committee recommended increasing the in prior seasons because of similar allowed to meet the requirements for current tolerance for individual, whole problems of an abundance of small size DAC and FP dates. However, other Deglet Noor dates weighing less than 6.5 fruit due to hot temperatures, and that committee members commented that grams (the prescribed minimum) from the five percent increase was the smaller size dates will still have to 10 to 15 percent, to make a larger satisfactory. Thus, the majority of meet all of the other characteristics DAC quantity of the 1996–97 crop available committee members agreed that the and FP dates must already meet. Thus, for sale domestically and in Canada, tolerance for the size of Deglet Noor consumers should continue to receive thereby benefitting producers, handlers, dates should be increased from 10 to 15 good quality whole dates with only a and consumers. This rule will be in percent through October 31, 1997. slight increase in the number of smaller effect through October 31, 1997. This final rule will relax size size dates. In addition, the majority of At the meeting, the committee requirements under the date marketing committee members believe that this discussed the impact of this change on order. Accordingly, this action will not change will only affect about three to handlers and producers in terms of cost. impose any additional reporting or five percent of the Deglet Noor Handlers and producers receive higher recordkeeping requirements on either shipments that are expected to meet returns for dates that meet DAC and FP small or large date handlers. As with all DAC and FP requirements. requirements. As previously mentioned, Federal marketing order programs, Pursuant to requirements set forth in dates sold as DAC or FP must meet the reports and forms are periodically the Regulatory Flexibility Act (RFA), the requirements for U.S. Grade B dates reviewed to reduce information Agricultural Marketing Service (AMS) (with the exception of moisture for FP requirements and duplication by has considered the economic impact of dates) as specified in the Standards and industry and public sector agencies. this action on small entities. dates sold in other outlet categories As noted in the initial regulatory Accordingly, AMS has prepared this such as product and export must meet flexibility analysis, the Department has final regulatory flexibility analysis. requirements specified for U.S. Grade C not identified any relevant Federal rules The purpose of the RFA is to fit dates. According to industry members, that duplicate, overlap or conflict with regulatory actions to the scale of handlers receive about $.50 per pound this final rule. However, as previously business subject to such actions in order more for U.S. Grade B dates than U.S. stated, DAC and FP dates must meet the that small businesses will not be unduly Grade C, and growers receive about $.30 requirements for U.S. Grade B, as or disproportionately burdened. more per pound more for U.S. Grade B specified in the U.S. Standards for Marketing orders issued pursuant to the dates. Grades of Dates (7 CFR 52.1001 through Act, and rules issued thereunder, are In addition, as previously mentioned, 52.1011) issued under the Agricultural unique in that they are brought about 1996–97 marketable Deglet Noor Marketing Act of 1946 (7 U.S.C. 1621 through group action of essentially shipments are estimated to be through 1627). Standards issued under small entities acting on their own approximately 32.4 million pounds, of the Agricultural Marketing Agreement behalf. Thus, both statutes have small which about 15 million pounds should Act of 1946 are voluntary. Further, the entity orientation and compatibility. meet DAC and FP requirements. If, as public comments received concerning There are approximately 15 handlers the committee anticipates, increasing the proposal did not address the initial of California dates who are subject to the tolerance for smaller size fruit will regulatory flexibility analysis. regulation under the marketing order impact about three to five percent of the In addition, the committee’s meeting and approximately 135 date producers crop, this change should allow between was widely publicized throughout the in the regulated area. Small agricultural about 450,000 and 750,000 pounds more date industry and all interested persons service firms have been defined by the Deglet Noor dates to be sold as DAC and were invited to attend the meeting and Small Business Administration (13 CFR FP dates. With a net increase to participate in committee deliberations 121.601) as those having annual receipts handlers and producers of about $.50 on all issues. Like all committee of less than $5,000,000, and small per pound and $.30 per pound, meetings, the October 31, 1996, meeting agricultural producers are defined as respectively, for U.S. Grade B dates, this was a public meeting and all entities, those having annual receipts of less than change could mean an increase in total both large and small, were able to $500,000. net returns of $225,000–$375,000 for all express views on this issue. The Last year, as a percentage, about 75 handlers and $135,000–$225,000 for all committee itself is composed of nine percent of the handlers shipped under producers. The benefits for this rule are members, of which six are handlers/ 4 million pounds of dates and 25 not expected to be disproportionately producers and three are producers only, percent shipped over 4 million. Using greater or less for small handlers or the majority of whom are small entities. an average f.o.b. price of $1.12 per producers than for larger entities. A proposed rule concerning this pound, about 75 percent of date The committee discussed alternatives action was issued by the Department on handlers could be considered small to this change, including not increasing December 2, 1996, put on public display businesses under SBA’s definition and the tolerance at all, as well as increasing at the Office of the Federal Register on about 25 percent of the handlers could the tolerance by 10 percent rather than December 5, 1996, and published in the be considered large businesses. The five percent. While only a small amount Federal Register on Friday, December 6, majority of handlers and producers of of the crop is expected to be affected by 1996 (61 FR 64638). Copies of the rule California dates may be classified as increasing the tolerance, the committee were made available to industry small entities. believes that an increase should benefit members on December 5, 1996, at a This final rule revises the size producers and handlers with smaller meeting of the California Date requirements currently prescribed for fruit this season. The committee Commission (Commission), a State the Deglet Noor variety of dates under considered increasing the tolerance organization that conducts promotional § 987.112a of the California date from 10 to 20 percent but believed that activities for the date industry. Many of marketing order. Deglet Noor dates from this could put too much smaller size the committee members also sit on the the 1996–97 crop are smaller in size and fruit on the market. In addition, Commission. Copies of the rule were weight than normal, due to extremely committee members commented that also mailed or sent via facsimile to all high temperatures experienced last the tolerance was increased by five committee members and date handlers. Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Rules and Regulations 7663

Finally, the rule was made available relaxation—is only 5.7 million pounds, Authority: 7 U.S.C. 601–674. through the Internet by the Office of the which is less than normal. The Federal Register. committee’s estimate of an additional PART 987ÐDOMESTIC DATES A 15-day comment period was 450,000 to 750,000 pounds of DAC dates PRODUCED OR PACKED IN provided to allow interested persons to is accurate. RIVERSIDE COUNTY, CALIFORNIA respond to the proposal. Fifteen days The commenter also suggested that was deemed appropriate because a rule smaller dates would not necessarily § 987.112a [Amended] finalizing the action would need to be come only from the 1996 crop. The 2. In § 987.112a, paragraphs (b)(2) and in place as soon as possible since commenter stated that the rule’s (c)(2), the words ‘‘December 29, 1992, handlers are already shipping dates expiration date of October 31, 1997, and ending October 31, 1993,’’ are from the 1996–97 crop. overlaps the 1997 crop harvest. The removed and the words ‘‘February 21, Two comments were received during commenter contends that smaller dates 1997, and ending October 31, 1997,’’ are the comment period in response to the from the 1997 crop could be packed added in their place. proposal. The commenters, both with the 1996 crop. However, harvest Dated: February 14, 1997. representing the same producer usually begins in mid to late October Robert C. Keeney, operation, opposed the proposed and only a small amount of dates are relaxation. The points made by the harvested and processed before the end Director, Fruit and Vegetable Division. commenters were thoroughly discussed of the month. Also, it is common [FR Doc. 97–4335 Filed 2–18–97; 2:02 pm] prior to the committee vote. industry practice to store dates for up to BILLING CODE 3410±02±P The commenters disagreed with the 10 months prior to processing, statement in the proposed rule that the packaging and shipment. Therefore, the relaxation would benefit both producers October 1997 time period would allow Rural Utilities Service and handlers. They claimed that the stored 1996 crop dates to be used. increased returns to the handlers would The commenter also claimed that the 7 CFR Part 1710 not be passed down to the producers. relaxation is a short term solution and RIN 0572±AB30 While this may differ between and questioned whether other commodities among individual handlers and lower quality standards because of Pre-Loan Procedures for Electric producers, it is the Department’s adverse weather conditions. Such action Loans understanding that growers are paid for has been recommended by other AGENCY: Rural Utilities Service, USDA. their dates by handlers either on a marketing order committees and weight basis (so much money per pound approved by the Secretary for some ACTION: Direct final rule. of dates delivered) or on a packout basis commodities. Such recommendations SUMMARY: The Rural Utilities Service (so much money per pound of U.S. have helped marketing order industries (RUS) is issuing a minor amendment to Grade B or U.S. Grade C dates). to fully utilize available production its pre-loan procedures that will clarify Committee members indicated at the when harvests are diminished by meeting that, when growers are paid that use of a conventional utility adverse weather or other disasters. indenture as a security instrument for based on packout, such growers receive Accordingly, no changes will be made loans to power supply borrowers is about $.30 more per pound for U.S. to the rule as proposed, based on the permissible. This amendment will give Grade B dates than U.S. Grade C dates. comments received. As previously mentioned, the After consideration of all relevant these borrowers and RUS the flexibility committee anticipates that increasing matter presented, including the to address the complex issues the tolerance for smaller size fruit will information and recommendation surrounding power supply loans in the allow more dates to meet U.S. Grade B submitted by the committee and other rapidly changing electric industry. The and be sold as DAC and FP dates and available information, it is hereby found rule will also enhance loan security and, thus, will benefit handlers and that this rule, as hereinafter set forth, by conforming more closely to private producers in the industry. will tend to effectuate the declared lending practice, allow easier access to The commenters also contend that the policy of the Act. private sector financing. proposed relaxation will lower industry It is further found that good cause In the proposed rules section of this quality standards at a time when the exists for not postponing the effective Federal Register, RUS is proposing industry should be striving for higher date of this rule until 30 days after approval of and soliciting comments on standards. However, as discussed by the publication in the Federal Register (5 this action. If adverse comments are committee and specified in the U.S.C. 553) because handlers are already received on this action, RUS will proposed rule, the 5 percent increase in shipping dates from the 1996–97 crop withdraw this final rule prior to its the number of smaller size dates should and handlers want to take advantage of effective date and address the comments result in an average of only 2 additional the relaxation as soon as possible. recieved in response to this action in a smaller sized dates in each package of Further, handlers are aware of this rule, final rule on the related proposed rule, approximately 60 dates. The majority of which was recommended at a public which is published in the proposed the committee members felt such a meeting. Also, a 15-day comment period rules section of this Federal Register. A relaxation would not significantly affect was provided for in the proposed rule. second public comment period will not the overall quality of each date package. be held. Parties interested in One commenter claimed that the List of Subjects in 7 CFR Part 987 commenting on this action should do so estimate of 450,000 to 750,000 pounds Dates, Marketing agreements, at this time. of additional dates made available by Reporting and recordkeeping DATES: This rule will become effective the proposed rule is not accurate requirements. on April 7, 1997, unless we receive because the industry’s carryin inventory For the reasons set forth in the written adverse comments or notice of was 14 million pounds. While the total preamble, 7 CFR part 987 is amended as intent to submit adverse comments on inventory is, indeed, estimated at 14.7 follows: or before March 24, 1997. If the effective million pounds, the inventory of DAC 1. The authority citation for 7 CFR date is delayed, timely notice will be dates—those dates affected by the part 987 continues to read as follows: published in the Federal Register. 7664 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Rules and Regulations

ADDRESSES: Submit any adverse 10.850 Rural Electrification Loans and markets and reducing RUS operational comments or notice of intent to submit Loan Guarantees. This catalog is controls while simultaneously adverse comments to F. Lamont Heppe, available on a subscription basis from enhancing RUS loan security by Jr., Director, Program Support and the Superintendent of Documents, the appropriately adapting to the changing Regulatory Analysis, Rural Utilities United States Government Printing cooperative electric industry. Service, U.S. Department of Agriculture, Office, Washington, DC 20402–9325. RUS is willing to consider the use of an indenture when RUS and the power Room 2230–S, 1400 Independence Information Collection and supply borrower mutually agree that it Avenue, SW., STOP 1522, Washington, Recordkeeping Requirements DC 20250–1522. RUS requires, in hard is appropriate. The terms of each copy, a signed original and 3 copies of The recordkeeping and reporting indenture and related loan agreement all comments (7 CFR 1700.30(e)). burdens contained in this rule were will be negotiated on a case by case Comments will be available for public approved by the Office of Management basis to best meet the needs of the inspection during regular business and Budget (OMB) pursuant to the individual borrower and the hours at Room 4034, South Building, Paperwork Reduction Act of 1995 (44 Government as the electric industry U.S. Department of Agriculture, U.S.C. Chapter 35, as amended) under undergoes a period of drastic change. Washington, DC 20250 between 8:00 control number 0572–0032. RUS believes that ultimately this a.m. and 4:00 p.m. (7 CFR part 1.27(b)). Background approach will enhance loan security by addressing the individual circumstances FOR FURTHER INFORMATION CONTACT: F. RUS recognizes that power supply of each borrower; will allow RUS greater Lamont Heppe, Jr., Director, Program borrowers (also known as generation flexibility in dealing with the more Support and Regulatory Analysis, Rural and transmission borrowers or ‘‘G&T’s’’) complex structures of most power Utilities Service, U.S. Department of generally have a far more complex supply borrowers; and will allow these Agriculture, Room 2230–S, 1400 corporate structure and face more borrowers easier access to private Independence Avenue, SW., STOP complex financing issues than sources of credit, thus reducing their 1522, Washington, DC 20250–1522. distribution borrowers. In order to meet dependence on RUS financing. RUS Telephone: 202–720–0736. FAX: 202– the financing needs of these borrowers recognizes that this approach may 720–4120. E-mail: [email protected]. more efficiently, RUS is amending its SUPPLEMENTARY INFORMATION: This regulations to specifically allow the use conflict from time to time with some regulatory action has been determined of a conventional utility indenture in provisions of 7 CFR Chapter XVII. This to be not significant for the purposes of lieu of a mortgage as security regulation provides that the terms of any Executive Order 12866, Regulatory instruments for loans to these indenture or associated loan contract Planning and Review, and, therefore has borrowers. control in such circumstances. not been reviewed by the Office of Although current RUS regulations do RUS is publishing this action without Management and Budget (OMB). The not preclude the use of trust indentures prior proposal because the Agency Administrator of RUS has determined as security instruments for RUS loans, views this as a noncontroversial that a rule relating to the RUS electric the Agency believes that it would be amendment and anticipates no adverse loan program is not a rule as defined in useful to clarify how RUS regulations in comments. However, in a separate the Regulatory Flexibility Act (5 U.S.C. 7 CFR Chapter XVII will be reconciled document in the proposed rules section 601 et seq.) for which RUS published a with any conflicting provisions of this Federal Register publication, general notice of proposed rulemaking contained in conventional utility RUS is proposing to amend 7 CFR part pursuant to 5 U.S.C. 553(b), or any other indentures and related loan contracts 1710 should adverse or critical law. Therefore, the Regulatory which the Agency may accept in lieu of comments be filed. Flexibility Act does not apply to this typical RUS mortgages and mortgages as If RUS receives such comments, RUS action. The Administrator of RUS has loan instruments. The Agency will publish a subsequent document determined that this rule will not anticipates that otherwise some of the that will withdraw this direct final rule significantly affect the quality of the provisions in such indentures and loan before the effective date. All public human environment as defined by the contracts might conflict with provisions comments received will be addressed in National Environmental Policy Act of in this chapter that were developed to a subsequent final rule based on the 1969 (42 U.S.C. 4321 et seq.). Therefore, implement or interpret the traditional proposed rule. RUS will not institue a this action does not require an standard forms of RUS loan instruments second comment period on this action. environmental impact statement or which were designed for use under Any parties interested in commenting assessment. This rule is excluded from different circumstances. on this action should do so at this time. the scope of Executive Order 12372, On July 18, 1995, at 60 FR 36882, and List of Subjects in 7 CFR Part 1710 December 29, 1995, at 60 FR 67396, Intergovernmental Consultation, which Electric power, Electric utilities, Loan RUS substantially revised the forms of may require consultation with State and programs—energy, Reporting and loan instruments it uses in making loans local officials. A Notice of Final Rule recordkeeping requirements, Rural to electric distribution borrowers. titled Department Programs and areas. Activities Excluded from Executive Because of the differing situations of Order 12372 (50 FR 47034) exempts power supply borrowers, RUS did not For the reasons set out in the RUS electric loans and loan guarantees attempt to prescribe corresponding preamble, and under the authority of 7 from coverage under this Order. This forms of those new documents for U.S.C. 901 et seq., RUS amends 7 CFR rule has been reviewed under Executive power supply borrowers. Nevertheless, Part 1710 as follows: Order 12988, Civil Justice Reform. RUS RUS recognizes that many of the reasons PART 1710ÐGENERAL AND PRE- has determined that this rule meets the underlying the modernization effort LOAN POLICIES AND PROCEDURES applicable standards provided in Sec. 3. apply to its power supply borrowers. COMMON TO INSURED AND of the Executive Order. Thus, RUS believes that the option of GUARANTEED ELECTRIC LOANS The program described by this rule is using trust indentures represents a listed in the Catalog of Federal Domestic balanced approach to increasing 1. The authority citation for part 1710 Assistance Programs under number borrowers’ access to private capital continues to read as follows: Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Rules and Regulations 7665

Authority: 7 U.S.C. 901–950(b); Pub. L. 99– to fatigue cracking in the lower lugs of Explanation of Relevant Service 591, 100 Stat. 3341; Pub. L. 103–354, 108 the barrel, the MLG collapsed. The Information Stat. 3178 (7 U.S.C. 6941 et seq.). actions specified in this AD are Messier-Dowty has issued Service 2. Section 1710.113 is amended by intended to detect and correct such Bulletin No. 631–32–132, dated January redesignating the existing paragraph (c) fatigue cracking, which could lead to 21, 1997, which describes procedures as paragraph (c)(1) and adding a new the collapse of the MLG. for performing repetitive ultrasonic paragraph (c)(2) to read as follows: DATES: Effective March 7, 1997. inspections to detect fatigue cracks of § 1710.113 Loan security. The incorporation by reference of the barrel lower lugs of MLG. The * * * * * certain publications listed in the service bulletin also describes (c)(1) * * * regulations is approved by the Director procedures for replacement of cracked (2) The Administrator, at his or her of the Federal Register as of March 7, barrel lower lugs with new or discretion, may approve the use of an 1997. serviceable ones and a follow-on inspection. The DGAC classified this indenture patterned after those Comments for inclusion in the Rules indentures commonly used by utilities service bulletin as mandatory and Docket must be received on or before issued French airworthiness directive engaged in private market financing, in April 21, 1997. lieu of a mortgage as the security 96–294(B), dated January 15, 1997, in instrument for loans to power supply ADDRESSES: Submit comments in order to assure the continued borrowers. The use of an indenture will triplicate to the Federal Aviation airworthiness of these airplanes in be by mutual agreement of the borrower Administration (FAA), Transport France. and the Administrator. The terms of Airplane Directorate, ANM–103, FAA’s Conclusions each indenture and related loan Attention: Rules Docket No. 97–NM– agreement will be negotiated on a case 24–AD, 1601 Lind Avenue, SW., This airplane model is manufactured by case basis to best meet the needs of Renton, Washington 98055–4056. in France and is type certificated for operation in the United States under the the individual borrower and the The service information referenced in provisions of section 21.29 of the Government. The provisions of the this AD may be obtained from Federal Aviation Regulations (14 CFR indenture and loan contract shall Aerospatiale, 316 Route de Bayonne, 21.29) and the applicable bilateral control, notwithstanding any provisions 31060 Toulouse, Cedex 03, France. This airworthiness agreement. Pursuant to of 7 CFR Chapter XVII which may be in information may be examined at the this bilateral airworthiness agreement, conflict therewith. FAA, Transport Airplane Directorate, the DGAC has kept the FAA informed * * * * * 1601 Lind Avenue, SW., Renton, of the situation described above. The Washington; or at the Office of the Dated: February 10, 1997. FAA has examined the findings of the Federal Register, 800 North Capitol Jill Long Thompson, DGAC, reviewed all available Street, NW., suite 700, Washington, DC. Under Secretary, Rural Development. information, and determined that AD [FR Doc. 97–3990 Filed 2–19–97; 8:45 am] FOR FURTHER INFORMATION CONTACT: Gary action is necessary for products of this BILLING CODE 3410±15±P Lium, Aerospace Engineer, type design that are certificated for Standardization Branch, ANM–113, operation in the United States. FAA, Transport Airplane Directorate, Explanation of Requirements of Rule DEPARTMENT OF TRANSPORTATION 1601 Lind Avenue, SW., Renton, Washington 98055–4056; telephone Since an unsafe condition has been Federal Aviation Administration (206) 227–1112; fax (206) 227–1149. identified that is likely to exist or develop on other airplanes of the same 14 CFR Part 39 SUPPLEMENTARY INFORMATION: The type design registered in the United Direction Ge´ne´rale de l’Aviation Civile States, this AD is being issued to detect [Docket No. 97±NM±24±AD; Amendment (DGAC), which is the airworthiness 39±9933; AD 97±04±09] and correct fatigue cracking in the lower authority for France, recently notified lugs of the barrel, which could result in RIN 2120±AA64 the FAA that an unsafe condition may collapse of the MLG. This AD requires exist on certain Aerospatiale Model repetitive ultrasonic inspections to Airworthiness Directives; Aerospatiale ATR42–300 and ATR42–320 series detect fatigue cracks of the lower lugs of Model ATR42±300 and ATR42±320 airplanes. The DGAC advises that it has the barrel of MLG. This AD also requires Series Airplanes received reports indicating that the replacement of cracked lower lugs with main landing gear (MLG) collapsed on AGENCY: Federal Aviation new or serviceable ones and a follow-on two airplanes; one incident occurred Administration, DOT. inspection. The actions are required to during taxi and the other during landing ACTION: Final rule; request for be accomplished in accordance with the roll. Investigation revealed that, service bulletin described previously. comments. following normal overhaul or repair Interim Action SUMMARY: This amendment adopts a procedures, moisture may enter the joint new airworthiness directive (AD) that is between the fixed barrel and the shock The FAA is considering further applicable to certain Aerospatiale Model absorbing portion of the trailing arm of rulemaking action to supersede this AD ATR42–300 and ATR42–320 series the MLG. Such moisture could result in to require modification of the lower lugs airplanes. This action requires repetitive corrosion and consequent fatigue of the barrel of the MLG, which will ultrasonic inspections to detect fatigue cracking in the lower lugs of the barrel constitute terminating action for the cracks of the lower lugs of the barrel of of the MLG, which is the main repetitive inspections required by this the main landing gear (MLG); and attachment point for the joint. AD action. However, the planned replacement of cracked lower lugs with Fatigue cracking in the lower lugs of compliance time for these actions is new or serviceable ones and a follow-on the barrel of the MLG, if not detected sufficiently long so that prior notice and inspection. This amendment is and corrected in a timely manner, could time for public comment will be prompted by reports indicating that, due lead to the collapse of the MLG. practicable. 7666 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Rules and Regulations

In addition, the FAA is continuing to statement is made: ‘‘Comments to Note 1: This AD does not affect new barrel investigate whether the existing design Docket Number 97–NM–24–AD.’’ The assemblies that have never been overhauled of the lower lugs of the barrel makes postcard will be date stamped and or repaired. overhauls or repairs difficult to returned to the commenter. Note 2: This AD applies to each airplane identified in the preceding applicability accomplish correctly. Preliminary Regulatory Impact provision, regardless of whether it has been investigation results indicate that, modified, altered, or repaired in the area following an improperly overhauled or The regulations adopted herein will subject to the requirements of this AD. For repaired lower lug of the barrel, not have substantial direct effects on the airplanes that have been modified, altered, or moisture could enter the joint between States, on the relationship between the repaired so that the performance of the the fixed barrel and the shock absorbing national government and the States, or requirements of this AD is affected, the portion of the trailing arm of the MLG. on the distribution of power and owner/operator must request approval for an Such moisture could result in corrosion responsibilities among the various alternative method of compliance in and consequent fatigue cracking in the levels of government. Therefore, in accordance with paragraph (b) of this AD. accordance with Executive Order 12612, The request should include an assessment of lower lugs of the barrel, which may lead the effect of the modification, alteration, or to the collapse of the MLG. Once final it is determined that this final rule does repair on the unsafe condition addressed by action is identified, the FAA may not have sufficient federalism this AD; and, if the unsafe condition has not consider additional rulemaking. implications to warrant the preparation been eliminated, the request should include of a Federalism Assessment. specific proposed actions to address it. Determination of Rule’s Effective Date The FAA has determined that this Compliance: Required as indicated, unless Since a situation exists that requires regulation is an emergency regulation accomplished previously. the immediate adoption of this that must be issued immediately to To prevent fatigue cracking in the lower regulation, it is found that notice and correct an unsafe condition in aircraft, lugs of the barrel and consequent collapse of opportunity for prior public comment and that it is not a ‘‘significant the MLG, accomplish the following: hereon are impracticable, and that good regulatory action’’ under Executive (a) Prior to the accumulation of 2 years cause exists for making this amendment Order 12866. It has been determined time-in-service since last overhaul or repair further that this action involves an of the barrel lower lugs of the MLG, or within effective in less than 30 days. 60 days after the effective date of this AD, emergency regulation under DOT Comments Invited whichever occurs later, perform an ultrasonic Regulatory Policies and Procedures (44 inspection to detect fatigue cracks of the Although this action is in the form of FR 11034, February 26, 1979). If it is lower lugs of the barrel of the MLG, in a final rule that involves requirements determined that this emergency accordance with Messier-Dowty Service affecting flight safety and, thus, was not regulation otherwise would be Bulletin 631–32–132, dated January 21, 1997. preceded by notice and an opportunity significant under DOT Regulatory (1) If no echo is detected or the echo is less for public comment, comments are Policies and Procedures, a final than 20%, repeat the ultrasonic inspection invited on this rule. Interested persons regulatory evaluation will be prepared thereafter at intervals not to exceed 700 are invited to comment on this rule by landings. and placed in the Rules Docket. A copy (2) If any echo is greater than or equal to submitting such written data, views, or of it, if filed, may be obtained from the 20%, prior to further flight, replace the barrel arguments as they may desire. Rules Docket at the location provided assembly with a new or serviceable barrel Communications shall identify the under the caption ADDRESSES. assembly, in accordance with the service Rules Docket number and be submitted bulletin. After replacement, prior to the in triplicate to the address specified List of Subjects in 14 CFR Part 39 accumulation of 2 years time-in-service on under the caption ADDRESSES. All Air transportation, Aircraft, Aviation that replacement part, accomplish the actions communications received on or before safety, Incorporation by reference, specified in paragraph (a) of this AD. the closing date for comments will be Safety. (b) An alternative method of compliance or adjustment of the compliance time that considered, and this rule may be Adoption of the Amendment provides an acceptable level of safety may be amended in light of the comments used if approved by the Manager, received. Factual information that Accordingly, pursuant to the Standardization Branch, ANM–113, FAA, supports the commenter’s ideas and authority delegated to me by the Transport Airplane Directorate. Operators suggestions is extremely helpful in Administrator, the Federal Aviation shall submit their requests through an evaluating the effectiveness of the AD Administration amends part 39 of the appropriate FAA Principal Maintenance action and determining whether Federal Aviation Regulations (14 CFR Inspector, who may add comments and then additional rulemaking action would be part 39) as follows: send it to the Manager, Standardization needed. Branch, ANM–113. Comments are specifically invited on PART 39ÐAIRWORTHINESS Note 3: Information concerning the the overall regulatory, economic, DIRECTIVES existence of approved alternative methods of compliance with this AD, if any, may be environmental, and energy aspects of 1. The authority citation for part 39 obtained from the Standardization Branch, the rule that might suggest a need to continues to read as follows: ANM–113. modify the rule. All comments Authority: 49 U.S.C. 106(g), 40113, 44701. (c) Special flight permits may be issued in submitted will be available, both before accordance with sections 21.197 and 21.199 and after the closing date for comments, § 39.13 [Amended] of the Federal Aviation Regulations (14 CFR in the Rules Docket for examination by 2. Section 39.13 is amended by 21.197 and 21.199) to operate the airplane to interested persons. A report that adding the following new airworthiness a location where the requirements of this AD summarizes each FAA-public contact directive: can be accomplished. concerned with the substance of this AD (d) The inspections and replacement shall 97–04–09 Aerospatiale: Amendment 39– be done in accordance with Messier-Dowty will be filed in the Rules Docket. 9933. Docket 97–NM–24–AD. Commenters wishing the FAA to Service Bulletin 631–32–132, dated January Applicability: Model ATR42–300 and 21, 1997. This incorporation by reference was acknowledge receipt of their comments ATR42–320 series airplanes, on which the approved by the Director of the Federal submitted in response to this rule must lower lugs of the barrel of the main landing Register in accordance with 5 U.S.C. 552(a) submit a self-addressed, stamped gear (MLG) have been overhauled or and 1 CFR part 51. Copies may be obtained postcard on which the following repaired, certificated in any category. from Aerospatiale, 316 Route de Bayonne, Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Rules and Regulations 7667

31060 Toulouse, Cedex 03, France. Copies of the Federal Register as of March 10, 1900C airplane were either not visible may be inspected at the FAA, Transport 1997. or not easily understandable. Airplane Directorate, 1601 Lind Avenue, Comments for inclusion in the Rules Inspection of another Raytheon Model SW., Renton, Washington; or at the Office of Docket must be received on or before 1900C airplane revealed incomplete the Federal Register, 800 North Capitol April 25, 1997. instructions for opening the airstair Street, NW., suite 700, Washington, DC. (e) This amendment becomes effective on ADDRESSES: Submit comments in door. Specifically, these instructions March 7, 1997. triplicate to the Federal Aviation consisted of a small placard with black letters 2/10-inch high on a white Issued in Renton, Washington, on February Administration (FAA), Central Region, 10, 1997. Office of the Assistant Chief Counsel, background, located aft and slightly lower than the door handle with the Darrell M. Pederson, Attention: Rules Docket 97–CE–06–AD, Room 1558, 601 E. 12th Street, Kansas following information: ‘‘PUSH BUTTON Acting Manager, Transport Airplane AND TURN HANDLE TO OPEN.’’ The Directorate, Aircraft Certification Service. City, Missouri 64106. Service information that applies to button was neither outlined nor highly [FR Doc. 97–3843 Filed 2–19–97; 8:45 am] this AD may be obtained from the visible, and the instructions did not BILLING CODE 4910±13±U Raytheon Aircraft Company, P.O. Box include the requirement of depressing 85, Wichita, Kansas 67201–0085. This the button while simultaneously rotating the handle and they did not 14 CFR Part 39 information may also be examined at the Rules Docket at the address above, indicate which direction to move the [Docket No. 97±CE±06±AD; Amendment 39± or at the Office of the Federal Register, handle. 9937; AD 97±04±02] 800 North Capitol Street, NW., 7th Discussion of the Applicable Service Floor, suite 700, Washington, DC. RIN 2120±AA64 Information FOR FURTHER INFORMATION CONTACT: Mr. The FAA has reviewed and approved Steve Potter, Aerospace Engineer, Airworthiness Directives; Raytheon Raytheon Aircraft Mandatory Service Wichita Aircraft Certification Office, Aircraft Company (Formerly Beech Bulletin No. 2741, Issued: February, FAA, 1801 Airport Road, Mid-Continent Aircraft Corporation) Models 1900, 1997. This service bulletin specifies Airport, Wichita, Kansas 67209; 1900C, and 1900D Airplanes installing (1) new exterior operating telephone (316) 946–4124; facsimile instruction placards for the airstair door AGENCY: Federal Aviation (316) 946–4407. Administration, DOT. and cargo door for Raytheon Models SUPPLEMENTARY INFORMATION: 1900 and 1900C airplanes; and (2) new ACTION: Final rule; request for Discussion exterior operating instruction placards comments. for the airstair door, cargo door, and On February 4, the FAA issued SUMMARY: This document publishes in emergency exits for Raytheon Model priority letter AD 97–04–02, which 1900D airplanes. The placards and the Federal Register an amendment applies to the following Raytheon adopting Airworthiness Directive (AD) procedures for installing the placards Aircraft Company (formerly Beech are included with the following kits: 97–04–02, which was sent previously to Aircraft Corporation) airplanes: known U.S. owners and operators of Raytheon Part Number (P/N) 114– 5050–3, Exterior Marking Placard Kit, certain Raytheon Aircraft Company Model Serial No. (Raytheon) Models 1900, 1900C, and for Model 1900 airplanes, serial 1900D airplanes (formerly referred to as 1900 ...... UA±2 and UA±3. numbers UA–2 and UA–3. Raytheon P/N 114–5050–1, Exterior Beech Models 1900, 1900C, and 1900D 1900C ...... UB±1 through UB±74, Marking Placard Kit, for Model 1900C, airplanes). This AD requires installing and UC±1 through serial numbers UB–1 through UB–74, new exterior operating instruction UC±174. 1900C (C±12J) ...... UD±1 through UD±6. and UC–1 through UC–174; and Model placards for the airstair door, cargo 1900D ...... UE±1 through UE± 1900C (C–12J) airplanes, serial numbers door, and emergency exits, as 268. UD–1 through UD–6. applicable. This AD results from an Raytheon P/N 129–5030–1, Exterior accident involving a Raytheon Model That AD resulted from an accident Marking Placard Kit, for Model 1900D 1900C airplane that collided with involving a Raytheon Aircraft Company airplanes, serial numbers UE–1 through another airplane while completing its (Raytheon) Model 1900C airplane UE–268. landing roll. The ensuing fire destroyed (formerly referred to as Beech Model both airplanes. The actions specified by 1900C) that collided with another The FAA’s Determination and this AD are intended to assure complete airplane while completing its landing Explanation of the AD instructions are visible for opening the roll. The ensuing fire destroyed both Since an unsafe condition has been airstair door, cargo door, or emergency airplanes. identified that is likely to exist or exits, which, if not visible or Investigation following the accident develop in other Raytheon Models 1900, understandable, could result in the indicates that all occupants of the 1900C, and 1900D airplanes of the same inability to open the airstair door, cargo Raytheon Model 1900C survived the type design, the FAA issued priority door, or emergency exits during an impact of the collision. The emergency letter AD 97–04–02 to assure complete emergency situation. crew was not able to open the forward instructions are visible for opening the DATES: Effective March 10, 1997, to all (main boarding) airstair door, and all airstair door, cargo door, or emergency persons except those to whom it was occupants of the airplane died of smoke exits, which, if not visible or made immediately effective by priority inhalation. The airstair door is unlocked understandable, could result in the letter AD 97–04–02, issued February 4, and opened from the outside by inability to open the airstair door, cargo 1997, which contained the requirements depressing a release button while door, or emergency exits during an of this amendment. simultaneously rotating the door handle emergency situation. The AD requires The incorporation by reference of downward. The FAA believes that the installing new exterior operating certain publications listed in the instructions for opening the main instruction placards for the airstair door, regulations is approved by the Director boarding door of the Raytheon Model cargo door, and emergency exits, as 7668 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Rules and Regulations applicable. The placards and modify the rule. All comments Authority: 49 USC 106(g), 40113, 44701. instructions to accomplish the submitted will be available, both before § 39.13 [Amended] instructions are included with the kits and after the closing date for comments, previously referenced. in the Rules Docket for examination by 2. Section 39.13 is amended by interested persons. A report that adding a new airworthiness directive Compliance Time of This AD summarizes each FAA-public contact (AD) to read as follows: The compliance time of this AD is concerned with the substance of this AD 97–04–02 Raytheon Aircraft Company presented in calendar time (20 days). will be filed in the Rules Docket. (formerly Beech Aircraft Corporation): The FAA has determined that calendar Commenters wishing the FAA to Amendment 39–9937; Docket No. 97– time is appropriate because acknowledge receipt of their comments CE–06–AD. incorporating the placard is not related submitted in response to this rule must Applicability: The following model and to airplane flight hours and needs to be submit a self-addressed, stamped serial number airplanes, certificated in any category: incorporated on all airplanes within a postcard on which the following reasonable period of time. This statement is made: ‘‘Comments to Model Serial No. compliance time of 20 days was selected Docket No. 97–CE–06–AD.’’ The to ensure that the action is postcard will be date stamped and 1900 ...... UA±2 and UA±3. accomplished within a reasonable returned to the commenter. 1900C ...... UB±1 through UB±74, amount of time without negatively and UC±1 through impacting the operations of the Regulatory Impact UC±174. Raytheon Models 1900, 1900C, and The regulations adopted herein will 1900C (C±12J) ...... UD±1 through UD±6. 1900D airplane fleet. not have substantial direct effects on the 1900D ...... UE±1 through UE± 268. Determination of the Effective Date of States, on the relationship between the the AD national government and the States, or Note 1: This AD applies to each airplane on the distribution of power and Since it was found that immediate identified in the preceding applicability responsibilities among the various corrective action was required, notice provision, regardless of whether it has been levels of government. Therefore, in modified, altered, or repaired in the area and opportunity for prior public accordance with Executive Order 12612, subject to the requirements of this AD. For comment thereon were impracticable it is determined that this final rule does airplanes that have been modified, altered, or and contrary to the public interest, and not have sufficient federalism repaired so that the performance of the good cause existed to make the AD implications to warrant the preparation requirements of this AD is affected, the effective immediately by individual owner/operator must request approval for an of a Federalism Assessment. lettters issued on February 4, 1997, to alternative method of compliance in The FAA has determined that this known U.S. operators of certain accordance with paragraph (c) of this AD. regulation is an emergency regulation Raytheon Models 1900, 1900C, and The request should include an assessment of that must be issued immediately to the effect of the modification, alteration, or 1900D airplanes. These conditions still correct an unsafe condition in aircraft, repair on the unsafe condition addressed by exist, and the AD is hereby published in and is not a ‘‘significant regulatory this AD; and, if the unsafe condition has not the Federal Register as an amendment action’’ under Executive Order 12866. It been eliminated, the request should include to section 39.13 of the Federal Aviation has been determined further that this specific proposed actions to address it. Regulations (14 CFR 39.13) to make it action involves an emergency regulation Compliance: Required within the next 20 effective as to all persons. under DOT Regulatory Policies and days after the effective date of this AD, unless already accomplished, except to those Comments Invited Procedures (44 FR 11034, February 26, operators receiving this action by priority Although this action is in the form of 1979). If it is determined that this letter issued February 4, 1997, which made a final rule that involves requirements emergency regulation otherwise would these actions effective immediately upon affecting immediate flight safety and, be significant under DOT Regulatory receipt. thus, was not preceded by notice and Policies and Procedures, a final To assure complete instructions are visible regulatory evaluation will be prepared for opening the airstair door, cargo door, or opportunity to comment, comments are emergency exits, which, if not visible or invited on this rule. Interested persons and placed in the Rules Docket. A copy of it, if filed, may be obtained from the understandable, could result in the inability are invited to comment on this rule by to open the airstair door, cargo door, or submitting such written data, views, or Rules Docket at the location provided emergency exits during an emergency arguments as they may desire. under the caption ADDRESSES. situation, accomplish the following: Communications should identify the List of Subjects in 14 CFR Part 39 (a) Install new exterior operating Rules Docket number and be submitted instruction placards for the airstair door and in triplicate to the address specified Air transportation, Aircraft, Aviation cargo door of Raytheon Models 1900 and 1900C airplanes; and the new exterior above. All communications received on safety, Incorporation by reference, Safety. operating instruction placards for the airstair or before the closing date for comments door, cargo door, and emergency exits of will be considered, and this rule may be Adoption of the Amendment Raytheon Model 1900D airplanes. The amended in light of the comments Accordingly, pursuant to the placards and procedures for installing the received. Factual information that placards are included with the following kits, authority delegated to me by the supports the commenter’s ideas and as referenced in Raytheon Aircraft Mandatory Administrator, the Federal Aviation suggestions is extremely helpful in Service Bulletin No. 2741, Issued: February, Administration amends part 39 of the evaluating the effectiveness of the AD 1997: Federal Aviation Regulations (14 CFR action and determining whether (1) Raytheon Part Number (P/N) 114–5050– part 39) as follows: 3, Exterior Marking Placard Kit, for Model additional rulemaking action would be 1900 airplanes, serial numbers UA–2 and needed. PART 39ÐAIRWORTHINESS UA–3; Comments are specifically invited on DIRECTIVES (2) Raytheon P/N 114–5050–1, Exterior the overall regulatory, economic, Marking Placard Kit, for Model 1900C environmental, and energy aspects of 1. The authority citation for part 39 airplanes, serial numbers UB–1 through UB– the rule that might suggest a need to continues to read as follows: 74, and UC–1 through UC–174; and Model Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Rules and Regulations 7669

1900C (C–12J), serial numbers UD–1 through Issued in Kansas City, Missouri, on SUPPLEMENTARY INFORMATION: The FAA UD–6; or February 11, 1997. received a report indicating that a (3) Raytheon P/N 129–5030–1, Exterior Henry A. Armstrong, Pacific Scientific Company, HTL/Kin- Marking Placard Kit, for Model 1900D Acting Manager, Small Airplane Directorate, Tech Division, fire extinguisher bottle airplanes, serial numbers UE–1 through UE– Aircraft Certification Service. cartridge (squib) failed to discharge 268. [FR Doc. 97–3957 Filed 2–19–97; 8:45 am] when commanded. Investigation Note 2: Raytheon Aircraft Mandatory BILLING CODE 4910±13±U revealed that aluminum foil was present Service Bulletin No. 2741, Issued: February, in the cartridge, which caused electrical 1997, references the above kits and contains shorting of the pins. Aluminum foil is other information relating to this subject. 14 CFR Part 39 used to shunt the electrical pins of the (b) Overlapping the registration numbers cartridge for shipping purposes. The through proper installation of the placards is [Docket No. 97±NM±27±AD; Amendment 39±9940; AD 97±04±15] aluminum foil had not been removed permissible as specified in section 45.21, properly prior to installation of the fire paragraph (b), of the Federal Aviation RIN 2120±AA64 Regulations (14 CFR 45.21(b)). If this extinguisher bottle cartridge. Further investigation revealed that the electrical requirement cannot be met, obtain an Airworthiness Directives; Pacific shorting condition existed on six other alternative method of compliance using the Scientific Company, HTL/Kin-Tech installed cartridges. instructions in paragraph (c) of this AD. Division, Fire Extinguisher Bottle (c) An alternative method of compliance or Cartridges The affected cartridges are Pacific adjustment of the compliance time that Scientific Company, HTL/Kin-Tech provides an equivalent level of safety may be AGENCY: Federal Aviation Division, fire extinguisher bottle approved by the Manager, Wichita Aircraft Administration, DOT. cartridges having part numbers 13083– Certification Office (ACO), 1801 Airport ACTION: Final rule; request for 10 and 13083–25. Road, Room 100, Mid-Continent Airport, comments. Wichita, Kansas 67209. The request shall be Electrical shorting of the pins in the forwarded through an appropriate FAA SUMMARY: This amendment adopts a fire extinguisher bottle cartridges, if not Airworthiness Inspector, who may add new airworthiness directive (AD) that is corrected, could result in failure of the comments and then send it to the Manager, applicable to certain Pacific Scientific fire extinguisher bottle to discharge Wichita ACO. Company, HTL/Kin-Tech Division, fire when commanded. Note 3: Information concerning the extinguisher bottle cartridges (squibs), FAA’s Determination existence of approved alternative methods of which may be installed on various compliance with this AD, if any, may be transport category airplanes. This action The FAA has determined that, in obtained from the Wichita ACO. requires a one-time inspection of the order to ensure that the fire extinguisher (d) The installations required by this AD electrical receptacle of these fire bottle will discharge when commanded, shall be done in accordance with the extinguisher bottle cartridges and their Pacific Scientific Company, HTL/Kin- instructions to the following kits, as Tech Division, fire extinguisher bottle referenced in Raytheon Aircraft Mandatory mating connectors to detect the Service Bulletin No. 2741, Issued: February, presence of aluminum foil in the area of cartridges having part numbers 13083– 1997: the pins of the cartridges and the 10 and 13083–25 must be inspected to ensure that any aluminum foil is —Raytheon Part Number (P/N) 114–5050–3, connectors, and removal of any Exterior Marking Placard Kit, for Model aluminum foil that is present. This removed from the fire extinguisher 1900 airplanes, serial numbers UA–2 and amendment is prompted by a report of bottle cartridges installed on the UA–3; failure of a fire extinguisher bottle affected airplanes. cartridge to discharge as a result of the —Raytheon P/N 114–5050–1, Exterior Explanation of the Requirements of the presence of aluminum foil in the Marking Placard Kit, for Model 1900C Rule airplanes, serial numbers UB–1 through cartridge, which caused electrical UB–74, and UC–1 through UC–174; and shorting of the pins. The actions Since an unsafe condition has been Model 1900C (C–12J), serial numbers UD– specified in this AD are intended to identified that is likely to exist or 1 through UD–6; and . prevent such shorting, which could develop on other components of the —Raytheon P/N 129–5030–1, Exterior result in failure of the fire extinguisher same type design installed on transport Marking Placard Kit, for Model 1900D bottle to discharge when commanded. airplanes, serial numbers UE–1 through category airplanes, this AD is being UE–268. DATES: Effective March 7, 1997. issued to prevent electrical shorting of Comments for inclusion in the Rules the pins of the fire extinguisher bottle This incorporation by reference was Docket must be received on or before approved by the Director of the Federal cartridge, which could result in failure Register in accordance with 5 U.S.C. 552(a) April 21, 1997. of the fire extinguisher bottle to and 1 CFR part 51. Copies may be obtained ADDRESSES: Submit comments in discharge when commanded. This AD from the Raytheon Aircraft Corporation, P.O. triplicate to the Federal Aviation requires a one-time visual inspection of Box 85, Wichita, Kansas 67201–0085. Copies Administration (FAA), Transport the electrical receptacle of certain may be inspected at the FAA, Central Region, Airplane Directorate, ANM–103, Pacific Scientific Company, HTL/Kin- Office of the Assistant Chief Counsel, Room Attention: Rules Docket No. 97–NM– Tech Division, fire extinguisher bottle 1558, 601 E. 12th Street, Kansas City, 27–AD, 1601 Lind Avenue, SW., cartridges and their mating connectors Missouri, or at the Office of the Federal Renton, Washington 98055–4056. to detect the presence of aluminum foil Register, 800 North Capitol Street, NW, suite FOR FURTHER INFORMATION CONTACT: in the area of the pins of the cartridges 700, Washington, DC. Robert Baitoo, Aerospace Engineer, and the connectors, and removal of any (e) This amendment (39–9937) becomes aluminum foil that is present. effective on March 10, 1997, to all persons Propulsion Branch, ANM–140L, FAA, except those persons to whom it was made Transport Airplane Directorate, Los Determination of Rule’s Effective Date immediately effective by priority letter AD Angeles Aircraft Certification Office, 97–04–02, issued February 4, 1997, which 3960 Paramount Boulevard, Lakewood, Since a situation exists that requires contained the requirements of this California 90712; telephone (310) 627– the immediate adoption of this amendment. 5245; fax (310) 627–5210. regulation, it is found that notice and 7670 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Rules and Regulations opportunity for prior public comment and that it is not a ‘‘significant of this AD. The request should include an hereon are impracticable, and that good regulatory action’’ under Executive assessment of the effect of the modification, cause exists for making this amendment Order 12866. It has been determined alteration, or repair on the unsafe condition effective in less than 30 days. further that this action involves an addressed by this AD; and, if the unsafe emergency regulation under DOT condition has not been eliminated, the Comments Invited Regulatory Policies and Procedures (44 request should include specific proposed Although this action is in the form of FR 11034, February 26, 1979). If it is actions to address it. a final rule that involves requirements determined that this emergency Compliance: Required as indicated, unless affecting flight safety and, thus, was not regulation otherwise would be accomplished previously. preceded by notice and an opportunity significant under DOT Regulatory To prevent electrical shorting of the pins for public comment, comments are Policies and Procedures, a final of the fire extinguisher bottle cartridge, invited on this rule. Interested persons regulatory evaluation will be prepared which could result in failure of the fire are invited to comment on this rule by and placed in the Rules Docket. A copy extinguisher bottle to discharge when submitting such written data, views, or of it, if filed, may be obtained from the commanded, accomplish the following: arguments as they may desire. Rules Docket at the location provided (a) Within 30 days after the effective date of this AD, accomplish the following: Communications shall identify the under the caption ADDRESSES. Rules Docket number and be submitted (1) Pull the applicable circuit breakers and in triplicate to the address specified List of Subjects in 14 CFR Part 39 disconnect the electrical connector from any under the caption ADDRESSES. All Air transportation, Aircraft, Aviation Pacific Scientific Company, HTL/Kin-Tech communications received on or before safety, Safety. Division, fire extinguisher bottle cartridge the closing date for comments will be (squib) having P/N 13083–10 or 13083–25. considered, and this rule may be Adoption of the Amendment CAUTION: Prior to removing the electrical amended in light of the comments Accordingly, pursuant to the connector from the fire extinguisher bottle received. Factual information that authority delegated to me by the cartridge, ensure that the technician is supports the commenter’s ideas and Administrator, the Federal Aviation grounded properly. Cartridges are electrostatic discharge (ESD) sensitive. suggestions is extremely helpful in Administration amends part 39 of the (2) Perform a one-time visual inspection of evaluating the effectiveness of the AD Federal Aviation Regulations (14 CFR the electrical receptacle of the cartridge and part 39) as follows: action and determining whether its mating connector to detect the presence of additional rulemaking action would be aluminum foil in the area of the pins of the needed. PART 39ÐAIRWORTHINESS DIRECTIVES cartridge and the connector. The aluminum Comments are specifically invited on foil may have the appearance of solder. the overall regulatory, economic, 1. The authority citation for part 39 Remove any aluminum foil that is present. environmental, and energy aspects of continues to read as follows: (3) Reinstall the electrical connector, and the rule that might suggest a need to Authority: 49 U.S.C. 106(g), 40113, 44701. reset the applicable circuit breakers. modify the rule. All comments Note 2: Inspections and removal of foil submitted will be available, both before § 39.13 [Amended] accomplished prior to the effective date of and after the closing date for comments, 2. Section 39.13 is amended by this AD in accordance with Pacific Scientific in the Rules Docket for examination by adding the following new airworthiness Service Letter 97–018.BC, dated January 21, interested persons. A report that directive: 1997, are considered acceptable for summarizes each FAA-public contact compliance with the requirements of this AD. 97–04–15 Pacific Scientific Company, HTL/ concerned with the substance of this AD (b) As of the effective date of this AD, no will be filed in the Rules Docket. KIN-Tech Division: Amendment 39– 9940. Docket 97–NM–27–AD. person shall install on any airplane a Pacific Commenters wishing the FAA to Scientific Company, HTL/Kin-Tech Division, acknowledge receipt of their comments Applicability: Fire extinguisher bottle cartridges (squibs) having part numbers (P/N) fire extinguisher bottle cartridge having P/N submitted in response to this rule must 13083–10 and –25; as installed in, but not 13083–10 or 13083–25, unless the cartridge submit a self-addressed, stamped limited to, the following airplane models, has been inspected in accordance with postcard on which the following certificated in any category: paragraph (a)(2) of this AD. statement is made: Comments to Docket de Havilland Model DHC–7 series (c) An alternative method of compliance or Number 97–NM–27–AD. The postcard airplanes; adjustment of the compliance time that will be date stamped and returned to the de Havilland Model DHC–8–100 and –300 provides an acceptable level of safety may be commenter. series airplanes; used if approved by the Manager, Los General Dynamics Convair Model 340, 440, Angeles Aircraft Certification Office (ACO), Regulatory Impact and C–131 (military) series airplanes FAA, Transport Airplane Directorate. The regulations adopted herein will modified in accordance with Supplemental Type Certificate SA41100; Operators shall submit their requests through not have substantial direct effects on the Lockheed Model 382 series airplanes; and an appropriate FAA Principal Maintenance States, on the relationship between the Sabreliner Model 60, 65, and 75A series Inspector, who may add comments and then national government and the States, or airplanes. send it to the Manager, Los Angeles ACO. on the distribution of power and Note 1: This AD applies to Pacific Note 3: Information concerning the responsibilities among the various Scientific Company, HTL/Kin-Tech Division, existence of approved alternative methods of levels of government. Therefore, in fire extinguisher bottle cartridges having P/ compliance with this AD, if any, may be accordance with Executive Order 12612, N’s 13083–10 and –25, as installed on any obtained from the Los Angeles ACO. airplane, regardless of whether the airplane it is determined that this final rule does (d) Special flight permits may be issued in has been otherwise modified, altered, or not have sufficient federalism accordance with sections 21.197 and 21.199 implications to warrant the preparation repaired in the area subject to the requirements of this AD. For airplanes that of the Federal Aviation Regulations (14 CFR of a Federalism Assessment. have been modified, altered, or repaired so 21.197 and 21.199) to operate the airplane to The FAA has determined that this that the performance of the requirements of a location where the requirements of this AD regulation is an emergency regulation this AD is affected, the owner/operator must can be accomplished. that must be issued immediately to request approval for an alternative method of (e) This amendment becomes effective on correct an unsafe condition in aircraft, compliance in accordance with paragraph (c) March 7, 1997. Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Rules and Regulations 7671

Issued in Renton, Washington, on February 14 CFR Part 39 on December 19, 1996 (61 FR 66902), 12, 1997. Airspace Docket No. 93–AWA–13. This Darrell M. Pederson, [Docket No. 96±ANE±37; Amendment 39± 9874; AD 97±01±03] rule modified the Los Angeles (LAX) Acting Manager, Transport Airplane Class B airspace area. In the final rule, Directorate, Aircraft Certification Service. RIN 2120±AA64 the airspace designation as Area G [FR Doc. 97–4102 Filed 2–19–97; 8:45 am] inadvertently contained two errors. This Airworthiness Directives; Textron BILLING CODE 4910±13±U action corrects those errors. Lycoming Reciprocating Engines EFFECTIVE DATE: 0901 UTC July 17, 1997. AGENCY: Federal Aviation 14 CFR Part 39 Administration, DOT. FOR FURTHER INFORMATION CONTACT: ACTION: Final rule; correction William C. Nelson, Airspace and Rules [Docket No. 95±ANE±37; Amendment 39± Division, ATA–400, Office of Air Traffic 9732; AD 96±18±08] SUMMARY: This document makes a Airspace Management, Federal Aviation correction to Airworthiness Directive Administration, 800 Independence RIN 2120±AA64 (AD) 97–01–03 applicable to certain Avenue, SW., Washington, DC 20591; Textron Lycoming reciprocating engines Telephone: (202) 267–8783. Airworthiness Directives; Pratt & that was published in the Federal Whitney PW2000 Series Turbofan Register on January 3, 1997 (62 FR 307). SUPPLEMENTARY INFORMATION: Federal Engines Paragraph (g) in the compliance section Register Document 96–32109, Airspace was misdesignated as paragraph(f). This Docket No. 93–AWA–13, published on AGENCY: Federal Aviation document redesignates that paragraph. December 19, 1996 (96 FR 66902), Administration, DOT. In all other respects, the original modified the LAX Class B airspace area. ACTION: Final rule; correction. document remains the same. However, in the rule the description for EFFECTIVE DATE: February 20, 1997. Area G inadvertently described the SUMMARY: This document makes a FOR FURTHER INFORMATION CONTACT: portion of the area after Imperial Hwy/ correction to Airworthiness Directive Franco Pieri and Pat Perrotta, Aerospace Pacific Ocean with incorrect (AD) 96–18–08 applicable to Pratt & Engineer, New York Aircraft coordinates. This action corrects the Whitney PW2000 series turbofan Certification Office, FAA, Engine and coordinates after Imperial Hwy/Pacific engines that was published in the Propeller Directorate, 10 Fifth St., Ocean by replacing them with the Federal Register on September 30, 1996 Valley Stream, NY 11581; telephone correct coordinates. Additionally, the (61 FR 50984). A superfluous phrase (516) 256-7526 and (516) 256–7534, fax airspace designation contained a was added to the compliance section (516) 568–2716. descriptive boundary line defined by and is incorrect. This document deletes SUPPLEMENTARY INFORMATION: A final coordinates that should not have been that phrase. In all other respects, the rule airworthiness directive applicable included in the legal description. This original document remains the same. to certain Textron Lycoming action corrects the description of Area G EFFECTIVE DATE: February 20, 1997. reciprocating engines, was published in by removing those coordinates. the Federal Register on January 3, 1997 FOR FURTHER INFORMATION CONTACT: John Correction to Final Rule Fisher, Aerospace Engineer, Engine (62 FR 307). The following correction is Certification Office, FAA, Engine and needed: Accordingly, pursuant to the Propeller Directorate, 12 New England § 39.13 [Corrected] authority delegated to me, the airspace designation for Area G, for the Class B Executive Park, Burlington, MA 01803– On page 309, in the first column, in airspace area as published in the 5299; telephone (617) 238–7149, fax the Compliance Section, the second Federal Register on December 19, 1996, (617) 238–7199. paragraph ‘‘(f)’’ is redesignated to read (61 FR 66906; Federal Register SUPPLEMENTARY INFORMATION: A final paragraph ‘‘(g)’’. rule airworthiness directive applicable Document 96–32109, Column 3) is Issued in Burlington, MA, on February 5, corrected as follows: to Pratt & Whitney PW2000 series 1997. turbofan engines, was published in the James C. Jones, § 71.71 [Corrected] Federal Register on September 30, 1996 Acting Manager, Engine and Propeller Area G. That airspace extending (61 FR 50984). The following correction Directorate, Aircraft Certification Service. upward from 5,000 feet MSL to and is needed: [FR Doc. 97–4143 Filed 2–19–97; 8:45 am] including 10,000 feet MSL bounded by § 39.13 [Corrected] BILLING CODE 4910±13±U a line beginning at lat. 33°55′51′′ N, On page 50986, in the third column, long. 118°26′05′′ W (Imperial Hwy/ ° ′ ′′ in the Compliance Section of AD 96– 14 CFR Part 71 Pacific Ocean); to lat. 33 55 48 N, long. 18–08, in paragraph (n)(3), beginning in 118°13′54′′ W; to lat. 33°53′35′′ N, long. the second line, ‘‘prior to exceeding [Airspace Docket No. 93±AWA±13] 118°10′55′′ W (Dominguez High 20,000 TPC, accomplish the following:’’ RIN 2120±AA66 School); to lat. 33°54′10′′ N, long. is corrected to read ‘‘prior to exceeding 118°01′49′′ W; to lat. 33°47′00′′ N, long 20,000 TPC.’’. Modification of Los Angeles (LAX) 118°03′17′′ W (Seal Beach VORTAC/Los Issued in Burlington, MA, on February 5, Class B Airspace Area; CA Alamitos Armed Forces Reserve Center); to lat. 33°46′28′′ N, long. 118°11′54′′ W 1997. AGENCY: Federal Aviation James C. Jones, Administration (FAA), DOT. (Long Beach VA Hospital); to lat. 33°45′34′′ N, long. 118°27′01′′ W Acting Manager, Engine and Propeller ACTION: Final rule; correction. Directorate, Aircraft Certification Service. (LIMBO Intersection); to the point of [FR Doc. 97–4142 Filed 2–19–97; 8:45 am] SUMMARY: This action corrects a final beginning. BILLING CODE 4910±13±U rule published in the Federal Register * * * * * 7672 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Rules and Regulations

Issued in Washington, DC, on January 30, rule. However, after the review of any only affect air traffic procedures and air 1997. comments and, if the FAA finds that navigation, it is certified that this rule William J. Marx, further changes are appropriate, it will will not have a significant economic Acting Program Director for Air Traffic initiate rulemaking proceedings to impact on a substantial number of small Airspace Management. extend the effective date or to amend entities under the criteria of the [FR Doc. 97–3236 Filed 2–19–97; 8:45 am] the regulation. Regulatory Flexibility Act. BILLING CODE 4910±13±M Interested parties are invited to participate in this rulemaking List of Subjects in 14 CFR Part 71 proceeding by submitting written Airspace, Incorporation by reference, 14 CFR Part 71 comments on the proposal to the FAA. Navigation (air). Comments that provide the factual basis [Airspace Docket No. 96±ASW±29] supporting the views and suggestions Adoption of the Amendment Revocation of Class D Airspace; presented are particularly helpful in In consideration of the foregoing, the Blytheville, AR evaluating the effects of the rule, and in Federal Aviation Administration determining whether additional amends 14 CFR part 71 as follows: AGENCY: Federal Aviation rulemaking is required. Administration (FAA), DOT. Class D airspace designations are PART 71Ð[AMENDED] published in Paragraph 5000 of FAA ACTION: Final rule; request for 1. The authority citation for 14 CFR Order 7400.9D dated September 4, 1996, comments. part 71 continues to read as follows: and effective September 16, 1996, which SUMMARY: This action revokes the Class is incorporated by reference in 14 CFR Authority: 49 U.S.C. app. 40103, 40113, D airspace at Blytheville, AR. The 71.1. The Class D airspace designation 40120; E.O. 10854; 24 FR 9565, 3 CFR, 1959– decommissioning of the Blytheville, listed in this document will be 1963 Comp., p. 389; 49 U.S.C. 106(g); 14 CFR Arkansas International Airport control published subsequently in the Order. 11.69. tower removes the need for Class D § 71.1 [Amended] airspace extending upward from the The Rule 2. The incorporation by reference in surface to, but not including, 2,800 feet This amendment to part 71 of the 14 CFR 71.1 of the Federal Aviation Mean Sea Level (MSL) within a 4.6-mile Federal Aviation Regulations (14 CFR Administration Order 7400.9D, radius of the airport. This action is part 71) revokes the Class D airspace, Airspace Designations and Reporting intended to revoke the unnecessary providing controlled airspace for Points, dated September 4, 1996, and Class D airspace. terminal instrument operations, located at Blytheville, Arkansas International effective September 16, 1996, is DATES: Effective date: 0901 UTC, March amended as follows: 7, 1997. Airport, AR. The current Class D Comment date: Comments must be airspace was supported by a control Paragraph 5000 Class D airspace areas received on or before April 21, 1997. tower, which was decommissioned designated for an airport. following the closure of Eaker Air Force ADDRESSES: Send comments on the rule * * * * * Base, subsequently renamed Blytheville, in triplicate to Manager, Operations Arkansas International Airport. ASW AR D Blytheville, AR [Removed] Branch, Air Traffic Division, Federal Since this action merely involves the * * * * * Aviation Administration Southwest revocation of Class D airspace as a result Issued in Fort Worth, TX, on February 12, Region, Docket No. 96–ASW–29, Fort of closing the airport control tower, 1997. Worth, TX 76193–0530. notice and public procedure under 5 Albert L. Viselli, The official docket may be examined U.S.C. 553(b) are unnecessary. Since Acting Manager, Air Traffic Division, in the Office of the Assistant Chief there will no longer be a control tower Southwest Region. Counsel, Federal Aviation at Blytheville, Arkansas International [FR Doc. 97–4211 Filed 2–19–97; 8:45 am] Administration, Southwest Region, 2601 Airport, the Class D airspace must be BILLING CODE 4913±13±M Meacham Boulevard, Room 663, Fort removed to avoid confusion on the part Worth, TX, between 9:00 AM and 3:00 of the pilots flying in the vicinity of the PM, Monday through Friday, except airport, and to promote the safe and 14 CFR Part 71 Federal holidays. An informal docket efficient handling of air traffic in the may also be examined during normal area. Therefore, I find that notice and [Airspace Docket No. 97±ASW±01] business hours at the Operations public procedure under 5 U.S.C. 553 are Branch, Air Traffic Division, Federal Removal of Class D Airspace; unnecessary and good cause exists for Aviation Administration, Southwest Shreveport Downtown Airport, LA making this amendment effective in less Region, Room 414, Fort Worth, TX. than thirty days. AGENCY: Federal Aviation FOR FURTHER INFORMATION CONTACT: The FAA has determined that this Administration (FAA), DOT. Donald J. Day, Operations Branch, Air regulation only involves an established ACTION: Direct final rule; request for Traffic Division, Southwest Region, body of technical regulations that need comments. Federal Aviation Administration, Fort frequent and routine amendments to Worth, TX 76193–0530, telephone 817– keep them operationally current. It, SUMMARY: This action removes the Class 222–5593. therefore—(1) is not a ‘‘significant D airspace at Shreveport Downtown SUPPLEMENTARY INFORMATION: regulatory action’’ under Executive Airport, LA. The air traffic control tower Order 12866; (2) is not a ‘‘significant at Shreveport Downtown Airport closed Request for Comments on the Rule rule’’ under DOT Regulatory Policies on December 31, 1995, and no longer Although this action is a final rule, and Procedures (44 FR 11034; February provides services to aircraft operating at which involves the revocation of Class 26, 1979); and (3) does not warrant this airport. This action is intended to D airspace at Blytheville, AR, and was preparation of a regulatory evaluation as remove the controlled airspace for not preceded by notice and public the anticipated impact is so minimal. aircraft operating in the vicinity of procedure, comments are invited on the Since this is a routine matter that will Shreveport Downtown Airport, LA. Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Rules and Regulations 7673

DATES: Effective date: 0901 UTC, April airspace and reclassifying airspace to a Agency Findings 21, 1997. less restrictive classification usually Comment date: Comments must be results in less adverse comments. The regulations adopted herein will received on or before April 7, 1997. Unless a written adverse or negative not have substantial direct effects on the States, on the relationship between the ADDRESSES: Send comments on the rule comment, or a written notice of intent national government and the States, or in triplicate to Manager, Operations to submit an adverse or negative on the distribution of power and Branch, Air Traffic Division, Federal comment is received within the responsibilities among the various Aviation Administration, Southwest comment period, the regulation will levels of government. Therefore, in Region, Docket No. 97–ASW–01, Fort become effective on the date specified accordance with Executive Order 12612, Worth, TX 76193–0530. The official above. After the close of the comment it is determined that this final rule does docket may be examined in the Office period, the FAA will publish a not have sufficient federalism of the Assistant Chief Counsel, Federal document in the Federal Register implications to warrant the preparation Aviation Administration, Southwest indicating that no adverse or negative of a Federalism Assessment. Region, 2601 Meacham Boulevard, comments were received and Room 663, Fort Worth, TX, between confirming the date on which the final Further, the FAA has determined that 9:00 AM and 3:00 PM, Monday through rule will become effective. If the FAA this regulation is noncontroversial and Friday, except Federal holidays. An does receive, within the comment unlikely to result in adverse or negative informal docket may also be examined period, an adverse or negative comment, comments and only involves an during normal business hours at the or written notice of intent to submit established body of technical Operations Branch, Air Traffic Division, such a comment, a document regulations that require frequent and Federal Aviation Administration, withdrawing the direct final rule will be routine amendments to keep them Southwest Region, Room 414, Fort published in the Federal Register, and operationally current. Therefore, I Worth, TX. a notice of proposed rulemaking may be certify that this regulation (1) is not a published with a new comment period. FOR FURTHER INFORMATION CONTACT: ‘‘significant regulatory action’’ under Donald J. Day, Operations Branch, Air Comments Invited Executive Order 12866; (2) is not a ‘‘significant rule’’ under DOT Traffic Division, Southwest Region, Although this action is in the form of Federal Aviation Administration, Fort Regulatory Policies and Procedures (44 a final rule and was not preceded by a FR 11034; February 26, 1979); and (3) if Worth, TX 76193–0530, telephone 817– notice of proposed rulemaking, 222–5593. promulgated, will not have a significant comments are invited on this rule. economic impact; positive or negative, SUPPLEMENTARY INFORMATION: This Interested persons are invited to on a substantial number of small entities amendment to part 71 of the Federal comment on this rule by submitting under the criteria of the Regulatory Aviation Regulations (14 CFR part 71) such written data, views, or arguments Flexibility Act. Since this rule involves removes the Class D airspace, providing as they may desire. Communications routine matters that will only affect air controlled airspace for airport should identify the Rules Docket traffic procedures and air navigation, it operations, located at Shreveport number and be submitted in triplicate to does not warrant preparation of a Downtown Airport, LA. The closing of the address specified under the caption Regulatory Flexibility Analysis because the air traffic control tower allows ADDRESSES. All communications the anticipated impact is so minimal. removal of the Class D airspace received on or before the closing date previously required to provide adequate for comments will be considered, and List of Subjects in 14 CFR Part 71 controlled airspace for aircraft operating this rule may be amended or withdrawn Airspace, Incorporation by reference, in the vicinity of the airport. This in light of the comments received. Navigation (air). removal will avoid confusion on the Factual information that supports the part of the pilots flying near the airport, commenter’s ideas and suggestions is Adoption of the Amendment and promote the safe and efficient extremely helpful in evaluating the handling of air traffic in the area. This effectiveness of this action and In consideration of the foregoing, the action will remove the Class D airspace determining whether additional Federal Aviation Administration at Shreveport Downtown Airport, LA. rulemaking action would be needed. amends 14 CFR Part 71 as follows: Class D airspace designations are Comments are specifically invited on PART 71Ð[AMENDED] published in Paragraph 5000 of FAA the overall regulatory, economic, Order 7400.9D. dated September 4, environmental, and energy aspects of 1. The authority citation for 14 CFR 1996, and effective September 16, 1996, the rule that might suggest a need to 71 continues to read as follows: which is incorporated by reference in 14 modify the rule. All comments CFR § 71.1. The Class D airspace submitted will be available, both before Authority: 49 U.S.C. app. 40103, 40113, designation listed in this document will and after the closing date for comments, 40120; E.O. 10854; 24 FR 9565, 3 CFR, 1959– 1963 Comp., p. 389; 49 U.S.C. 106(g); 14 CFR be published subsequently in the order. in the Rules Docket for examination by 11.69. interested persons. A report that The Direct Final Rule Procedure summarizes each FAA-public contact § 71.1 [Amended] The FAA anticipates that this concerned with the substance of this 2. The incorporation by reference in regulation will not result in adverse or action will be filed in the Rules Docket. 14 CFR 71.1 of the Federal Aviation negative comment and therefore is Commenters wishing the FAA to Administration Order 7400.9D, issuing it as a direct final rule. A acknowledge receipt of their comments Airspace Designations and Reporting substantial number of previous submitted in response to this rule must Points, dated September 4, 1996, and opportunities provided to the public to submit a self-addressed, stamped effective September 16, 1996, is comment on substantially identical postcard on which the following amended as follows: actions have resulted in negligible statement is made: ‘‘Comments to adverse comments or objections. Docket No. 97–ASW–01.’’ The postcard Paragraph 5000 Class D airspace Additionally, removal of this Class D will be date stamped and returned to the designated for an airport. airspace will result in less restrictive commenter. * * * * * 7674 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Rules and Regulations

ASW LA D Shreveport Downtown Airport, proceeding by submitting written PART 71Ð[AMENDED] LA [Removed] comments on the proposal to the FAA. * * * * * No comments to the proposal were 1. The authority citation for 14 CFR Issued in Fort Worth, TX, on February 12, received. However, the proposal was part 71 continues to read as follows: 1997. published with an incorrect coordinate Authority: 49 U.S.C. 40103, 40113, 40120; Albert L. Viselli, for the location of the Canyon Ranch E.O. 10854; 24 FR 9565, 3 CFR, 1959–1963 Acting Manager, Air Traffic Division, Airport, Sonora, TX. The correct Comp., p. 389; 49 U.S.C. 106(g); 14 CFR Southwest Region. coordinates for the airport should have 11.69. ° ′ ′′ ° ′ ′′ [FR Doc. 97–4210 Filed 2–19–97; 8:45 am] been (Lat. 30 16 09 N, long. 100 27 03 § 71.1 [Amended] W). The description of the Class E BILLING CODE 4910±13±M 2. The incorporation by reference in airspace in this rule has been revised to 14 CFR 71.1 of the Federal Aviation reflect this change. The FAA has Administration Order 7400.9D, 14 CFR Part 71 determined that this change will not Airspace Designations and Reporting increase the scope of this rule. [Airspace Docket No. 96±ASW±05] Points, dated September 4, 1996, and Therefore, except for the non- effective September 16, 1996, is substantive, editorial changes to correct Establishment of Class E Airspace; amended as follows: Sonora, TX the airport coordinates, the rule is adopted as proposed. Paragraph 6005 Class E Airspace areas AGENCY: Federal Aviation The coordinates for this airspace extending upward from 700 feet or more Administration (FAA), DOT. docket are based on North American above the surface of the earth. ACTION: Final rule. Datum 83. Class E airspace designations * * * * * for airspace areas extending upward SUMMARY: This action establishes the ASW TX E5 Sonora Canyon Ranch, TX from 700 feet or more AGL are [New] Class E airspace extending upward from published in Paragraph 6005 of FAA 700 feet above ground level (AGL) at Sonora, Canyon Ranch Airport, TX Order 7400.9D dated September 4, 1996, (Lat. 30°16′09′′ N., long. 100°27′03′′ W.) Canyon Ranch Airport, Sonora, TX. The and effective September 16, 1996, which development of a Very High Frequency Rocksprings VOR is incorporated by reference in 14 CFR (Lat. 30°00′53′′ N., long. 100°17′59′′ W.) Omnidirectional Range (VOR)/Distance 71.1. The Class E airspace designation Measuring Equipment (DME) Standard That airspace extending upward from 700 listed in this document will be feet above the surface within a 6.6-mile Instrument Approach Procedure (SIAP) published subsequently in the Order. radius of Canyon Ranch Airport, and within to Runway (RWY) 32 at Canyon Ranch ° The Rule 1.8 miles each side of the 333 bearing from Airport has made this action necessary. the Rocksprings VOR extending from the 6.6- This action is intended to provide This amendment to part 71 of the mile radius to 7.6 miles southeast of the adequate Class E airspace to contain Federal Aviation Regulations (14 CFR airport, excluding that airspace which instrument flight rule (IFR) operations part 71) establishes the Class E airspace overlies the Rocksprings Four Square Ranch for aircraft executing the VOR/DME located at Canyon Ranch Airport, Airport Class E area. SIAP to RWY 32 at Canyon Ranch Sonora, TX, to provide controlled * * * * * Airport, Sonora, TX. airspace extending upward from 700 Issued in Fort Worth, TX, on February 12, EFFECTIVE DATE: 0901 UTC, May 22, feet AGL for aircraft executing the VOR/ 1997. 1997. DME SIAP to RWY 32. Albert L. Viselli, FOR FURTHER INFORMATION CONTACT: The FAA has determined that this Acting Manager, Air Traffic Division, Donald J. Day, Operations Branch, Air regulation only involves an established Southwest Region. Traffic Division, Southwest Region, body of technical regulations that need [FR Doc. 97–4209 Filed 2–19–97; 8:45 am] Federal Aviation Administration, Fort frequent and routine amendments to BILLING CODE 4910±13±M Worth, TX 76193–0530, telephone 817– keep them operationally current. It, 222–5593. therefore—(1) is not a ‘‘significant regulatory action’’ under Executive 14 CFR Parts 91, 119, 121 and 135 SUPPLEMENTARY INFORMATION: Order 12866; (2) is not a ‘‘significant rule’’ under DOT Regulatory Policies [Docket No. 28577, Special Federal Aviation History Regulation (SFAR) No. 78] and Procedures (44 FR 11034; February On June 19, 1996, a proposal to 26, 1979); and (3) does not warrant RIN 2120±AG11 amend part 71 of the Federal Aviation preparation of a regulatory evaluation as Regulations (14 CFR part 71) to establish the anticipated impact is so minimal. Special Flight Rules in the Vicinity of Class E airspace at Canyon Ranch Since this is a routine matter that will the Rocky Mountain National Park; Airport, Sonora, TX, was published in only affect air traffic procedures and air Correction the Federal Register (61 FR 31066). A navigation, it is certified that this rule VOR/DME SIAP to RWY 32 developed will not have a significant economic AGENCY: Federal Aviation for Canyon Ranch Airport, Sonora, TX, impact on a substantial number of small Administration, DOT. requires the establishment of Class E entities under the criteria of the ACTION: Final rule; correction. airspace at this airport. The proposal Regulatory Flexibility Act. was to establish the controlled airspace SUMMARY: This document contains a extending upward from 700 feet AGL to List of Subjects in 14 CFR Part 71 correction to the final rule published in contain IFR operations in controlled Airspace, Incorporation by reference, the Federal Register (62 FR 1192) on airspace during portions of the terminal Navigation (air). January 8, 1997. The final rule operation and while transitioning establishes temporary Special Federal between the enroute and terminal Adoption of the Amendment Aviation Regulations (SFAR) at Rocky environments. In consideration of the foregoing, the Mountain National Park (RMNP) to Interested parties were invited to Federal Aviation Administration preserve the natural enjoyment of participate in this rulemaking amends 14 CFR part 71 as follows: visitors to RMNP by preventing any Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Rules and Regulations 7675 potential adverse noise impact from times required under these Commission 1.35(a–1)(4) requires an exit timestamp aircraft-based sightseeing overflights. Regulation 1.35 subsections to the indicating the date and time of the 3 EFFECTIVE DATE: February 11, 1997. highest level of precision achievable by report of execution. Regulation 1.35(d) the operating system. In this regard, provides that a contract market member FOR FURTHER INFORMATION CONTACT: Neil Saunders (202–267–8783). such a captured time must be accurate who executes a trade must prepare a at least to the second. The time captured trading card or other record showing the Correction of Publication must not use a clock that can be fill information for the customer 4 In the rule document (FR Doc. 97– modified by the person entering the purchase or sale order. The Commission is issuing this 435) on page 1192 in the issue of order. All electronic records of customer Advisory to facilitate further the Wednesday, January 8, 1997, orders created by an electronic order- implementation and use of electronic Amendment numbers were inserted routing system must be maintained in order-routing systems, including both incorrectly in the docket line of the accordance with the record retention proprietary and exchange systems, in heading. Please make the following requirements of Commission Regulation U.S. futures markets. This action corrections: On page 1192, column 1, in 1.31. constitutes the latest in a series of steps the heading, the docket line in brackets FOR FURTHER INFORMATION CONTACT: taken by the Commission to encourage is corrected to read as set forth above. Kimberly A. Browning, Attorney/ Advisor, Division of Trading and the futures industry to realize the Issued in Washington, DC on February 11, Markets, Commodity Futures Trading business and regulatory benefits of such 1997. Commission, Three Lafayette Centre, systems. Recently, to advance the public Donald P. Byrne, 1155 21st Street, N.W., Washington, dialogue on improving the efficiency of Assistant Chief Counsel. D.C. 20581. Telephone: (202) 418–5490. exchange and proprietary order-routing [FR Doc. 97–4210 Filed 2–19–97; 8:45 am] systems and to discuss potential SUPPLEMENTARY INFORMATION: BILLING CODE 4910±13±M practicability issues related to audit trail I. Introduction standards,5 the Commission convened a public Roundtable in Chicago, Illinois The Commission is hereby issuing on October 16, 1996. At that forum, COMMODITY FUTURES TRADING guidance concerning alternative market users, financial market experts, COMMISSION compliance with the ‘‘written’’ record requirements of certain Commission 17 CFR Part 1 written record of such order in non-erasable ink, Regulation 1.35 subsections which call including the account identification and order for the preparation of ‘‘written’’ records number and shall record thereon, by time-stamp or Alternative Method of Compliance With other timing device, the date and time, to the the Written Record Requirements of customer orders. Specifically, Regulation 1.35(a–1)(1) requires that a nearest minute, the order is received. 3 Commission Regulation 1.35(a–1)(4) states that: AGENCY: Commodity Futures Trading futures commission merchant (‘‘FCM’’) Each member of a contract market reporting the Commission. and introducing broker (‘‘IB’’), execution from the floor of the contract market of ACTION: Advisory; alternative method of immediately upon receiving a a customer’s or option customer’s order or the order customer’s or option customer’s order, of another member of such contract market received compliance. in accordance with paragraphs (a–1)(2)(i) * * * of prepare a written record of such order, this section, shall record on a written record of such SUMMARY: The Commodity Futures including the account identification, order, including the account identification and Trading Commission (‘‘Commission’’) is order number, and a timestamp order number, by time-stamp or other timing issuing advice concerning compliance indicating the date and time, to the device, the date and time to the nearest minute such 1 report of execution is made. Each member of a with the ‘‘written’’ record requirements nearest minute, the order is received. contract market shall submit the written records of of Commission Regulation 1.35 (17 CFR Similarly, Regulation 1.35(a–1)(2)(i) customer orders or orders from other contract 1.35) for customer orders which are provides that each member of a contract market members to contract market personnel or to prepared and transmitted to and market who receives a customer order the clearing member responsible for the collection of orders prepared pursuant to this paragraph as reported from exchange trading pits by on an exchange floor that is not in the required by contract market rules adopted in electronic order-routing systems and for form of a written record immediately accordance with paragraph (j)(1) of this section. The customer orders prepared by electronic upon receipt of such order prepare and execution price and other information reported on off-floor order management systems timestamp a written record of the such order tickets must be written in non-erasable 2 ink. (referred to collectively as ‘‘electronic order. For all such orders, Regulation 4 Commission Regulation 1.35(d) states, among order-routing systems’’). The ‘‘written’’ other things, that: record requirements of Commission 1 Commission Regulation 1.35(a–1)(1) states that: Each member of a contract market who, in the Regulation 1.35(a–1)(1), (a–1)(2)(i), (a– Each futures commission merchant and each place provided by the contract market for the 1)(4), and/or (d) will be deemed introducing broker receiving a customer’s or option meeting of persons similarly engaged, executes customer’s order shall immediately upon receipt purchases or sales of any commodity for future satisfied, subject to the terms and thereof prepare a written record of such order, delivery or commodity option on or subject to the conditions set forth in this Advisory, to including the account identification and order rules of such contract market, shall prepare the extent that such a system generates number, and shall record thereon, by time-stamp or regularly and promptly a trading card or other electronic rather than ‘‘written’’ records. other timing device, the date and time to the nearest record showing such purchases and sales. Such minute, the order is received, and in addition, for trading card or record shall show the member’s The electronic record of a customer [an] option customer’s order, the time, to the name, name of the clearing member, transaction order generated through an electronic nearest minute, the order is transmitted for date, time, quantity, and, as applicable, underlying order-routing system must include any execution. commodity, contract for future delivery or physical, modification made to the order, 2 Commission Regulation 1.35(a–1)(2)(i) states price or premium, delivery month or expiration that: date, whether the transaction involved a put or a including any change or correction, as Each member of a contract market who on the call and strike price. Such trading cards or other well as the time the modification is floor of such contract market receives a customer’s record shall also clearly identify the opposite floor recorded in the system. The system also or option customer’s order which in not in the form broker or floor trader with whom the transaction must maintain an accurate record of of a written record including the account was executed, and the opposite clearing member. identification, order number, and the date and time, 5 Section 5a(b)(3) of the Futures Trading Practices when and by whom records are to the nearest minute, such order was transmitted Act of 1992 (‘‘FTPA’’) sets forth various heightened accessed or modified. In addition, such or received on the floor of such contract market, audit trail requirements which are subject to a a system must capture all order-related shall immediately upon receipt thereof prepare a ‘‘practicability’’ standard. 7676 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Rules and Regulations

exchange officials and academics met to system.11 The two other letters involved modifications made to a customer order, discuss the trade automation issues firm proprietary electronic off-floor including changes and/or cancellations, currently before the futures industry. order management systems.12 as well as the times of such Discussion at the Roundtable Essentially, those systems provide for modifications to the nearest second. demonstrated the significance of the the electronic generation, modification, Moreover, in those cases where an order development and implementation of and maintenance of a firm’s ‘‘office’’ is filled partially, both the Timber Hill exchange and proprietary electronic orders, that is, both discretionary and System and the TOPS–CUBS Program order-routing systems to the continuing non-discretionary orders required to be reflect the actual quantity that has been competitiveness of the U.S. exchanges prepared pursuant to Commission executed and timestamp the report of and their member firms.6 Previously, in Regulation 1.35(a–1)(1). the partial execution to the nearest February and March 1996, the In assessing both the Timber Hill second. Commission staff also found Commission received automation System 13 and the TOPS–CUBS that both the Timber Hill System and briefings by the Chicago Mercantile Program,14 Division and OIRM staff the TOPS–CUBS Program record the Exchange (‘‘CME’’), New York found both systems are used to generate, necessary Regulation 1.35 times for Mercantile Exchange, Coffee, Sugar & in electronic form, all of the customer receipt of customer orders and report of Cocoa Exchange, Inc., Chicago Board of order information required by execution times from the trading pit and Trade, and the Futures Industry Commission Regulation 1.35. In this do so more precisely than is required Association. The Commission issued a regard, both the Timber Hill System and under the one minute standard in public summary of these proceedings on the TOPS–CUBS Program capture all Regulation 1.35. May 10, 1996, entitled the ‘‘Market With respect to the storage of Automation Briefings-Commission to receive customer orders in and report executions customer order data, both the Timber Summary.’’ from the equity quadrant of the CME, described Hill System 15 and the TOPS–CUBS infra. By letter dated August 25, 1995, the Division 16 The Commission has recognized the originally permitted the CME to use the Timber Hill Program maintain Commission 17 important business benefits that can System for a 90-day pilot program. Extensions of Regulation 1.35 order information for result from electronic order routing that pilot program were subsequently granted by the the statutorily required five-year time systems.7 The Commission also has Division. period, as provided under Regulation 11 On June 14, 1996, the Division issued a letter 1.31.18 The staff found that both systems emphasized that the FTPA ‘‘does not that allowed a six-month pilot program to be mandate that its enhanced audit trail implemented at CME under which certain CME requirements be met through electronic member firms and floor broker groups are allowed 15 The Timber Hill System basestation maintains 8 to route customer orders for the front month of the an on-line file of all customer orders transmitted means.’’ Nevertheless, the Commission CME’s Eurodollar futures contract through the through it, including order-related timestamps. believes that ‘‘the effective use of CME’s electronic order-routing system, the ‘‘Trade CME receives this file from the basestation via a technology [will ultimately] * ** Order Processing System’’ (‘‘TOPS’’), to the CME’s serial port feed (cable) on a real-time basis. Upon provide safer, more efficient, well- order receipt system, the ‘‘Universal Broker receipt of the basestation data, CME maintains it in 9 Station’’ (‘‘CUBS’’) (‘‘TOPS–CUBS Program’’), machine-readable form and will keep it for the supervised markets.’’ described infra. By letter dated December 13, 1996, required five-year time period as provided under II. Staff No-Action Positions Previously Division staff permitted CME to extend the TOPS– Commission Regulation 1.31, described infra. CUBS Program to June 13, 1997. Timber Hill also provides data for all customer Taken Regarding Electronic Order- 12 On July 21, 1994, the Division issued a letter orders executed through the Timber Hill system to Routing Systems to Goldman, Sachs & Co. (‘‘Goldman Sachs’’) the CME’s clearing system via the on-line system permitting it to implement its automated order which all CME member firms use to submit trade To date, the Commission’s Division of preparation and record keeping system, Automated data to the CME’s clearing system, the TREX Trading and Markets (‘‘Division’’), in Order Routing and Trade Accounting (‘‘AORTA’’). Record. In addition, customer trade data are stored consultation with the Commission’s The AORTA system is described infra. on the hard drives of customer workstations. On a Office of Information Resources On September 12, 1996, the Division issued a daily basis, Timber Hill backs up to magnetic tape all customer trade data generated through the Management (‘‘OIRM’’), has issued four similar letter to Morgan Stanley & Co. (‘‘Morgan Stanley’’) permitting it to implement its automated basestation, the main/’’host’’ computer and the no-action letters relating to electronic Order Management System (‘‘OMS’’), described customer workstations. Within one week of being order-routing systems. Each of the no- infra. generated, such data are placed on an optical action letters provided that the use of a 13 In summary, under the Timber Hill System, a disc(s). Twice a month, duplicate optical disks are deposited in a vault located off-site. specified electronic order-routing customer enters his order(s) electronically through a customer workstation(s) located on his premises. 16 Customer order data generated by trading system was not inconsistent with the That order then is transmitted via the Timber Hill activity occurring under the TOPS–CUBS Program ‘‘written’’ record preparation Network to a basestation located on the CME are stored in two separate databases, a TOPS requirements of Commission Regulation trading floor in a booth in proximity to the CME’s database and a CUBS database. This storage is 1.35. Two letters addressed systems Standard & Poors 500 and NASDAQ 100 futures conducted in accordance with the CME’s routine and options pits. Upon receipt of the order by the security and disaster prevention procedures. As a which involved transmission of orders floor basestation, the basestation broadcasts it to a preliminary matter, data in both databases is to and from a trading pit. One of those wireless handheld device held by a Timber Hill ‘‘backed-up’’ every evening onto a series of disk letters dealt with a firm proprietary floor broker located in the trading pit for execution. drives on the CME’s mainframe computer, where it system 10 and the other an exchange Upon execution (partial or complete), the order’s is stored for 30 days. Subsequently, CME stores the fill information, as input into the handheld device data from both databases in its archives on cartridge by the floor broker, is transmitted from the tape in a secure location. 6 The Commission shortly will be issuing a public handheld unit back to the basestation. The 17 Commission Regulation 1.35(a) requires, among summary of the Roundtable proceedings. basestation then transmits the fill confirmation other things that each FCM, IB and member of a 7 See the Commission’s ‘‘Report on Audit Trail information back to the customer at his workstation contract market must ‘‘keep full, complete, and Status and Re-Test’’ dated August 12, 1996 at p. 42. via the Timber Hill System. systematic records, together with all pertinent data 8 See the Commission’s November 1994 ‘‘Report 14 In summary, TOPS is an electronic order entry, and memoranda, of all transactions relating to its to Congress on Futures Exchange Audit Trails’’ at routing and fill reporting system. Under the TOPS– business dealing in commodity futures, commodity p. 62. CUBS Program, orders for the Eurodollar futures options, and cash commodities.’’ Regulation 1.35(a) 9 See the Commission’s May 10, 1996 ‘‘Market contract are transmitted through TOPS, which further provides that such records, which include Automation Briefings-Commission Summary’’ at p. includes terminals located off the trading floor, to all orders (filled, unfilled, or cancelled) and trading 3. CUBS computer terminals and associated software cards are to be maintained in accordance with the 10 On July 8, 1996, the Division issued a letter to designed for use by a broker and/or a broker’s clerk requirements of Regulation 1.31. CME that permitted the CME to allow one of its while at or in the trading pit. The CUBS system is 18 Commission Regulation 1.31 requires, among clearing member firms, Timber Hill, LLC (‘‘Timber a wired broker workstation that sits on a pedestal other things, that: Hill’’) to use, on a permanent basis, a handheld in the pit. It receives orders routed by TOPS and All books and records required to be kept by the trading device and system (‘‘Timber Hill System’’) performs electronic order deck management. [Commodity Exchange] Act or [Commission] Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Rules and Regulations 7677 were not inconsistent with that addition, both systems were found to Those standards are consistent with the regulation, which permits data capture the time of order entry, the time terms of the staff no-action positions generated in electronic form to be of the transmission of a customer order previously taken regarding such systems maintained in optical media and in to the floor, and the time that a sales and take cognizance of such systems’ other forms. In addition, all Regulation person enters order fill (partial or enhanced operational capabilities. 1.35 order information stored in complete) information into his system.22 To the extent that an electronic order- connection with the Timber Hill System Both AORTA and OMS record any routing system captures information and the TOPS–CUBS Program, as change to the customer order required under Commission Regulation described above, is made available, in a information, including the identity of 1.35(a–1)(1), (2)(i), (4), and/or (d), and timely manner, for access by the the sales person making any change and provided such system satisfies the Commission upon request in hard copy the time of such change. standards set forth below, a ‘‘written’’ or machine readable form. With respect to data storage, both record need not be prepared. To the With respect to the TOPS–CUBS AORTA and OMS were found to satisfy extent that a system is intended to Program, Commission staff noted that the record retention requirements of satisfy one or more of those provisions, the Program’s ability to record Commission Regulation 1.31.23 then the system must include all electronically and automatically Moreover, both of those systems were information that otherwise would be required Regulation 1.35 customer order found to provide regulatory benefits in required to be in written form. information, including order-related that they enhance the standards for Moreover, insofar as a system is used to times, enhances the preparation of office order preparation as provided comply with any one or more of the customer data in terms of accuracy and under Commission regulation 1.35. foregoing sections, it must include all information required by that detection of changes and should provide III. Discussion regulatory benefits.19 The Timber Hill section(s).25 The Commission believes that it is System provides similar benefits. The electronic record of a customer appropriate to take into account and to As previously noted, the two other order generated by an electronic order- facilitate automation developments that staff no-action letters relate to electronic routing system must include any and all are occurring with respect to exchange- office order management systems. Those modifications made thereto. The record related trading. The Commission also systems involve the electronic must include any changes and/or believes that it is preferable to do so generation, maintenance and retention cancellations. All order-related times through the issuance of this Advisory of office orders related to exchange required under Commission Regulation rather than through the case-by case trading. In general, the systems are 1.35, as well as the times for all approach taken by staff in response to intended to increase the efficiency with modifications, are to be captured to the the aforementioned proposals for which these firms manage their order highest level of precision achievable by electronic order-routing systems. This the operating system. In this regard, the books, including through increased Advisory will enable new order routing Commission’s experience is that these integration with other firm and systems to come on line without the systems have the capability, at a customer activities. To date, both the necessity of first seeking a no-action minimum, to capture times to the Goldman Sachs AORTA system and the position regarding the ‘‘written’’ record second. Therefore, the Commission is Morgan Stanley OMS system do not requirements of Commission Regulation requiring that such times must be involve electronic transmission of 1.35. As a result, the important business accurate at least to the second. In orders to and from the exchange floor.20 and regulatory benefits these systems addition, the times captured must not Nonetheless, these systems involve can provide will be fostered. use a clock that can be modified by the issues similar to those relating to the For an electronic order-routing system person entering the order. Timber Hill System and the TOPS– to be covered by this Advisory, it must These systems also need to conform to CUBS Program, but within the confines satisfy the standards discussed below.24 the Commission’s record keeping of their more limited operational scope. requirements as provided in In assessing the AORTA and OMS was entered. Upon order entry, sales personnel then Commission Regulation 1.31 for systems, Division and OIRM staff found send orders to the floors by telephone and indicate computer-generated records. Pursuant to that both systems record, in electronic by keystroke that the order has been transmitted. Both systems automatically record a second time that rule, computer-generated records form, all of the customer order indicating when the order was transmitted to the can be substituted for a hard copy report information required by Commission floor. Fill information, including the report of when produced and maintained on Regulation 1.35 for office orders.21 In execution time, is transmitted back from the floor to sales personnel, who enter that information into optical disk in conformity with 1.31(d), their system. microfilm, or microfiche. A computer- regulations shall be kept for a period of five years 22 This exceeds the requirements of Commission generated record used in lieu of a hard from the date thereof and shall be readily accessible Regulation 1.35(a)(a–1)(i), which calls for the time during the first [two] years of the [five] year period. copy must be transferred to one of these a customer order was received and, for options, also All such books and records shall be open to the time the order is transmitted for execution. three permitted non-erasable media ‘‘as inspection by any representative of the Commission 26 23 AORTA stores all records of customer orders on soon as is feasible.’’ In addition, or the U.S. Department of Justice [(’’DOJ’’)]. optical disk. Records produced and retained by ‘‘appropriate safeguards’’ must be in 19 See the Division’s June 14, 1996 letter to AORTA are available for production to the Stephen Szarmack of the CME regarding the CME’s place to protect any such records Commission or the DOJ in hard copy, on diskette, temporarily stored in erasable form so as request for no-action relief for the six-month pilot or on CD–ROM. TOPS–CUBS Program at p. 13. All records of customer orders generated on OMS 20 For reasons unrelated to applicable regulatory are stored on Morgan Stanley’s Sybase Relational 25 In particular, the Commission notes that it is requirements, the implementation of both of these Database Management System (‘‘Sybase’’). Morgan critical for such systems to satisfy the account systems has been delayed. Stanley supplements storage of data on Sybase with identification requirements of Regulation 1.35. 21 In summary, the AORTA and OMS systems a hard copy/microfiche regime under which all 26 See the Commission’s Regulation 1.31 final operate as follows: sales personnel prepare a transaction-related information is reproduced from rulemaking, which allows production of computer- computerized office order ‘‘ticket,’’ instead of a Sybase on a daily basis and kept either in hard copy generated records on optical disk to be immediately paper ticket, immediately upon receipt of a or microfiche for five years. substituted for hard copy reports for purposes of customer order and enter all of the customer order 24 If an order-routing system did not satisfy any record storage. 58 FR 27458 (May 10, 1993) at information currently required under Regulation of the standards set forth herein, then the operator 27460. The Commission also notes that it may be 1.35. Both systems record, automatically, the of the system would still be able to request an necessary to amend Regulation 1.31 to account for precise time to the nearest second at which an order individual no-action position as appropriate. further technological developments. 7678 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Rules and Regulations to prohibit unauthorized access to the Commission or DOJ as required under announced that a food additive petition records and to provide for a record of Commission Regulation 1.31 and be (FAP 6A4500) had been filed by Life the identity of the persons who access made readily available to the Technologies, Inc., 8400 Helgerman Ct., such records and of any modifications Commission or DOJ in machine- Gaithersburg MD 20874. The petition made.27 In addition, assurance must be readable media or hard copy upon proposed to amend the food additive provided that a computer-generated request. Records stored on machine- regulations in § 173.25 (21 CFR 173.25) record will be made readily available in readable media must use a format and to provide for a change in the level of machine-readable media or hard copy to coding structure specified in the the reactants for sulphopropyl cellulose the Commission or DOJ upon request. Commission request. To the extent that ion-exchange resin for the recovery and Moreover, records stored on ‘‘machine records temporarily are stored in purification of proteins for food use. readable media must use a format and erasable form, appropriate security The amendment proposed that the coding structure’’ specified in such a measures must be implemented by the amount of epichlorohydrin plus request by the Commission or DOJ.28 system operator to prohibit any propylene oxide employed does not The Commission recognizes that the unauthorized access to the records and exceed 250 percent by weight of the development of electronic order-routing to maintain an accurate record of when starting quantity of cellulose. The systems continues to be in flux. The and by whom records are accessed or current regulation provides that the Commission intends to continue to modified. amount of epichlorohydrin plus monitor that process with a view toward propylene oxide employed does not Issued in Washington, DC on February 12, providing further guidance by advisory 1997. exceed 61 percent by weight of the or rule in the future. Among other starting quantity of cellulose. Jean A. Webb, things, the Commission will evaluate In the Federal Register of April 22, the manner in which electronic order- Secretary of the Commission. 1991 (56 FR 16266), FDA published a routing systems may interface with [FR Doc. 97–4004 Filed 2–19–97; 8:45 am] final rule that amended the regulation other audit trail recordkeeping practices BILLING CODE 6351±01±P under § 173.25 to provide for the use of in place at an exchange. the ion-exchange resin and the starting materials used to manufacture the IV. Conclusion DEPARTMENT OF HEALTH AND additive. The amendment to the To the extent that a customer order is HUMAN SERVICES regulation was based upon the prepared and transmitted to and information provided in FAP 6A3905. reported from an exchange trading pit Food and Drug Administration In the final rule of April 22, 1991, the by an electronic order-routing system, or agency stated that while the ion- a customer order is prepared by an 21 CFR Part 173 exchange resin has not been shown to electronic off-floor order management [Docket No. 96F±0184] cause cancer, it may contain small system, and the standards set forth amounts of the starting materials below are satisfied, then the ‘‘written’’ Secondary Direct Food Additives epichlorohydrin (ECH) and propylene record requirements of Commission Permitted in Food for Human oxide (PO) as byproducts of its Regulation 1.35(a–1)(1), (a–1)(2)(i), (a– Consumption; Sulphopropyl Cellulose production. Because the chemicals ECH 1)(4), and/or (d) will be deemed and PO have been shown to cause satisfied by the electronic record AGENCY: Food and Drug Administration, cancer in test animals, the agency generated by the system. Specifically, HHS. conducted a quantitative risk such electronic records must: ACTION: Final rule. assessment procedure to calculate the (1) Include the customer order risk from the use of ECH and PO. Based information required under Commission SUMMARY: The Food and Drug on the results of the risk assessment, the Regulation 1.35.(a–1)(1), (2)(i), (a–1)(4) Administration (FDA) is amending the agency concluded in the final rule of and/or 1.35(d); food additive regulations to provide for April 22, 1991, that there was a (2) Include any modification, a change in the level of reactants for reasonable certainty of no harm from including any change and/or sulphopropyl cellulose ion-exchange exposure to ECH and PO that might cancellation, that is made to an order resin for the recovery and purification of result from the proposed use of the and indicate the time the modification proteins for food use. This action is in additive. is recorded in the system; response to a petition filed by Life Recently, the agency was advised that (3) Record all Commission-required Technologies, Inc. the levels of the starting materials for and other order-related times, including DATES: Effective February 19, 1997; the resin, ECH and PO, that are listed order entry and exit times, and the time written objections and requests for a under § 173.25(a)(20) need to be of any modification made to a customer hearing by March 21, 1997. amended. The petitioner discovered that the information in FAP 6A3905 that was order, including any change and/or ADDRESSES: Submit written objections to used to calculate the levels of ECH and cancellation, to the highest level of the Dockets Management Branch (HFA– PO in the listings for the regulation precision achievable by the operating 305), Food and Drug Administration, contained errors that led to an system, but at least to the second. The 12420 Parklawn Dr., rm. 1–23, underestimation of the actual levels of times captured must not use a clock that Rockville, MD 20857. can be modified by the person entering ECH and PO used in the production of FOR FURTHER INFORMATION CONTACT: the order; the resin. A new petition (FAP 6A4500) (4) Be kept in hard copy and/or Andrew D. Laumbach, Center for Food was submitted to correct the regulation allowable hard copy substitution media, Safety and Applied Nutrition (HFS– by listing the actual ratios of the starting as provided under Commission 217), Food and Drug Administration, materials ECH and PO that are currently Regulation 1.31. The stored records 200 C St. SW., Washington, DC 20204, being used in the manufacture of the shall be open to inspection by the 202–418–3071. ion-exchange resin. SUPPLEMENTARY INFORMATION: In a notice The agency has reviewed the 27 Id. published in the Federal Register of information in both petitions 6A3905 28 Id. at 27465. July 3, 1996 (61 FR 34852), FDA and 6A4500, and it has determined that Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Rules and Regulations 7679 the levels of ECH and PO set out in waiver of the right to a hearing on that ENVIRONMENTAL PROTECTION current § 173.25(a)(20) are in error objection. Each numbered objection for AGENCY because those levels do not reflect the which a hearing is requested shall levels presently used by industry to include a detailed description and 40 CFR Part 180 manufacture the resin. The information analysis of the specific factual [OPP±300453; FRL±5588±1] in the present petition establishes that information intended to be presented in the manufacturing process and the resin support of the objection in the event RIN 2070±AB78 composition do not differ from the that a hearing is held. Failure to include process and resin composition such a description and analysis for any Zinc Phosphide; Pesticide Tolerances evaluated in the original petition. particular objection shall constitute a for Emergency Exemptions Because the composition of the resin is waiver of the right to a hearing on the unchanged, the exposure to the residues AGENCY: Environmental Protection of ECH and PO remains unchanged. objection. Three copies of all documents Agency (EPA). shall be submitted and shall be Therefore, the agency concludes that the ACTION: Final rule. agency’s safety evaluation conducted for identified with the docket number the original petition (FAP 6A3905) found in brackets in the heading of this SUMMARY: This regulation establishes supports the safety of the amendment to document. Any objections received in time-limited tolerances for residues of § 173.25 proposed by FAP 6A4500. response to the regulation may be seen phosphine resulting from the use of the Accordingly, the agency concludes that in the Dockets Management Branch rodenticide zinc phosphide in or on the a recalculation of a risk assessment between 9 a.m. and 4 p.m., Monday raw agricultural commodities timothy performed for the original petition (FAP through Friday. (seed, forage, hay), alfalfa (forage, hay), 6A3905) is not necessary to support this and clover (forage, hay) in connection List of Subjects in 21 CFR Part 173 action. with EPA’s granting of an emergency Thus, FDA has evaluated the data in Food additives. exemption to the state of Washington the petition and other relevant material. under section 18 of the Federal Based on this information, the agency Therefore, under the Federal Food, Insecticide, Fungicide, and Rodenticide concludes that: (1) The proposed use of Drug, and Cosmetic Act and under Act authorizing use of zinc phosphide the additive is safe; (2) the additive will authority delegated to the Commissioner on timothy or timothy-alfalfa, clover achieve its intended technical effect; of Food and Drugs, 21 CFR part 173 is stands. This regulation establishes and that therefore, (3) the regulations in amended as follows: maximum permissible levels for § 173.25 should be amended as set forth residues of phosphine in these foods below. PART 173ÐSECONDARY DIRECT pursuant to section 408(l)(6) of the In accordance with § 171.1(h) (21 CFR FOOD ADDITIVES PERMITTED IN Federal Food, Drug and Cosmetic Act, 171.1(h)), the petition and the FOOD FOR HUMAN CONSUMPTION as amended by the Food Quality documents that FDA considered and Protection Act of 1996. The tolerances relied upon in reaching its decision to 1. The authority citation for 21 CFR will expire on April 15, 1998. approve the petition are available for part 173 continues to read as follows: DATES: This regulation is effective inspection at the Center for Food Safety Authority: Secs. 201, 402, 409 of the February 20, 1997. The entries in the and Applied Nutrition by appointment Federal Food, Drug, and Cosmetic Act (21 table expire on April 15, 1998. with the information contact person U.S.C. 321, 342, 348). Objections and requests for hearings listed above. As provided in § 171.1(h), must be received by EPA on or before the agency will delete from the 2. Section 173.25 is amended by April 21, 1997. documents any materials that are not revising paragraph (a)(20) to read as available for public disclosure before follows: ADDRESSES: Written objections and making the documents available for hearing requests, identified by the docket control number, [OPP–300453], inspection. § 173.25 Ion-exchange resins. The agency has determined under 21 must be submitted to: Hearing Clerk CFR 25.24(a)(9) that this action is of a * * * * * (1900), Environmental Protection type that does not individually or (a) * * * Agency, Room M3708, 401 M St., SW., cumulatively have a significant effect on (20) Regenerated cellulose, cross- Washington, DC 20460. Fees the human environment. Therefore, linked and alkylated with accompanying objections and hearing requests shall be labeled ‘‘Tolerance neither an environmental assessment epichlorohydrin and propylene oxide, Petition Fees’’ and forwarded to: EPA nor an environmental impact statement then sulfonated whereby the amount of is required. Headquarters Accounting Operations Any person who will be adversely epichlorohydrin plus propylene oxide Branch, OPP (Tolerance Fees), P.O. Box affected by this regulation may at any employed does not exceed 250 percent 360277M, Pittsburgh, PA 15251. A copy time on or before March 21, 1997, file by weight of the starting quantity of of any objections and hearing requests with the Dockets Management Branch cellulose. filed with the Hearing Clerk identified (address above) written objections * * * * * by the docket control number, [OPP– thereto. Each objection shall be Dated: February 11, 1997. 300453], must also be submitted to: separately numbered, and each Public Response and Program Resources William K. Hubbard, numbered objection shall specify with Branch, Field Operations Division particularity the provisions of the Associate Commissioner for Policy (7506C), Office of Pesticide Programs, regulation to which objection is made Coordination. Environmental Protection Agency, 401 and the grounds for the objection. Each [FR Doc. 97–4082 Filed 2–19–97; 8:45 am] M St., SW., Washington, DC 20460. In numbered objection on which a hearing BILLING CODE 4160±01±F person, bring a copy of objections and is requested shall specifically so state. hearing requests to: Crystal Mall #2, Failure to request a hearing for any Room 1132, 1921 Jefferson Davis particular objection shall constitute a Highway, Arlington, VA. 7680 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Rules and Regulations

A copy of objections and hearing legal limit for a pesticide chemical not intend to set precedents for the requests filed with the Hearing Clerk residue in or on a food) only if EPA application of FFDCA section 408 and may also be submitted electronically by determines that the tolerance is ‘‘safe.’’ the new safety standard to other sending electronic mail (e-mail) to: opp- FFCDA section 408(b)(2)(A)(ii) defines tolerances and exemptions. Rather, [email protected]. Copies of ‘‘safe’’ to mean that ‘‘there is a these early section 18 tolerance and objections and hearing requests must be reasonable certainty that no harm will exemption decisions will be made on a submitted as an ASCII file avoiding the result from aggregate exposure to the case-by-case basis and will not bind use of special characters and any form pesticide chemical residue, including EPA as it proceeds with further of encryption. Copies of objections and all anticipated dietary exposures and all rulemaking and policy development. hearing requests will also be accepted other exposures for which there is EPA intends to act on section 18-related on disks in WordPerfect 5.1 file format reliable information.’’ This includes tolerances and exemptions that clearly or ASCII file format. All copies of exposure through drinking water, but qualify under the new law. objections and hearing requests in does not include occupational exposure. II. Emergency Exemptions for Zinc electronic form must be identified by FFDCA section 408(b)(2)(C) requires Phosphide on Timothy and Timothy- the docket control number [OPP– EPA to give special consideration to alfalfa/clover and FFDCA Tolerances 300453]. No Confidential Business exposure of infants and children to the Information (CBI) should be submitted pesticide chemical residue in EPA has authorized use under FIFRA through e-mail. Electronic copies of establishing a tolerance and to ‘‘ensure section 18 of zinc phosphide on timothy objections and hearing requests on this that there is a reasonable certainty that and timothy-alfalfa/clover for control of rule may be filed online at many Federal no harm will result to infants and the vole complex. A potential Depository Libraries. children from aggregate exposure to the population of 500 voles per acre would FOR FURTHER INFORMATION CONTACT: By pesticide chemical residue....’’ mean significant economic loss during mail: Libby Pemberton, Registration Section 18 of FIFRA authorizes EPA 1997. The currently available methods Division (7505W), Environmental to exempt any Federal or State agency of control, including the use of zinc Protection Agency, 401 M St., SW., from any provision of FIFRA, if EPA phosphide bait boxes and flood Washington, DC 20460. Office location, determines that ‘‘emergency conditions irrigation, are inadequate and telephone number, and e-mail address: exist which require such exemption.’’ impractical. Sixth Floor, Crystal Station #1, 2800 This provision was not amended by As part of its assessment of this Jefferson Davis Highway, Arlington, VA, FQPA. EPA has established regulations specific exemption, EPA assessed the 703-308-8326, e-mail: governing such emergency exemptions potential risks presented by residues of [email protected]. in 40 CFR part 166. phosphine on timothy (seed, forage, SUPPLEMENTARY INFORMATION: EPA, on FFDCA section 408(l)(6) requires EPA hay), alfalfa (forage, hay), and clover its own initiative, pursuant to section to establish a time-limited tolerance or (forage, hay). In doing so, EPA 408(e) and (l)(6) of the Federal Food, exemption from the requirement for a considered the new safety standard in Drug and Cosmetic Act (FFDCA), 21 tolerance for pesticide chemical FFDCA section 408(b)(2), and EPA U.S.C. 346a(e) and (l)(6), is establishing residues in food that will result from the decided that the necessary tolerances a tolerance for residues of the use of a pesticide under an emergency under FFDCA section 408(l)(6) would phosphine resulting from the use of the exemption granted by EPA under clearly be consistent with the new safety rodenticide zinc phosphide in or on section 18 of FIFRA. FFDCA section standard and with FIFRA section 18. timothy (seed, forage, hay), alfalfa 408(l)(6) also requires EPA to These tolerances for residues of (forage, hay), and clover (forage, hay) at promulgate regulations by August 3, phosphine will permit the marketing of 0.1 part per million (ppm). These 1997, governing the establishment of timothy and timothy-alfalfa/clover tolerances will expire and be revoked tolerances and exemptions under treated in accordance with the automatically without further action by FFDCA section 408(l)(6) and requires provisions of the FIFRA section 18- EPA on April 15, 1998. that the regulations be consistent with emergency exemptions. Consistent with FFDCA section 408(b)(2) and (c)(2) and the need to move quickly on this I. Background and Statutory Authority FIFRA section 18. emergency exemption and in order to The Food Quality Protection Act of FFDCA section 408(l)(6) allows EPA address an urgent non-routine situation 1996 (FQPA) (Pub. L. 104-170) was to establish tolerances or exemptions and to ensure that the resulting food is signed into law August 3, 1996. FQPA from the requirement for a tolerance, in safe and lawful, EPA is issuing these amends both the FFDCA, 21 U.S.C. 301 connection with EPA’s granting of tolerances without notice and et seq., and the Federal Insecticide, FIFRA section 18 emergency opportunity for public comment under Fungicide, and Rodenticide Act exemptions, without providing notice or FFDCA section 408(e) as provided in (FIFRA), 7 U.S.C. 136 et seq. The FQPA a period for public comment. Thus, FFDCA section 408(l)(6). Although these amendments went into effect consistent with the need to act tolerances will expire and be revoked immediately. Among other things, expeditiously on requests for emergency automatically without further action by FQPA amends FFDCA to bring all EPA exemptions under FIFRA, EPA can EPA on April 15, 1998, under FFDCA pesticide tolerance-setting activities establish such tolerances or exemptions section 408(l)(5), residues of phosphine under a new section 408 with a new under the authority of FFDCA section not in excess of the amount specified in safety standard and new procedures. 408(e) and (l)(6) without notice and these tolerances remaining in or on These activities are described below and comment rulemaking. timothy (seed, forage, hay), alfalfa discussed in greater detail in the final In establishing section 18-related (forage, hay), and clover (forage, hay) rule establishing the time-limited tolerances and exemptions during this after that date will not be unlawful, tolerance associated with the emergency interim period before EPA issues the provided the pesticide is applied during exemption for use of propiconazole on FFDCA section 408(l)(6) procedural the term of, and in accordance with all sorghum (61 FR 58135, November 13, regulation and before EPA makes its the conditions of, the emergency 1996, FRL–5572–9). broad policy decisions concerning the exemptions. EPA will take action to New FFDCA section 408(b)(2)(A)(i) interpretation and implementation of revoke these tolerances earlier if any allows EPA to establish a tolerance (the the new FFDCA section 408, EPA does experience with, scientific data on, or Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Rules and Regulations 7681 other relevant information on this based on the weight of the evidence of IV. Aggregate Risk Assessment and pesticide indicate that the residues are the toxicology studies and determines Determination of Safety not safe. whether an additional uncertainty factor Consistent with FFDCA section EPA has not made any decisions is warranted. Thus, an aggregate daily 408(b)(2)(D), EPA has reviewed the about whether zinc phosphide meets the exposure to a pesticide residue at or available scientific data and other requirements for registration under below the RfD (expressed as 100% or relevant information in support of this FIFRA section 3 for use on timothy and less of the RfD) is generally considered action. Zinc phosphide is already timothy-alfalfa/clover or whether acceptable by EPA. registered by EPA for outdoor permanent tolerances for zinc Lifetime feeding studies in two residential lawn, nursery, right-of-way, phosphide for timothy (seed, forage, recreational area, and other non-food hay), alfalfa (forage, hay), and clover species of laboratory animals are uses, as well as several food use (forage, hay) would be appropriate. This conducted to screen pesticides for registrations. Phosphine is a highly action by EPA does not serve as a basis cancer effects. When evidence of reactive gas that reacts with raw for registration of zinc phosphide by a increased cancer is noted in these State for special local needs under studies, the Agency conducts a weight agricultural commodities to form bound FIFRA section 24(c). Nor does this of the evidence review of all relevant phosphate residues. The Agency stated action serve as the basis for any States toxicological data including short-term in a registration standard for zinc other than Washington to use this and mutagenicity studies and structure phosphide (June 23, 1982) that a product on these crops under FIFRA activity relationship. Once a pesticide tolerance of 0.1 ppm for phosphine section 18 without following all has been classified as a potential human resulting from the use of zinc phosphide provisions of FIFRA section 18 as carcinogen, different types of risk would be allowable for raw agricultural identified in 40 CFR part 166. For assessments (e.g., linear low-dose commodities, provided the bound additional information regarding the extrapolations or margin of exposure phosphate residues can be fully emergency exemption for zinc (MOE) calculation based on the characterized. At the time the phosphide, contact the Agency’s appropriate NOEL) will be carried out registration standard was issued, the Registration Division at the address in based on the nature of the carcinogenic Agency identified 70% of the bound ‘‘ADDRESSES’’ at the beginning of this response and the Agency’s knowledge of phosphate residues in treated document. its mode of action. commodities as consisting of oxyphosphorus acids, which are In examining aggregate exposure, III. Risk Assessment and Statutory considered toxicologically insignificant Findings FFDCA section 408 requires that EPA at the levels found in treated take into account available and reliable EPA performs a number of analyses to commodities. Data have since been information concerning exposure from determine the risks from aggregate submitted which demonstrate that the the pesticide residue in the food in exposure to pesticide residues. First, remaining 30% of residues consists of question, residues in other foods for EPA determines the toxicity of oxidation products of phosphine which there are tolerances, and other pesticides based primarily on (oxyphosphorus acids and/or their toxicological studies using laboratory non-occupational exposures, such as salts), which are also considered animals. These studies address many where residues leach into groundwater toxicologically insignificant at the levels adverse health effects, including (but or surface water that is consumed as found in treated commodities. EPA not limited to) reproductive effects, drinking water. Dietary exposure to believes it has sufficient data to assess developmental toxicity, toxicity to the residues of a pesticide in a food the hazards of zinc phosphide and to nervous system, and carcinogenicity. commodity are estimated by make a determination on aggregate For many of these studies, a dose multiplying the average daily exposure, consistent with FFDCA response relationship can be consumption of the food forms of that section 408(b)(2), for the time-limited determined, by using a dose that causes commodity by the tolerance level or the tolerances for residues of phosphine adverse effects (threshold effects) and a anticipated pesticide residue level. The resulting from the use of zinc phosphide dose that causes no observed effect theoretical maximum residue in or on timothy (seed, forage, hay), levels (NOELs). contribution (TMRC) is an estimate of alfalfa (forage, hay), and clover (forage, Once a study has been evaluated and the level of residues consumed daily if hay) at 0.1 part per million (ppm). EPA’s the observed effects have been each food item contained pesticide assessment of the dietary exposures and determined to be threshold effects, EPA residues equal to the tolerance. The risks associated with establishing these generally divides the NOEL from the TMRC is a ‘‘worst case’’ estimate since tolerances follows. study with the lowest NOEL by an it is based on the assumptions that food uncertainty factor (usually 100 or more) contains pesticide residues at the A. Toxicological Profile to determine the reference dose (RfD). tolerance level and that 100% of the 1. Chronic toxicity. Based on the The RfD is a level at or below which crop is treated by pesticides that have available chronic toxicity data, EPA’s daily aggregate exposure over a lifetime established tolerances. If the TMRC Office of Pesticide Programs (OPP) has will not pose appreciable risks to exceeds the RfD or poses a lifetime established the RfD for zinc phosphide human health. An uncertainty factor cancer risk that is greater than at 0.0003 milligram(mg)/kilogram(kg)/ (sometimes called a ‘‘safety factor’’) of approximately one in a million, EPA day. The RfD was established based on 100 is commonly used since it is attempts to derive a more accurate an lowest effect level (LEL) of 3.48 mg/ assumed that people may be up to 10 exposure estimate for the pesticide by kg/day from an open literature 90-day times more sensitive to pesticides than evaluating additional types of rat feeding study. Effects observed at the the test animals and that one person or information (anticipated residue data LEL were decreased food consumption subgroup of the population (such as and/or percent of crop treated data) and body weight. An uncertainty factor infants and children) could be up to 10 which show, generally, that pesticide of 10,000 was used due to data gaps and times more sensitive to a pesticide than residues in most foods when they are the absence of a NOEL in the study. The another. In addition, EPA assesses the eaten are well below established Agency has recently reviewed a 90-day potential risks to infants and children tolerances. gavage study in rats which had a NOEL 7682 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Rules and Regulations of 0.1 mg/kg/day and a LEL of 1.0 mg/ 2. For the purpose of assessing risks of zinc phosphide in its aggregate kg/day. The LEL of 1.0 mg/kg/day was chronic dietary exposure from zinc exposure. based on increased mortality and kidney phosphide, EPA assumed tolerance C. Safety Determinations For U.S. nephrosis in male rats. level residues and 100% of crop treated Population 2. Acute toxicity. No toxicology for the proposed and existing food uses studies were identified by OPP which of zinc phosphide. These conservative No human food items are derived demonstrated the need for an acute assumptions result in over estimation of from timothy grown for seed or mixed dietary risk assessment. human dietary exposures. stands of timothy-alfalfa/clover 3. Short-term, non-dietary inhalation 3. Other potential sources of exposure produced for hay. Taking into account and dermal toxicity. Since 10% zinc of the general population to residues of the completeness and reliability of the phosphide tracking powder has been pesticides are residues in drinking water toxicity data, EPA has concluded that classified in Toxicity Category IV (LC and exposure from non-occupational dietary exposure to zinc phosphide from 50 published tolerances (including recently > 19.6 mg/liter (L)), inhalation exposure sources. There is no information on zinc published time-limited tolerances for resulting from this FIFRA section 18 phosphide (phosphine) residues in potatoes and sugar beets) will utilize action is not considered toxicologically ground water and runoff in the EPA’s 27.5% of the RfD for the U.S. significant. For short-term and Environmental Fate and Effects Division population. EPA does not anticipate intermediate dermal MOE calculations, (EFED) One-Liner Data Base. There is no chronic exposure to residues of zinc EPA’s Health Effects Division (HED), established maximum concentration phosphide (phosphine) in drinking OPP recommended use of the adjusted level (MCL) for residues of zinc phosphide (phosphine) in drinking water. acute dermal LD50 NOEL of 1,000 mg/ D. Determination of Safety for Infants water. No drinking water health kg from the acute dermal toxicity study and Children in rabbits. In the absence of other advisory levels have been established 1. There were no developmental dermal toxicity data, the acute NOEL for zinc phosphide (phosphine). There findings in rats up to a maternally toxic dose of 1,000 mg/kg was divided by a is no entry for zinc phosphide dose of 4.0 mg/kg/day zinc phosphide 100-fold uncertainty factor to (phosphine) in the ‘‘Pesticides in nor in mice at 4.0 mg/kg/day HDT. A approximate a 3-month dermal NOEL Groundwater Database’’ (EPA 734-12- comparison of the NOEL of 0.1 mg/kg/ for worker dermal exposure. The 3- 92-001, September 1992). Based on the day in the recent 90-day rat gavage month dermal NOEL is 10 mg/kg/day. available studies used in EPA’s study and the NOELs for developmental At the LEL of 2,000 mg/kg in the rabbit assessment of environmental risk, EPA toxicity in rats and mice (4.0 mg/kg/day) dermal LD50 study, the animals lost does not anticipate exposure to residues provides a 40-fold difference, which weight, but no mortalities were of zinc phosphide (phosphine) in demonstrates that there are no special observed up to 5,000 mg/kg highest dose drinking water. prenatal sensitivities for infants and tested (HDT). Actual risk from dermal 4. There are residential uses of zinc children. OPP has waived teratogenicity exposure is likely to be significantly phosphide and EPA acknowledges that in the rabbit and the two-generation less, since zinc phosphide reacts with there may be short-, intermediate-, and reproduction study in the rat data water and stomach acid to produce the long-term non-occupational, non-dietary requirements for zinc phosphide on the toxic gas phosphine from oral, but not exposure scenarios. OPP has identified basis that exposures to zinc phosphide dermal, exposure. a toxicity endpoint for an intermediate- are controlled to prevent exposures to 4. Carcinogenicity. Zinc phosphide term residential risk assessment. humans. Applications to crop areas are has not been reviewed for However, no acceptable reliable dermal such that the zinc phosphide will carcinogenicity. OPP has waived exposure data to assess these potential dissipate. Since there are no carcinogenicity data requirements for risks are available at this time. Given the reproduction studies with zinc zinc phosphide on the basis that time-limited nature of this request, the phosphide, the post-natal potential for exposures to zinc phosphide are need to make emergency exemption effects from zinc phosphide in infants controlled to prevent exposures to decisions quickly, and the significant and children cannot be fully evaluated. humans. Applications to crop areas are scientific uncertainty at this time about However, the above information, such that the zinc phosphide will how to aggregate non-occupational together with the uncertainty factor of dissipate. exposure with dietary exposure, the 10,000 utilized to calculate the RfD for Agency will make its safety zinc phosphide, is considered adequate B. Aggregate Exposure determination for these tolerances based protection for infants and children with 1. Tolerances are already established on those factors which it can reasonably respect to prenatal and postnatal for residues of the phosphine resulting integrate into a risk assessment. development against dietary exposure to from the use of zinc phosphide on 5. At this time, the Agency has not zinc phosphide residues, and therefore, several raw agricultural commodities made a determination that zinc EPA has determined that an additional (40 CFR 180.284 (a) and (b)). There is no phosphide and other substances that 10-fold safety factor is not appropriate. reasonable expectation of secondary may have a common mode of toxicity 2. EPA has concluded that the percent residues in meat, milk, poultry, or eggs would have cumulative effects. Given of the RfD that will be utilized by (40 CFR 180.6(a)(3)). Any residues of the time-limited nature of this request, chronic dietary exposure to residues of zinc phosphide ingested by livestock the need to make emergency exemption zinc phosphide ranges from 6.8% for would be metabolized to naturally decisions quickly, and the significant nursing infants (<1 year old) up to occurring phosphorous compounds. No scientific uncertainty at this time about 59.9% for children 1 to 6 years old. human food items are derived from how to define common mode of toxicity, However, this calculation assumes timothy grown for seed or mixed stands the Agency will make its safety tolerance level residues for all of timothy-alfalfa/clover produced for determination for these tolerances based commodities and is therefore an over hay. Therefore, humans will receive no on those factors which can reasonably estimate of dietary risk. Refinement of additional dietary exposure to integrate into a risk assessment. For the dietary risk assessment by using phosphine as a result of establishment purposes of these tolerances only, the anticipated residue data would reduce of this tolerance. Agency is considering only the potential dietary exposure. As mentioned before, Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Rules and Regulations 7683

EPA does not expect chronic exposure Any person may, by April 21, 1997, Crystal Mall #2, 1921 Jefferson Davis from drinking water. file written objections to any aspect of Highway, Arlington, VA. this regulation (including the automatic V. Other Considerations The official record for this revocation provision) and may also rulemaking, as well as the public The metabolism of zinc phosphide in request a hearing on those objections. plants and animals is adequately version, as described above, is kept in Objections and hearing requests must be paper form. Accordingly, in the event understood for the purposes of these filed with the Hearing Clerk, at the tolerances. The residue of concern is there are objections and hearing address given in ‘‘ADDRESSES’’ at the requests, EPA will transfer any copies of unreacted zinc phosphide, measured as beginning of this document (40 CFR objections and hearing requests received phosphine, that may be present. 178.20). A copy of the objections and/ electronically into printed, paper form Adequate methods for purposes of data or hearing requests filed with the as they are received and will place the collection and enforcement of tolerances Hearing Clerk should be submitted to paper copies in the official rulemaking for zinc phosphide residues as the OPP docket for this rulemaking. The record. phosphine gas are available. Methods objections submitted must specify the for determining zinc phosphide residues provisions of the regulation deemed The official rulemaking record is the of phosphine gas are described in PAM, objectionable and the grounds for the paper record maintained at the address Vol. II, as Method A. There are no objections (40 CFR 178.25). Each in ‘‘ADDRESSES’’ at the beginning of Codex tolerances for timothy (seed, objection must be accompanied by the this rule. forage, hay), alfalfa (forage, hay), and fee prescribed by 40 CFR 180.33(i). If a IX. Regulatory Assessment clover (forage, hay). hearing is requested, the objections Requirements VI. Conclusion must include a statement of the factual issues on which a hearing is requested, EPA concludes that there is a Under Executive Order 12866 (58 FR the requestor’s contentions on such 51735, October 4, 1993), this action is reasonable certainty of no harm to issues, and a summary of any evidence consumers, including infants and not a ‘‘significant regulatory action’’ relied upon by the requestor (40 CFR and, since this action does not impose children, from aggregate exposure to 178.27). A request for a hearing will be zinc phosphide based on the following any information collection requirements granted if the Administrator determines as defined by the Paperwork Reduction considerations. First, approval of these that the material submitted shows the tolerances results in no additional Act, 44 U.S.C. 3501 et seq., it is not following: There is genuine and subject to review by the Office of exposure to consumers. Second, EPA substantial issue of fact; there is a has used a 10,000-fold safety factor in Management and Budget. In addition, reasonable possibility that available this action does not impose any assessing the risk estimate posed by zinc evidence identified by the requestor phosphide. Third, this pesticide is being enforceable duty or contain any would, if established, resolve one or unfunded mandate as described in the used to address an emergency situation more of such issues in favor of the and EPA, therefore, must make a quick Unfunded Mandates Reform Act of 1995 requestor, taking into account (Pub. L. 104–4), or require prior decision. Fourth, because these uncontested claims or facts to the tolerances are for an emergency consultation with State officials as contrary; and resolution of the factual specified by Executive Order 12875 (58 situation, extended use under these issues in the manner sought by the tolerances are not authorized. Therefore, FR 58093, October 28, 1993), or special requestor would be adequate to justify considerations as required by Executive tolerances in connection with the FIFRA the action requested (40 CFR 178.32). section 18 emergency exemptions are Order 12898 (59 FR 7629, February 16, Information submitted in connection 1994). established for residues of phosphine with an objection or hearing request resulting from the use of zinc phosphide may be claimed confidential by marking Under 5 U.S.C. 801(a)(1)(A) of the in timothy (seed, forage, hay), alfalfa any part or all of that information as Administrative Procedure Act (APA) as (forage, hay), and clover (forage, hay) at Confidential Business Information (CBI). amended by the Small Business 0.1 part per million (ppm). These Information so marked will not be Regulatory Enforcement Fairness Act of tolerances will expire and be disclosed except in accordance with 1996 (Title II of Pub. L. 104–121, 110 automatically revoked without further procedures set forth in 40 CFR part 2. Stat. 847), EPA submitted a report action by EPA on April 15, 1998. A copy of the information that does not containing this rule and other required information to the U.S. Senate, the U.S. VII. Objections and Hearing Requests contain CBI must be submitted for inclusion in the public record. House of Representatives and the The new FFDCA section 408(g) Information not marked confidential Comptroller General of the General provides essentially the same process may be disclosed publicly by EPA Accounting Office prior to publication for persons to ‘‘object’’ to a tolerance without prior notice. of the rule in today’s Federal Register. regulation issued by EPA under new This rule is not a ‘‘major rule’’ asdefined FFDCA section 408(e) and (l)(6) as was VIII. Public Record by 5 U.S.C. 804(2) of the APA as provided in the old FFDCA section 408 A record has been established for this amended. and section 409. However, the period rulemaking under docket control for filing objections is 60 days, rather number [OPP–300453]. A public version List of Subjects in 40 CFR Part 180 than 30 days. EPA currently has of this record, which does not include Environmental protection, procedural regulations which govern the any information claimed as CBI, is Administrative practice and procedure, submission of objections and hearing available for inspection from 8:30 a.m. Agricultural commodities, Pesticides requests. These regulations will require to 4 p.m., Monday through Friday, and pests, Reporting and recordkeeping some modification to reflect the new excluding legal holidays. The public requirements. law. However, until those modifications record is located in Room 1132 of the can be made, EPA will continue to use Public Response and Program Resources Dated: February 6, 1997. those procedural regulations with Branch, Field Operations Division Peter Caulkins, appropriate adjustments to reflect the (7506C), Office of Pesticide Programs, new law. Environmental Protection Agency, Acting Director, Office of Pesticide Programs. 7684 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Rules and Regulations

Therefore, 40 CFR chapter I is ACTION: Final rule; amendment. This change to 40 CFR Part 261, amended as follows: Appendix IX will be effective February SUMMARY: The Environmental Protection 20, 1997. The Hazardous and Solid PART 180Ð[AMENDED] Agency (EPA or the Agency) is Waste Amendments of 1984 amended amending 40 CFR part 261, appendix IX 1. The authority citation for part 180 section 3010 of RCRA to allow rules to to reflect changes in ownership and continues to read as follows: become effective in less than six months Authority: 21 U.S.C. 346a and 371. name for United Technologies when the regulated community does not Automotive, Inc., Jeffersonville, Indiana. need the six-month period to come into Today’s amendment documents these 2. In §180.284, paragraph (c) is compliance. As described above, changes. amended by revising the introductory Alumnitec will continue to meet all text and adding in alphabetical order EFFECTIVE DATE: February 20, 1997. conditions of United Technologies new entries to the table to read as FOR FURTHER INFORMATION CONTACT: Automotive’s exclusion. Therefore, a follows: RCRA Hotline, toll free at (800) 424– six-month delay in the effective date is § 180.284 Zinc phosphide, tolerances for 9346 or at (703) 412–9810. For technical not necessary in this case. This provides residues. information contact Ms. Judy Kleiman, a basis for making this amendment Waste Management Branch (DRP–8J), * * * * * effective immediately upon publication (c) Time-limited tolerances are Waste, Pesticides and Toxics Division, under the Administrative Procedures established for residues of phosphine U.S. Environmental Protection Agency, Act, pursuant to 5 U.S.C. 5531(d). resulting from the use of the rodenticide 77 W. Jackson Blvd, Chicago, IL 60604, List of Subjects in 40 CFR Part 261 zinc phosphide in connection with use (312) 886–1482. of the pesticide under FIFRA section 18 SUPPLEMENTARY INFORMATION: In this Environmental protection, Hazardous emergency exemptions granted by EPA. document EPA is amending appendix waste, Recycling, Reporting and The tolerances are specified in the IX to part 261 to reflect changes in the recordkeeping requirements. following table. The tolerances expire ownership and name for United on the date specified in the table. Technologies Automotive. The petition Dated: January 21, 1997. process under §§ 260.20 and 260.22 Jo Lynn Traub, allows facilities to demonstrate that a Acting Regional Administrator, Region 5. specific waste from a particular Parts Expiration/ generating facility should not be For the reasons set out in the Commodity per mil- Revocation regulated as a hazardous waste. Based preamble, 40 CFR part 261 is to be lion Date on waste specific information provided amended as follows: Alfalfa (forage) .... 0.1 April 15, 1998 by the petitioner, EPA granted an Alfalfa (hay) ...... 0.1 April 15, 1998 exclusion to United Technologies PART 261ÐIDENTIFICATION AND Clover (forage) .... 0.1 April 15, 1998 Automotive on April 29, 1986, for F019 LISTING OF HAZARDOUS WASTE Clover (hay) ...... 0.1 April 15, 1998 wastes at its Jeffersonville, Indiana, ***** facility (51 FR 15888). On November 20, 1. The authority citation for part 261 Timothy (forage) 0.1 April 15, 1998 1995, Region 5 received notice that continues to read as follows: Timothy (hay) ...... 0.1 April 15, 1998 Timothy (seed) .... 0.1 April 15, 1998 ownership of the United Technologies Authority: 42 U.S.C. 6905, 6912(a), 6921, Automotive facility in Jeffersonville, 6922, 6924(y) and 6938. Indiana, was transferred to Profile [FR Doc. 97–3931 Filed 2–19–97; 8:45 am] Extrusion Company. On November 14, 2. 40 CFR Part 261, Appendix IX, BILLING CODE 6560±50±F 1996, Region 5 received notice that Table 1, is amended by removing the ownership of Profile Extrusion entry for ‘‘United Technologies Automotive, Inc.’’ and by adding in 40 CFR Part 261 Company was transferred to Alumnitec, Inc. alphabetical order the entry for [SW±FRL±5690±6] In this notification Alumnitec noted ‘‘Alumnitec, Inc.’’ to read as follows: that no changes had been made in the Hazardous Waste Management Appendix IX to Part 261—Wastes management of the F019 waste excluded System; Identification and Listing of Excluded Under §§ 260.20 and 260.22 by the Agency, and that all conditions Hazardous Waste; Amendment of the exclusion will continue to be met. AGENCY: Environmental Protection Today’s notice documents this change Agency. by updating Appendix IX to incorporate this change in name.

TABLE 1.ÐWASTES EXCLUDED FROM NON-SPECIFIC SOURCES

Facility Address Waste description

******* Alumnitec, Inc. (formerly Profile Extrusion Co., formerly Jeffersonville, IN ...... Dewatered wastewater treatment sludge (EPA Hazard- United Technologies Automotive, Inc.). ous Waste No. F019) generated from the chemical conversion of aluminum after April 29, 1986.

******* Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Rules and Regulations 7685

[FR Doc. 97–4121 Filed 2–19–97; 8:45 am] of the Act, which authorizes the if the injury or death allegedly BILLING CODE 6560±50±P Secretary to promulgate regulations to attributable to the vaccine occurred no modify the Table, and section 2114(e), more than 8 years before the effective which directed the Secretary to add to date of the revision. Section 2116(b) of DEPARTMENT OF HEALTH AND the Table, by rulemaking, coverage of the Act provides a 2-year period after HUMAN SERVICES additional vaccines which are the effective date of a revision to the recommended by the Centers for Disease Table for a petition to be filed based on Public Health Service Control and Prevention for routine the revision. The injury or death alleged administration to children. to be related to the vaccine must have 42 CFR Part 100 As stated in the preamble to the occurred no more than 8 years before RIN 0906±AA36 NPRM, under section 313 of the Act, the date of the revision. However, Congress mandated that the Secretary section 2111(a)(5)(B) of the Act states National Vaccine Injury Compensation review the scientific literature and other that ‘‘[i]f a plaintiff has pending a civil Program: Revisions and Additions to relevant information to determine action for damages for a vaccine-related the Vaccine Injury TableÐII whether, based upon the available injury or death, such person may not evidence, a causal relationship exists file a petition under the subsection (b) AGENCY: Health Resources and Services between certain adverse events (of the Act) for such injury or death.’’ Administration, HHS. examined and exposure to vaccines reading these provisions together, it ACTION: Final rule. against diphtheria, measles, mumps, appears that if a plaintiff in such a case poliomyelitis, and tetanus. The review dismisses the civil action and files a SUMMARY: The Secretary has made was broadened to include the vaccines Program petition within the applicable findings as to certain illnesses and against hepatitis B, and Hemophilus time limit, the petition may proceed. (If conditions that can reasonably be influenzae type b (Hib). The Secretary the civil action led to an award of determined in some circumstances to be entered into a contract with the Institute damages or a settlement, section caused or significantly aggravated by of Medicine (IOM), as recommended by 2111(a)(7) of the Act would prohibit the certain vaccines. Based on these Congress, to perform this review. The filing of the petition.) In the light of findings, the Secretary is amending, by IOM issued its findings in a report these statutory provisions, we believe final rule, the existing regulations entitled Adverse Events Associated with that the issue raised by the commenter governing the National Vaccine Injury Childhood Vaccines; Evidence Bearing is adequately addressed. Compensation Program (VICP) by on Causality. (Institute of Medicine, The final comment was from a group revising the Vaccine Injury Table K.R. Stratton, C.J. Howe, R.B. Johnson, representing vaccine-injured persons (Table) as authorized under section 313 Eds., 1994.) Upon consideration of the and their families. The group had of the National Childhood Vaccine IOM report, consultations with the comments in several areas. The Injury Act of 1986 and section 2114 (c) Advisory Committee on Childhood Secretary has carefully considered these and (e) of the Public Health Service Act Vaccines (ACCV), and the National comments and responds to them below. (the Act). Vaccine Advisory Committee (NVAC), The first assertion of the group was that The VICP provides a system of no- and review of other relevant scientific two independent IOM committees fault compensation for certain information, the Secretary published the concluded that the scientific evidence individuals who have been injured by proposed changes to the Table and the favors a causal relationship between specific childhood vaccines. The Qualifications and Aids. oral polio vaccine and tetanus vaccine Vaccine Injury Table included in the There was a 6-month comment period and Guillain-Barre Syndrome (GBS). Act establishes presumptions about after publication. The Secretary received The commenter questions why, given causation of certain illnesses and three written comments in response to this information, the Secretary is conditions, which are used by the Court the NPRM. A public hearing was proposing to remove GBS from the to adjudicate petitions. scheduled for February 29, 1996, as Table. First, it is worth noting that this EFFECTIVE DATE: This regulation is announced in the Federal Register on condition has never been included in effective March 24, 1997. February 5, 1996 (61 FR 4249), but no the Table. Moreover, the preamble to the individual or organization appeared to NPRM explained in detail the FOR FURTHER INFORMATION CONTACT: testify. Department’s reasons for proposing not Geoffrey Evans, M.D., Chief Medical One of the commenters, an to extend the Table’s coverage to this Officer, Division of Vaccine Injury association representing pediatricians, condition. (60 FR 56292–3 and 56296– Compensation, Bureau of Health extended its full support for the 7.) The commenter’s reference to the Professions, (301) 443–4198, or David proposed additions and revisions to the IOM committee’s report does not Benor, Senior Attorney, Office of the Table. provide a sufficient basis to reverse the General Counsel (301) 443–2006. A second comment was submitted by Department’s analysis, given that this SUPPLEMENTARY INFORMATION: a manufacturer of several childhood analysis fully considered the IOM vaccines. The manufacturer’s comment committee’s report, as well as other Introduction and Procedural History was that the proposed revisions to the relevant data. On November 8, 1995, the Assistant Table did not definitively state how the The commenter’s second concern Secretary for Health, with the approval proposed revisions would affect persons asked for an explanation of why of the Secretary of Health and Human who have pending civil actions against anaphylaxis is the only Table injury for Services (the Secretary), published in vaccine manufacturers or administrators hepatitis B vaccine when the IOM the Federal Register (60 FR 56289) A when the revisions to the Table become review stated that no scientific studies Notice of Proposed Rulemaking (NPRM) effective. The manufacturer suggested have been conducted to determine if to amend the Vaccine Injury Table (the that language should be added to the there is a causal relationship between Table) and to revise the Qualifications rule which affirmatively gives plaintiffs hepatitis B and arthritis, Sudden Infant and Aids to Interpretation of the Table in the tort system the ability to file a Death Syndrome (SIDS), GBS, myoptic (Qualifications and Aids). The NPRM claim, within 2 years after the effective (sic: optic) neuritis, multiple sclerosis, was issued pursuant to section 2114(c) date of the revision or before judgment, transverse myelitis or other central 7686 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Rules and Regulations demyelinating disease. Similarly, the Other Information been administered within the 8-year group questions why there is no Table The Act provides that a revision to the period or is administered in the future. injury for Hemophilus influenzae type b Table based on the addition of vaccines Varicella Vaccine (Hib) vaccine when no scientific studies under section 2114(e) of the Act shall have been done to determine whether take effect upon the effective date of a As provided in the NPRM, the Table there is a causal connection between the tax enacted to provide funds for includes any new vaccine Hib vaccine and transverse myelitis, compensation for injuries from vaccines recommended by the CDC for routine GBS, thrombocytopenia, anaphylaxis that are added to the Table. See section administration to children. Since the and SIDS. The Secretary is charged with 13632(a)(3) of the Omnibus Budget publication of the NPRM, CDC has revising the Table where such revisions Reconciliation Act of 1993, Pub. L. 103– recommended the varicella vaccine for are in keeping with scientific evidence. 66 enacted August 10, 1993. The tax for routine administration to children and, The goal is to have the Table and the hepatitis B, the Hib and the varicella consistent with the Secretary’s Qualifications and Aids reflect current vaccines has not been enacted yet; obligations under section 2114(e), the scientific knowledge on the relationship accordingly, claimants alleging an varicella vaccine has been added to the between certain adverse events and injury or death as a result of a hepatitis Table as item XI. No adverse reactions covered vaccines. Where that scientific B, Hib, or varicella vaccination will not for the varicella vaccine are being added research concerning the relationship have a cause of action against the to the table, as there is no evidence of between a disorder and a vaccine is Secretary until the tax is enacted and any serious illness or condition related incomplete or nonexistent, the Secretary become effective. See § 100.3(c)(2). to this vaccine. However, should the believes it would be inappropriate and However, the other changes to the Department become aware of any inconsistent with her statutory Qualifications and Aids to adverse events associated with the responsibility to revise the Table to Interpretation of the Table and the varicella vaccine, rulemaking will be establish a presumption that a addition of certain illnesses, disabilities initiated to revise the Table accordingly. relationship exists. or conditions to the Table, e.g., brachial Technical Amendments The group also commented upon the neuritis as a Table injury for DPT, will ability of the Vaccine Adverse Events become effective on March 24, 1997. See In the Notice of Proposed Rulemaking Reporting System (VAERS) to capture § 100.3(c)(1). Thus, there will be some published in the Federal Register on delay between the time the final rule adequately the frequency and severity of November 8, 1995, items I.C, II.C., III.C., becomes effective and the time the vaccine reactions. VAERS is a passive IV.B, and V.C. of the Table read: ‘‘[a]ny hepatitis B, Hib, and varicella vaccines reporting system for events that are sequela (including death) of an illness, provide a cause of action for petitioners. temporally related to vaccine disability, injury, or condition referred As soon as the tax becomes effective, a administration. See section 2125 of the to above which illness, disability, petitioner may file a claim for an injury Act. VAERS is not, however, a matter injury, or condition arose within the or death allegedly caused by these within the scope of this rulemaking. time period prescribed.’’ These items vaccines. The Clerk of the U.S. Court of are being revised to read: ‘‘[a]any acute Finally, the group states that no Federal Claims will determine how a complication or sequela (including vaccine should be added to the Table filing will be processed when a death) of an illness, disability, injury, or until credible scientific studies have petitioner files a claim for hepatitis B, condition referred to above which been conducted to determine which Hib, or varicella injuries before the tax illness, disability, injury, or condition chronic health problems are being becomes effective. caused by new vaccines. Under section arose within the time period 2114(e) of the Act, the Secretary is Hemophilus Influenzae Type B (Hib) prescribed.’’ The additional language required to revise the Table to include Vaccine does not represent a change in the vaccines recommended to the Secretary As noted in the preamble to the available Table injuries; rather, the by the Centers for Disease Control and NPRM (p. 56297), unconjugated Hib language is added to provide internal Prevention (CDC), for routine polysaccharide vaccine (PRP) was found consistency within the Table. In administration to children. If the to be associated with early onset addition, because the varicella vaccine scientific evidence is insufficient to invasive Hib disease. As discussed has been added to the Table as item XI, establish that an illness or condition is elsewhere in this preamble, the option former item XI designated in the NPRM associated with such a vaccine, then it to file a petition for an injury associated is now renumbered as item XII in the is appropriate to include the vaccine on with vaccines now being added to the final rule. Further, we have revised the the Table without establishing that such Table is limited to cases based on format of the Table to make it more illness or condition is presumed to be vaccine-related injuries or deaths that readable. caused by the vaccine. The addition of occurred within the 8-year period before Finally, as we indicated in the vaccines to the Table allows individuals the effective date of the addition. As preamble to the 1995 regulation, we did alleging injury by such vaccines to file almost all cases of early onset invasive not intend that hospitalization be petitions for compensation and to Hib disease which are vaccine-related viewed as an absolute requirement to prevail on the basis of the Act’s will be associated with vaccines given establish an acute encephalopathy, but ‘‘causation in fact’’ standard. See section before December 1987 (when the Hib rather as an indicator of the severity of 2111(c)(1)(C)(ii)(I) of the Act. Such conjugate vaccine took the place of the the acute event. (See the qualifications petitioners benefit from participating in PRP vaccine for routine administration), and aids to interpretation at § 100.3 the Program in that they need not show the result of this 8-year limitation means (b)(2)(i)). To allay concerns in this negligence or some other standard of that the likely cases of this vaccine- regard, we have made this explicit in liability, as would be required in a civil associated condition will not be able to the regulation itself by adding the action. Should the Department learn file for compensation under the following parenthetical phrase at the that these new vaccines have associated Program, absent a change to the statute. end of the sentence in paragraph (i): illnesses or conditions, rulemaking will Nevertheless, we are retaining this as a ‘‘whether or not a hospitalization be initiated to amend the Table. Table injury in case the vaccine has occurred’’. Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Rules and Regulations 7687

Guidelines notice about the final adoption of these L. 103–66), Congress amended this guidelines. section to permit individuals to file As noted in the NPRM, section 313 Future revisions of the ACIP claims within this 2-year period, even if requires that the Secretary establish recommendations will also be effective they had already filed a claim involving guidelines based on the results of the for 313 purposes and a notice to that a particular vaccine, but only if the 313 report ‘‘respecting the effect will accompany the publication of Table revision will ‘‘significantly administration’’ of the vaccines that the ACIP recommendations in the increase the likelihood of obtaining were reviewed, which guidelines shall MMWR. compensation.’’ See Pub. L. 103–66, sec. include: Economic Impact 13632(a)(1). For example, this ‘‘(i) The circumstances under which amendment would permit an individual any such vaccine should not be The Secretary certifies that this final whose claim alleging MMR vaccine- administered, rule will not have a significant impact related thrombocytopenic purpura had ‘‘(ii) The circumstances under which on a substantial number of small been dismissed by the Claims Court to administration of any such vaccine businesses, because it will have only file a new claim for the same vaccine- should be delayed beyond its usual time small effects, and those primarily on related injury, if the individual can of administration, and individuals. The effects will be show that the addition of ‘‘(iii) The groups, categories, or primarily on the ability of certain thrombocytopenic purpura to the Table characteristics of potential recipients of individuals to obtain compensation as a MMR vaccine-related condition has such vaccine who may be at without having a burden of proving significantly increased the likelihood of significantly higher risk of major causation in fact. Attorneys who obtaining compensation. adverse reactions to such vaccine than represent such individuals will be Possible Effect on Other Legislation the general population of potential affected only to the extent that they may recipients.’’ have a harder or easier burden of proof This rule will not have an effect on with respect to the petitions filed. We have examined the the Vaccine for Children Program, However, under section 2115(e) of the recommendations of the Advisory implemented by the CDC under section Act, in almost all cases, attorneys’ Committee on Immunization Practices 1928 of the Social Security Act, as reasonable fees and costs are reimbursed (ACIP) of the CDC, as set forth in the enacted by section 13631 of Pub. L. from the Vaccine Injury Compensation Morbidity and Mortality Weekly Reports 103–66. This section provides for the Trust Fund. Recommendations and Reports, dated establishment of a program to distribute Executive Order 12866 requires that free vaccines to all vaccine-eligible September 6, 1996 entitled, ‘‘Update: all regulations reflect consideration of Vaccine Side Effects, Adverse Reactions, children, as defined by this section. The alternatives, of costs, of benefits, of rule modifies the existing Vaccine Contraindications and Precautions.’’ incentives, of equity, and of available Members of the public may obtain Injury Table, a mechanism by which information. Regulations must meet compensation is awarded to individuals copies of the report by writing to MS certain standards, such as avoiding Publications, C.S.P.O. Box 9120, who have been found to have suffered unnecessary burden. Regulations which from vaccine-related injuries. Because Waltham, MA 02254, telephone 1–800– are ‘‘significant’’ because of cost, 843–6356, 617–893–3800 the two authorities are not related, the adverse effects on the economy, publication of this rule should not have (Massachusetts). The cost of the inconsistency with other agency actions, publication is $4.00. It may be obtained any impact on the Vaccines for Children effects on the budget, or novel legal or Program. without charge through use of the policy issues, require special analysis. World-Wide Web (WWW). The address As stated above, this final rule would Paperwork Reduction Act of 1980 is ‘‘http://www.cdc.gov/epo/mmwr/ l modify the Vaccine Injury Table based This final rule has no information mmwr rr.html.’’ We find that the ACIP on legal authority, and under that collection requirements. recommendations are consistent with authority the Court will award such fees the findings that the Department made and costs as appropriate under the law. List of Subjects in 42 CFR Part 100 as part of section 313 NPRM and this As such, the regulation would have Biologics, Health insurance, and final rule, and that they satisfy the little direct effect on the economy or on Immunization. statutory requirements for guidelines. Federal or State expenditures. For the Accordingly, we proposed that the ACIP Dated: September 23, 1996. same reasons, the Secretary has also Ciro V. Sumaya, recommendations will constitute the determined that this is not a guidelines called for by section 313. Administrator, Health Resources and Services ‘‘significant’’ rule under Executive Administration. Section 313 calls for consultation Order 12866. with the ACCV and notice and Approved: November 22, 1996. opportunity for public hearing with Effect of the New Rule Donna E. Shalala, respect to these guidelines. The ACIP The final rule will have an effect for Secretary. recommendations were submitted to the individuals who were not eligible to file Accordingly, 42 CFR part 100 is ACCV at its meeting of June 6–7, 1996. petitions based on the earlier versions of amended as set forth below. We will also offer the opportunity for the Vaccine Injury Table, but who may public comment on the use of the ACIP be eligible to file petitions based on the PART 100ÐVACCINE INJURY recommendations as the section 313 revised Table. The Act permits such COMPENSATION guidelines at a hearing which we individuals to file a petition for such 1. The authority citation for part 100 anticipate will be scheduled in compensation not later than 2 years is revised to read as follows: conjunction with a future ACCV after the effective date of the revision if meeting. A separate notice will be the injury or death occurred not more Authority: Sec. 215 of the Public Health Service Act (42 U.S.C. 216); sec. 2115 of the published in the Federal Register to than 8 years before the effective date of PHS Act, 100 Stat. 3767, as revised (42 U.S.C. invite public comment at that hearing. the revision of the Table. See 42 U.S.C. 300aa–15); § 100.3, Vaccine Injury Table, After consideration of any comments 300aa–16(b). As part of the Omnibus issued under secs. 312 and 313 of Pub. L. 99– which we receive, we will publish a Budget Reconciliation Act of 1993 (Pub. 660, 100 Stat. 3779—3782 (42 U.S.C. 300aa– 7688 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Rules and Regulations

1 note) and sec. 2114(c) and (e) of the PHS paragraph (a); by republishing the and by revising paragraph (c) to read as Act, 100 Stat. 3766 and 107 Stat. 645 (42 introductory text in paragraph (b); by follows: U.S.C. 300aa–14(c) and (e)). revising paragraph (b)(2)(i); by revising § 100.3 Vaccine injury table. 2. Section 100.3 is amended by paragraph (b)(6); by adding paragraphs revising the Vaccine Injury Table in (b)(7), (b)(8), (b)(9), (b)(10), and (b)(11); (a) * * *

VACCINE INJURY TABLE

Time period for first symptom or manifestation Vaccine Illness, disability, injury or condition covered of onset or of significant aggravation after vac- cine administration

I. Vaccines containing tetanus toxoid (e.g., A. Anaphylaxis or anaphylactic shock ...... 4 hours. DTaP, DTP, DT, Td, or TT). B. Brachial Neuritis ...... 2±28 days. C. Any acute complication or sequela (includ- Not applicable. ing death) of an illness, disability, injury, or condition referred to above which illness, disability, injury, or condition arose within the time period prescribed. II. Vaccines containing whole cell pertussis A. Anaphylaxis or anaphylactic shock ...... 4 hours. bacteria, extracted or partial cell pertussis B. Encephalopathy (or encephalitis) ...... 72 hours. bacteria, or specific pertussis antigen(s) C. Any acute complication or sequela (includ- Not applicable. (e.g., DTP, DTaP, P, DTP±Hib). ing death) of an illness, disability, injury, or condition referred to above which illness, disability, injury, or condition arose within the time period prescribed. III. Measles, mumps, and rubella vaccine or A. Anaphylaxis or anaphylactic shock ...... 4 hours. any of its components (e.g., MMR, MR, M, B. Encephalopathy (or encephalitis) ...... 5±15 days (not less than 5 days and not more R). than 15 days). C. Any acute complication or sequela (includ- Not applicable. ing death) of an illness, disability, injury, or condition referred to above which illness, disability, injury, or condition arose within the time period prescribed. IV. Vaccines containing rubella virus (e.g., A. Chronic arthritis ...... 7±42 days. MMR, MR, R). B. Any acute complication or sequela (includ- Not applicable. ing death) of an illness, disability, injury, or condition referred to above which illness, disability, injury, or condition arose within the time period prescribed. V. Vaccines containing measles virus (e.g., A. Thrombocytopenic purpura ...... 7±30 days. MMR, MR, M). B. Vaccine-Strain Measles Viral Infection in an 6 months. immunodeficient recipient. C. Any acute complication or sequela (includ- Not applicable. ing death) of an illness, disability, injury, or condition referred to above which illness, disability, injury, or condition arose within the time period prescribed. VI. Vaccines containing polio live virus (OPV) A. Paralytic Polio Ðin a non-immunodeficient recipient ...... 30 days. Ðin an immunodeficient recipient ...... 6 months. Ðin a vaccine associated community case .. Not applicable. B. Vaccine-Strain Polio Viral Infection Ðin a non-immunodeficient recipient ...... 30 days. Ðin an immunodeficient recipient ...... 6 months. Ðin a vaccine associated community case .. Not applicable. C. Any acute complication or sequela (includ- Not applicable. ing death) of an illness, disability, injury, or condition referred to above which illness, disability, injury, or condition arose within the time period prescribed. VII. Vaccines containing polio inactivated virus A. Anaphylaxis or anaphylactic shock ...... 4 hours (e.g., IPV). B. Any acute complication or sequela (includ- Not applicable. ing death of an illness, disability, injury, or condition referred to above which illness, disability, injury, or condition arose within the time period prescribed.. VIII. Hepatitis B. vaccines ...... A. Anaphylaxis or anaphylactic shock ...... 4 hours. Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Rules and Regulations 7689

VACCINE INJURY TABLEÐContinued

Time period for first symptom or manifestation Vaccine Illness, disability, injury or condition covered of onset or of significant aggravation after vac- cine administration

B. Any acute complication or sequela (includ- Not applicable. ing death) of an illness, disability, injury, or condition referred to above which illness, disability, injury, or condition arose within the time period prescribed. IX. Hemophilus influenzae type b poly- A. Early-onset Hib disease ...... 7 days. saccharide vaccines (unconjugated, PRP B. Any acute complication or sequela (includ- Not applicable. vaccines). ing death) of an illness, disability, injury, or condition referred to above which illness, disability, injury, or condition arose within the time period prescribed. X. Hemophilus influenzae type b poly- No Condition Specified ...... Not applicable. saccharide conjugate vaccines. XI. Varicella vaccine ...... No Condition Specified ...... Not applicable. XII. Any new vaccine recommended by the No Condition Specified ...... Not applicable. Centers for Disease Control and Prevention for routine administration to children, after publication by the Secretary of a notice of coverage.

(b) Qualifications and aids to vasculopathies and Sjogren’s conditions that may give rise to interpretation. The following Syndrome), degenerative joint disease, dysfunction of nerve roots (i.e., qualifications and aids to interpretation infectious agents other than rubella radiculopathies) and peripheral nerves shall apply to the Vaccine Injury Table (whether by direct invasion or as an (i.e., including multiple to paragraph (a) of this section: immune reaction) metabolic and monoeuropathies), as well as other * * * * * endocrine diseases, trauma, neoplasms, peripheral and central nervous system (2) * * * neuropathic disorders, bone and structures (e.g., cranial neuropathies (i) An acute encephalopathy is one cartilage disorders and arthritis and myelopathies). associated with ankylosing spondylitis, that is sufficiently severe so as to (8) Thrombocytopenic purpura. This psoriasis, inflammatory bowel disease, require hospitalization (whether or not term is defined by a serum platelet hospitalization occurred). Reiter’s syndrome, or blood disorders. 3 (iii) Arthralgia (joint pain) or stiffness count less than 50,000/mm . * * * * * without joint swelling shall not be Thrombocytopenic purpura does not (6) Chronic Arthritis. (i) For purposes viewed as chronic arthritis for purposes include cases of thrombocytopenia of paragraph (a) of this section, chronic of paragraph (a) of this section. associated with other causes such as arthritis may be found in a person with (7) Brachial neuritis. (i) This term is hypersplenism, autoimmune disorders no history in the 3 years prior to defined as dysfunction limited to the (including alloantibodies from previous vaccination of arthropathy (joint upper extremity nerve plexus (i.e., its transfusions) myelodysplasias, disease) on the basis of: trunks, divisions, or cords) without lymphoproliferative disorders, (A) Medical documentation, recorded involvement of other peripheral (e.g., congenital thrombocytopenia or within 30 days after the onset, of nerve roots or a single peripheral nerve) hemolytic uremic syndrome. This does objective signs of acute arthritis (joint or central (e.g., spinal cord) nervous not include cases of immune (formerly swelling) that occurred between 7 and system structures. A deep, steady, often called idiopathic) thrombocytopenic 42 days after a rubella vaccination; severe aching pain in the shoulder and purpura (ITP) that are mediated, for (B) Medical documentation (recorded upper arm usually heralds onset of the example, by viral or fungal infections, within 3 years after the onset of acute condition. The pain is followed in days toxins or drugs. Thrombocytopenic arthritis) of the persistence of objective or weeks by weakness and atrophy in purpura does not include cases of signs of intermittent or continuous upper extremity muscle groups. Sensory thrombocytopenia associated with arthritis for more than 6 months loss may accompany the motor deficits, disseminated intravascular coagulation, following vaccination; and but is generally a less notable clinical as observed with bacterial and viral (C) Medical documentation of an feature. The neuritis, or plexopathy, infections. Viral infections include, for antibody response to the rubella virus. may be present on the same side as or example, those infections secondary to (ii) For purposes of paragraph (a) of the opposite side of the injection; it is Epstein Barr virus, cytomegalovirus, this section, the following shall not be sometimes bilateral, affecting both hepatitis A and B, rhinovirus, human considered as chronic arthritis: upper extremities. immunodeficiency virus (HIV), Musculoskeletal disorders such as (ii) Weakness is required before the adenovirus, and dengue virus. An diffuse connective tissue diseases diagnosis can be made. Motor, sensory, antecedent viral infection may be (including but not limited to and reflex findings on physical demonstrated by clinical signs and rheumatoid arthritis, juvenile examination and the results of nerve symptoms and need not be confirmed rheumatoid arthritis, systemic lupus conduction and electromyographic by culture or serologic testing. Bone erythematosus, systemic sclerosis, studies must be consistent in confirming marrow examination, if performed, must mixed connective tissue disease, that dysfunction is attributable to the reveal a normal or an increased number polymyositis/determatomyositis, brachial plexus. The condition should of megakaryocytes in an otherwise fibromyalgia, necrotizing vascultitis and thereby be distinguishable from normal marrow. 7690 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Rules and Regulations

(9) Vaccine-strain measles viral FEDERAL COMMUNICATIONS collections contained in this infection. This term is defined as a COMMISSION proceeding. disease caused by the vaccine-strain that Regulatory Flexibility Certification should be determined by vaccine- 47 CFR Chapter I specific monoclonal antibody or As required by the Regulatory polymerase chain reaction tests. [CC Docket No. 96±152; FCC 97±35] Flexibility Act, the Order contains a Final Regulatory Flexibility Certification (10) Vaccine-strain polio viral Implementation of the which is set forth in the Order. A brief infection. This term is defined as a Telecommunications Act of 1996: description of the certification follows. disease caused by poliovirus that is Telemessaging, Electronic Publishing, The Commission certifies, pursuant to isolated from the affected tissue and and Alarm Monitoring Services should be determined to be the vaccine- 5 U.S.C. 605(b), that the clarification strain by oligonucleotide or polymerase AGENCY: Federal Communications and interpretation adopted in this Order will not have a significant economic chain reaction. Isolation of poliovirus Commission. impact on a substantial number of from the stoll is not sufficient to ACTION: Final rule; Clarification and ‘‘small entities,’’ as this term is defined establish a tissue specific infection or interpretation. in 5 U.S.C. 601(6). The Commission disease caused by vaccine-strain therefore is not required to prepare a poliovirus. SUMMARY: The First Report and Order (Order), released February 7, 1997, final regulatory flexibility analysis of (11) Early-onset Hib disease. This implements the non-accounting the clarification and interpretation term is defined as invasive bacterial requirements prescribed by Congress in adopted in this Order. This certification illness associated with the presence of sections 260 and 274 of the and a statement of its factual basis are Hib organism on culture of normally Telecommunications Act of 1996 (the set forth in the Order, as required by 5 sterile body fluids or tissue, or clinical Act), which respectively govern the U.S.C. 605(b). findings consistent with the diagnosis of provision of telemessaging and Paperwork Reduction Act epiglottitis. Hib pneumonia qualifies as electronic publishing services. The invasive Hib disease when radiographic Order promotes the pro-competitive and This Order contains either a new or findings consistent with the diagnosis of deregulatory objectives of the Act. modified information collection. The Commission, as part of its continuing pneumonitis are accompanied by a EFFECTIVE DATE: March 24, 1997. The blood culture positive for the Hib information collections in this Order effort to reduce paperwork burdens, organism. Otitis media, in the absence will not become effective until at least invites the general public and OMB to of the above findings, does not qualify May 1, 1997. comment on the information collections contained in this Order, as required by as invasive bacterial disease. A child is FOR FURTHER INFORMATION CONTACT: Lisa considered to have suffered this injury the Paperwork Reduction Act of 1995, Sockett, Attorney, Common Carrier Public Law No. 104–12. Written only if the vaccine was the first Hib Bureau, Policy and Program Planning comments by the public on the immunization received by the child. Division, (202) 418–1580. For additional information collections are due March (c) Effective date provisions. (1) information concerning the information 24, 1997. OMB notification of action is Except as provided in paragraph (c)(2) collections contained in this Order due April 21, 1997. Comments should of this section, the revised Table of contact Dorothy Conway at (202) 418– address: (a) Whether the new or Injuries set forth in paragraph (a) of this 0217, or via the Internet at modified collection of information is section and the Qualifications and Aids [email protected]. necessary for the proper performance of to Interpretation set forth in paragraph SUPPLEMENTARY INFORMATION: This is a the functions of the Commission, (b) of this section apply to petitions for summary of the Commission’s Order including whether the information shall compensation under the Program filed adopted February 6, 1997, and released have practical utility; (b) the accuracy of with the United States Court of Federal February 7, 1997. The full text of this the Commission’s burden estimates; (c) Claims on or after March 24, 1997. Order is available for inspection and ways to enhance the quality, utility, and Petitions for compensation filed before copying during normal business hours clarity of the information collected; and such date shall be governed by section in the FCC Reference Center, 1919 M (d) ways to minimize the burden of the 2114(a) and (b) of the Public Health St., NW., Room 239, Washington, DC. collection of information on the Service Act as in effect on January 1, The complete text also may be obtained respondents including the use of through the World Wide Web, at http:/ automated collection techniques or 1995, or by § 100.3 as in effect on March /www.fcc.gov/Bureaus/Common other forms of information technology. 10, 1995 (see 60 FR 7678, et seq., Carrier/Orders/fcc9735.wp, or may be OMB Approval Number: 3060–0738 February 8, 1995), as applicable. purchased from the Commission’s copy (2) The inclusion of hepatitis B, Hib, contractor, International Transcription Title: Implementation of the and varicella vaccines and other new Service, Inc., (202) 857–3800, 2100 M Telecommunications Act of 1996: vaccines (Items VIII, IX, X, XI and XII St., NW., Suite 140, Washington, DC Telemessaging, Electronic Publishing, of the Table) will be effective on the 20037. and Alarm Monitoring Services, CC effective date of a tax enacted to provide This Order contains new or modified Docket No. 96–152. funds for compensation paid with information collections subject to the Form No.: N/A. Paperwork Reduction Act of 1995 respect to such vaccines. A notice will Type of Review: Revision. be published in the Federal Register to (PRA). It has been submitted to the announce the effective date of such a Office of Management and Budget Respondents: Business or other for profit. tax. (OMB) for review under the PRA. OMB, the general public, and other federal Public reporting burden for the [FR Doc. 97–4088 Filed 2–19–97; 8:45 am] agencies are invited to comment on the collection of information is estimated as BILLING CODE 4160±15±M proposed or modified information follows: Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Rules and Regulations 7691

Number of respond- Annual hour burden per re- Information collection ents (approx.) sponse Total annual burden

Third-party disclosure requirement: To the extent a BOC 7 BOCs ...... 1,200 to 30,000 calls per 7 × 120 to 3,000 = 840 to refers a customer to a separated affiliate, electronic pub- BOC per year × 1¤10th hour 21,000 burden hours. lishing joint venture or affiliate during the normal course per response = 120 to of its telemarketing operations, it must refer that cus- 3,000 hours. tomer to all unaffiliated electronic publishers requesting the referral service. In particular, the BOC must provide the customer the names of all unaffiliated electronic pub- lishers requesting the referral service, as well as affiliated electronic publishers, in random order.

Total Annual Burden: 3,000 burden section 260, and a series of requirements grants the Commission authority over hours. applicable to Bell Operating Companies’ the intrastate provision of electronic Estimated Costs Per Respondent: $0. (BOCs’) provision of electronic publishing services. We noted that Needs and Uses: The attached item publishing services in section 274. section 274(b)(4) specifically refers to imposes a third-party disclosure Collectively, these requirements are ‘‘such regulations as may be prescribed requirement on BOCs in order to designed to prevent, or facilitate the by the Commission or a State implement the nondiscrimination detection of, improper cost allocation, commission’’ for the valuation of BOC requirement of section 274(c)(2)(A) of discrimination, or other anticompetitive assets. We therefore tentatively the Act. conduct. concluded that the Commission may not Synopsis of First Report and Order 4. Section 260 permits incumbent have exclusive jurisdiction over all LECs (including BOCs) to provide aspects of intrastate services provided I. Introduction telemessaging service subject to certain pursuant to section 274. 1. In February 1996, the nondiscrimination safeguards. Section 7. In addition, apart from any ‘‘Telecommunications Act of 1996’’ 274 allows a BOC to provide electronic intrastate jurisdiction conferred by became law. The intent of the 1996 Act publishing service disseminated by section 274 itself, we sought comment is ‘‘to provide for a pro-competitive, de- means of its basic telephone service on the extent to which the Commission regulatory national policy framework only through a ‘‘separated affiliate’’ or may have the authority to preempt designed to accelerate rapidly private an ‘‘electronic publishing joint venture’’ inconsistent state regulations with sector deployment of advanced that meets the separation, joint respect to matters addressed by section telecommunications and information marketing, and nondiscrimination 274. technologies and services to all requirements in that section. BOCs that 2. Comments Americans by opening all were offering electronic publishing telecommunications markets to services at the time the 1996 Act was (Parties that filed comments and replies competition.’’ enacted must comply with section 274 are listed in the Attachment below.) 2. On July 18, 1996, the Commission by February 8, 1997. As noted in part 8. AT&T contends that section 274 released a Notice of Proposed VII, infra, the requirements of this Order covers both interstate and intrastate Rulemaking. 61 FR 39385 (July 29, will become effective 30 days after provision of electronic publishing 1996), (‘‘NPRM’’) regarding publication of a summary in the Federal services, and that this section confers on implementation of sections 260, 274, Register. In addition, the collection of the Commission general jurisdiction and 275 of the Communications Act information contained in this Order is over the provision of intrastate addressing telemessaging, electronic contingent upon approval by the Office electronic publishing services. In publishing, and alarm monitoring of Management and Budget (OMB). support of its position, AT&T points to services, respectively. This Order Accordingly, we do not anticipate several sections that, in its view, refer to implements the non-accounting taking any enforcement action based on Commission authority over intrastate requirements of sections 260 and 274. these requirements until they become electronic publishing, including: (1) We address in separate proceedings the effective. The requirements under Section 274(e), which authorizes the alarm monitoring provisions of section section 274 expire on February 8, 2000. Commission to hear complaints for 275 and the enforcement issues related 5. In this proceeding, our goal is to violations of section 274; (2) section to sections 260, 274, and 275. In implement the non-accounting 274(f), which requires all separated BOC addition, the accounting safeguards requirements in sections 260 and 274 in affiliates engaged in electronic required to implement sections 271 a manner that is consistent with the publishing to file reports with the through 276 and section 260 are fundamental goal of the 1996 Act—to Commission; and (3) section addressed in a separate proceeding. open all telecommunications markets to 274(c)(2)(C), which grants the 3. The 1996 Act opens local markets robust competition. By fostering Commission the authority to determine to competing providers by imposing competition in these markets, we seek to whether the BOCs may be authorized to new interconnection, unbundling, and produce maximum benefits for have a greater financial control of a joint resale obligations on existing providers consumers of telemessaging and venture with small, local electronic of local exchange services. In enacting electronic publishing services. publishers. AT&T further maintains that sections 260 and 274, Congress the reference to valuation of BOC assets recognized that the local exchange II. Scope of the Commission’s Authority by state commissions in section market will not be fully competitive A. Electronic Publishing 274(b)(4) does not restrict the immediately. Congress therefore Commission’s general regulatory imposed requirements applicable to 1. Background authority to establish rules, but merely local exchange carriers’ (LECs’) 6. In the NPRM, we sought comment indicates that, if a state commission has provision of telemessaging services in on the extent to which section 274 its own accounting rules, those rules 7692 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Rules and Regulations should be applied to the extent they are that section 274(e) does not give the electronic publishing services, but also not inconsistent with the Commission’s Commission either explicit or implicit to such services when they are provided rules. statutory jurisdiction over intrastate on an intrastate basis. The language in 9. NAA contends that, because section electronic publishing services. section 274 expressly demonstrates that 274 is silent with respect to whether it 12. Several BOCs and state Congress intended this section to reach covers interstate or intrastate, and commissions claim that the Commission intrastate electronic publishing services. interLATA or intraLATA electronic may preempt state regulations and For example, section 274(c)(2)(C) publishing, and because electronic exercise jurisdiction over intrastate expressly limits the permissible publishing services are not regulated electronic publishing only to the extent participation of a BOC or affiliate in telecommunications services, the that such services are inseparably mixed electronic publishing joint ventures to Commission’s authority under section interstate-intrastate communications, an interest of 50 percent or less, but also 274 is limited to enforcing BOC pursuant to the standard set forth in provides that, ‘‘[i]n the case of joint compliance with the section’s Louisiana PSC. The New York and ventures with small, local electronic requirements that BOCs operate through California Commissions further argue publishers, the Commission for good a separated affiliate or electronic that the Commission currently has no cause shown may authorize [a BOC] or publishing joint venture and make basis to make the showing necessary to affiliate to have a larger equity interest.’’ various filings and reports. NAA further preempt state regulation of intrastate Notwithstanding the local nature of asserts that the Commission has electronic publishing. small, local electronic publishers, which authority to adjudicate complaints and 13. AT&T and MCI contend that the suggests that they provide intrastate requests for cease and desist orders with Commission retains the authority to services, this section confers authority respect to violations of section 274, preempt state regulatory requirements on the Commission to determine whether interstate or intrastate, but that relating to electronic publishing that are whether BOCs may have a greater states are not precluded from also inconsistent with its policies and rules. interest in electronic publishing joint enforcing this law. NAA also contends AT&T further argues that, because the ventures with such electronic that states should be allowed to interstate and intrastate aspects of publishers. continue to use their cost allocation electronic publishing cannot be 16. In addition, section 274 requires procedures for intrastate purposes. separated, the Commission’s that a BOC or BOC affiliate engage in the 10. A number of BOCs and state jurisdiction over interstate electronic provision of electronic publishing commissions, on the other hand, argue publishing services extends to such services disseminated by means of that that section 274 does not give the intrastate services as well. BOC or its affiliate’s ‘‘basic telephone Commission authority over intrastate 3. Discussion service’’ only through a ‘‘separated electronic publishing services. Some of affiliate’’ or an electronic publishing these commenters argue that section 274 14. As discussed above, in the NPRM, joint venture.’’ The statute defines covers such intrastate services, but that we tentatively concluded that the ‘‘basic telephone service’’ to mean ‘‘any this section does not divest the states of Commission may not have exclusive wireline telephone exchange service, or their authority over intrastate services jurisdiction over all aspects of intrastate wireline telephone exchange service under section 2(b) of the services provided pursuant to section facility * * *.’’ The term ‘‘telephone Communications Act. These latter 274, based on the language of section exchange service,’’ as defined in section commenters argue that section 274 274(b)(4). This section provides that 3(47), is a primarily intrastate service. contains new requirements that state BOCs and their separated affiliates or As we noted in the Accounting commissions will implement in their electronic publishing joint ventures Safeguards Order (62 FR 2918 (January traditional role of regulating intrastate must ‘‘value any assets that are 21, 1997)), these references to primarily electronic publishing services. transferred * * * and record any intrastate services clearly indicate that 11. These BOCs and state transactions by which such assets are the scope of section 274 encompasses commissions also argue that section 2(b) transferred, in accordance with such intrastate matters. of the Communications Act and section regulations as may be prescribed by the 17. We further conclude that, given 601(c) of the 1996 Act bar the Commission or a State commission to the jurisdiction granted by section 274, Commission from exercising authority prevent improper cross subsidies.’’ After the Commission also has jurisdiction under section 274 with respect to examining the language of the statute under the Communications Act to intrastate electronic publishing services and the comments filed in this establish rules applicable to intrastate absent an express grant of authority proceeding, we conclude, for the electronic publishing services. Sections from Congress. PacTel and Ameritech reasons set forth below, that the 4(i), 201(b), and 303(r) of the Act contend that such a grant of authority is Commission’s authority under section authorize the Commission to adopt any provided in section 274 in limited 274 applies to the provision of intrastate rules it deems necessary or appropriate circumstances, including receiving BOC as well as interstate electronic in order to carry out its responsibilities filings, prescribing regulations to value publishing services. We conclude, under the Act, so long as those rules are BOC asset transfers, and acting on therefore, that while states may impose not otherwise inconsistent with the Act. complaints and applications for cease- regulations with respect to BOC Nothing in section 274 bars the and-desist orders. The California provision of electronic publishing Commission from clarifying and Commission argues that, although services, those regulations must not be implementing the requirements of section 274(e) clearly supports our inconsistent with section 274 and the section 274. Moreover, courts repeatedly jurisdiction over complaints alleging Commission’s rules thereunder. We have held that the Commission’s general violations of section 274, that section emphasize, however, that the scope of rulemaking authority is ‘‘expansive’’ does not preclude states from trying to the Commission’s authority under rather than limited. In addition, it is resolve disputes prior to the filing of a section 274 extends only to matters well-established that an agency has the complaint or lawsuit in the federal covered by that section. authority to adopt rules to administer arena. BellSouth disputes even this 15. Thus, we agree with AT&T and congressionally mandated requirements. limited grant of authority over intrastate Bell Atlantic that section 274 applies 18. Our conclusion that the electronic publishing services, arguing not only to the provision of interstate Commission has jurisdiction under the Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Rules and Regulations 7693

Communications Act to establish rules thereunder, to reach intrastate electronic authority over any intrastate applicable to the full scope of section publishing services. telemessaging services. Ameritech 274, including intrastate electronic argues that section 260 grants the B. Telemessaging publishing services, is particularly Commission limited jurisdiction over appropriate where, as here, the 1. Background both interLATA and intraLATA Commission is authorized to adjudicate 21. In the NPRM, we sought comment telemessaging services, but only to the complaints alleging violations of section on the extent to which section 260 extent necessary to adjudicate 274. Section 274(e) provides a private grants the Commission statutory complaints by other telemessaging right of action to any person claiming authority over the intrastate provision of providers that an incumbent LEC has that an act or practice of a BOC, affiliate, improperly subsidized its telemessaging telemessaging services. We stated that or separated affiliate has violated any services or discriminated against other telemessaging is an information service requirement of section 274. Under telemessaging services in violation of that, when provided by a BOC or its section 274(e)(1), such person may file section 260. BellSouth argues that, affiliate on an interLATA basis, is a complaint with the Commission or although sections 271 and 272 give the subject to the requirements of section bring suit in a U.S. District Court as Commission limited reach over 272 in addition to the requirements of provided in section 207. In addition to intrastate interLATA telemessaging section 260. We also noted that, in the damages, section 274(e)(2) permits an services, such jurisdiction is not Non-Accounting Safeguards NPRM (61 aggrieved person to apply to the comprehensive and does not reach FR 39397 (July 29, 1996)), we tentatively Commission for a cease-and-desist order intrastate intraLATA telemessaging concluded that the Commission’s or to a U.S. District Court for an services. injunction or an order compelling authority under sections 271 and 272 24. Several BOCs and state compliance. We find that it serves the applies to interstate and intrastate commissions claim that the Commission public interest for us to clarify in interLATA information services may preempt state regulations and advance the section 274 requirements provided by BOCs or their affiliates. exercise jurisdiction over intrastate imposed on the BOCs that parties may Further, we pointed out that section 260 telemessaging services only subject to ask us to enforce later. Such applies not only to BOCs and their the Louisiana PSC exception for clarification of the requirements will affiliates, but also to all incumbent inseparably mixed interstate-intrastate reduce uncertainty, aid BOCs and their LECs. Finally, apart from any intrastate communications. The New York affiliates in complying with the jurisdiction conferred by section 260 Commission and BellSouth further requirements of section 274, and itself, we sought comment in the NPRM argue that the Commission currently has facilitate the prompt resolution of on the extent to which the Commission no basis to make the showing necessary compliance disputes that may be may have the authority to preempt to preempt state regulation of intrastate presented in complaint proceedings. inconsistent state regulations with telemessaging services. 19. We reject the argument that respect to matters addressed by section 25. AT&T, MCI, and Voice-Tel section 2(b) of the Communications Act 260. contend that the Commission has requires the conclusion that section 274, 2. Comments authority to preempt state regulatory and the Commission’s authority requirements relating to telemessaging thereunder, apply only to the provision 22. AT&T, ATSI, and Voice-Tel services that are inconsistent with its of interstate electronic publishing contend that section 260, and the policies and rules. Voice-Tel and AT&T services. As demonstrated, for example, Commission’s authority thereunder, further argue that, because the interstate by section 274(c)(2)(C)’s grant of apply to all telemessaging services and intrastate aspects of telemessaging authority to the Commission to alter the provided by incumbent LECs, including services cannot be separated, the maximum interest that a BOC may hold interstate and intrastate, as well as Commission’s jurisdiction over in electronic publishing joint ventures interLATA and intraLATA, interstate telemessaging services with small, local electronic publishers, telemessaging services. ATSI contends extends to such intrastate services as Congress gave the Commission that any attempt to limit the well. intrastate jurisdiction without amending applicability of section 260 would deny 26. Cincinnati Bell argues that the section 2(b). Thus, we find that, in providers of telemessaging a remedy Commission should preempt state enacting section 274 after section 2(b), against anticompetitive practices that regulations that restrict the ability of and squarely addressing therein the Congress intended to provide them. small and mid-sized incumbent LECs to issues before us by using the statutory AT&T further contends that section 260 provide telemessaging services on an language discussed above, Congress is an independent grant of authority to integrated basis. intended for section 274 to take the Commission and is not restricted in 3. Discussion precedence over any contrary any way by sections 271 and 272. implications based on section 2(b). Rather, AT&T contends that sections 27. For the reasons set forth below, we 20. We similarly are not persuaded 271 and 272 complement section 260 by conclude that section 260, and the that section 601(c) of the 1996 Act imposing additional requirements on Commission’s authority thereunder, evinces an intent by Congress to the BOCs. apply to the provision of intrastate as preserve states’ authority over intrastate 23. Some BOCs and state well as interstate telemessaging services. matters arising under section 274. commissions, on the other hand, argue Consequently, we find that section 2(b) Section 601(c) of the 1996 Act provides that section 2(b) of the Communications of the Communications Act does not bar that the Act and its amendments ‘‘shall Act and section 601(c) of the 1996 Act the Commission from establishing not be construed to modify, impair, or bar the Commission from exercising regulations to clarify and implement the supersede Federal, State, or local law authority under section 260 with respect requirements of section 260 that apply unless expressly so provided in such to any intrastate telemessaging services to intrastate services. We conclude, Act or amendments.’’ As discussed absent an express grant of authority therefore, that the rules we may above, we conclude that section 274 from Congress. Some of these establish to implement section 260 are expressly modifies federal law, and the commenters contend that nothing in binding on the states, and that the states Commission’s statutory authority section 260 gives the Commission may not impose regulations with respect 7694 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Rules and Regulations to incumbent LEC provision of 32. Our conclusion that the telemessaging services and the telemessaging services that are Commission has jurisdiction to establish separated affiliate requirement of inconsistent with section 260 and the rules applicable to intrastate section 274 ‘‘impose impermissible Commission’s rules thereunder. telemessaging services is particularly prior restraints on BOCs’ speech 28. In the Non-Accounting Safeguards appropriate where, as here, the activities,’’ in violation of the First Order (62 FR 2927 (January 21, 1997)), Commission exercises an adjudicatory Amendment. Further, it maintains that we concluded that telemessaging is an function. Section 260(b) requires that sections 260 and 274, as well as other information service that, when provided the Commission establish expedited sections of the Act, are unconstitutional by a BOC or its affiliate on an procedures for the receipt and review of ‘‘bills of attainder’’ to the extent they interLATA basis, is subject to the complaints alleging violations of the single out BOCs by name and impose requirements of section 272. We further nondiscrimination provisions in section restrictions on them alone. Recognizing concluded that section 272 applies to 260(a), or regulations adopted pursuant that we have no discretion to ignore both intrastate and interstate interLATA thereto, that result in ‘‘material financial Congress’ mandate to apply sections 260 information services. We have therefore harm’’ to a provider of telemessaging and 274, BellSouth urges us to construe already concluded that the Commission service. As in our discussion of section these sections, and others, narrowly. U has jurisdiction over certain aspects of 274 above, we find that it serves the S WEST concurs with BellSouth and intrastate telemessaging services. public interest for us to clarify in urges the Commission not to adopt any 29. Section 260 not only imposes advance the section 260 requirements structural rules beyond the express additional obligations on BOCs to that are imposed on incumbent LECs terms of the statute. prevent unlawful subsidization, and and that parties may ask us to enforce 36. NAA, in reply, dismisses discrimination in favor, of its later. Such clarifications will reduce BellSouth’s constitutional arguments. It telemessaging service, but also extends uncertainty, aid incumbent LECs in rejects as frivolous the argument that the its requirements beyond BOCs and their complying with the requirements of electronic publishing safeguards are an affiliates to all incumbent LECs. We section 260, and facilitate the prompt unconstitutional prior restraint on conclude that section 260 applies to the resolution of compliance disputes that BOCs’ speech activities. It further states provision of all telemessaging services may be presented in complaint that the separated affiliate requirement by incumbent LECs, whether interstate proceedings. (1) is a ‘‘reasonable approach to or intrastate, and for BOCs, whether 33. We reject the argument that detecting and preventing cross-subsidy section 2(b) of the Communications Act and discrimination that does not interLATA or intraLATA. This requires the conclusion that section 260, unnecessarily burden the BOCs’ right to conclusion is supported by the terms of and the Commission’s authority speak;’’ (2) does not violate the First the statute. Specifically, section 260 thereunder, apply only to the provision Amendment because it expires four prohibits an incumbent LEC from, of interstate telemessaging services. years after enactment of the Act and among other things, subsidizing its Rather, as discussed above with respect serves important government interests; telemessaging service from its to electronic publishing under section and (3) is not a bill of attainder because ‘‘telephone exchange service or its 274, we find that, in enacting section BOCs are only singled out for exchange access.’’ ‘‘Telephone exchange 260 after section 2(b), and squarely ‘‘temporary, narrowly-focused, service,’’ as defined in section 3(47), is addressing therein the issues before us, economic regulation.’’ a primarily intrastate service. As we Congress intended for section 260 to 37. Although decisions about the noted in the Accounting Safeguards take precedence over any contrary constitutionality of congressional Order, this reference to a primarily implications based on section 2(b). enactments are generally outside the intrastate service clearly indicates that 34. We similarly are not persuaded jurisdiction of administrative agencies, the scope of section 260 encompasses that section 601(c) of the 1996 Act we have an obligation under Supreme intrastate matters. evinces an intent by Congress to Court precedent to construe a statute 30. We reject BellSouth’s argument preserve states’ authority over intrastate ‘‘where fairly possible to avoid that section 260 does not apply to matters arising under section 260. substantial constitutional questions’’ intrastate intraLATA services. As Section 601(c) of the 1996 Act provides and not to ‘‘impute to Congress an discussed below, section 260, unlike that the Act and its amendments ‘‘shall intent to pass legislation that is section 272, does not make a distinction not be construed to modify, impair, or inconsistent with the Constitution as between interLATA and intraLATA supersede Federal, State, or local law construed by the [Supreme Court].’’ As services. Moreover, the terms in section unless expressly so provided in such BellSouth concedes, we have no 260 encompass both interLATA and Act or amendments.’’ As discussed discretion to ignore Congress’ mandate intraLATA services. above, we conclude that section 260 respecting these sections or any other 31. We further conclude that, given expressly modifies federal law, so that sections of the Act. Nevertheless, we the jurisdiction granted by section 260, both federal law, and the Commission’s find BellSouth’s argument to be without the Commission also has jurisdiction authority thereunder, apply to both merit. under the Communications Act to interstate and intrastate provision of 38. With respect to section 274, we establish rules applicable to intrastate telemessaging services. reject the argument that requiring BOCs telemessaging services. As noted above, to provide electronic publishing sections 4(i), 201(b), and 303(r) of the C. Constitutional Issues services through a separated affiliate Act authorize the Commission to adopt 35. BellSouth and U S WEST raise violates the First Amendment. any rules it deems necessary or constitutional concerns with respect to BellSouth bases its argument on an appropriate to carry out its our implementation of sections 260 and assertion that, as ‘‘content-related’’ responsibilities under the Act, so long 274. BellSouth contends that the services, electronic publishing services as those rules are not otherwise Commission must be ‘‘circumspect’’ in are commercial speech entitled to First inconsistent with the Act. Nothing in its construction of sections 260 and 274 Amendment protection. We conclude section 260 bars the Commission from because both the separate affiliate that, to the extent that BOC provision of clarifying and implementing the requirement of section 272 that we electronic publishing services requirements of this section. proposed applying to BOCs’ interLATA constitutes speech for First Amendment Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Rules and Regulations 7695 purposes, the section 274 separated III. BOC Provision of Electronic those services for which the carrier affiliate requirement neither prohibits Publishing—Section 274 ‘‘controls, or has a financial interest in, the content of the information the BOCs from providing such services, A. Definition of Electronic Publishing nor places any restrictions on the transmitted by the service.’’ content of the information the BOCs 1. Electronic Publishing Services Under 43. In addition, we observed in the may provide. Instead, the section 274 Section 274(h) NPRM that, although electronic publishing is specifically included in separated affiliate requirement is a a. Background content-neutral restriction on the the definition of information services, 41. Section 274(h)(1) defines BOC provision of electronic publishing manner in which BOCs may provide ‘‘electronic publishing’’ as: the is explicitly exempted from the separate electronic publishing services that are dissemination, provision, publication, affiliate and nondiscrimination disseminated by means of a BOC’s basic or sale to an unaffiliated entity or requirements of section 272 that apply telephone service. These restrictions person, of any one or more of the to BOC provision of interLATA address the important governmental following: news (including sports); information services. We noted that, in interest of protecting against improper entertainment (other than interactive contrast to section 272, which applies cost allocation and discrimination by games); business, financial, legal, only to BOC provision of interLATA the BOCs, and they do so in a narrowly- consumer, or credit materials; editorials, information services, section 274 does tailored, content-neutral manner. Thus, columns, or features; advertising; photos not distinguish between the intraLATA we conclude that the separated affiliate or images; archival or research material; and interLATA provision of electronic requirement imposed by section 274 on legal notices or public records; publishing services. We sought BOC provision of electronic publishing scientific, educational, instructional, comment, therefore, on whether section services does not violate the First technical, professional, trade, or other 274 applies to BOC provision of both Amendment. literary materials; or other like or intraLATA and interLATA electronic similar information. publishing services. 39. Similarly, we reject BellSouth and Section 274(h)(2) also lists specific U S WEST’s argument that section 274 services that are excluded from the b. Comments is an unconstitutional ‘‘bill of attainder’’ definition of electronic publishing. 44. NAA asserts that the definition of because the statute singles out BOCs by These excepted services include, among electronic publishing in section 274(h) name and imposes restrictions on them other things, common carrier provision is clear and detailed; therefore, it alone. We conclude that section 274 is of telecommunications service, contends, there is no need to anticipate not an unconstitutional bill of attainder information access service, information ambiguous services at this time. Other simply because it applies only to the gateway service, voice storage and commenters agree that the definition of BOCs. Rather, judicial precedent teaches retrieval, electronic mail, certain data electronic publishing in section that, in determining whether a statute and transaction processing services, 274(h)(1) is clear, but suggest that amounts to an unlawful bill of attainder, electronic billing or advertising of a Commission clarification of some of the we must consider whether the statute BOC’s regulated telecommunications exceptions to electronic publishing in ‘‘further[s] nonpunitive legislative services, language translation or data section 274(h)(2) would be appropriate. purposes,’’ and whether Congress format conversion, ‘‘white pages’’ For example, several parties ask us to evinced an intent to punish. As noted directory assistance, caller identification clarify that the ‘‘gateway’’ exception in services, repair and provisioning above, the section 274 restrictions on section 274(h)(2)(C) includes access to a databases, credit card and billing BOC provision of electronic publishing home page that electronically links validation for telephone company selected Internet sites or other home services are temporary requirements operations, E 911 and other emergency pages. Similarly, they contend that aimed at protecting against improper assistance databases, and video introductory information regarding an cost allocation and discrimination by programming and full motion video Internet service provider’s services and the BOCs. Moreover, we find no entertainment on demand. electronic linkage to these services evidence, and BellSouth and US WEST 42. In the NPRM, we sought comment should also be included in the have offered none, that would support on how to distinguish the services that ‘‘gateway’’ exception. In addition, they a finding that Congress enacted section are properly included in the definition contend that software browsers should 274 to punish the BOCs. In fact, in of electronic publishing in section be considered ‘‘navigational systems,’’ enacting the 1996 Act, Congress freed 274(h)(1) from those services that are which are also excluded from the BOCs from the terms of an antitrust excluded under 274(h)(2). We asked definition of electronic publishing consent decree. Thus, we conclude that parties to identify any enhanced under section 274(h)(2)(C). AT&T notes, the section 274 restrictions imposed on services that BOCs currently provide however, that, even where particular BOCs do not violate the Bill of Attainder that appear to meet the definition of an BOC services are exempt from the Clause. electronic publishing service under requirements of section 274, the section 274. To the extent it is unclear 40. With respect to section 260, separate affiliate requirements of section whether a particular service, or a BellSouth raises constitutional issues in 272 may still apply. particular group of services, is 45. Some commenters also ask us to this proceeding regarding the tentative encompassed by the statutory definition clarify that BOC transmission of conclusion in the Non-Accounting of electronic publishing, we invited information that falls within the Safeguards NPRM that, under section parties to identify the basis for the definition of electronic publishing 272, BOCs must provide interLATA ambiguity and to make under section 274(h)(1) does not make telemessaging services through a recommendations on how the service, or the BOC’s transmission of such separate affiliate. We find no merit in services, should be classified. For information subject to the requirements BellSouth’s arguments for the same example, we cited the Non-Accounting of section 274 unless the BOC has reasons discussed above and in the Non- Safeguards NPRM, which sought control of, or a financial interest in, the Accounting Safeguards Order. comment on whether we should classify content of the information transmitted. as ‘‘electronic publishing’’ services Those situations where a BOC merely 7696 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Rules and Regulations provides access to another entity’s excluded from the definition of section 274(h)(2)(B), which excepts from content, they argue, should not be electronic publishing under section the definition of electronic publishing considered electronic publishing. 274(h), they are not subject to the joint ‘‘[t]he transmission of information as a marketing restrictions of section 274(c) common carrier,’’ and section c. Discussion with respect to those activities. We find, 274(h)(2)(M), which excludes ‘‘[a]ny 46. We find, as the commenters however, that certain activities that are other network service of a type that is indicate, that electronic publishing excluded from the definition of like or similar to these network services services may include services provided electronic publishing may still be and that does not involve the generation through the Internet or through information services subject to the or alteration of the content of proprietary data networks. We also find separate affiliate, nondiscrimination, information.’’ We note further that this that, although the definition of and joint marketing requirements of ‘‘control or financial interest’’ test is electronic publishing in section 274(h) section 272. For example, although consistent with the definition of is quite detailed, clarification of the ‘‘gateway’’ services, as discussed above, electronic publishing in the ‘‘gateway’’ exception of section are generally excluded from the Modification of Final Judgment (MFJ). 274(h)(2)(C) is appropriate. Section definition of electronic publishing The MFJ, among other things, 274(h)(2)(C) provides that electronic services, in the Non-Accounting prohibited AT&T from engaging in publishing shall not include: Safeguards Order we found that certain electronic publishing over its own The transmission of information as BOC-provided Internet access services transmission facilities. It defined part of a gateway to an information may be interLATA information services ‘‘electronic publishing’’ as the service that does not involve the subject to the requirements of section ‘‘provision of any information which generation or alteration of the content of 272. AT&T or its affiliates has, or has caused information, including data 48. As to services that are neither to be, originated, authored, compiled, transmission, address translation, expressly included nor excluded from collected, or edited, or in which it has protocol conversion, billing the definition of electronic publishing, a direct or indirect financial or management, introductory information or services whose proper classification proprietary interest, and which is content, and navigational systems that may be otherwise ambiguous, it would disseminated to an unaffiliated person enable users to access electronic be speculative for us to determine at this through some electronic means.’’ See publishing services, which do not affect time whether such services are United States v. Western Electric, 552 F. the presentation of such electronic electronic publishing services. Rather, Supp. 131, 180–81 (D.D.C. 1982) publishing services to users. we find that the appropriate (emphasis added), aff’d sub nom. We conclude, consistent with the classification of an ambiguous service comments on this issue, that a BOC’s Maryland v. United States, 460 U.S. will necessarily involve a fact-specific 1001 (1983). As discussed below, provision of access to introductory analysis that is best performed on a World Wide Web home pages, other however, because we received very few case-by-case basis. Moreover, we comments on the exact meaning of types of introductory information, and decline to adopt NAA’s proposal that software (such as browsers) does not ‘‘control’’ and ‘‘financial interest,’’ we we rely solely on whether such service are seeking additional comment on this constitute the provision of electronic involves ‘‘the generation or alteration of publishing services under section issue in a Further Notice of Proposed the content of information.’’ Although Rulemaking (‘‘FNPRM’’). 274(h)(2)(C). We find that, as long as a we recognize that Congress used this BOC merely provides access to a home 50. Finally, we conclude that section language in describing several 274 applies to a BOC’s provision of both page, or an initial screen that does not exceptions to the definition of electronic include any of the enumerated content intraLATA and interLATA electronic publishing, we do not find this fact to publishing services. Nothing in the types in section 274(h)(1), it is engaged be dispositive in itself. There is no in the provision of ‘‘gateway’’ services statute or its legislative history suggests indication in section 274 or its that Congress intended to distinguish that section 274(h)(2)(C) excludes from legislative history that Congress between intraLATA and interLATA the definition of electronic publishing intended the ‘‘generation or alteration’’ electronic publishing services. We services. Further, the statute expressly language to be the controlling factor in therefore agree with those commenters excludes ‘‘introductory information determining the nature of ambiguous that argue that, if Congress had intended content’’ from the definition of services. We may, nevertheless, take it to distinguish between intraLATA and electronic publishing services. into consideration in any determination interLATA electronic publishing as it Similarly, we find that end user we make concerning the classification of did in describing information services software products, such as World Wide an ambiguous service. Web browsers, to the extent they enable 49. As to the electronic publishing subject to section 272, it would have users ‘‘to access electronic publishing services described in section 274(h)(1), done so. services’’ and do not themselves we conclude, for the reasons discussed 2. Dissemination by Means of ‘‘Basic incorporate the content types listed in below, that a BOC must control, or have Telephone Service’’ section 274(h)(1), constitute a financial interest in, the content of ‘‘navigational systems’’ that are information transmitted over its basic a. Background excepted from the definition of telephone service in order to be subject 51. Section 274 prescribes the terms electronic publishing. Further, we to the requirements of section 274. We under which a BOC may offer electronic conclude that hypertext ‘‘links,’’ and therefore agree with those parties that publishing. Section 274(a) states that no other pointers, from any gateway or argue that a BOC is not subject to BOC or BOC affiliate ‘‘may engage in the navigational system to electronic section 274 requirements merely provision of electronic publishing that publishing content are similarly because it provides the transmission is disseminated by means of such ‘‘navigational’’ systems and thus are not component of an electronic publishing [BOC’s] or any of its affiliates’ basic electronic publishing services under service offered by an unaffiliated entity telephone service, except that nothing section 274(h)(1). to end users. We find support for our in this section shall prohibit a separated 47. Moreover, we find that, to the conclusion in two of the exceptions to affiliate or electronic publishing joint extent BOCs engage in activities that are the definition of electronic publishing— venture operated in accordance with Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Rules and Regulations 7697 this section from engaging in the is not required to provide electronic since the BOCs’ near-monopoly over provision of electronic publishing.’’ In publishing services through a separated exchange access service as well as local the NPRM, we tentatively concluded affiliate or electronic publishing joint exchange service gives them an that a BOC or BOC affiliate may engage venture if it disseminates its electronic incentive to allocate costs improperly in the provision of electronic publishing publishing via the basic telephone and discriminate against unaffiliated services disseminated by means of a service of a competing wireline local electronic publishing entities. BOC or its affiliate’s basic telephone exchange carrier or commercial mobile 56. We conclude therefore that, to be service only through a ‘‘separated radio service provider. We find that engaged in the provision of electronic affiliate’’ or an ‘‘electronic publishing dissemination via the basic telephone publishing services subject to section joint venture.’’ service of competing, unaffiliated 274, the BOC must disseminate the information via its basic telephone b. Comments providers significantly reduces the ability of the BOC to allocate costs service (as defined by 274(i)(2)) and 52. No commenters disagree with our improperly and to discriminate in favor have control of, or a financial interest tentative conclusion that a BOC or BOC of its affiliate. We therefore decline to in, the content of the information being affiliate may engage in the provision of apply the requirement that a BOC provided. Similarly, we also conclude electronic publishing services provide electronic publishing services that control of, or a financial interest in, disseminated by means of a BOC or its through a separated affiliate or the content of the information alone, affiliate’s basic telephone service only electronic publishing joint venture without BOC dissemination of through a ‘‘separated affiliate’’ or an where Congress did not. We also information, is not electronic publishing ‘‘electronic publishing joint venture.’’ conclude that, with respect to electronic under section 274. The majority of BOCs point out, publishing services provided through 57. We note that, to the extent a BOC however, that electronic publishing not the Internet, ‘‘dissemination’’ means the disseminates electronic publishing disseminated via the basic telephone transmission of information via a BOC services through the facilities of a service of a BOC or its affiliate is not or its affiliate’s basic telephone service competing wireline local exchange subject to the requirements of section to the Internet, rather than the carrier, or commercial mobile service 274. For example, PacTel maintains that transmission of information to the end provider, and thus is not required to a BOC or its affiliate may engage in the user. Thus, a BOC that is providing provide such services through a provision of electronic publishing Internet access services to end users, separated affiliate or electronic service disseminated by means of and nothing more, is not engaged in the publishing joint venture, it may still be telephone exchange service or facilities provision of electronic publishing subject to the joint marketing provided by a competitive wireline pursuant to section 274. prohibition of section 274(c)(1)(B). As telephone service provider without discussed below, this section having to create a separated affiliate or 55. We reject Ameritech’s assertion, contemplates situations in which a BOC electronic publishing joint venture however, that a BOC’s dissemination of affiliate is involved in the provision of under section 274(a). electronic publishing services through services that are ‘‘related to’’ the 53. Similarly, Ameritech asserts, and its exchange access service is exempt provision of electronic publishing, but SBC agrees, that if a BOC only provides from the requirements of section 274. does not provide electronic publishing exchange access, and not basic Pursuant to section 274(a), BOCs that services disseminated by means of a telephone service, it is not subject to provide electronic publishing services BOC or its affiliate’s basic telephone section 274 requirements. For example, disseminated via their own ‘‘basic service. Ameritech contends that, if a BOC telephone service’’ must do so through originates or terminates a toll call a separated affiliate or electronic B. ‘‘Separated Affiliate’’ and ‘‘Electronic disseminating electronic publishing publishing joint venture. Section Publishing Joint Venture’’ Requirements information, the BOC is providing 274(i)(2) defines ‘‘basic telephone of Section 274 ‘‘exchange access,’’ not exchange service’’ as ‘‘any wireline telephone 1. The ‘‘Operated Independently’’ service. In response, AT&T asserts that exchange service, or wireline telephone Requirement of Section 274(b) ‘‘basic telephone service’’ under section exchange service facility, provided by a a. Background 274 extends to any electronic publishing [BOC] in a telephone exchange area.’’ disseminated by means of either the We find that, when a BOC provides 58. Section 274(b) states that a BOC or its affiliate’s local exchange exchange access service, it uses its separated affiliate or electronic service or local exchange facilities. This telephone exchange service facilities. publishing joint venture established to definition, AT&T argues, would include Indeed, ‘‘exchange access’’ is defined in provide electronic publishing services the exchange access service of a BOC or section 153(16) as ‘‘the offering of access pursuant to section 274(a) shall be its affiliate. to telephone exchange services or ‘‘operated independently’’ from the facilities for the purpose of the BOC. Subsections 274(b) (1)–(9) then list c. Discussion origination or termination of telephone nine structural separation and 54. We affirm our tentative conclusion toll services.’’ Since the definition of transactional requirements that apply to that, pursuant to the plain language of ‘‘basic telephone service’’ in section the separated affiliate or electronic section 274(a), a BOC or BOC affiliate 274(i)(2) encompasses both the publishing joint venture. In the NPRM may engage in the provision of telephone exchange service and the we addressed only the structural electronic publishing services exchange service facility, the use of separation requirements of section disseminated by means of a BOC or its exchange access service, which in turn 274(b) and only those requirements are affiliate’s basic telephone service only uses the BOC’s telephone exchange addressed herein. Subsections 274(b) through a ‘‘separated affiliate’’ or an service facilities, for the dissemination (1), (3), (4), (8), and (9) are transactional ‘‘electronic publishing joint venture.’’ of electronic publishing falls within this requirements that are addressed in the Moreover, in reading section 274(a) definition and must be provided in Accounting Safeguards Order. We together with the definition of ‘‘basic accordance with the requirements of observed in the NPRM that the telephone service’’ in section 274(i)(2), section 274. This conclusion is structural separation requirements of we conclude that a BOC or BOC affiliate appropriate as a matter of policy, too, section 274(b) do not refer, in all 7698 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Rules and Regulations instances, to both separated affiliates position is consistent with the 274(b), i.e., subsections 274(b) (1), (3), and electronic publishing joint ventures. Commission’s interpretation of the same (4), (8), and (9), are discussed in the We, therefore, sought comment on language in Computer II and the cellular Accounting Safeguards Order. whether Congress intended the phrase separation rules, where ‘‘operate 63. We reject the arguments made by ‘‘operated independently’’ to have a independently’’ is not given an certain commenters that the phrase different meaning for separated affiliates independent meaning. Finally, several ‘‘operated independently’’ is a separate and for electronic publishing joint commenters assert that Congress did not ventures. We also sought comment in grant the Commission authority to adopt substantive restriction that requires us the NPRM on whether the Commission additional regulations in section 274(b). to apply subsections 274(b) (1)–(9) to should adopt additional regulatory 61. Other commenters contend that both separated affiliates and electronic requirements to ensure compliance with the inclusion of the phrase ‘‘operated publishing joint ventures even where the ‘‘operated independently’’ independently,’’ in addition to the the statute refers only to a separated requirement of section 274(b). requirements in subsection 274(b) (1)– affiliate. We see no reason for Congress (9), supports the conclusion that we are to have expressly referred in section b. Comments authorized to and should adopt 274(b)(5) and section 274(b)(7) to 59. Several commenters argue that additional regulations to ensure separated affiliates if the restrictions in Congress intended the phrase ‘‘operated compliance with section 274(b). They those subsections were intended to independently’’ to have the same maintain that the ‘‘operated apply to both separated affiliates and meaning for separated affiliates and independently’’ language is a separate electronic publishing joint ventures. electronic joint publishing ventures substantive requirement from those when subsections 274(b) (1)–(9) refer to restrictions in subsections 274(b) (1)– 64. We also reject the similar both separated affiliates and electronic (9). These commenters urge us to read argument that the phrase ‘‘operated publishing joint ventures. They note, the ‘‘operated independently’’ language independently’’ is a separate substantive however, that some of the requirements as authorizing us to adopt additional restriction authorizing us to adopt of section 274(b) do not apply to rules such as those adopted in additional restrictions beyond those in electronic publishing joint ventures. Computer II. Specifically, they urge us subsections 274(b) (1)–(9). There is no Where the statutory language does not to adopt regulations precluding the evidence in the statute or its legislative refer to both separated affiliates and separated affiliated or joint venture history that Congress intended the electronic publishing joint ventures, from: (1) Leasing or sharing physical restrictions in section 274(b) merely to these commenters maintain that the space collocated with regulated be a list of minimum requirements that phrase ‘‘operated independently’’ transmission facilities used to provide need to be supplemented by additional should not be read to render all the basic service; (2) sharing computer rules to be imposed on separated requirements in subsections (b)(1)–(9) facilities with the local exchange carrier; affiliates or electronic publishing joint applicable to both separated affiliates (3) developing software jointly with the ventures. We find, therefore, that the and electronic publishing joint ventures; regulated entity; and (4) marketing any ‘‘operated independently’’ requirement they contend, for example, that sections other equipment or services to any in section 274(b) is satisfied if a BOC 274(b)(5) and 274(b)(7) are inapplicable affiliate. Time Warner further proposes and its separated affiliate or electronic to electronic publishing joint ventures that we adopt regulations precluding the publishing joint venture comply with since those subsections refer only to separated affiliate or electronic the applicable restrictions in separated affiliates. Other commenters publishing joint venture from subsections 274(b) (1)–(9), as noted argue that the language ‘‘operated constructing, owning or operating its independently’’ compels us to apply all own transmission facilities, thereby above. While we decline to adopt of the section 274(b) requirements to requiring the separated affiliate or joint additional restrictions beyond those in separated affiliates and electronic venture to purchase its capacity from subsections 274(b) (1)–(9), we reject the publishing joint ventures. the regulated carrier under tariff and argument that Congress did not grant 60. As to the issue of whether we ensuring ‘‘that local exchange monopoly the Commission the authority to do so. should adopt regulatory requirements to power is not leveraged into the 65. This interpretation of the ensure compliance with the ‘‘operated provision of electronic publishing.’’ ‘‘operated independently’’ requirement independently’’ requirement of section c. Discussion in section 274(b) is not inconsistent 274(b), BOCs and several trade with our determination in the Non- associations argue that the structural 62. We conclude that the ‘‘operated Accounting Safeguards Order that the and transactional safeguards of section independently’’ requirement of section section 272(b)(1) ‘‘operate 274 are clear, self-executing and 274(b) obligates a separated affiliate to comprehensive. They assert that comply with all the requirements of independently’’ provision imposes Congress could have expressly provided subsections 274(b) (1)–(9). We further requirements beyond those contained in for additional requirements had it conclude that an electronic publishing subsections 272(b)(2)–(5). The ‘‘operated deemed them necessary to ensure the joint venture, to comply with the independently’’ requirement in section operational independence of BOCs from ‘‘operated independently’’ requirement 274(b) is followed by nine substantive their separated affiliates and electronic of section 274(b), need only satisfy the restrictions that we read as the criteria publishing joint ventures. They further requirements of subsections 274(b) (1)– to be satisfied to ensure operational assert that the phrase ‘‘operated (4), (6), and (8)–(9), since subsections independence between a BOC and its independently’’ is not a separate 274(b)(5) and 274(b)(7) specifically refer electronic publishing entity created substantive restriction, as their to separated affiliates and not to pursuant to section 274(a). In contrast, competitors maintain, but that electronic publishing joint ventures. We the ‘‘operate independently’’ provision subsections 274(b) (1)–(9) reflect discuss more fully below the structural in section 272 appears in subsection Congress’ determination of the separation requirements of section 272(b)(1), which is one of five separate requirements necessary to achieve 274(b), i.e., subsections 274(b) (2), and substantive requirements in section operational independence. Several of (5)–(7). As noted above, the 272(b). these commenters observe that this transactional requirements of section Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Rules and Regulations 7699

2. Section 274(b)(2) publishing joint venture a contract, or to provide expressly that the creditor a. Background any other instrument, that would incur has no recourse to the assets of a BOC. debt in a manner that grants the creditor BOCs, nevertheless, may include such a 66. Section 274(b)(2) provides that a recourse, upon default, against the provision in their contracts, if they so separated affiliate or electronic assets of a BOC. Consistent with this choose. publishing joint venture and the BOC conclusion, we further conclude that a with which it is affiliated shall ‘‘not BOC’s parent is precluded from 3. Section 274(b)(5) and Shared Services incur debt in a manner that would cosigning a contract or other instrument a. Background permit a creditor of the separated for a BOC’s separated affiliate or affiliate or joint venture upon default to 71. Section 274(b)(5) provides that a electronic publishing joint venture, if separated affiliate and a BOC shall ‘‘(A) have recourse to the assets of the the effect is to provide its creditor with [BOC].’’ We sought comment in the have no officers, directors, and recourse, upon default, to a BOC’s employees in common after the effective NPRM on the types of activities a BOC, assets. We reject, however, the a separated affiliate, or an electronic date of this section; and (B) own no arguments urging us to extend the property in common.’’ We tentatively publishing joint venture are precluded restrictions in section 274(b)(2) to from engaging in under section concluded in the NPRM that, since this preclude a BOC’s section 274 separated subsection does not specifically refer to 274(b)(2). We tentatively concluded that affiliate or electronic publishing joint a BOC may not cosign a contract, or any electronic publishing joint ventures, venture from incurring debt in a manner BOCs are not precluded from sharing other instrument, with a separated that would permit a creditor, upon affiliate or an electronic publishing joint officers, directors, and employees with default, to have recourse to the assets of an electronic publishing joint venture. venture by which it would incur debt in a BOC’s parent holding company, We also tentatively concluded in the violation of section 274(b)(2). We also provided that this recourse does not NPRM that section 274(b)(5) does not sought comment on: whether this effectively result in recourse to the preclude a BOC from owning property subsection affects a separated affiliate assets of the BOC. The text of the statute in common with an electronic differently than an electronic publishing does not support the proposed publishing joint venture. joint venture because of their different restriction. Moreover, it would leave 72. We also sought comment on the corporate relationships to the BOC, and section 274 separated affiliates and extent of the separation between a BOC whether we should establish specific electronic publishing joint ventures at a and a separated affiliate required by requirements regarding the types of disadvantage as compared with other section 274(b)(5)(A). We noted, for activities contemplated by section electronic publishing companies that example, ‘‘that section 274(c)(2) permits 274(b)(2). are permitted to rely upon the credit of joint marketing activities between a b. Comments their parent corporations. 69. We decline to apply this section BOC and either a separated affiliate or 67. A number of commenters differently as to separated affiliates and electronic publishing joint venture generally agree with our tentative electronic publishing joint ventures. No under certain conditions.’’ With respect conclusion that section 274(b)(2) arguments were advanced supporting to a BOC and a separated affiliate, we prohibits a BOC from cosigning with a the need for different treatment with sought comment on ‘‘whether, to the separated affiliate or an electronic respect to these alternate vehicles for extent that they are engaged in publishing joint venture a contract, or providing electronic publishing permissible joint marketing activities, any other instrument, that allows a services, and we see no evidence at this the separated affiliate may share creditor, upon default, to have recourse time indicating that this subsection marketing personnel with the BOC.’’ We to the assets of the BOC. AT&T and MCI affects these entities differently. In this further sought comment on ‘‘how BOCs maintain that we should also interpret regard we agree with SBC that ‘‘no may engage in joint marketing activities section 274(b)(2) to prohibit a BOC’s useful purpose would be served by with a separated affiliate pursuant to parent holding company from co- ** * speculating as to whether the section 274(c)(2)(A) if they cannot share signing a debt of a separated affiliate or subsection might affect a separated marketing personnel.’’ electronic publishing joint venture. The affiliate differently than a joint 73. We invited comment on the types BOCs, in reply, assert that interpreting venture,’’ and that we should proceed of property encompassed by the phrase section 274(b)(2) to preclude a BOC’s on a case-by-case basis, rather than ‘‘property in common.’’ We tentatively parent company from cosigning a adopt a ‘‘one size fits all’’ rule. concluded that section 274(b)(5)(B) contract or any other instrument with a 70. We reject AT&T’s proposal that we prohibits a BOC and its separated BOC’s separated affiliate or electronic require contracts or other instruments affiliate from jointly owning goods, publishing joint venture is neither through which a separated affiliate or facilities, and physical space. We also supported by the statutory language nor electronic publishing joint venture tentatively concluded that it prohibits public policy. They further state that obtains credit to provide expressly that the joint ownership of there is no need for additional the creditor has no recourse either to the telecommunications transmission and regulations to effectuate section assets of a BOC or to the assets of the switching facilities, one of the 274(b)(2). parent holding company of a BOC. As separation requirements we adopted for stated above, we do not read section independent LECs in the Competitive c. Discussion 274(b)(2) to preclude a creditor of a Carrier Fifth Report and Order (49 FR 68. As stated in the NPRM, we find separated affiliate or electronic 34824 (September 4, 1984)). Finally, we that the intent of section 274(b)(2) is to publishing joint venture from having sought comment on whether the section protect BOC local exchange and recourse, upon default, to the assets of 274(b)(5) prohibition on joint ownership exchange access service subscribers a BOC parent holding company. of property between a BOC and its from bearing the cost of default by BOC Further, given the clarity of section separated affiliate also precludes a BOC affiliates. We adopt our tentative 274(b)(2), we see no need to adopt a rule and a separated affiliate from sharing conclusion that section 274(b)(2) at this time requiring contracts through the use of property owned by one entity prohibits a BOC from cosigning with a which a separated affiliate or electronic or the other and from jointly leasing any separated affiliate or an electronic publishing joint venture obtains credit property. 7700 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Rules and Regulations b. Comments telemarketing services pursuant to compensation of BOC officers, directors, 74. Applicability of Section 274(b)(5) nondiscriminatory, publicly disclosed or other employees on the performance to Electronic Publishing Joint Ventures. contracts. of the affiliate, or vice versa.’’ The BOCs 78. ‘‘Property in Common.’’ No The BOCs and NAA agree with our generally reply that there is no statutory commenters oppose and some tentative conclusion that section basis for such a requirement, which commenters agree with our tentative 274(b)(5) does not preclude a BOC from would effectively preclude BOCs from conclusion that section 274(b)(5)(B) having officers, directors, or employees offering stock options, other forms of prohibits a BOC and its separated in common with an electronic deferred compensation, and bonuses affiliate from jointly owning goods, publishing joint venture. These parties which are commonly used in industry facilities, and physical space. They also agree with our tentative conclusion and frequently are based, in part, upon further agree that this section prohibits the performance of entities within a that this section does not bar a BOC the joint ownership of corporate family. from owning property in common with telecommunications transmission and its electronic publishing joint venture. switching facilities. c. Discussion Other commenters disagree with our 79. Shared Use or Joint Leasing of 82. Applicability of Section 274(b)(5) tentative conclusions. MCI and Time Property. The BOCs argue that section to Electronic Publishing Joint Ventures. Warner maintain that section 274(b)(5) 274(b)(5)(B) does not prohibit a BOC We adopt our tentative conclusion that should apply to both separated affiliates and its separated affiliate from sharing section 274(b)(5)(A) does not preclude a and electronic publishing joint ventures the use of property owned by one of the BOC from having officers, directors, and and that interpreting this section to entities, or from jointly leasing property. employees in common with an apply only to BOCs and their separated They maintain that section 274(b)(5)(B) electronic publishing joint venture. We affiliates would undermine what they pertains only to ownership of property. also adopt our tentative conclusion that consider to be the separate substantive Several BOCs note that potential section 274(b)(5)(B) does not preclude a ‘‘operate independently’’ requirement of concerns arising from shared use of BOC from owning property in common section 274(b). AT&T recognizes that property are addressed by the with an electronic publishing joint section 274(b)(5), on its face, does not requirements of section 274(b)(3). AT&T venture. Congress expressly limited the prohibit a BOC from sharing common and Time Warner, on the other hand, scope of these restrictions to a BOC’s personnel or owning property in urge us to interpret section 274(b)(5)(B) separated affiliate. Moreover, we find no common with an electronic publishing to prohibit a BOC and its separated basis in this record for extending these joint venture, but argues that we have affiliate both from sharing property restrictions to a BOC’s electronic authority to proscribe such sharing owned by one of the entities and from publishing joint venture. This arrangements or ownership under jointly leasing property. MCI does not determination is consistent with our section 274(b)(5), if necessary to ensure address whether this section permits finding above that the phrase ‘‘operated compliance with the ‘‘operated joint leasing of property. It states, independently’’ in section 274(b) is not independently’’ language. however, that joint use of property a separate substantive restriction and, 75. Extent of the Separation Required would invite the improper allocation of therefore, does not provide a basis for Between a BOC and a Separated costs against which the separated making section 274(b)(5) applicable to Affiliate. Several BOCs state that section affiliate requirement is intended to electronic publishing joint ventures. 274(b)(5)(A) should not be interpreted to protect. MCI and Time Warner 83. Extent of the Separation Required act as a limitation upon the permissible specifically contend that a separated Between a BOC and a Separated joint marketing activities in section affiliate should not be permitted to Affiliate. We find that section 274(c)(2). They contend that it is not collocate its equipment with BOC local 274(b)(5)’s provision barring a BOC and necessary for a BOC and its separated exchange and exchange access its separated affiliate from having affiliate to have employees in common equipment or to share computer ‘‘officers, directors, and employees in to engage in the joint marketing facilities. common’’ does not limit the permissible activities permitted by section 274(c)(2). 80. Sharing of Services. NYNEX and joint activities set forth in section According to these commenters, Ameritech argue that neither the Act nor 274(c)(2). As certain commenters note, it employees of one entity may perform its legislative history can be read to is not necessary for a BOC and its inbound telemarketing or referral prohibit a BOC and its separated separated affiliate to have employees in services permitted under section affiliate from utilizing the common to engage in the joint activities 274(c)(2)(A) and (B) for the other entity. administrative and corporate permitted under section 274(c)(2). For 76. SBC argues that a BOC and a governance functions provided by their this reason, we reject those comments separated affiliate, to the extent they parent holding company. AT&T argues urging us to read section 274(c)(2) as engage in permissible joint marketing that we should prohibit, pursuant to allowing a BOC and its separated activities, should be allowed to employ section 274(b)(5), a BOC from affiliate to have personnel in common individuals in common. Specifically, it establishing a second affiliate to perform for the purpose of engaging in states that ‘‘where there is a conflict services or own property for both the permissible joint activities. Such an between the authority conferred by BOC and its separated affiliate. MCI, in exception to the prohibition in section [s]ection 274(c)(2) and the general reply to the BOCs’ comments, states that 274(b)(5) is not necessary to give effect operational independence requirements we should preclude the sharing of in- to sections 274(b)(5) and 274(c)(2) and of Section 274(b), the former, more house functions, either by having one is not supported by the statutory specific provisions should control.’’ entity perform such functions for the language. While our interpretation of 77. AT&T states that section 274(b)(5) other or by having another affiliate, or the interplay between section 274(b)(5) ‘‘prohibit[s] BOC personnel from the parent, perform them for both a BOC and section 274(c)(2) may result in some participating in the operation, planning, and its separated affiliate. reduced efficiency in engaging in the marketing or other activities of the 81. Other Activities. AT&T argues that joint activities permitted under section separated affiliate, and vice versa we ‘‘should prohibit the BOCs from 274(c)(2), we are not convinced that it ** *.’’ MCI states that a BOC should using any compensation system that will be substantial enough to warrant only be allowed to provide directly or indirectly bases the our reading into section 274(b)(5) an Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Rules and Regulations 7701 exception where none exists in the an officer, director, or employee of both corporate officers and directors statutory language. a BOC and its section 272 or 274 * * * .’’ 84. ‘‘Property in Common.’’ We adopt affiliate, respectively. Thus, an our tentative conclusion that section individual may not be on the payroll of 4. Section 274(b)(6) 274(b)(5) prohibits a BOC and its both entities. Based on the record before a. Background separated affiliate from jointly owning us, we decline to read section goods, facilities, and physical space, 274(b)(5)(A) to prohibit a BOC and its 88. Section 274(b)(6) states that a including telecommunications separated affiliate from utilizing the separated affiliate or electronic transmission and switching facilities. administrative and corporate publishing joint venture and the BOC The prohibition against joint ownership governance functions provided by their with which it is affiliated shall ‘‘not use of goods, facilities and physical space is parent holding company or another BOC for the marketing of any product or clear on the face of the statute. affiliate. Section 274 does not address service of the separated affiliate or joint Moreover, none of the commenters whether the parent company of a BOC venture, the name, trademarks, or disagree with this tentative conclusion. and its separated affiliate or another service marks of an existing [BOC] 85. Shared Use or Joint Leasing of except for names, trademarks, or service Property. We agree with the BOCs that BOC affiliate is permitted to perform marks that are owned by the entity that the statutory prohibition in section functions for both a BOC and its owns or controls the [BOC].’’ We 274(b)(5) does not preclude a BOC and separated affiliate. There is no basis in its separated affiliate from either sharing the record for concluding that tentatively concluded that this the use of property owned by either a administrative and corporate provision is sufficiently precise as to BOC or its separated affiliate or jointly governance functions provided to a BOC make unnecessary the adoption of leasing property. For example, we find and its separated affiliate by a parent implementing regulations. company or another BOC affiliate would that section 274(b)(5) permits a b. Comments separated affiliate to collocate its result in the BOC and its separated equipment in end offices or on other affiliate violating section 274(b)(5)(A)’s 89. Time Warner asks us to clarify property owned or controlled by the prohibition on having ‘‘officers, that the prohibition in section 274(b)(6) BOC, as long as such collocation directors, and employees in common.’’ prevents a BOC from sharing a name, agreements satisfy section 274(b)(3). We Further, a parent company that performs trademark, or service mark with the also find that this section permits a BOC services for both a BOC and its section Regional Bell Holding Company and its separated affiliate to contract 274 separated affiliate must fully (‘‘RBOC’’). It argues that the exception with each other for the use of joint document and properly apportion the in section 274(b)(6) permitting the transmission and switching equipment, costs incurred in furnishing such separated affiliate or electronic again subject to the requirements of services. publishing joint venture to use the section 274(b)(3). Those commenters 87. Other Activities. We reject AT&T’s name, trademark, or service mark of the arguing for an expanded interpretation request that we interpret section RBOC would ‘‘vitiate the general of ‘‘own’’ to include a prohibition 274(b)(5)(A) to prohibit compensation against shared use of property and joint prohibition against cross-labeling if the schemes that base the level of BOC affiliates or joint ventures were leasing of property offer no statutory remuneration of BOC officers, directors, support for their position. We are permitted to use names, trademarks, or and employees on the performance of service marks that are shared by an unwilling to assume that Congress the section 274 separated affiliate, or intended the prohibition against operating company and the [RBOC].’’ vice versa. We find that tying the ownership of property in section compensation of an employee of a 90. The BOCs and YPPA, in reply, 274(b)(5) to include leaseholds and the section 274 separated affiliate to the state that Time Warner’s suggestion is shared use of property owned by either performance, for example, of the BOC’s unsupported by the statutory language a BOC or its separated affiliate. Further, and would eliminate the express we find that allowing shared use of parent holding company and all of its enterprises as a whole, including the statutory exception Congress created in property and joint leases between a BOC section 274(b)(6). and its separated affiliate enables the performance of the BOC, does not make BOC to take advantage of economies of that individual an employee of the BOC c. Discussion scale and scope. Concerns about for purposes of section 274(b)(5)(A). Nor anticompetitive behavior can be does such a compensation arrangement 91. We adopt our tentative conclusion addressed through the transactional for a BOC employee make that that section 274(b)(6) does not require requirements of section 274(b)(3), the individual an employee of the section the adoption of implementing nondiscrimination requirements of 274 separated affiliate. Further, we agree regulations. We find that Time Warner’s section 274(d), and the Commission’s with those commenters stating that such suggestion is contradicted by the affiliate transaction rules. a scheme would effectively preclude statutory language and legislative 86. Sharing of Services. The BOCs from offering stock options, other history that expressly allow a separated prohibition in section 274(b)(5)(A) forms of deferred compensation, and affiliate or electronic publishing joint against a BOC and its separated affiliate bonuses, which are commonly used in venture to use ‘‘the names, trademarks, having ‘‘officers, directors, and industry and frequently are based, in or service marks that are owned by the employees in common’’ is worded part, upon the performance of entities entity that owns or controls the [BOC].’’ slightly differently from the requirement within a corporate family. Indeed, as We agree with BellSouth that the in section 272(b)(3) that a BOC and its PacTel notes, ‘‘[i]t is common for adoption of Time Warner’s suggestion corporations to have compensation separate affiliate have ‘‘separate officers, ‘‘would require the Commission to directors, and employees.’’ We interpret, systems that base a portion of assume that Congress was unaware that however, these two provisions to have compensation, especially for officers four of the seven [RBOCs] share their the same substantive meaning. Both and directors, on the performance of the names with their BOC subsidiaries.’’ We sections 272 and 274 preclude the same corporation as a whole. This is person from serving simultaneously as consistent with the fiduciary duty of decline to make this assumption. 7702 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Rules and Regulations

5. Section 274(b)(7) both a separated affiliate and an 274(d). Time Warner specifically urges a. Background electronic publishing joint venture. us to require BOCs to provide They state that this interpretation is unaffiliated electronic publishers with 92. Section 274(b)(7) states that a BOC necessary to give effect to what they the same access to wireline telephone is not permitted ‘‘(A) to perform hiring consider a separate substantive exchange services that they provide to or training of personnel on behalf of a requirement that a BOC be ‘‘operated their in-region separated affiliate or separated affiliate; (B) to perform the independently’’ from its electronic electronic publishing joint venture. purchasing, installation, or maintenance publishing joint venture. 97. Limitations on Research and of equipment on behalf of a separated 95. Relationship Between Section Development. The BOCs, NAA, and affiliate, except for telephone service 274(b)(7)(A) and Section 274(c)(2). USTA generally argue that section that it provides under tariff or contract Several commenters argue that there is 274(b)(7)(C) only limits their ability to subject to the provisions of this section; no exception in section 274(b)(7) for perform research and development for or (C) to perform research and permissible joint marketing activities in the sole and exclusive use of the development on behalf of a separated section 274(c)(2) and, therefore, we separated affiliate. They contend that it affiliate.’’ Since this subsection does not should not permit a BOC, when engaged would be against public policy to specifically refer to electronic in permissible joint marketing with its restrict BOCs from performing research publishing joint ventures, we tentatively separated affiliate, to perform the hiring and development simply because the concluded that BOCs are permitted to or training of marketing personnel on results might, at some later date, be perform these functions on behalf of an behalf of the separated affiliate. SBC, applied to electronic publishing. Time electronic publishing joint venture. In however, argues that we should allow a Warner argues that the statutory addition, we sought comment on BOC to hire and train marketing language of section 274(b)(7)(C) should whether, ‘‘[t]o the extent that a BOC and personnel to carry out the permissible lead us to prohibit BOCs, under any a separated affiliate are engaged in joint marketing activities in section circumstances, from sharing any permissible joint marketing activities,’’ a 274(c)(2). It states that this approach is research and development work or BOC may perform the hiring or training not anticompetitive because teaming or results with their in-region electronic of marketing personnel on behalf of its other business arrangements entered publishing affiliates. It further states separated affiliate under section into by a BOC pursuant to section that we should adopt the Computer II 274(b)(7)(A). We also sought comment 274(c)(2)(B) must be conducted on a rules that preclude specific research and on the type of ‘‘equipment’’ nondiscriminatory basis. development by the regulated entity on encompassed by section 274(b)(7)(B). 96. The Type of ‘‘Equipment’’ behalf of the competitive affiliate. We asked, for example, whether a BOC Encompassed by Section 274(b)(7)(B). AT&T, in reply to the BOCs’ comments, providing telephone service to a The majority of commenters agree that states only that we ‘‘should reject the separated affiliate under tariff or section 274(b)(7)(B) permits a BOC to BOCs’ attempts to circumvent the contract subject to the requirements of purchase, install, and maintain prohibition in [s]ection 274(b)(7)(C) section 274 is permitted under section transmission equipment for its against BOC research and development 274(b)(7)(B) to purchase, install, and separated affiliate if the BOC is on behalf of a separated affiliate through maintain transmission equipment for providing telephone service to the hypertechnical constructions.’’ the separated affiliate. separated affiliate under tariff or 93. With respect to section contract. Bell Atlantic urges us to c. Discussion 274(b)(7)(C), we asked whether there are differentiate between ‘‘provision of a 98. Applicability of Section 274(b)(7) any circumstances under which a BOC service that uses equipment owned by to Electronic Publishing Joint Ventures. may share its research and development the BOC, an arrangement specifically We adopt our tentative conclusion that with its separated affiliate. Specifically, permitted under this subsection, from section 274(b)(7) does not preclude a we sought comment on whether this the purchasing, installation, and BOC from performing the activities in provision simply limits a BOC’s ability maintenance of equipment ’on behalf of’ section 274(b)(7) on behalf of an to perform research and development the affiliate, which is barred.’’ The electronic publishing joint venture. The for the sole and exclusive use of a distinction, according to Bell Atlantic, is reasons supporting this determination separated affiliate, or whether it requires that in the latter situation, the are the same as those supporting our a BOC to refrain from performing any equipment would be owned by the determination that section 274(b)(5) is research and development that may be separated affiliate. U S WEST similarly inapplicable to electronic publishing potentially useful to a separated states that this section prohibits a BOC joint ventures. affiliate. We also asked about other ways from providing any depreciable 99. Relationship Between Section in which this provision may limit a equipment to be used by its separated 274(b)(7)(A) and Section 274(c)(2). We BOC’s ability to perform research and affiliate in conducting the affiliate’s agree with those commenters asserting development for the separated affiliate. business, but that it does not prohibit a that the restrictions in section BOC from providing services to its 274(b)(7)(A) on a BOC performing the b. Comments section 274 affiliate operation. Several hiring or training of personnel on behalf 94. Applicability of Section 274(b)(7) other BOCs argue that the provision of of a separated affiliate apply even when to Electronic Publishing Joint Ventures. telephone services includes purchasing, the BOC is engaged in permissible joint The BOCs and NAA agree with our installation, or maintenance of activities pursuant to section 274(c)(2). tentative conclusion that BOCs are transmission equipment, and any other Reading an exception into section permitted to perform the functions in equipment necessary or incidental to 274(b)(7)(A) for the joint activities section 274(b)(7) on behalf of an providing such service. They note that permitted under section 274(c)(2) is electronic publishing joint venture. section 274(b)(3) ensures that there are neither supported by the statutory Time Warner and AT&T disagree with ample safeguards that such transactions language, nor necessary to give effect to our tentative conclusion. They are conducted at arm’s length. Other that section and section 274(c)(2). Thus, maintain, consistent with their commenters state only that section a BOC may not perform the hiring or argument respecting section 274(b)(5), 274(b)(7)(B) requires BOCs to provide training of personnel on behalf of its that section 274(b)(7) should apply to telephone service pursuant to section separated affiliate, even though it may Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Rules and Regulations 7703 be engaged in permissible joint 102. Further, we disagree with Time in the requirements specified in sections activities under section 274(c)(2), such Warner that prohibiting a BOC from 272(b) and 274(b), those requirements as providing inbound telemarketing sharing any research and development should be interpreted consistently. services or engaging in work or results with its separated 106. AT&T also notes that several of nondiscriminatory teaming or business affiliate is supported by the statutory the requirements in the two sections arrangements, as discussed below. language. Time Warner and AT&T fail to overlap, but, like Ameritech states, that 100. The Type of ‘‘Equipment’’ offer any persuasive statutory or policy section 274(b) imposes additional Encompassed by Section 274(b)(7)(B). arguments in support of their position. requirements having no counterpart in We find that section 274(b)(7)(B) section 272(b). AT&T further asserts that 6. Comparison with ‘‘Separate Affiliate’’ all interLATA electronic publishing prohibits a BOC from purchasing, Requirement of Section 272 installing, or maintaining equipment on services should be subject to the behalf of its separated affiliate, except a. Background requirements of section 272, and that section 274 merely supplements the for the telephone service that it provides 103. We sought comment in the requirements of section 272. In reply, under tariff or contract. We agree with NPRM on the interrelationship between Bell Atlantic and YPPA state that a the position of several commenters that the requirements for a ‘‘separate section 274 separated affiliate need not the provision of telephone service affiliate’’ in section 272(b) and the also comply with section 272, even if includes purchasing, installing, and requirements for a ‘‘separated affiliate’’ maintaining equipment necessary or the electronic publishing services are and ‘‘electronic publishing joint interLATA. They maintain that incidental to providing such service. As venture’’ in section 274(b). To the extent long as the equipment providing the Congress, in enacting section that certain BOCs currently are 272(a)(2)(C), expressly exempted telephone service is owned by a BOC, providing all of their information and not its separated affiliate, such interLATA electronic publishing services on an integrated basis, we services from the requirements of activities are permissible under this sought comment on what modifications section. We note, as some commenters section 272. these BOCs would have to make to their 107. All of the commenters agree that suggest, that, even when engaging in current provision of service in order to a BOC may provide electronic permissible activities under section provide electronic publishing services publishing services through the same 274(b)(7), BOCs remain subject to the in compliance with the separated entity or affiliate through which it nondiscrimination requirements in affiliate or electronic publishing joint provides section 272 services. They section 274(d). venture requirements of section 274. disagree, however, on whether an 101. Limitations on Research and 104. We also sought comment on affiliate providing both section 272 and Development. We conclude that the whether a BOC may provide electronic section 274 services must comply with prohibition in section 274(b)(7)(C) on a publishing services through the same all of the requirements of both sections. BOC performing research and entity or affiliate through which it AT&T, MCI and Time Warner state that development ‘‘on behalf of’’ its provides in-region interLATA a BOC offering electronic publishing separated affiliate precludes a BOC, at a telecommunications services, services and section 272 services minimum, from performing research manufacturing activities, and through the same affiliate must comply and development for the sole and interLATA information services. In with all of the requirements of sections exclusive use of the separated affiliate. addition, we sought comment on 272 and 274, i.e., the structural We also find that it precludes a BOC whether a BOC providing any or all of separation and transactional from performing research and its section 272 services and its section requirements, as well as the joint development for the use or benefit of its 274 electronic publishing services marketing and nondiscrimination section 274 separated affiliate together through the same entity would have to provisions of both sections. with other affiliates. We further comply with the requirements of section 108. The BOCs and YPPA disagree conclude, however, that the prohibition 272, section 274, or both. with the other commenters. They argue in section 274(b)(7)(C) on a BOC that a BOC providing electronic b. Comments performing research and development publishing services through the same ‘‘on behalf of’’ its separated affiliate, as 105. There were few comments on the entity or affiliate through which it interpreted herein, does not limit a interrelationship between the provides section 272 services must BOC’s ability to perform research and requirements in sections 272(b) and comply with the separation development simply because the results 274(b). Ameritech states that the requirements in both sections 272(b) might, at a future date, be applied to requirements of section 272(b) are a and 274(b) on a service-by-service basis. electronic publishing. We agree with subset of those found in section 274(b), Specifically, they maintain that the those commenters arguing that such an but that section 274(b) imposes entity providing both section 272 interpretation ‘‘would not serve the additional requirements beyond those in services and electronic publishing public’s continued desire for new and section 272(b). It notes that another services must comply only with the different communications solutions’’ principal difference between the requirements of each section relevant to and would be ‘‘antithetical to the public separation requirements of the two the particular service (i.e., a section 272 interest and national policy under sections is that a section 272 separate service or electronic publishing Section 7 of the Communications Act.’’ affiliate may own or be owned by a BOC services) being provided. They further We also find that it would be as long as the separation requirements argue that a BOC need only comply with impractical for a BOC to anticipate all of that section are satisfied; however, a the joint marketing and potential uses of research and section 274 separated affiliate may not nondiscrimination restrictions of development activities it might own or be owned by the BOC entity. sections 272 and 274 on a service-by- undertake. We recognize that these NYNEX states that sections 272 and 274 service basis. principles may not address all of the deal with considerably different affiliate 109. There is some disagreement possible scenarios that may arise. Such activities and should be construed to be among the BOCs as to those determinations are fact specific and will independent of each other. PacTel states requirements in section 274(b) that they need to be made on a case-by-case basis. that, to the extent there are similarities deem applicable when providing 7704 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Rules and Regulations section 272 and section 274 services separate affiliate requirement pursuant any ‘‘promotion, marketing, sales, or through the same entity. Several BOCs to section 272(a)(2)(C). advertising for or in conjunction with a assert that the separation requirements 111. Section 272(b) and Section separated affiliate.’’ An entity unique to either section 272 or section 274(b) Requirements. We agree with established by a BOC to provide section 274 would apply only to those services those commenters asserting that a BOC 272 services and electronic publishing specified in their respective sections, providing electronic publishing services services is a section 274 ‘‘separated e.g., because section 272 does not through the same entity or affiliate affiliate’’ for purposes of section prohibit the hiring and training of through which it provides section 272 274(c)(1)(A), as it will be a ‘‘corporation personnel, section 274(b)(7)(A) would services must comply with all of the ** * that engages in the provision of only apply with respect to the entity’s requirements of both section 272(b) and electronic publishing services.’’ The electronic publishing activities. U S section 274(b). Allowing the BOCs to BOC, therefore, must comply with all WEST categorizes those requirements comply with the requirements of the section 274 joint marketing that the entity must comply with in sections 272(b) and 274(b) on a service- sections 272(b) and 274(b) as structural by-service basis is likely to lead to ad provisions pertaining to its ‘‘separated separation requirements, arguing that hoc determinations as to those affiliate.’’ In addition, since the entity is compliance with the ‘‘transactional’’ requirements in both sections 272(b) also providing section 272 services, the requirements of either section is and 274(b) with which the entity must joint marketing provisions in section necessitated on a service-by-service comply. 272(g) would apply as well. basis. It categorizes section 274(b)(7)(A) 112. We find that allowing the entity 114. The statutory language in as an example of a transactional performing section 272 and section 274 sections 272(c) and 274(d) also requires requirement. YPPA, too, distinguishes services to determine how to comply that a BOC providing both section 272 between the structural separation with the section 272(b) and section services and electronic publishing requirements and the affiliate 274(b) requirements creates the services together in one entity comply potential for administrative and transaction requirements of sections with the nondiscrimination provisions 272(b) and 274(b), arguing that the latter enforcement problems. As a practical in both sections 272 and 274. To the need only be complied with on a matter, however, requiring the entity extent that a BOC under ‘‘common service-by-service basis. It cites sections providing both section 272 and section 272(b)(5) and 274(b)(3) as examples of 274 services to comply with all the ownership or control with a separated affiliate transaction requirements that requirements of sections 272(b) and affiliate or electronic publishing joint need only be complied with on a 274(b) will not be substantially more venture’’ provides ‘‘network access and service-by-service basis. onerous than requiring the entity to interconnections for basic telephone comply with only those provisions of service to electronic publishers,’’ it must c. Discussion one section or the other. We determined do so subject to the nondiscrimination 110. We conclude that a BOC may in the Non-Accounting Safeguards requirements in section 274(d). In provide electronic publishing services Order that the ‘‘operate independently’’ addition, section 272(c) imposes certain and section 272 services through the requirement of section 272(b)(1) nondiscrimination safeguards on a same entity or affiliate. Nothing in the imposes requirements beyond those BOC’s dealings with an affiliate Act or its legislative history suggests listed in subsections 272(b)(2)–(5). We providing section 272 services. The otherwise. We further conclude that the therefore adopted additional nondiscrimination safeguards of section BOC or the entity providing both section requirements in our rules to implement 272(c) thus pertain to the BOC’s 272 and section 274 services, as section 272(b) to ensure operational dealings with an entity or affiliate applicable, must comply with the independence between a BOC and its providing both section 272 services and requirements of both these sections, section 272 affiliate; several of these are electronic publishing services. including: (1) all of the requirements of parallel to provisions in section 274(b). section 272(b) and section 274(b); (2) all Thus, BOCs providing section 272 and 115. In sum, we find that a BOC may applicable requirements of section section 274 services are already required provide both section 272 and section 272(g) and section 274(c); and (3) all to comply with many of the same 274 services through the same entity, applicable requirements of section requirements; and to the extent these but in doing so, must comply with the 272(c) and section 274(d). To the extent services are combined the complications applicable joint marketing and there is a conflict between the of complying with both sections 272(b) nondiscrimination requirements in each provisions of sections 272 and 274, the and 274(b) will be few. of those sections. We find that the BOC or the entity providing both section 113. Joint Marketing and express statutory language in each of 272 and 274 services, as applicable, Nondiscrimination Provisions in those sections compels this result. As must comply with the more stringent Sections 272 and 274. As noted above, noted above, to the extent there is a requirement of either section. These while a BOC may provide both section conflict between the provisions of conclusions are discussed more fully 272 services and electronic publishing sections 272 and 274, the BOC or the below. We specifically reject AT&T’s services through the same entity, it must entity providing both section 272 and contention that electronic publishing comply with the applicable joint 274 services, as applicable, must services are subject to the section 272 marketing and nondiscrimination comply with the more stringent separate affiliate requirements, pursuant provisions in both sections 272 and 274. requirement of either section. For to section 272(a)(2)(B), which imposes a With respect to the joint marketing example, if a BOC is permitted to engage separate affiliate requirement on provisions, if a BOC chooses to provide in a joint marketing activity under interLATA telecommunications section 272 services together with its section 272(g), but that activity is barred services. Electronic publishing services electronic publishing services, it must under section 274(c)(1)(A), the latter are included within the statutory comply with the joint marketing definition of information services in restrictions of section 274(c)(1)(A) and provision would preclude the BOC from section 153(20). They are specifically section 272(g). Section 274(c)(1)(A) engaging in that activity. excluded, however, from the section 272 precludes the BOC from carrying out Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Rules and Regulations 7705

C. Joint Marketing that are unrelated to the provision of promotion, marketing, sales or electronic publishing. advertising activities for or in 1. Restrictions on Joint Marketing 119. U S WEST, in contrast, argues conjunction with that affiliated holding Activities—Section 274(c)(1) that the phrase ‘‘that is related to the company if and to the extent that such a. Scope of Section 274(c)(1)(B) provision of electronic publishing’’ activities are ‘‘related to the provision of (1) Background modifies ‘‘affiliate’’ because such an electronic publishing.’’ A BOC, interpretation provides BOCs with however, would not be prohibited from 116. Section 274(c)(1) of the Act greater flexibility in organizing their engaging in marketing activities with establishes several restrictions on joint businesses and is consistent with the affiliated holding company that are marketing activities in which a BOC congressional intent. For example, U S unrelated to the provision of electronic may engage with either a ‘‘separated WEST contends that, if we adopt this publishing. This interpretation of affiliate’’ or an ‘‘affiliate.’’ In particular, interpretation, a BOC choosing to section 274(c)(1)(B) effectively would section 274(c)(1)(A) provides that ‘‘a provide electronic publishing services prevent the BOCs from indirectly [BOC] shall not carry out any through a section 272 affiliate would be promoting, marketing, selling, or promotion, marketing, sales, or subject to the joint marketing provisions advertising the electronic publishing advertising for or in conjunction with a of section 274(c)(1)(B), rather than services of a separated affiliate. separated affiliate.’’ Section 274(c)(1)(B) section 272. 122. We reject U S WEST’s contention states that ‘‘a [BOC] shall not carry out (3) Discussion that section 274(c)(1)(B) prohibits a BOC any promotion, marketing, sales, or from carrying out marketing activities advertising for or in conjunction with an 120. We conclude that the phrase for or with an affiliate that is related to affiliate that is related to the provision ‘‘that is related to the provision of the provision of electronic publishing. of electronic publishing.’’ electronic publishing’’ modifies the ‘‘promotion, marketing, sales, or Given the definition of ‘‘separated 117. In the NPRM, we observed that advertising’’ activities that are affiliate,’’ which contemplates the the clause ‘‘that is related to the circumscribed by section 274(c)(1)(B). provision of electronic publishing provision of electronic publishing’’ in As such, we interpret section services by such entity, it is difficult to section 274(c)(1)(B) may be interpreted 274(c)(1)(B) of the Act to prohibit a BOC conceive of an affiliate ‘‘related to the to modify either the ‘‘promotion, from carrying out any promotion, provision of electronic publishing’’ that marketing, sales, or advertising’’ marketing, sales or advertising activities would not otherwise constitute a activities that are circumscribed by that with an affiliate, if such activities separated affiliate, and thus be subject section, or the word ‘‘affiliate.’’ We also ‘‘relate to’’ the provision of electronic to the joint marketing restriction in noted that the definition of ‘‘affiliate’’ in publishing. As an initial matter, we find section 274(c)(1)(A). We also reject section 274 expressly excludes a that the joint marketing prohibition in BellSouth’s contention that section ‘‘separated affiliate.’’ We therefore section 274(c)(1)(B) is intended to 274(c)(1)(B) of the Act is intended to sought comment on the proper address situations that are not otherwise address situations in which a BOC interpretation of section 274(c)(1)(B). covered by section 274(c)(1)(A). provides electronic publishing and non- (2) Comments Consequently, we conclude that section electronic publishing services through 274(c)(1)(B) contemplates situations in one affiliate. As noted above, a BOC 118. Several commenters argue that which a BOC affiliate is involved in the affiliate that provides electronic section 274(c)(1)(B) of the Act should be provision of services that are in some publishing services through the BOCs’ interpreted to prohibit a BOC from manner ‘‘related to’’ the provision of or any of its affiliates’ basic telephone carrying out joint marketing activities electronic publishing, but does not service would constitute a ‘‘separated for or in conjunction with an affiliate if provide electronic publishing services affiliate’’ that would be subject to the the activities of the BOC relate to the disseminated by means of a BOC’s or joint marketing prohibition in section provision of electronic publishing. In any of its affiliates’ basic telephone 274(c)(1)(A). particular, BellSouth argues that section service. Because a BOC or BOC affiliate 274(c)(1)(B) is intended to address may engage in the provision of b. Scope of Section 274(c)(1)(A) situations in which a BOC affiliate offers electronic publishing that is (1) Background electronic publishing services or disseminated by means of such BOC’s or services related to electronic publishing, any of its affiliates’ basic telephone 123. We sought comment in the and non-electronic publishing services, service only through a separated affiliate NPRM on whether a BOC can carry out i.e., an affiliate that provides print or an electronic publishing joint both section 272 and section 274 directory services as well as electronic venture, a BOC ‘‘affiliate’’ that falls activities through one entity or affiliate, publishing services. BellSouth contends under section 274(c)(2)(B) of the Act, by and, if so, whether the affiliate would that, by omitting the word ‘‘separated’’ definition, must not engage in such have to comply with the requirements of in subsection (c)(1)(B), Congress provision of electronic publishing. A section 272, section 274, or both. We clarified that some activities of a BOC BOC affiliate that provides electronic conclude in this Order that a BOC may affiliate that is engaged in the provision publishing services by means of its basic provide both section 272 and section of electronic publishing services may be telephone service would constitute a 274 services through the same affiliate. unrelated to electronic publishing. ‘‘separated affiliate’’ subject to the joint In so doing, however, a BOC must According to BellSouth, a BOC therefore marketing restriction in section comply with the structural and may engage in joint marketing activities 274(c)(1)(A). transactional requirements of both with its directory affiliate so long as 121. Consequently, section sections 272(b) and 274(b). We also such activities ‘‘relate to the traditional 274(c)(2)(B) addresses situations in conclude that a BOC providing section directory products of the directory which a BOC may have, for example, an 272 and section 274 services through affiliate rather than any electronic affiliated holding company that, in turn, the same affiliate must comply with the directory products.’’ SBC argues that holds an ownership interest in a applicable joint marketing provisions section 274(c)(1)(B) does not apply if a separated affiliate. Such a BOC would and nondiscrimination provisions of BOC performs services for an affiliate be precluded from carrying out any both those sections. 7706 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Rules and Regulations

124. Some parties raised the issue of 127. While our interpretation could ‘‘coordinate’’ its promotional activities whether and to what extent the joint provide a disincentive for BOCs to offer with such affiliate. marketing restrictions of section 274 electronic publishing and non- 130. U S WEST generally agrees that apply in cases where a BOC provides electronic publishing services through the activities prohibited under sections through the same affiliate electronic the same affiliate, as U S WEST points 274(c)(1)(A) and (B) of the Act include publishing services and non-electronic out, the unambiguous statutory language making local exchange or other BOC publishing services, i.e., print directory requires this interpretation. We thus services available together with services, that do not fall under section conclude that section 274(c)(1)(A) electronic publishing services, but states 272 of the Act. Because BOCs currently prohibits marketing and sales-related that this prohibition is subject to the may be providing electronic publishing activities carried out by a BOC for or in inbound telemarketing exception in and such non-electronic publishing conjunction with a separated affiliate, section 274(c)(2)(A) of the Act. PacTel services through one affiliate, or may irrespective of whether such affiliate argues that a separated affiliate, wish to provide such services through provides both electronic publishing electronic publishing joint venture, one entity in the future, we address that services and non-electronic publishing teaming or other business entity is not issue in this Order. services, such as print directory precluded from purchasing the services, that do not fall under section telecommunications services of a BOC (2) Comments 272 of the Act. and then advertising such services with 125. U S WEST and BellSouth argue electronic publishing services, making c. Activities Prohibited under Section the services available from a single that, if a BOC provides electronic 274(c)(1) publishing services and non-electronic entity, and providing bundled publishing services, such as print (1) Background discounts. 131. A number of parties contend that directory services, through the same 128. In the NPRM, we observed that sections 274(c)(1)(A) and (B) of the Act affiliate, the joint marketing restrictions the activities proscribed by section prohibit only the BOCs from carrying of section 274 would apply only to the 274(c)(1) include the ‘‘promotion, out certain joint marketing activities, electronic publishing activities of the marketing, sales, or advertising’’ by a and that the provisions should not be affiliate. U S WEST argues, inter alia, BOC for or with an affiliate. We interpreted to restrict the joint that Congress, in adopting the tentatively concluded that such marketing activities that may be carried prohibitions in section 274(c)(1) of the activities ‘‘encompass prohibitions on out by either a ‘‘separated affiliate’’ Act, intended to circumscribe, for a advertising the availability of local under section 274(c)(1)(A), or an limited time, joint marketing activities exchange or other BOC services together ‘‘affiliate’’ under section 274(c)(1)(B). between a BOC and its section 274 with the BOC’s electronic publishing SBC specifically argues that the statute separated affiliate because such affiliate services, making those services available should not be interpreted to impose any would use the BOC’s basic telephone from a single source and providing restrictions on a separated affiliate’s service to disseminate its electronic bundling discounts for the purchase of ability ‘‘to market and sell services or publishing services. U S WEST argues both electronic publishing and local products of the BOC, or those of any that the section 274 joint marketing exchange services.’’ We sought other affiliate or an unrelated party.’’ prohibitions thus were intended to comment on that tentative conclusion Bell Atlantic similarly contends that an restrict the BOCs’ ability to ‘‘leverage and on whether any other types of affiliate is not prohibited under the those basic services to favor its prohibitions were contemplated. statute ‘‘from marketing the BOC’s electronic publishing services which (2) Comments services and products or acting as a use [such] services.’’ U S WEST single point of contact for the maintains therefore that, absent a 129. Ameritech, AT&T and NAA customer.’’ connection between a publishing generally agree with our tentative 132. NYNEX and YPPA argue that activity and the BOC’s network conclusion regarding the types of permitting a separated affiliate to market operations, there is no indication that activities that are prohibited under jointly its electronic publishing services Congress meant to impede commercial sections 274(c)(1)(A) and (B) of the Act. with BOC telecommunications services speech activities engaged in by a BOC Ameritech also argues, however, that would allow customers to realize the corporate enterprise. the only prohibited marketing activities benefits of one-stop shopping. In (3) Discussion are those that ‘‘involve the BOC and the addition, NYNEX and PacTel maintain electronic publishing affiliate working that imposing marketing restrictions on 126. We conclude that, while a BOC together,’’ and therefore nothing a BOC separated affiliate that do not may provide through the same affiliate precludes unilateral marketing, also apply to such affiliate’s competitors both electronic publishing services and promotion, or sales activities by either would place the separated affiliate at a non-electronic publishing services, such the BOC or its separated affiliate. In competitive disadvantage. A number of as print directory services, which do not addition, Ameritech contends that parties also contend that nothing in the fall under section 272 of the Act, it must bundling discounts may be offered in all Act prohibits a BOC affiliate from comply with the joint marketing cases of permissible joint marketing carrying out joint marketing activities as requirements of section 274. The plain activities. According to Ameritech, an agent for either or both the BOC and language of section 274(c)(1)(A) states ‘‘while the BOC requires regulatory the separated affiliate. that ‘‘a [BOC] shall not carry out any authority to discount regulated services, 133. Conversely, AT&T and Time promotion, marketing, sales, or the electronic publisher is free to set its Warner argue that the marketing advertising for or in conjunction with a unregulated price—and any prohibitions in section 274(c)(1) should separated affiliate.’’ Section promotional discounts—as it sees fit.’’ not be construed to apply only to the 274(c)(1)(A), therefore, precludes a BOC AT&T disputes Ameritech’s contention marketing activities of the BOC. from engaging in certain activities with that section 274(c)(1) of the Act permits According to AT&T, allowing a a separated affiliate as a corporate a BOC to market the electronic separated affiliate to market jointly its entity, even in connection with non- publishing services of its separated electronic publishing services with BOC electronic publishing services. affiliate so long as it does not telecommunications services would Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Rules and Regulations 7707 allow the BOC to ‘‘move its entire ‘‘moving its entire marketing recognized that ‘‘bundling’’ marketing department into the separated department into the separated affiliate’’ contemplates the offering of BOC resold affiliate’’ in violation of the statutory in order to circumvent the section local exchange services and interLATA prohibition against a BOC carrying out 274(c)(1) restrictions. services as a package under an any marketing in conjunction with’ a 136. Based on the above analysis, we integrated pricing schedule. As a result, separated affiliate. Time Warner also find that a BOC affiliate may carry we concluded that the concept of similarly states that interpreting section out ‘‘promotion, marketing, sales, or ‘‘bundling’’ includes ‘‘providing a 274(c)(1) to apply only to the BOCs advertising’’ activities as an agent for discount if a customer purchases both would allow the BOCs to circumvent either a ‘‘separated affiliate’’ under interLATA services and BOC resold the joint marketing restrictions of section 274(c)(1)(A), or another local services, conditioning the section 274. ‘‘affiliate’’ under section 274(c)(1)(B). purchase of one type of service on the Because neither a separated affiliate nor (3) Discussion purchase of the other, and offering both an affiliate is subject to the restrictions interLATA services and BOC resold 134. As an initial matter, we conclude in sections 274(c)(1)(A) and (B) of the local services as a single combined that the prohibitions in section 274(c)(1) Act, a BOC affiliate that acts as an agent product.’’ apply only to activities carried out by a for such separated affiliate or affiliate 139. Based on the definition of BOC. Sections 274(c)(1)(A) and (B) of also is not subject to those restrictions. ‘‘bundling’’ in our Non-Accounting the Act only proscribe BOC activities. As in the case of a separated affiliate or Safeguards Order, we conclude that We also find that neither a separated affiliate, however, the scope of the ‘‘bundling’’ refers to the offering by a affiliate under section 274(c)(1)(A), nor agent’s activities may be limited, as a BOC or BOC agent of BOC local an affiliate under section 274(c)(1)(B), is practical matter, by the legal bar on a exchange and electronic publishing prohibited from marketing its services BOC carrying out promotion, marketing, services as a package under an together with BOC telecommunications sales or advertising activities ‘‘for or in integrated pricing schedule. This services, so long as such marketing conjunction with’’ such affiliates. We restriction flows not only from section activity is performed unilaterally by the conclude, however, that because section 274(c)(1), but from the fact that a BOC separated affiliate or affiliate, 274(c)(1)(A) applies to activities carried is forbidden by section 274(a) to engage respectively. Thus, a separated affiliate out by BOCs, a BOC affiliate is in the provision of electronic publishing or affiliate is permitted under sections prohibited from acting as an agent for disseminated by means of its basic 274(c)(1)(A) and (B) to market its the BOC in performing marketing and telephone service except through a electronic publishing services with sales-related activities under that separated affiliate or an electronic basic telephone service purchased from section, contrary to arguments raised by publishing joint venture. By providing the BOC. We conclude that this type of some parties. We also note that, under such bundled services, the BOC or its marketing, in which a separated affiliate the definition of ‘‘Bell operating agent would be engaged in the provision or affiliate unilaterally markets BOC company’’ in section 274(i)(10), a BOC of electronic publishing in local exchange service as an input to its includes ‘‘any entity or corporation that contravention of section 274(a). We electronic publishing services, is not is owned or controlled by’’ such BOC. further find, consistent with the Non- prohibited under sections 274(c)(1)(A) As such, the section 274(c)(1) joint Accounting Safeguards Order, that or (B). We specify that marketing by the marketing prohibitions applicable to sections 274(c)(1)(A) and (B) of the Act separated affiliate or affiliate must be BOCs also would apply to entities that prohibit a BOC or BOC agent from unilateral not because section 274(c)(1) are owned or controlled by a BOC, such providing customer discounts for the directly imposes any marketing as an entity that acts as an agent for a purchase of local exchange and restrictions on such entities, but, as a BOC. electronic publishing services, practical matter, because section 137. We also conclude, based on their conditioning the purchase of one type of 274(c)(1) bars a BOC from carrying out language, that sections 274(c)(1)(A) and service on the other, or offering both ‘‘marketing . . . for or in conjunction (B) of the Act prohibit a BOC or BOC electronic publishing and local with’’ such separated affiliates or agent from advertising local exchange or exchange services as one product. affiliates. other BOC services together with 135. We reject AT&T’s and Time electronic publishing services, making Moreover, we conclude, based on the Warner’s contention that permitting a those services available from a single explicit language of section 274(c)(1), separated affiliate to market BOC point of contact and providing bundling that sections 274(c)(1)(A) and (B) of the telecommunications services would discounts for the purchase of both Act prohibit a BOC or BOC agent not allow a BOC to circumvent the electronic publishing and local only from offering for sale both local restrictions of section 274. As noted exchange services, except as permitted exchange and electronic publishing above, section 274(c)(1), by its terms, under section 274(c)(2) of the Act. Since services, but also from advertising those applies only to activities carried out by section 274 only proscribes BOC services in a single advertisement, and a BOC. While AT&T’s and Time activities, however, we conclude, from selling both services through a Warner’s arguments pertain only to a consistent with our discussion above, single point of contact, e.g., a single ‘‘separated affiliate,’’ we have no basis that these activities may be carried out sales agent, except as permitted under for concluding that Congress intended by a separated affiliate or affiliate, section 274(c)(2). We find that Congress to apply the restrictions in sections subject only to the practical limitation intended to proscribe those activities in 274(c)(1)(A) and (B) to either separated that a BOC may not participate owing to adopting sections 274(c)(1)(A) and (B) of affiliates or affiliates, respectively. the legal bar on its ability to carry out the Act. Moreover, based on the plain language promotion, marketing, sales or d. Interplay Between Section 274 Joint of sections 274(c)(1)(A) and (B), which advertising activities ‘‘for or in Marketing Provisions and Other prohibits a BOC from carrying out any conjunction with’’ a separated affiliate Provisions of the Act ‘‘promotion, marketing, sales, or or an affiliate. advertising for or in conjunction with’’ 138. In our Non-Accounting (1) Background a separated affiliate or affiliate, a BOC Safeguards Order implementing 140. In the NPRM, we sought would be precluded from, for example, sections 271 and 272 of the Act, we comment on whether and to what extent 7708 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Rules and Regulations the joint marketing provisions in section unaffiliated electronic publisher under (2) Comments 272(g) and the customer proprietary specified conditions. Under section 146. AT&T argues that we should network information (CPNI) provisions 274(c)(2)(A) of the Act, a BOC may adopt the conditions on inbound in section 222 of the Act affect provide ‘‘inbound telemarketing or telemarketing discussed in the House implementation of section 274. referral services related to the provision Report, i.e., that a BOC may offer of electronic publishing for a separated (2) Comments inbound telemarketing services to its affiliate, electronic publishing joint affiliate only if it makes those services 141. NYNEX argues that, because the venture, affiliate or unaffiliated available to unaffiliated providers of marketing provisions in sections 272 electronic publisher: [p]rovided, [t]hat if electronic publishing services on the and 274 of the Act apply to different such services are provided to a same terms, conditions and prices. In services, the restrictions in section 274 separated affiliate, electronic publishing addition, it contends that a BOC should should not be applied to the services joint venture, or affiliate, such services be prohibited from engaging in and facilities provided under section shall be made available to all electronic outbound telemarketing, consistent with 272. PacTel maintains that sections publishers on request, on the House Report. AT&T argues that 272(g) and 222 of the Act do not affect nondiscriminatory terms.’’ section 274(c)(2)(A) should not be implementation of section 274. U S 144. We stated in the NPRM that the construed as an ‘‘open-ended WEST maintains that, based on implied statute is silent as to the specific authorization for the BOCs to market the consent gleaned from either the obligations section 274(c)(2)(A) imposes electronic publishing services of their business relationship or customer on a BOC. We noted that the term separated affiliates’’ because such an notification, CPNI may be used by the ‘‘inbound telemarketing’’ is defined in interpretation would result in the BOC in marketing a separated affiliate’s section 274(i)(7) as ‘‘the marketing of exception swallowing the rule. While electronic publishing offerings. U S property, goods, or services by NAA agrees that we should adopt the WEST also contends that, under section telephone to a customer or potential conditions on inbound telemarketing 222(d)(3) of the Act, a BOC could use customer who initiated the call.’’ The discussed in the House Report, it also CPNI on an inbound telemarketing call term ‘‘referral services,’’ however, is not argues that a BOC may provide for both telecommunications and defined in the statute. As we discussed outbound telemarketing services to an electronic publishing services of the in the NPRM, the Joint Explanatory electronic publishing joint venture BOC and third parties, provided the Statement states that the Conference under section 274(c)(2)(C). customer consented to such use on the Committee adopted the provisions of 147. Conversely, the BOCs generally call. the House bill relating to electronic contend that they are permitted to (3) Discussion publishing, with some modifications engage in a broader range of marketing 142. As discussed above, we conclude relating to sunset of the section 274 activities under section 274(c)(2)(A). In that, while a BOC may provide through requirements and use of BOC particular, Ameritech argues that the same affiliate both section 272 and trademarks by separated affiliates and section 274(c)(2)(A) expressly section 274 services, it must comply electronic publishing joint ventures. authorizes a BOC to handle all aspects with the applicable joint marketing The provision of the House bill relating of the electronic publisher’s sales restrictions of both those sections. We to electronic publishing joint ventures process while on an inbound telephone decline to address arguments raised in was identical to the provision ultimately call. NYNEX similarly maintains that this proceeding regarding the interplay adopted by the Conference Committee. section 274(c)(2)(A) does not restrict in between section 274 and section 222 of 145. The Committee Report any way the inbound telemarketing the Act, relating to privacy of customer accompanying H.R. 1555 states that: services that a BOC may provide to a separated affiliate, electronic publishing information. The Commission has Subsection (c)(2)(A) permits a BOC to pending a proceeding to implement joint venture or affiliate, except to provide inbound telemarketing or referral require the BOC to make such services section 222 of the Act. Until the services related to the provision of electronic completion of that proceeding, we defer available to all electronic publishers ‘‘on publishing, if the BOC provides the same request, on nondiscriminatory terms.’’ any decision on the extent, if any, that service on the same terms and conditions, section 222 of the Act affects In addition, SBC argues that section and prices to non-affiliates as to its affiliates. 274(c)(2)(A) allows a BOC not only to implementation of section 274. As noted The term ‘inbound telemarketing or referral in the CPNI NPRM (61 FR 26483 (May refer a customer who requests services’ is defined . . . to mean ‘the information regarding an electronic 28, 1996)), the CPNI requirements the marketing of property, goods, or services by publishing service to its affiliate, but Commission previously established in telephone to a customer or potential also permits a BOC to market electronic the Computer II and Computer III customer who initiated the call.’ Thus, a BOC publishing services to customers who proceedings remain in effect pending may refer a customer who seeks information the outcome of the CPNI proceeding, to on an electronic publishing service to its inquire about them. SBC also argues that the extent that they do not conflict with affiliate, but must make sure that the referral section 274(c)(2)(A) ‘‘allow[s] a section 222 of the Act. service is available to unaffiliated providers. separated affiliate or a BOC to advertise No outbound telemarketing or similar a BOC call-in number to which potential 2. Permissible Joint Activities—Section activity, under which the call is initiated by customers might choose to initiate a 274(c)(2) the BOC or its affiliate or someone on its call.’’ BellSouth argues that section a. Joint Telemarketing—Section behalf, is permitted. 274(c)(2)(A) of the Act is clear on its 274(c)(2)(A) face, and therefore ‘‘no further In the NPRM, we sought comment on elucidation’’ of that section is necessary. (1) Background whether the conditions imposed on 148. PacTel argues that section 143. As we observed in the NPRM, inbound telemarketing discussed in the 274(c)(2)(A)’s requirement that inbound section 274(c)(2) of the Act permits House Report should be adopted, and telemarketing or referral services ‘‘be three types of joint activities between a whether we should adopt any made available to all electronic BOC and a separated affiliate, electronic regulations pertaining to outbound publishers on request, on publishing joint venture, affiliate, or telemarketing. nondiscriminatory terms’’ means that Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Rules and Regulations 7709 the terms of the service must be services to unaffiliated electronic requested, the telephone numbers of generally available to all similarly publishers, except to the extent carriers offering interexchange services. situated electronic publishers. U S legitimate price differentials may exist. As part of this requirement, a BOC must WEST argues that the requirement For example, such price differentials ensure that the names of the should be construed to apply only to may reflect differences in cost, or may interexchange carriers are provided in services that are of ‘‘like kind.’’ PacTel reflect the fact that an unaffiliated random order. contends that section 274(c)(2)(A), like electronic publisher has requested 154. We disagree with U S WEST’s section 202(a) of the Act, allows superior or less favorable treatment in contention that a BOC’s obligation to reasonable discrimination. Conversely, exchange for paying a higher or lower provide inbound telemarketing or Time Warner argues that nothing in the price to the BOC. As we stated in the referral services under section Act indicates that Congress intended to First Interconnection Order (61 FR 274(c)(2)(A) applies only with respect to limit the provision of inbound 45476 (August 29, 1996)), where costs services that are ‘‘comparable’’ to those telemarketing or referral services differ, rate differences that accurately of its separated affiliate. We conclude required by section 274(c)(2)(A) to reflect those differences are not that a BOC’s obligation under section competing electronic publishers offering unlawfully discriminatory. We similarly 274(c)(2)(A) to make available inbound services ‘‘comparable’’ to those offered conclude that price differences, ‘‘when telemarketing and referral services on a by a BOC separated affiliate. based upon legitimate variations in nondiscriminatory basis requires that a costs, are permissible under the 1996 BOC make available to unaffiliated (3) Discussion Act when justified.’’ PacTel’s argument electronic publishers the same services 149. We conclude that a BOC may, that the ‘‘nondiscriminatory’’ it provides to an affiliated electronic pursuant to section 274(c)(2)(A), both requirement in section 274(c)(2)(A) publisher, regardless of whether the provide ‘‘referral services’’ and means that the terms of the service must unaffiliated electronic publishers offer ‘‘market’’ property, goods, or services be generally available to all ‘‘similarly services that are ‘‘comparable’’ to those related to the provision of electronic situated’’ electronic publishers, of the BOC. Nothing in the statute or its publishing by telephone to a customer therefore, has merit to the extent that legislative history indicates that a BOC or potential customer who initiated the price differences among electronic must make available inbound call. This is consistent with the plain publishers reflect legitimate differences telemarketing and referral services only language of the statute, including the in cost. to electronic publishing entities definition of ‘‘inbound telemarketing’’ 152. The statute requires that, to the providing services ‘‘comparable’’ to in section 274(i)(7), and with the extent a BOC markets property, goods or those of the BOC’s affiliate. To the legislative history interpreting section services related to the provision of extent that a BOC’s agreement with its 274(c)(2)(A). We also conclude, electronic publishing to a customer, or affiliated electronic publisher is limited however, consistent with the clear refers a customer to a separated affiliate, to certain types of marketing or referral language of the statute and with the electronic publishing joint venture or services, however, the BOC is then only House Report, that, to the extent a BOC affiliate during the normal course of its obligated to make the same types of provides inbound telemarketing or telemarketing operations, it must marketing or referral services available referral services for a separated affiliate, provide such marketing or referral to unaffiliated electronic publishers. electronic publishing joint venture, or services to all unaffiliated electronic 155. With respect to AT&T’s concern affiliate, it must make available ‘‘such publishers requesting such services, on that interpreting section 274(c)(2)(A) to services . . . to all electronic publishers nondiscriminatory terms. Thus, to the allow BOCs to ‘‘market’’ the electronic on request, on nondiscriminatory extent that a BOC provides referral publishing services of their separated terms.’’ Consistent with the legislative service if a customer has not initially affiliates would circumvent the joint history, this means that the BOC must independently requested a specific marketing prohibitions in section offer ‘‘the same service on the same referral to the BOC affiliate, a BOC must 274(c)(1), we find that the unambiguous terms and conditions, and prices to non- provide the names of all such statutory definition of ‘‘inbound affiliates as to its affiliates.’’ unaffiliated electronic publishers, as telemarketing’’ in section 274(i)(7), and 150. A BOC may choose to provide well as its own affiliated electronic the fact that the general prohibition in inbound telemarketing or referral publishers, in random order, to the section 274(c)(1) applies ‘‘except as services either pursuant to a contractual customer. A similar standard may also provided in paragraph (2) [274(c)(2)],’’ arrangement or during the normal be appropriate for particular inbound requires this interpretation. We note course of its inbound telemarketing telemarketing activities. We find that that the statutory language allows BOCs operations. To the extent a BOC chooses our interpretation is consistent with the to provide such marketing services only either or both of these approaches in intent of section 274(c)(2)(A) to ensure on nondiscriminatory terms, as providing inbound telemarketing or that a BOC providing inbound discussed above. In addition, while our referral services to a separated affiliate, telemarketing or referral services to a interpretation of the nondiscrimination electronic publishing joint venture or separated affiliate provides such requirement may serve as a disincentive affiliate, we conclude, based on the services on a nondiscriminatory basis to for certain BOCs to market the services nondiscrimination proviso in section all unaffiliated electronic publishers. of an affiliated electronic publisher on 274(c)(2)(A), that it must make available 153. We reject U S WEST’s argument an inbound call, we find that the the same approach to unaffiliated that imposing such a requirement on the statutory language compels this electronic publishers. BOCs with respect to referral services interpretation. 151. With regard to inbound would be overly burdensome. We note, 156. Finally, we conclude that section telemarketing or referral services for example, that BOCs currently are 274(c)(2)(A) prohibits outbound provided by a BOC to its separated subject to similar requirements in cases telemarketing or similar activities in affiliate, electronic publishing joint where a new local exchange customer of which a call is initiated by a BOC, its venture, or affiliate pursuant to a the BOC requests information regarding affiliate, or someone on its behalf. contractual arrangement, we find that interexchange service. In such cases, Because section 274(c)(2)(A), by its the BOC must make available the same BOCs are required, inter alia, to provide terms, applies only to ‘‘inbound terms, conditions, and prices for such customers with the names and, if telemarketing’’ or referral services 7710 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Rules and Regulations related to the provision of electronic are met and the requirements of section arrangements’’ are included under the publishing, we believe that Congress did 274 are otherwise satisfied, a BOC heading of ‘‘Joint Marketing’’ because not intend to permit BOCs to engage in should be free to enter into a teaming or such arrangements are one of the three outbound telemarketing activities in business arrangement with a separated categories of exceptions listed under adopting section 274(c)(2)(A). To the affiliate or electronic publishing joint that heading. extent that the statutory language leaves venture to jointly market electronic 163. PacTel argues that the any ambiguity on this question, the publishing services. NYNEX contends nondiscrimination requirement for House Report supports our that teaming arrangements provide teaming and other business interpretation that a BOC is prohibited another form of ‘‘one-stop shopping’’ for arrangements relates to how a BOC under section 274(c)(2)(A) from consumers and present minimal risk of provides facilities, services and basic engaging in outbound telemarketing. We anticompetitive behavior. PacTel argues telephone service information to also believe that allowing a BOC to that the language of section 274(c)(2)(B) electronic publishers, not to a BOC’s engage in outbound telemarketing is so broad that it includes any activity choice of teaming partners. Even if the activities to promote the electronic other than the provision of electronic nondiscrimination requirement were publishing services of its separated publishing itself, including promotion, interpreted to apply to a BOC’s choice affiliate would eviscerate the general marketing, sales and advertising of teaming partners, PacTel argues, a prohibition on BOC joint marketing activities. SBC argues that section BOC nevertheless would retain activities in section 274(c)(1)(A) of the 274(c)(2)(B) should be interpreted to discretion to team only with electronic Act. permit a BOC and its separated affiliate publishers that met its reasonable jointly to promote, market, sell, and standards. BellSouth similarly contends b. Teaming Arrangements—Section advertise their respective services that the nondiscrimination obligation of 274(c)(2)(B) pursuant to any form of business section 274(c)(2)(B) precludes a BOC (1) Background arrangement. from giving preference to the teaming or 160. Bell Atlantic argues that the term business arrangement in the conduct of 157. In the NPRM, we observed that, ‘‘teaming or business arrangements’’ as its regulated common carrier activities, in addition to certain joint telemarketing used in section 274(c)(2)(B) but does not impose on the BOC an activities, a BOC is permitted to engage encompasses myriad arrangements obligation to invest in a particular in ‘‘teaming’’ or ‘‘business which include, but are not limited to, entity. SBC argues that the arrangements’’ to provide electronic marketing proposals in which a BOC nondiscrimination requirement in publishing services under certain and an electronic publisher each section 274(c)(2)(B) ‘‘provide[s] conditions pursuant to section prepares its portion of a joint bid to a evenhandedness in the BOCs’ provision 274(c)(2)(B). Section 274(c)(2)(B) customer. BellSouth contends that a of marketing and other services to specifically states that a ‘‘[BOC] may teaming or business arrangement is [unaffiliated] electronic publishers.’’ engage in nondiscriminatory teaming or more substantial than a coordinated YPPA argues that the nondiscrimination business arrangements to engage in joint marketing or sales campaign or requirement means that a teaming electronic publishing with any joint bid preparation arrangement, given arrangement between a BOC and its separated affiliate or with any other the statute’s reference to BOC separated affiliate ‘‘cannot be markedly electronic publisher if (i) the [BOC] only ownership in section 274(c)(2)(B). YPPA different’’ from teaming arrangements provides facilities, services, and basic argues that teaming arrangements, made available to other electronic telephone service information as which it asserts were permissible under publishers. authorized by this section, and (ii) the the MFJ, are any arrangements whereby 164. NAA argues that, if a BOC uses [BOC] does not own such teaming or ‘‘two businesses act independently to its CPNI to provide ‘‘basic telephone business arrangement.’’ provide related products or services, but service information’’ as part of a 158. We sought comment in the coordinate their activities so that the teaming arrangement, it is subject to the NPRM on what types of arrangements customer obtains a ‘complete’ package privacy requirements in section 222 for are encompassed by the terms of the desired products or services.’’ access to and use of the CPNI. PacTel ‘‘teaming’’ or ‘‘business arrangements,’’ According to YPPA, ‘‘teaming’’ may states that section 274(c)(2)(B) allows a and on the significance of section include joint sales activities (including BOC to use CPNI as part of a teaming 274(c)(2)(B)’s placement under the joint planning for sales calls), through arrangement, consistent with section ‘‘Joint Marketing’’ provisions in section advertising, premise visits or 222 of the Act. PacTel therefore argues 274(c). We also sought comment on telemarketing.’’ that ‘‘BOCs can use CPNI with the type what regulations, if any, are necessary to 161. Conversely, Time Warner argues of telecommunications service from ensure that the arrangements in which that section 274(c)(2)(B) permits a BOC which the information was derived, and BOCs engage pursuant to section to engage in a non-BOC owned teaming with customer authorization can use it 274(c)(2)(B) are ‘‘nondiscriminatory,’’ or business arrangement to provide its with any service.’’ PacTel maintains and on how the provision of ‘‘basic electronic publishing affiliate with the that, to the extent that ‘‘basic telephone telephone service information’’ under necessary facilities and telephone service information’’ is also CPNI, that section relates to the requirements service for electronic publishing, section 222 of the Act and any in section 222 for access to and use of provided that such facilities and implementing regulations the CPNI. services are offered on a Commission adopts govern the use of nondiscriminatory basis pursuant to such information. To the extent such (2) Comments tariffed rates and conditions. information is not CPNI, but network 159. Ameritech, NAA, NYNEX, and 162. Bell Atlantic argues that, by information, PacTel argues that a BOC is PacTel generally argue that the terms placing section 274(c)(2)(B) under the required to share such information with ‘‘teaming’’ or ‘‘business arrangements’’ ‘‘Joint Marketing’’ provisions in section all electronic publishers with which the in section 274(c)(2)(B) contemplate a 274(c), Congress intended to clarify that BOC teams. SBC argues that, where broad range of permissible activities. ‘‘teaming or business arrangements’’ are information qualifies as both ‘‘basic Ameritech argues that, so long as all the not to be considered joint marketing telephone service information’’ under conditions under section 274(c)(2)(B) activities. PacTel argues that ‘‘teaming section 274(i)(3) as well as CPNI under Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Rules and Regulations 7711 section 222(f)(1), the terms of section sales, and advertising activities. In to unaffiliated electronic publishers. 274 should prevail over the general addition, unlike section 274(c)(2)(A), Under this interpretation, for example, a terms in section 222 of the Act. SBC section 274(c)(2)(B) contains no BOC would be prohibited from favoring points out that section 274 of the Act language that explicitly addresses a teaming arrangement with a separated contains no ‘‘approval’’ requirement as marketing. We therefore conclude that a affiliate over an arrangement with an a precondition for using, disclosing, or BOC participating in a teaming unaffiliated electronic publishing accessing basic telephone service arrangement may not market the provider in the provision of the BOC’s information. As such, SBC argues, a electronic publishing services of an facilities, services and basic telephone BOC should be permitted to use such electronic publishing provider with service information under section information without first obtaining which it teams. In addition, the 274(c)(2)(B). We agree with PacTel and approval under section 222(c)(1) when restrictions specifically set forth in BellSouth that section 274(c)(2)(B) of engaged in permissible teaming or section 274(c)(2)(B) would apply, i.e., the Act does not require a BOC to business arrangements. that such BOC only provide facilities, participate in a teaming arrangement services and basic telephone service (3) Discussion with, or to invest in, an electronic information as authorized by section publishing provider. Given that a 165. We decline at this time to adopt 274, that the BOC not ‘‘own’’ the ‘‘teaming arrangement’’ under section specific regulations clarifying the types teaming or business arrangement, and 274(c)(2)(B) contemplates that a BOC of arrangements that are contemplated that the teaming arrangement be may hold less than a 10 percent interest by the terms ‘‘teaming or business ‘‘nondiscriminatory.’’ in such arrangement, we believe that arrangements’’ in section 274(c)(2)(B) of 167. As noted above, a few Congress did not intend to compel a the Act. We conclude that those terms, commenters provide examples of the BOC to acquire such an interest in other which are not defined in the statute, types of activities they believe are arrangements simply because the BOC may encompass a broad range of permissible under section 274(c)(2)(B) has chosen to participate in a teaming permissible marketing activities because as a ‘‘teaming or business arrangement.’’ arrangement with an electronic section 274(c)(2)(B) imposes no explicit Bell Atlantic, for example, contends that publisher of its choice. In addition, we marketing limitations. At the same time, such arrangements include, but are not find that such an interpretation would however, this provision contains no limited to, marketing proposals in provide a disincentive for BOCs to language that operates to remove which a BOC and an electronic engage in teaming arrangements in business or teaming arrangements from publisher each prepares its portion of a contravention of the plain language of the scope of the prohibitions in section joint bid to a customer. In addition, section 274(c)(2)(B) and the pro- 274(c)(1). We thus find that Congress, in YPPA argues that a teaming competitive goals of the 1996 Act. including the general terms ‘‘teaming or arrangement is any arrangement business arrangements’’ in section whereby ‘‘two businesses act 169. We defer to our pending CPNI 274(c)(2)(B), did not intend to limit or independently to provide related proceeding the question of whether the expand the types of marketing activities products or services, but coordinate term ‘‘basic telephone service in which BOCs could engage under that their activities so that the customer information’’ as defined in section section other than those specifically obtains a ‘complete’ package of the 274(i)(3) of the Act includes CPNI as restricted or authorized elsewhere in desired products or services.’’ YPPA defined in section 222 of the Act. Based section 274 (e.g., in section 274(c)(1)). states, for example, that a BOC may on the definition of ‘‘basic telephone 166. Under section 274(c)(2)(B), engage in a teaming arrangement with a service information’’ in section therefore, a BOC providing separated affiliate whereby the BOC 274(i)(3), however, we conclude that the telecommunications services and the provides a customer with regulated term includes network information of electronic publishing provider with telephone service and the separated the BOC. We also defer to our CPNI which it teams are limited to marketing affiliate provides the same customer proceeding the issue of whether section their respective services. This with electronic publishing services. We 222 requires a BOC engaged in interpretation is supported by the plain conclude that nothing in the statute permissible marketing activities under language of section 274(c)(2)(B), which prohibits a BOC from engaging in the section 274(c)(2) to obtain customer generally provides that a BOC may types of activities proposed by these approval before using, disclosing, or engage in teaming or business commenters, so long as all of the permitting access to CPNI. In particular, arrangements if such BOC ‘‘only requirements of section 274, including we defer to that proceeding the issue of provides facilities, services, and basic section 274(c)(2)(B), are satisfied. To the whether or to what extent section telephone service information as extent issues arise in the future as to 274(c)(2)(B) of the Act imposes any authorized by [section 274].’’ Under this whether certain other activities are obligations on BOCs that use, disclose, interpretation, a BOC is permitted to permissible under section 274(c)(2)(B) or permit access to CPNI pursuant to a market only the facilities, services and as ‘‘teaming or business arrangements,’’ teaming arrangement. As noted above, basic telephone service information that we intend to address those issues on a however, the CPNI requirements the section 274(c)(2)(B) permits the BOC to case-by-case basis. Commission previously established in provide. This interpretation also is 168. We also conclude that section the Computer II and Computer III supported by a comparison of the text 274(c)(2)(B)’s requirement that a BOC proceedings remain in effect, pending in section 274(c)(2)(B) with the text of only engage in teaming or business the outcome of the CPNI proceeding, to sections 274(c)(2)(A) and (C), relating to arrangements that are the extent that they do not conflict with inbound telemarketing and electronic ‘‘nondiscriminatory’’ means that a BOC section 222 of the Act. Because we publishing joint ventures, respectively. may provide to the teaming arrangement conclude that ‘‘basic telephone service Unlike section 274(c)(2)(C), section the necessary facilities, services and information’’ under section 274(i)(3) 274(c)(2)(B) does not specifically permit basic telephone service information for includes network information, BOCs the authorized entity to engage in joint electronic publishing, provided that that provide network information as marketing activities otherwise such facilities, services and information part of a teaming arrangement are prohibited to the BOC by section are offered on a nondiscriminatory basis required to provide such information to 274(c)(1), i.e., promotion, marketing, both to other teaming arrangements and other teaming arrangements on a 7712 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Rules and Regulations nondiscriminatory basis pursuant to comment on how we should define an electronic publishing joint venture to section 274(c)(2)(B). ‘‘local’’ under section 274(c)(2)(C). 50 percent. 175. We decline at this time to adopt c. Electronic Publishing Joint 172. With regard to section any standards for determining which Ventures—Section 274(c)(2)(C) 274(c)(2)(C)’s provision allowing waiver of the 50 percent equity interest and entities constitute ‘‘small, local (1) Permissible Level of BOC Ownership revenue share limitation in the case of electronic publishers’’ for the purpose of Interest in Electronic Publishing Joint joint ventures with small, local applying the 80 percent threshold in Venture and Waiver for ‘‘Good Cause’’ electronic publishers for ‘‘good cause section 274(c)(2)(C) of the Act. While (a) Background shown,’’ we sought comment on the the House Report indicates that the term was intended to apply to publishers 170. Section 274(c)(2)(C) of the Act ‘‘good cause’’ showing that is required under that provision, and whether any serving communities of fewer than expressly permits a BOC or affiliate to 50,000 persons, it is difficult from a ‘‘participate on a nonexclusive basis in additional regulations are necessary to practical standpoint to define the electronic publishing joint ventures implement the provision. service area of such publishers, given with entities that are not a [BOC], (b) Comments that electronic publishing services, by affiliate, or separated affiliate to provide definition, contemplate the electronic publishing services.’’ The 173. The Joint Parties agree that a dissemination of information to the BOC or affiliate, however, may not hold minimum 10 percent equity interest or general public. Moreover, the term more than a 50 percent direct or indirect gross revenue share by a BOC is ‘‘small’’ may be defined based on a equity interest (or the equivalent sufficient to constitute ownership of an variety of standards, including the size thereof) or the right to more than 50 electronic publishing joint venture. of the community served, the gross percent of the voting control over the NAA states that a BOC must ‘‘own’’ an joint venture. In addition, officers and electronic publishing joint venture, revenues of the electronic publishing employees of a BOC or affiliate which means it must hold greater than entity, or other factors. Given the participating in an electronic publishing a 10 percent direct or indirect equity difficulties with establishing standards joint venture may hold no greater than interest in the venture, or have the right at this time for determining what 50 percent of the voting control over the to greater than 10 percent of the constitutes a ‘‘small, local electronic joint venture. The House Report clarifies venture’s gross revenues. NAA also publisher’’ under section 274(c)(2)(C), that this restriction prohibits officers points out that, except for joint ventures we conclude that it is best to clarify this and employees of a BOC from with small, local electronic publishers, phrase on a case-by-case basis. ‘‘collectively having more than 50 a BOC is limited to a minority stake in 176. With regard to the ‘‘good cause’’ percent of the voting control of the the electronic publishing joint venture. showing that is required for a BOC to venture.’’ In the NPRM, we tentatively NAA argues that we should not adopt hold a greater interest in an electronic concluded that a BOC is deemed to any standards at this time for publishing joint venture with a small, ‘‘own’’ an electronic publishing joint determining what constitutes a ‘‘small, local electronic publisher under section venture ‘‘if it holds greater than a 10 local electronic publisher’’ under 274(c)(2)(C) of the Act, one factor we percent but not more than a 50 percent section 274(c)(2)(C), but instead should may consider in determining whether a direct or indirect equity interest in the address the issue in the context of BOC has satisfied this standard is venture, or has the right to greater than specific waiver applications. NAA whether increased investment by the 10 percent but not more than 50 percent maintains that, in such cases, the ‘‘good BOC is necessary to enable the joint of the venture’s gross revenues.’’ We cause’’ showing that is required under venture to provide electronic publishing sought comment on that tentative section 274(c)(2)(C) would be satisfied services. In adopting section conclusion. by demonstrating that greater 274(c)(2)(C), we believe that Congress 171. Section 274(c)(2)(C) also participation by the BOC ‘‘is needed to intended, inter alia, to encourage market provides that, ‘‘[i]n the case of joint enable the [electronic publishing] participation by small, local electronic ventures with small, local electronic service to be provided to the public.’’ publishing entities in the provision of publishers, the Commission for good electronic publishing services by (c) Discussion cause shown may authorize [a BOC] or allowing a BOC to hold a greater affiliate to have a larger equity interest, 174. We conclude that a BOC may ownership interest in electronic revenue share, or voting control but not hold greater than a 10 percent but not publishing joint ventures with such to exceed 80 percent.’’ As we observed more than a 50 percent direct or indirect entities. We emphasize, however, that in the NPRM, although the term ‘‘small, equity interest in an electronic this is only one factor we may consider local electronic publisher’’ is not publishing joint venture under section in determining whether a BOC satisfies defined in the statute, the House Report 274(c)(2)(C) of the Act, or may have the the ‘‘good cause’’ standard under indicates that the term was intended to right to greater than 10 percent but not section 274(c)(2)(C), and that other apply to publishers serving more than 50 percent of the venture’s circumstances may exist that militate for communities of fewer than 50,000 gross revenues. Therefore, while a BOC or against a finding of ‘‘good cause.’’ We persons. We sought comment in the may ‘‘own’’ an electronic publishing thus conclude that the issue of what NPRM on how we should determine the joint venture, it is limited to a 50 constitutes ‘‘good cause’’ under section service area of a ‘‘small, local electronic percent stake in such venture. Our 274(c)(2)(C) should be addressed on a publisher’’ for the purpose of applying interpretation is consistent with the case-by-case basis in the context of fact- the 80 percent threshold. In addition, definition of ‘‘electronic publishing specific waiver applications. we sought comment on whether it joint venture’’ in section 274(i)(5) of the (2) BOC Participation on a would be consistent with congressional Act, which contemplates a degree of ‘‘Nonexclusive’’ Basis intent to adopt additional standards for ownership by a BOC or affiliate, the determining which electronic definition of ‘‘own’’ in section 274(i)(8), (a) Background publishers are subject to the 80 percent and with the plain language of section 177. In the NPRM, we also sought threshold, and, if so, what such 274(c)(2)(C), which restricts a BOC’s comment on what regulations, if any, standards should be. We also sought ownership or revenue share interest in are necessary to ensure that a BOC Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Rules and Regulations 7713 participates in an electronic publishing other electronic publishing joint Act contemplates the provision by an joint venture on a ‘‘nonexclusive’’ basis. ventures. We note, however, that while electronic publishing joint venture of We noted that this provision appears to section 274(c)(2)(C) of the Act electronic publishing services that are prohibit arrangements whereby a BOC proscribes these types of exclusive disseminated by means of the BOC or participates in an electronic publishing arrangements, it does not prevent a BOC BOC affiliate’s basic telephone service. joint venture with an electronic from agreeing with its joint venture Moreover, nothing in section 274(a) publishing entity to the exclusion of all partner to exclude other parties from indicates that Congress intended to other such entities. We also sought that particular venture. In addition, we prohibit a BOC participating in an comment on whether the provision find that section 274(c)(2)(C) does not electronic publishing joint venture from prohibits contracts between a BOC and require that an electronic publishing requiring that the joint venture purchase an electronic publisher whereby the joint venture be open to any and all basic telephone service exclusively from electronic publisher is committed to potential venture participants, nor does the BOC. purchase basic transmission services it preclude a BOC from exercising its necessary to provide electronic business judgment regarding its joint (3) Interplay Between Section publishing exclusively from such BOC, venture partners. As noted above, 274(c)(1)(B) and Section 274(c)(2)(C) or whether the provision contemplates because an ‘‘electronic publishing joint (a) Background other types of prohibitions. venture’’ as defined in section 274(i)(5) 182. We noted in the NPRM that the of the Act, contemplates some degree of (b) Comments joint marketing prohibitions in section BOC ownership, a BOC should be 274(c)(1) of the Act appear not to apply 178. BellSouth, NAA, and NYNEX allowed to retain discretion regarding its to an electronic publishing joint argue that the ‘‘nonexclusive’’ joint venture partners. Requiring a BOC venture. We also sought comment on requirement in section 274(c)(2)(C) to take an ownership interest in a joint the extent to which section 274(c)(2)(C), precludes a BOC from entering into an venture in which it was not free to which allows a BOC to participate in electronic publishing joint venture with select its partner would discourage electronic publishing joint ventures one entity to the exclusion of all others. BOCs from participating in such PacTel similarly states that a BOC and ventures and restrict competition in the under certain conditions, permits a BOC its affiliate are prohibited under the provision of electronic publishing to market jointly with an electronic provision from entering into an services. publishing joint venture in light of other agreement that either prohibits other 180. We also find that the provisions in section 274 that prohibit parties from participating in the joint ‘‘nonexclusive’’ requirement in section certain marketing activities. We noted, venture or precludes the BOC or its 274(c)(2)(C) of the Act does not require for example, that section 274(b)(6) affiliate from participating in other a BOC or BOC affiliate to participate in prohibits an electronic publishing joint electronic publishing joint ventures more than one electronic publishing venture from using the ‘‘name, with other parties. BellSouth states, joint venture. As BellSouth points out, trademark, or service marks of an however, that a BOC is not obligated to such an interpretation could be viewed existing [BOC]’’ for the marketing of any participate in more than one electronic as precluding a BOC from product or service, while section publishing joint venture. BellSouth and consummating an electronic publishing 274(c)(2)(A) permits a BOC to provide NAA also argue that the provision does joint venture arrangement with its joint inbound telemarketing services for, not preclude a BOC from insisting, as a venture partner until the BOC had among other things, an electronic condition of its participation in the located and negotiated with another publishing joint venture, but only under electronic publishing joint venture, that partner with whom to establish a joint certain conditions. In addition, we the joint venture purchase basic venture. A BOC thus may refuse to sought comment in the NPRM on the transmission services exclusively from participate in a second electronic distinction, if any, between the term the BOC in order to provide electronic publishing joint venture that is ‘‘carry out’’ in sections 274(c)(1)(A) and publishing services. NAA and PacTel proposed to it after it has entered into (B), which set forth the general contend that the provision does not an electronic publishing joint venture marketing prohibitions on BOCs, and require an electronic publishing joint with another unaffiliated entity. Given the term ‘‘provide’’ in section venture to be open to all, nor does it that Congress, in adopting section 274 of 274(c)(2)(C). prelude a BOC from exercising its the Act, sought to promote competition (b) Comments business judgment regarding its joint in the provision of electronic publishing venture partners. services by allowing BOCs to provide 183. A number of commenters argue such services subject to certain that section 274(c)(2)(C) is an exception (c) Discussion safeguards, we conclude that section to the general joint marketing 179. We conclude that the section 274(c)(2)(C) was not intended to require prohibitions in section 274(c)(1) of the 274(c)(2)(C) requirement that a BOC or a BOC to participate in more than one Act and thus permits a BOC to provide affiliate participate in an electronic electronic publishing joint venture. promotion, marketing, sales and publishing joint venture on a Such a requirement could restrict advertising services to an electronic ‘‘nonexclusive’’ basis prohibits a BOC or competitive entry into the provision of publishing joint venture. SBC argues affiliate from entering into an agreement electronic publishing services by that, because section 274(c)(2)(C) with its joint venture partner that hampering BOC participation in authorizes a BOC participating in an precludes either entity from electronic publishing joint ventures. electronic publishing joint venture to participating in other such ventures 181. We also conclude that section ‘‘provide promotion, marketing, sales, or with other parties. The ‘‘nonexclusive’’ 274(c)(2)(C) does not preclude a BOC advertising personnel and services,’’ the requirement in section 274(c)(2)(C) from requiring an electronic publishing venture itself may be staffed by BOC protects against the potential that a BOC joint venture to purchase basic marketing and sales personnel. could place competing local exchange transmission services exclusively from Ameritech argues that joint marketing providers at a competitive disadvantage the BOC as a condition of the BOC’s activities otherwise prohibited under by preventing its joint venture partners participation in the joint venture. The section 274(c)(1) are permitted to the from aligning with such providers in express language of section 274(a) of the extent they come under one of the three 7714 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Rules and Regulations categories of permissible joint marketing publishing joint venture to provide any other electronic publisher or any activities in section 274(c)(2) of the Act. ‘‘promotion, marketing, sales or separated affiliate engaged in electronic NAA argues that section 274(c)(2)(C) advertising personnel and services’’ to publishing.’’ Prior to the Act, electronic permits a BOC to market jointly with an such joint venture. publishing services were regulated as electronic publishing joint venture 187. Given the plain language of enhanced services and were subject to subject to the restrictions in section section 274(c)(2)(C), which allows a the nondiscrimination requirements 274(b)(6) on use of names and BOC participating in an electronic established under the Commission’s trademarks. In addition, NAA contends publishing joint venture to provide Computer II and Computer III regimes. that the use of the terms ‘‘carry out’’ in ‘‘promotion, marketing, sales or Under Computer III and Open Network section 274(c)(1) and ‘‘provide’’ in advertising personnel and services’’ to Architecture, BOCs have been permitted section 274(c)(2)(C) was not intended to such joint venture, we agree with SBC to provide enhanced services on an limit the services a BOC may perform that an electronic publishing joint integrated basis. Moreover, BOCs have for an electronic publishing joint venture may be staffed by BOC been required to provide at tariffed rates venture. marketing and sales personnel. nondiscriminatory interconnection to 184. Conversely, Time Warner argues Moreover, we agree with NAA that use unbundled network elements used to that a BOC is prohibited from jointly of the terms ‘‘carry out’’ in section provide enhanced services. marketing its local exchange services 274(c)(1) and ‘‘provide’’ in section 190. We concluded in the NPRM that with the electronic publishing services 274(c)(2)(C) was not intended to limit the Computer III/ONA requirements of an electronic publishing joint the services a BOC may perform for an should continue to apply to the extent venture, and vice versa. According to electronic publishing joint venture. To that such requirements are not Time Warner, if a joint venture were the contrary, based on the more specific inconsistent with the Act. We sought permitted to jointly market its electronic language of the statute, which allows comment on whether the requirements publishing services with the BOC’s local BOC provision of marketing personnel of Computer III/ONA are consistent exchange services, ‘‘the ability to as well as services, we conclude that with the nondiscrimination leverage the BOC’s local exchange section 274(c)(2)(C) contemplates a requirements of section 274(d). To the monopoly into the electronic publishing broader range of BOC marketing extent that commenters argue that the market would remain.’’ activities than those proscribed in Computer III/ONA requirements are 185. Bell Atlantic contends that section 274(c)(1) of the Act. inconsistent, we sought comment on sections 274(b)(6) and (c)(2)(A) of the 188. We also conclude that section whether and to what extent regulations Act do not affect the right of a BOC to 274(c)(2)(C) does not override the are necessary to implement section provide marketing services for an general prohibition in section 274(b)(6) 274(d). electronic publishing joint venture. of the Act on the use of ‘‘name, 191. We also tentatively concluded in According to Bell Atlantic, the statute trademarks, or service marks of an the NPRM that section 274(d) prohibits prohibits the joint venture, not the BOC, existing [BOC]’’ by an electronic BOCs under common ownership or from using the BOC’s name, trademark publishing joint venture and a BOC for control with a separated affiliate or or service marks. To the extent the BOC the marketing of any product or service electronic publishing joint venture from is providing services to the joint of the joint venture. Nothing in section providing volume discounts, term venture, Bell Atlantic argues, it is free 274 of the Act indicates that Congress discounts, or other preferential rates for to use its own name, trademark and intended section 274(c)(2)(C) to provide basic telephone service to electronic service marks. Bell Atlantic also an exception to the broad restriction in publishers. In reaching this tentative maintains that it is subject to the section 274(b)(6) on the use of an conclusion, we reasoned that any such conditions on inbound telemarketing in existing BOC’s name, trademarks and discount would be unlawful because section 274(c)(2)(A) of the Act to the service marks. As such, to the extent a section 274(d) prohibits BOCs from extent it performs inbound BOC engages in marketing activities providing basic telephone services to telemarketing activities for a joint permissible under section 274(c)(2)(C) some electronic publishers at rates that are ‘‘higher on a per-unit basis’’ than venture. of the Act, it must still comply with rates charged to other electronic (c) Discussion section 274(b)(6), as well as all other publishers. We also tentatively applicable provisions in section 274. 186. We conclude that section concluded that section 274(d) does not For example, we agree with Bell 274(c)(2)(C) provides an exception to require BOCs to file tariffs for services Atlantic that a BOC is subject to the the general joint marketing prohibitions that no longer are subject to tariff conditions in section 274(c)(2)(A) of the imposed on BOCs in section 274(c)(1) of regulation. Finally, we sought comment Act to the extent it performs inbound the Act. As some commenters point out, on the meaning of the requirement that telemarketing activities for an electronic the introductory clause in section access and interconnection be provided publishing joint venture. 274(c)(1) of the Act indicates that to electronic publishers ‘‘at just and subsections (c)(1)(A) and (B) prohibit D. Nondiscrimination Safeguards reasonable rates that are tariffed (so long BOCs from carrying out certain types of as rates for such services are subject to 1. Background joint marketing activities ‘‘[e]xcept as regulation).’’ provided in [section 274(c)(2)].’’ 189. Section 274(d) requires a BOC Therefore, while section 274(c)(1)(B) of ‘‘under common ownership or control 2. Comments the Act might otherwise be interpreted with a separated affiliate or electronic 192. The parties generally agree that to prohibit a BOC from carrying out publishing joint venture [to] provide the language of section 274(d) is joint marketing activities with an network access and interconnections for sufficiently clear and that there is no electronic publishing joint venture, basic telephone service to electronic need for the Commission to adopt section 274(c)(2)(C) provides a clear publishers at just and reasonable rates additional rules to implement this exception that allows a BOC to engage that are tariffed (so long as rates for such provision of the statute. If the in such activities. In particular, section services are subject to regulation) and Commission nonetheless adopts rules to 274(c)(2)(C) of the Act expressly permits that are not higher on a per-unit basis implement section 274(d), Cincinnati a BOC participating in an electronic than those charged for such services to Bell would exempt ‘‘any LEC with less Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Rules and Regulations 7715 than 2% of the nation’s access lines.’’ cost savings. PacTel further asserts that 199. We also conclude that the MCI contends that the BOCs, in a group of minutes of use, when sold Computer III/ONA requirements are complying with section 274(d), must together as a block, could constitute a consistent with the requirements of provide competitors with ‘‘functional unit, which presumably would cost less section 274(d). The parties have not equality or service of equal quality than buying the minutes of use indicated that there is any inconsistency relative to the services the BOCs provide individually. It thus asserts that BOCs between the nondiscrimination their affiliates.’’ may continue to create reasonable units requirements of Computer III/ONA and 193. In addition, the commenters or groups of services, and must only section 274(d). Section 274(d), generally agree that the Computer III/ offer such units to all electronic moreover, does not repeal or otherwise ONA nondiscrimination requirements publishers at the same price. affect the Computer III/ONA are consistent with section 274(d), but 196. Time Warner also argues that the requirements. they disagree on whether we should requirement that rates be just and 200. We recognize, however, that continue to apply these requirements to reasonable and nondiscriminatory section 274(b) imposes certain structural BOC intraLATA electronic publishing should apply independently of any separation requirements on BOC services. Some of the BOCs argue that decision to reduce or eliminate tariff provision of electronic publishing application of the Computer III/ONA filing requirements. In order to enforce services. Under our current regulatory requirements is unnecessary because this requirement in the event of regime, a BOC must comply fully with section 274 imposes a separate affiliate detariffing, Time Warner contends that the Computer II separate subsidiary requirement on BOCs that is similar to the Commission should require BOCs to requirements in providing an the structural separation requirements file with the Commission, and furnish to information service to be relieved of the of Computer II. Ameritech supports any electronic publisher upon request, a obligation to file a Comparably Efficient elimination of the Computer III/ONA list of rates charged to electronic Interconnection (CEI) plan to provide requirements, claiming that they ‘‘were, publishers. Several BOCs, on the other that service on an integrated basis and are, simply a solution in search of hand, argue that filing a rate list is pursuant to Computer III. The record in a problem.’’ Other commenters, in unnecessary because, under section this proceeding, however, is insufficient contrast, support retaining the 274(b)(3)(B), if a particular service is not to support a finding, as NYNEX Computer III/ONA requirements. Time subject to tariffing requirements, the proposes, that BOC electronic Warner argues that, although the transaction must be reduced to writing publishing services that are offered Computer III/ONA requirements ‘‘have and made publicly available. Moreover, through a section 274 separated affiliate not been useful to enhanced service some commenters note that, since satisfy all the relevant requirements of providers,’’ these requirements will be section 274(d) does not require BOCs to Computer II. Instead, we will consider more effective if combined with the file tariffs for services that are no longer this issue, as well as issues raised structural separation and subject to tariff filing requirements, a regarding the revision or elimination of nondiscrimination requirements of separate rate list requirement would be the Computer III/ONA requirements, in section 274. MCI and AT&T observe that both inconsistent with the statute and the context of the Computer III Further there is no evidence that Congress overly regulatory. Remand proceeding. We conclude, intended to displace the Computer III/ 197. PacTel and YPPA further argue therefore, that Computer II, Computer ONA requirements for electronic that, once the rates for basic telephone III, and ONA requirements continue to publishing services, although MCI states service are no longer subject to govern the BOCs’ provision of that the requirements are ‘‘inadequate to regulation, section 274(d) is no longer intraLATA electronic publishing prevent discrimination.’’ applicable. These commenters contend services. We also note that the 194. With regard to preferential rates, that the Commission detariffs services nondiscrimination requirements of AT&T and Time Warner agree with our when it determines that competition section 274(d) apply to the BOCs’ tentative conclusion that section 274(d) will keep rates just and reasonable, and provision of both intraLATA and prohibits BOCs under common therefore that the market, rather than interLATA electronic publishing ownership or control with a separated tariff filings or other regulatory services. affiliate or electronic publishing joint requirements, will ensure that rates are 201. We further conclude that section venture from providing volume and just and reasonable. 274(d) prohibits preferential rates, term discounts for network access and including volume or term discounts. 3. Discussion interconnections for basic telephone This section expressly requires that a service to electronic publishers. They 198. We decline to adopt rules to BOC under common ownership or contend that, because the rates charged implement section 274(d), based on the control with a separated affiliate or to one electronic publisher must not be record before us; we will reconsider this electronic publishing joint venture must higher on a ‘‘per-unit basis’’ than the decision if circumstances warrant. We provide other electronic publishers rates charged to other electronic find that the language of section 274(d) network access and interconnections for publishers, the statute requires uniform is sufficiently clear to ensure that BOCs basic telephone service at rates ‘‘that are rates for such services. A number of provide unaffiliated electronic not higher on a per-unit basis than those BOCs, on the other hand, argue that publishers with network access and charged for such services’’ to its own volume and term discounts are interconnections for basic telephone affiliates or other competing electronic permitted so long as the BOC offers the service that are equal in quality, and at publishers. We conclude from the plain same discount to other electronic nondiscriminatory terms, relative to language of the statute that Congress publishers on the same terms and those it provides to electronic intended that BOCs under common conditions. publishers affiliated with the BOC. We ownership or control with a separated 195. PacTel also argues that Congress reject MCI’s contention, however, that affiliate or electronic publishing joint did not define the term ‘‘units’’ for section 274(d) is a guarantee of venture must charge electronic purposes of calculating per-unit rates. functional equivalence for unaffiliated publishers a uniform per-unit rate for a PacTel notes that it provides transport electronic publishers. We find that service. We find further support for this in units such as DS0, DS1, and DS3, neither the statute nor its legislative interpretation in a floor statement that which are priced differently based on its history supports such an interpretation. Congressman Hyde made regarding the 7716 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Rules and Regulations purpose of the amendment that would have a different base unit. We proceeding to seek additional comments contained the ‘‘not higher on a per-unit reject, however, PacTel’s argument that on the meaning of section 274(b)(3)(B). basis’’ language: a group of minutes of use, for example, IV. Telemessaging In the development of the manager’s could constitute a unit, unless such a amendment to be offered by Chairman Bliley, group of minutes is both the smallest A. Application of Sections 260 and 272 the Judiciary Committee has worked closely unit of minutes offered to electronic to BOC InterLATA Telemessaging with the Commerce Committee to improve publishers and accommodates the needs Services H.R. 1555 in areas that are of particular of small electronic publishers. In this 1. Background concern to, and under the jurisdiction of the manner, such a group of minutes would Judiciary Committee. * * * Under the neither constitute a volume discount 208. We stated in our NPRM that manager’s amendment, the Bell companies nor disadvantage small electronic section 260 sets forth various will be required to provide services to small publishers. requirements for the provision of electronic publishers at the same per-unit 205. We also adopt our tentative telemessaging service by LECs subject to prices that they give to larger publishers. This the requirements of section 251(c), i.e., will allow the small newspapers and other conclusion that section 274(d) does not electronic publishers to bring the information require BOCs to file tariffs for services incumbent LECs. The Commission’s superhighway to rural areas that might that are not subject to rate regulation. current rules permit BOCs to provide otherwise be passed by. Section 274(d) is clear that BOCs subject telemessaging services on an integrated to the requirements in this section file basis, subject to the Computer III/ONA 141 Cong. Rec. H8292–93 (daily ed. tariffs for services only ‘‘so long as rates requirements. Other LECs have been Aug. 2, 1995) (statement of Rep. Hyde, for such services are subject to permitted to provide telemessaging Chairman of the House Committee on regulation.’’ No commenter disagrees services subject only to the the Judiciary) (emphasis added) with this conclusion. requirements of sections 201 and 202, 202. We conclude, however, that 206. In addition, we reject the which apply to all common carriers, section 274(d) only prohibits discounts argument that, because competition will including the BOCs. The NPRM also for network access and interconnections be sufficient to ensure that a detariffed recognized that section 260 does not for basic telephone service used in the service’s rates are just and reasonable, distinguish between intraLATA and provision of electronic publishing section 274(d) is inapplicable to such interLATA provision of telemessaging services. Thus, under this section, BOCs services. We find that the ‘‘just and services. We therefore sought comment may offer discounts for the provision of reasonable’’ and ‘‘per-unit’’ on whether section 260 applies to BOC such services to an electronic publisher requirements in section 274(d) are provision of telemessaging services, for use in any of its other non-electronic independent of the requirement that both on an intraLATA and interLATA publishing activities. Otherwise, an rates be tariffed ‘‘so long as rates for basis. We also noted that, in the Non- entity that engages in electronic such services are subject to regulation.’’ Accounting Safeguards NPRM, we publishing as well as other activities Thus, the section 274(d) tentatively concluded that would be prohibited from obtaining a nondiscrimination requirements will telemessaging is an information service volume discount or term discount for continue to apply, regardless of whether subject to the separate affiliate and any basic telephone service it purchases the service is tariffed or no longer nondiscrimination requirements of for any of its activities, whether or not subject to regulation, until the sunset section 272 and, therefore, we related to its electronic publishing date of this provision in February, 2000. tentatively concluded that BOC services. There is no indication that 207. We decline at this time to provision of interLATA telemessaging Congress intended to prohibit such address Time Warner’s argument that services is subject to the requirements of discounts for an electronic publisher’s the Commission should require BOCs to section 272 in addition to the non-electronic publishing activities, file rates for network access and requirements of section 260. We sought thereby putting such electronic interconnections for basic telephone comment on whether, if we decided not publisher at a competitive disadvantage service provided to electronic to adopt this tentative conclusion, BOCs vis-a-vis its non-electronic publishing publishers even after elimination of providing telemessaging services on competitors. tariff filing requirements. We note that either an intraLATA or interLATA basis 203. Moreover, we find that section BOCs currently are required to file state would be subject only to the 274(d) does not require a BOC under and federal tariffs for ONA services, requirements of section 260. common ownership or control with a which are the tariffed services generally separated affiliate or electronic used by enhanced service providers, 2. Comments publishing joint venture to charge such as electronic publishers, to provide 209. Commenters generally agree that electronic publishers the same per-unit their services to customers. The section 260 applies to all incumbent price for different services, particularly Commission will determine whether LEC provision of telemessaging, both on when those services use different additional filing or regulatory an intraLATA and interLATA basis. facilities and impose different costs on requirements are necessary if and when Commenters disagree, however, on the BOCs. Ignoring such cost disparities a service that is currently subject to whether BOC provision of interLATA for providing different services would tariff filing requirements is detariffed. telemessaging services is subject to both remove the incentive to use the most Further, several BOCs stated that section sections 272 and 260. MCI, U S WEST, efficient service and could increase 274(b)(3)(B) eliminates the need for and Voice-Tel state that BOC provision costs for all electronic publishers as additional regulatory requirements of interLATA services is subject to both well as hamper competition in the because under that section, if a sections 272 and 260, because electronic publishing market. particular service is not subject to telemessaging service is an ‘‘information 204. We agree with PacTel that the tariffing requirements, the transaction service’’ and thus falls within the terms statute does not define the term ‘‘units,’’ between a BOC and its separated of section 272(a)(2)(C). BellSouth and for purposes of calculating per-unit affiliate or joint venture must be PacTel agree with this point, but argue rates. BOCs, therefore, may charge a flat pursuant to a written contract that is that Congress, in enacting a separate rate or, in the alternative, a rate based publicly available. As discussed below, provision for telemessaging services, did on usage for a service, each of which we are issuing a Further NPRM in this not intend BOC provision of interLATA Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Rules and Regulations 7717 telemessaging services to be subject to definition of ‘‘enhanced’’ services, services.’’ Section 202(a), in contrast, the requirements of section 272. because they do not employ ‘‘computer prohibits ‘‘any unjust or unreasonable processing applications.’’ See BellSouth 3. Discussion discrimination * * *, or * * * any at 26. We concluded in the Non- undue or unreasonable preference or 210. We conclude that section 260 Accounting Safeguards Order that live advantage’’ by common carriers applies to all incumbent LEC provision operator services ‘‘are an example of one providing interstate communications of telemessaging services, both on an area in which the ‘information service’ services. Because the section 260(a)(2) intraLATA and interLATA basis. We definition is broader than that of nondiscrimination bar, unlike that of find that neither the statute nor its ‘enhanced services.’ ’’ Non-Accounting legislative history evinces an intent by section 202(a), is not qualified by the Safeguards Order at ¶§ 145 n.342. We terms ‘‘unjust and unreasonable,’’ we Congress to distinguish between BOCs will determine whether any individual conclude that Congress did not intend and other LECs, or between intraLATA service is a ‘‘telemessaging service’’ or section 260(a)(2) to be synonymous with and interLATA services. Moreover, ‘‘ancillary service’’ as necessary on a the nondiscrimination standard in because we concluded in the case-by-case basis. We note that Commission’s Non-Accounting BellSouth asks us to clarify that live section 202(a), but intended a more Safeguards Order that telemessaging operator services do not fall within the stringent standard. This conclusion is service is an ‘‘information service,’’ BOC Commission’s definition of ‘‘enhanced’’ consistent with our interpretation of provision of telemessaging service on an services, because they do not employ similar language in sections 251(c)(2) interLATA basis is subject to the ‘‘computer processing applications.’’ and 272(c)(1). We therefore reject claims requirements of section 272 in addition See BellSouth at 26. We concluded in that section 260(a)(2) merely duplicates to the requirements of section 260. the Non-Accounting Safeguards Order the nondiscrimination bar of section B. Definition of ‘‘Telemessaging that live operator services ‘‘are an 202(a) for the provision of telemessaging Service’’ example of one area in which the services by incumbent LECs. ‘information service’ definition is 1. Background 217. We also conclude that section broader than that of ‘enhanced 260(a)(2) is not a guarantee of functional 211. Section 260(c) defines services.’ ’’ equivalence for unaffiliated ‘‘telemessaging service’’ as ‘‘voice mail C. Nondiscrimination Requirements telemessaging providers, as Voice-Tel and voice storage and retrieval services, contends. We find that neither the any live operator services used to 1. Section 260(a)(2) and Sections 201 statute nor its legislative history record, transcribe, or relay messages and 202 supports such an interpretation. We (other than telecommunications relay a. Background services), and any ancillary services note that the Joint Explanatory offered in combination with these 214. Section 260(a)(2) provides that Statement states only that section services.’’ We sought comment in the an incumbent LEC ‘‘shall not prefer or 260(a)(2) prohibits incumbent LECs NPRM on whether rules are necessary to discriminate in favor of its ‘‘from discriminating against clarify any ambiguities in this telemessaging service operations in its nonaffiliated entities with respect to the definition. We also sought comment on provision of telecommunications terms and conditions of any network the types of services contemplated by services.’’ We sought comment in the services they provide to their own the term ‘‘ancillary services.’’ NPRM on the extent to which section telemessaging operations.’’ To the extent 260(a)(2) imposes greater obligations on that competitors require different 2. Comments LECs providing telemessaging services telecommunications services than the 212. None of the commenters than currently exist under sections 201 LEC provides to its own telemessaging identifies any ambiguities in the and 202 of the Act. operations, we note that other definition of ‘‘telemessaging service’’ in b. Comments nondiscrimination requirements in the section 260(c). Some commenters state Act and analogous state 215. Some commenters assert that generally that the language of section nondiscrimination laws may apply to section 260(a)(2) imposes greater 260 is clear and that no rules are needed such requests. In addition, the to implement this provision. ATSI states obligations on LECs providing Commission’s ONA rules require the that ‘‘ancillary services’’ are ‘‘all value- telemessaging services than currently BOCs and GTE to unbundle network added services in addition to those exist under sections 201 and 202 of the primary [telemessaging] services, Act, based on the broad, unqualified services useful to enhanced service offered by telemessagers to the language in section 260(a)(2). Some of providers. communications customer.’’ ATSI lists the BOCs, however, disagree, asserting 2. Section 260(a)(2) and Computer III/ specific examples, but recommends that section 260(a)(2) merely duplicates ONA Requirements against establishing a comprehensive the requirements of sections 201 and list of primary or ancillary 202 for incumbent LEC provision of a. Background telemessaging services, since new telemessaging services. Voice-Tel 218. We concluded in the NPRM that services are created as technology and contends that, in complying with the nondiscrimination requirements of consumer demands change. section 260(a)(2), ‘‘it is not sufficient for Computer III/ONA should continue to the interconnections offered to be 3. Discussion comparable if the result is that the apply to the extent they are not 213. We conclude that the definition competitor is put at any disadvantage.’’ inconsistent with section 260(a)(2). We of ‘‘telemessaging service’’ in section sought comment on whether the 260(c) is sufficiently clear and therefore c. Discussion nondiscrimination provisions of decline to establish an exclusive list of 216. As noted above, section 260(a)(2) Computer III/ONA are consistent with ‘‘telemessaging services’’ or ‘‘ancillary states that an incumbent LEC ‘‘shall not section 260(a)(2), and whether these services.’’ We note that BellSouth asks prefer or discriminate in favor of its provisions should be applied only to the us to clarify that live operator services telemessaging service operations in its BOCs or to all incumbent LECs to fulfill do not fall within the Commission’s provision of telecommunications the requirements of section 260(a)(2). 7718 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Rules and Regulations b. Comments interLATA telemessaging services, as argue, in contrast, that, if Congress had 219. Most commenters agree that the well as other incumbent LECs’ provision intended to establish a separate affiliate Computer III/ONA nondiscrimination of telemessaging services. The parties requirement, it would have expressly requirements are consistent with section have not indicated that there is any said so, as it did for certain information 260(a)(2) and assert that these inconsistency between the services in section 272 and for requirements should continue to apply nondiscrimination requirements of electronic publishing services in section to BOC intraLATA telemessaging Computer III/ONA and section 274. services. MCI and AT&T observe that 260(a)(2). Section 260(a)(2), moreover, c. Discussion does not repeal or otherwise affect the there is no evidence that Congress 226. We conclude that no rules are intended to displace the Computer III/ Computer III/ONA requirements. We will consider in the Commission’s necessary to implement section ONA requirements for telemessaging 260(a)(2), based on the record before us; services. Similarly, ATSI asserts that Computer III Further Remand proceeding whether the Computer III/ we will reconsider this decision if ‘‘[s]ection 260 is not limited by existing circumstances warrant. We therefore rules or other provisions of the Act.’’ ONA requirements need to be revised or eliminated. For the same reason, we also decline to adopt the specific rules The commenters disagree, however, on proposed by certain commenters. whether the current scope of the decline to extend the Computer III/ONA requirements to entities other than 227. In particular, we decline to Computer III/ONA requirements should impose a separate affiliate requirement be extended to include all incumbent BOCs, as recommended by some commenters. on all incumbent LECs providing LECs, not just the BOCs. Cincinnati Bell telemessaging services. We find that the asserts that the Computer III/ONA 3. Section 260(a)(2) and Adoption of safeguards expressly established by requirements should not be extended Rules Congress in section 260 are sufficient to beyond their current scope, while a. Background guard against discriminatory behavior PacTel and U S WEST argue that they by incumbent LECs in favor of their own should be extended to include all 222. We sought comment in the telemessaging operations. In addition, incumbent LECs. AT&T would extend NPRM on whether and what types of we find it significant that Congress the Computer III/ONA requirements to specific regulations may be necessary to limited the separate affiliate all incumbent LECs ‘‘possess[ing] implement section 260(a)(2). requirement in section 272 to BOC substantial market power as a result of b. Comments provision of interLATA information [their] bottleneck control over local services (including interLATA exchange facilities in a significant 223. The BOCs argue that the telemessaging services), interLATA service area (e.g., SNET, GTE, and other language of section 260(a)(2) is telecommunications services, and Tier I LECs),’’ while USTA would sufficiently clear and thus there is no manufacturing, and in section 274 to exempt small and mid-sized LECs from need for the Commission to adopt rules BOC provision of electronic publishing these requirements. to implement this provision. ATSI and services. 220. Several commenters argue that Voice-Tel, on the other hand, argue that 228. Further, we conclude that the the Computer III/ONA requirements the Commission should adopt rules to scope of section 260(a)(2) is limited, by should be revised or eliminated. implement section 260(a)(2). Voice-Tel its terms, to the provision of Although MCI supports continued states that Commission rules will ensure ‘‘telecommunications services,’’ which, application of the Computer III/ONA that complaints of discrimination are as defined in section 3(46) of the Act, requirements, it states that they ‘‘are treated consistently and will help the does not include marketing-related inadequate to prevent access Commission administer the Act activities. Accordingly, we reject Voice- discrimination.’’ Ameritech supports efficiently. SBC argues that any rules Tel’s argument that marketing is elimination of the Computer III/ONA adopted by the Commission must apply included within the scope of 260(a)(2). requirements, claiming that they ‘‘were, to all incumbent LECs, while Cincinnati and are, simply a solution in search of Bell would exempt any LEC with less V. Final Regulatory Flexibility a problem.’’ Bell Atlantic argues that the than two percent of the nation’s access Certification Computer III/ONA rules are lines. 229. The Commission certified in the unnecessary, given that price caps and 224. Voice-Tel argues that the ‘‘broad NPRM that the conclusions it proposed sections 202(a) and 251 ‘‘fully protect language’’ of the nondiscrimination to adopt would not have a significant against discrimination.’’ requirement in section 260(a)(2) ‘‘makes economic impact on a substantial any discrimination in pricing or other number of small entities because the c. Discussion behavior unlawful,’’ including the proposed conclusions did not pertain to 221. We conclude that the Computer marketing of voice messaging services. small entities. No comments were III/ONA requirements are consistent Some BOCs, on the other hand, argue submitted in response to the with the requirements of section that the scope of section 260(a)(2) is Commission’s request for comment on 260(a)(2). We affirm our conclusion, limited to the provision of its certification. For the reasons stated therefore, that Computer III/ONA ‘‘telecommunications services,’’ which, below, we certify that the conclusions requirements continue to govern the as defined in section 3(46) of the Act, adopted herein will not have a BOCs’ provision of intraLATA does not include marketing-related significant economic impact on a telemessaging services. In addition, we activities. substantial number of small entities. note that the Commission’s Computer II 225. Voice-Tel also would require all This certification conforms to the requirements also continue to govern incumbent LECs to establish a separate Regulatory Flexibility Act (RFA), as BOC provision of intraLATA affiliate to provide telemessaging amended by the Small Business information services, including services, in order to ensure that Regulatory Enforcement Fairness Act of telemessaging. We also note that the incumbent LECs comply with section 1996 (SBREFA). nondiscrimination requirements of 260(a)(2). Voice-Tel claims that nothing 230. The RFA provides that the term section 260(a)(2) apply to the BOCs’ in the Act prevents the Commission ‘‘small business’’ has the same meaning provision of both intraLATA and from imposing this measure. The BOCs as the term ‘‘small business concern’’ Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Rules and Regulations 7719 under the Small Business Act. The that there are fewer than 1,347 small separation, joint marketing, and Small Business Act defines a ‘‘small incumbent LECs that may be affected by nondiscrimination requirements business concern’’ as one that is the conclusions adopted in this Order. prescribed by that section. BOCs that independently owned and operated; is 233. The Commission adopts the were offering electronic publishing not dominant in its field of operation; conclusions in this Order to ensure the services at the time the 1996 Act was and meets any additional criteria prompt implementation of sections 260 enacted have until February 8, 1997, to established by the Small Business and 274 of the Act. Section 260 permits meet those requirements, which expire Administration (SBA). SBA has not incumbent LECs, including the BOCs, to on February 8, 2000. Because section developed a definition of ‘‘small provide telemessaging service subject to 274 applies only to BOCs, which, as incumbent LECs.’’ The closest certain nondiscrimination safeguards. noted above, do not fall within the applicable definition under SBA rules is We certify that although there may be a SBA’s definition for a ‘‘small business for Standard Industrial Classification substantial number of small incumbent concern,’’ the conclusions we adopt in (SIC) code 4813 (Telephone LECs affected by the conclusions this Order implementing this section Communications, Except adopted in this Order to implement have no significant economic impact on Radiotelephone). The SBA has section 260, these conclusions will not a substantial number of small entities. prescribed the size standard for a ‘‘small have a significant economic impact on 238. The Commission shall send a business concern’’ under SIC code 4813 those affected small incumbent LECs. copy of this certification, along with this as 1,500 or fewer employees. 234. We decline to elaborate on the Order, in a report to Congress pursuant 231. The conclusions we adopt in this definition of ‘‘telemessaging service’’ to the SBREFA, 5 U.S.C. 801(a)(1)(A). A Order to implement section 274 apply prescribed by Congress or to establish a copy of this certification will also be only to the BOCs which, because they list of services that fall within section provided to the Chief Counsel for are large corporations that are dominant 260(c), for the reasons set forth in Part Advocacy of the Small Business in their field of operation and have more IV.B. Because we take no action Administration, and will be published than 1,500 employees, do not fall within pursuant to section 260(c) in this Order, in the Federal Register. the SBA’s definition for a ‘‘small there will be no significant economic VI. Final Paperwork Reduction business concern.’’ The conclusions we impact on a substantial number of small Analysis adopt pursuant to section 260, however, entities. apply to all incumbent LECs. Some of 235. Our conclusion that section 239. As required by the Paperwork these incumbent LECs may have fewer 260(a)(2) imposes a more stringent Reduction Act of 1995, Public Law 104– than 1,500 employees and thus meet the standard for determining whether 13, the NPRM invited the general public SBA’s size standard to be considered discrimination is unlawful than that and the OMB to comment on proposed ‘‘small.’’ Because such incumbent LECs, which already exists under sections 201 changes to the Commission’s however, are either dominant in their and 202 and applies to all incumbent information collection requirements field of operations or are not LECs will not have a significant contained in the NPRM. Specifically, independently owned and operated, economic impact on small incumbent the Commission proposed to extend consistent with our prior practice, they LECs. Incumbent LECs, including small various reporting requirements, which are excluded from the definition of incumbent LECs, are subject to other apply to the BOCs under Computer III, ‘‘small entity’’ and ‘‘small business nondiscrimination requirements in the to all incumbent LECs pursuant to concerns.’’ Accordingly, our use of the Act and state law and therefore already section 260(a)(2). OMB approved all of terms ‘‘small entities’’ and ‘‘small are required to respond to complaints of the proposed changes to the businesses’’ does not encompass small discriminatory behavior or limit their Commission’s information collection incumbent LECs. Out of an abundance participation in discriminatory requirements in accordance with the of caution, however, for regulatory activities. We therefore find that the Paperwork Reduction Act. In approving flexibility analysis purposes, we will impact on incumbent LECs, including the proposed changes, OMB consider small incumbent LECs within small incumbent LECs, of the more ‘‘encourage[d] the [Commission] to this analysis and use the term ‘‘small stringent standard of section 260(a)(2) investigate the potential for sunsetting incumbent LECs’’ to refer to any will most likely be minimal. these requirements as competition and incumbent LECs that arguably might be 236. Our decision not to extend the other factors allow.’’ defined by SBA as ‘‘small business Computer III/ONA nondiscrimination 240. In this Order, the Commission concerns.’’ requirements to all incumbent LECs, as adopts none of the changes to our 232. With respect to section 260, the well as our decision not to adopt rules information collection requirements most reliable source of information implementing the nondiscrimination proposed in the NPRM. We therefore regarding the number of LECs requirement of section 260(a)(2), as need not address the OMB’s comment, nationwide of which we are aware noted in Section IV.C, will prevent any although we note that our decision is appears to be the data that we collect significant economic impact on consistent with the OMB’s annually in connection with the incumbent LECs, particularly small recommendation. Telecommunications Relay Service incumbent LECs. Thus, although their 241. We conclude, however, that to (TRS). According to our most recent conduct will be subject to the the extent a BOC refers a customer to a data, 1,347 companies reported that requirements of section 260, small separated affiliate, electronic publishing they were engaged in the provision of incumbent LECs will be spared the joint venture or affiliate during the local exchange services. Although it regulatory burdens and economic normal course of its telemarketing seems certain that some of these carriers impact of complying with additional operations, the BOC must refer that are not independently owned and rules. customer to all unaffiliated electronic operated, or have more than 1,500 237. Section 274 of the Act allows publishers requesting the referral employees, we are unable at this time to BOCs to provide electronic publishing service, on nondiscriminatory terms. As estimate with greater precision the service disseminated by means of its part of this requirement, BOCs must number of LECs that would qualify as basic telephone service only through a provide the names of all such small business concerns under SBA’s ‘‘separated affiliate’’ or an ‘‘electronic unaffiliated electronic publishers, as definition. Consequently, we estimate publishing joint venture’’ that meets the well as its own affiliated electronic 7720 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Rules and Regulations publishers, in random order, to the Federal Communications Commission. Morse Signal Devices customer. Implementation of this William F. Caton, National Security Service requirement is subject to OMB approval Acting Secretary. New York State Department of Public Service (New York Commission) as prescribed by the Paperwork Note: This Attachment will not appear in Newspaper Association of America (NAA) Reduction Act. the Code of Federal Regulations. NYNEX Corporation (NYNEX) VII. Ordering Clauses Attachment—List of Commenters in CC Pacific Telesis Group (PacTel) Docket No. 96–152 Peak Alarm People of the State of California/California 242. Accordingly, It is ordered that Alarm Detection Systems, Inc. PUC (California Commission) pursuant to sections 1, 2, 4, 201, 202, Alarm Industry Communications Committee Per Mar Security Services Alert Holding Group, Inc. 260, 274 and 303(r) of the Post Alarm Systems Ameritech Communications Act of 1934, as Rodriguez, Francisco amended, 47 U.S.C. 151, 152, 154, 201, Association of Directory Publishers (ADP) Association of Telemessaging Services Safe Systems 202, 260, 274, and 303(r), the Report International (ATSI) Safeguard Alarms, Inc. and Order is Adopted, and the AT&T Corporation (AT&T) SBC Communications, Inc. (SBC) clarification and interpretation Atlas Security Service, Inc. SDA Security Systems, Inc. contained herein will become effective Bell Atlantic Telephone Companies (Bell Security Systems by Hammond, Inc. Sentry Alarm Systems of America, Inc. March 24, 1997. The collection of Atlantic) BellSouth Corporation (BellSouth) Sentry Protective Systems information contained within is Checkpoint Ltd. Smith Alarm Systems contingent upon approval by the OMB. Cincinnati Bell Telephone (Cincinnati Bell) Superior Monitoring Service, Inc. 243. It is further ordered that the Commercial Instruments & Alarm Systems, SVI Systems, Inc. Secretary shall send a copy of this Inc. Time Warner Cable (Time Warner) Commonwealth Security Systems, Inc. United States Telephone Association (USTA) Report and Order, including the final ElectroSecurity Corporation U S West, Inc. (U S WEST) regulatory flexibility certification, to the Entergy Technology Holding Company Valley Burglar & Fire Alarm Co., Inc. Chief Counsel for Advocacy of the Small George Alarm Company, Inc. Vector Security Business Administration, in accordance Information Industry Association (IIA) Voice-Tel with paragraph 605(b) of the Regulatory Joint Parties (Bell Atlantic and Newspaper Wayne Alarm Systems Association of America) Yellow Pages Publishers Association (YPPA) Flexibility Act, 5 U.S.C. 601 et seq. MCI Telecommunications Corporation (MCI) Merchant’s Alarm Systems [FR Doc. 97–4020 Filed 2–19–97; 8:45 am] Midwest Alarm BILLING CODE 6712±01±P 7721

Proposed Rules Federal Register Vol. 62, No. 34

Thursday, February 20, 1997

This section of the FEDERAL REGISTER Service, U.S. Department of Agriculture, against radiological sabotage required contains notices to the public of the proposed Room 2230–S, 1400 Independence for public health and safety. issuance of rules and regulations. The Avenue, SW., STOP 1522, Washington, DATES: Submit comments by May 6, purpose of these notices is to give interested DC 20250–1522. RUS requires, in hard 1997. Comments received after this date persons an opportunity to participate in the copy, a signed original and 3 copies of rule making prior to the adoption of the final will be considered if it is practical to do rules. all comments (7 CFR 1700.30(e)). so, but the Commission is able to assure Comments will be available for public consideration only for comments inspection during regular business received on or before this date. DEPARTMENT OF AGRICULTURE hours at Room 4034, South Building, ADDRESSES: Comments may be sent to: U.S. Department of Agriculture, Secretary, U.S. Nuclear Regulatory Rural Utilities Service Washington, DC 20250 between 8:00 Commission, Washington, DC 20555– a.m. and 4:00 p.m. (7 CFR part 1.27(b)). 0001. Attention: Docketing and Service 7 CFR Part 1710 FOR FURTHER INFORMATION CONTACT: F. Branch. RIN 0572±AB30 Lamont Heppe, Jr., Director, Program Deliver comments to: 11555 Rockville Support and Regulatory Analysis, Rural Pike, Rockville, Maryland, between 7:30 Pre-Loan Procedures for Electric Utilities Service, U.S. Department of am and 4:15 pm on Federal workdays. Loans Agriculture, Room 2230–S, 1400 For information on submitting Independence Avenue, SW., STOP comments electronically, see the AGENCY: Rural Utilities Service, USDA. 1522, Washington, DC 20250–1522. discussion under Electronic Access in ACTION: Proposed rule. Telephone: 202–720–0736. FAX: 202– the Supplementary Information Section. 720–4120. E-mail: [email protected]. Certain documents related to this SUMMARY: The Rural Utilities Service rulemaking, including comments SUPPLEMENTARY INFORMATION: (RUS) is proposing a minor amendment See the received, may be examined at the NRC to its pre-loan procedures that will Supplementary Information provided in Public Document Room, 2120 L Street clarify that use of a conventional utility the direct final rule located in the final NW. (Lower Level), Washington, DC. indenture as a security instrument for rules section of this Federal Register for These same documents may also be loans to power supply borrowers is the applicable supplementary viewed and downloaded electronically permissible. This amendment will give information on this action. via the Electronic Bulletin Board these borrowers and RUS the flexibility Authority: 7 U.S.C. 901 et seq. established by NRC for this rulemaking to address the complex issues Dated: February 10, 1997. as discussed under Electronic Access in surrounding power supply loans in the Jill Long Thompson, the Supplementary Information Section. rapidly changing electric industry. The Under Secretary, Rural Development. FOR FURTHER INFORMATION CONTACT: Dr. rule will also enhance loan security and, [FR Doc. 97–3991 Filed 2–19–97; 8:45 am] Sandra Frattali, Office of Nuclear by conforming more closely to private BILLING CODE 3410±15±P Regulatory Research, U.S. Nuclear lending practice, allow easier access to Regulatory Commission, Washington, private sector financing. DC 20555–0001, telephone (301) 415– In the final rules section of this 6261, e-mail [email protected]. Federal Register, RUS is publishing this NUCLEAR REGULATORY action as a direct final rule without COMMISSION SUPPLEMENTARY INFORMATION: prior proposal because RUS views this 10 CFR Part 73 Background as a noncontroversial action and In a memorandum dated September 3, anticipates no adverse comments. If no RIN 3150±AF53 1991 (COMFR–91–005), the adverse comments are received in Commission requested the NRC staff to response to the direct final rule, no Changes to Nuclear Power Plant Security Requirements re-examine the security requirements further action will be taken on this associated with an internal threat to proposed rule and the action will AGENCY: Nuclear Regulatory nuclear power plants that are contained become effective at the time specified in Commission. in 10 CFR Part 73, ‘‘Physical Protection the direct final rule. If RUS receives ACTION: Proposed rule. of Plants and Materials.’’ The NRC staff adverse comments, a document will be completed its re-examination and published withdrawing the effective SUMMARY: The Nuclear Regulatory recommended some changes in 10 CFR date of the direct final rule and all Commission (NRC) is proposing to Part 73 to the Commission (SECY–92– public comments received will be revise its regulations to delete certain 272, August 4, 1992). In a Staff addressed in a subsequent final rule security requirements associated with Requirements Memorandum dated based on this action. Any parties an internal threat. This action follows November 5, 1992, the Commission interested in commenting on this action reconsideration by the NRC of nuclear directed the NRC staff to work with the should do so at this time. power plant physical security Nuclear Management and Resources DATES: Comments on this proposed requirements to identify those Council (NUMARC) now known as the action must be received March 24, 1997. requirements that are marginal to safety, Nuclear Energy Institute (NEI). ADDRESSES: Written comments should redundant, or no longer effective. This Following three public meetings with be sent to F. Lamont Heppe, Jr., action would reduce the regulatory NUMARC, the NRC staff recommended Director, Program Support and burden on licensees without to the Commission (SECY–93–326, Regulatory Analysis, Rural Utilities compromising physical protection December 2, 1993) additional changes to 7722 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules

Part 73 that would provide significant weapon on site. Further, removing and not jeopardized. Because contractors relief to licensees without handling the guard’s weapon could and licensees are subject to the same compromising the physical security of present a personnel safety risk. programs required for unescorted the plants. In a Staff Requirements This proposed rule would allow access, there is no reason to employ Memorandum dated February 18, 1994, armed security guards who are on duty more stringent badge control the Commission directed the NRC staff and have exited the protected area on requirements for contractor employees. to proceed with a rulemaking. official business to reenter the protected This proposed rule would allow area without being searched for firearms Discussion contractor employees to take their (by a metal detector). Unarmed guards badges offsite under the same Seven areas in Part 73 were identified and watchpersons would continue to conditions that apply to licensee as candidates for modification through meet all search requirements. All guards employees. rulemaking. One of the recommended would continue to be searched for changes, relating to access of personnel explosives and incendiary devices 4. Maintenance of Access Lists for Each and materials into reactor containments because they are not permitted to carry Vital Area (§ 73.55(d)(7)(i)(A)). during periods of high traffic, has been these devices into the plant. Maintaining separate access lists for addressed by a separate rulemaking. 2. Requirements for Vehicle Escort each vital area and reapproval of these This recommended change was adopted § (73.55(d)(4)). lists on a monthly basis is of marginal in a final rule published on September value. At many sites, persons granted The present requirement for a 7, 1995 (60 FR 46497). Six other changes access to one vital area also have access searched, licensee-owned vehicle originally considered for this to most or all vital areas. Therefore, within the protected area to be escorted rulemaking were the subject of Generic licensees presently derive little by a member of the security Letter 96–02 issued February 13, 1996. additional benefit from maintaining organization, even when the driver is This generic letter identified certain discrete lists of individuals allowed badged for unescorted access, does not areas in which licensees might choose access to each separate vital area in the contribute significantly to the security to revise their physical security plans facility. Also, licensee managers or without having to wait for issuance of of the plant. Under the current regulations, all vehicles must be supervisors are required to update the the rule plan. One of these (discussed in access lists at least once every 31 days detail later), an option to leave vital area searched prior to entry into the protected area except under emergency to add or delete individuals from these doors unlocked provided certain lists when appropriate. There is also a compensatory measures are taken, has conditions. Further, all vehicles must be escorted by a member of the security requirement to reapprove the list every been reconsidered in light of recent 31 days. However, reapproval of all tampering events. Consequently, that organization upon entry into the protected area except for ‘‘designated individuals on the lists at least every 31 change is not being proposed in this days, to validate that the lists have been rulemaking. licensee vehicles.’’ Designated licensee vehicles are those vehicles that are maintained in an accurate manner is The five remaining changes being unnecessarily burdensome. addressed in this proposed rulemaking limited in their use to onsite plant functions and remain in the protected This rulemaking would replace are as follows: separate access authorization lists for 1. Search requirements for on-duty area except for operational, each vital area of the facility by a single guards, § 73.55(d)(1); maintenance, repair, security, and 2. Requirements for vehicle escort, emergency purposes. Under this listing of all persons who have access to § 73.55(d)(4); requirement, those licensee-owned any vital area. 3. Control of contractor employee vehicles that are not ‘‘designated The proposed rulemaking would also badges, § 73.55(d)(5); licensee vehicles’’ must be escorted at change the requirement that the list 4. Maintenance of access lists for each all times while in the protected area must be reapproved at least once every vital area, § 73.55(d)(7)(i)(A); and even when they are driven by personnel 31 days to quarterly. The reapproval 5. Key controls for vital areas, with unescorted access. consists of a review to ensure that the § 73.55(d)(8). This proposed rule would eliminate list is current and that only those the requirement for escort of licensee- individuals requiring routine access to a 1. Search Requirements for On-duty owned vehicles entering the protected vital area are included. Because of the Guards (§ 73.55(d)(1)). area for work-related purposes provided requirement for a manager or supervisor Under current regulations, armed that these vehicles are driven by to update the list at least every 31 days, security guards who leave the protected licensee employees who have conducting this comprehensive area as part of their duties must be unescorted access. (This amendment reapproval every 31 days is of marginal searched for firearms, explosives, and would still preclude periodic entry of a value. Comments from the public are incendiary devices upon re-entry into delivery truck without an escort.) This requested on the question of the benefits the protected area. Requiring a guard to change would provide burden relief to of separating the update and reapproval go through an explosives detector or licensees without significantly requirements. searching packages carried by the guard increasing the level of risk to the plant. 5. Key Controls for Vital Areas protects against the introduction of (§ 73.55(d)(8)). contraband. Because an armed guard 3. Control of Contractor Employee carries a weapon on site, passage of the Badges (§ 73.55(d)(5)). Under current regulations, licensees guard through the metal detector, the Contractor employees with change or rotate all keys, locks, principal purpose of which is to detect unescorted access are required to return combinations, and related access control firearms, serves little purpose. The their badges when leaving the protected devices at least once every twelve guard has to either remove the weapon area. Current regulatory practice allows months. Because the rule also requires while passing through the detector or be licensee employees to leave the that these be changed whenever there is subject to a hand search. Either protected area with their badges if a possibility of their being approach makes little sense for the adequate safeguards are in place to compromised, requiring change at least guard who is authorized to carry a ensure that the security of the badge is every 12 months has been determined Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules 7723 by the NRC to be only marginal to Electronic Access are not allowed; all you will see is a list security. Comments may be submitted of files without descriptions (normal This proposed rule would remove the electronically, in either ASCII text or Gopher look). An index file listing all requirement for change every 12 months WordPerfect format (version 5.1 or files within a subdirectory, with while retaining the requirement for later), by calling the NRC Electronic descriptions, is available. There is a 15- changing for cause, when an access Bulletin Board (BBS) on FedWorld. The minute time limit for FTP access. control device has been compromised or bulletin board may be accessed using a Although FedWorld also can be there is a suspicion that it may be personal computer, a modem, and one accessed through the World Wide Web, like FTP, that mode only provides compromised. of the commonly available communications software packages, or access for downloading files and does Locking of Vital Areas directly via Internet. Background not display the NRC Rules Menu. For more information on NRC bulletin documents on the rulemaking are also As noted earlier, Generic Letter 96– boards call Mr. Arthur Davis, Systems available, as practical, for downloading 02, described, among other things, Integration and Development Branch, and viewing on the bulletin board. conditions under which licensees could NRC, Washington, DC 20555–0001, leave vital areas unlocked. Specifically, If using a personal computer and modem, the NRC rulemaking subsystem telephone (301) 415–5780; e-mail to leave a vital area unlocked, the [email protected]. licensee would have had to ensure that on FedWorld can be accessed directly by dialing the toll free number (800) the area is equipped with an alarmed Environmental Impact: Categorical 303–9672. Communication software access control system that will alarm on Exclusion parameters should be set as follows: unauthorized entry; ensure that the The Commission has determined that parity to none, data bits to 8, and stop doors to the area can be locked this proposed rule is the type of action bits to 1 (N,8,1). Using ANSI or VT–100 remotely; continue to maintain a record described as a categorical exclusion in terminal emulation, the NRC of personnel access; to examine for 10 CFR 51.22(c)(3)(i). Therefore, neither rulemaking subsystem can then be explosives, with equipment specifically an environmental impact statement nor accessed by selecting the ‘‘Rules Menu’’ designed for that purpose, all hand- an environmental assessment has been option from the ‘‘NRC Main Menu.’’ carried packages entering any protected prepared for this proposed rule. Users will find the ‘‘FedWorld Online area within which there is an unlocked User’s Guides’’ particularly helpful. Paperwork Reduction Act Statement vital area; and to demonstrate a Many NRC subsystems and data bases capability to protect against an external This proposed rule amends 1 also have a ‘‘Help/Information Center’’ information collection requirements that adversary. This change was considered option that is tailored to the particular for inclusion in this rulemaking but as are subject to the Paperwork Reduction subsystem. Act of 1995 (44 U.S.C. 3501 et seq.). a result of recent events, it has been The NRC subsystem on FedWorld can rejected. If vital areas are unlocked but This rule has been submitted to the also be accessed by a direct dial phone Office of Management and Budget for alarmed, the response to an entry by an number for the main FedWorld BBS, unauthorized individual could require a review and approval of the paperwork (703) 321–3339, or by using Telnet via requirements. considerable time and level of effort to Internet: fedworld.gov. If using (703) assure that important equipment was Because the rule will reduce existing 321–3339 to contact FedWorld, the NRC information collection requirements, the not damaged. Maintaining VA doors subsystem will be accessed from the public burden for this collection of locked limits the number of people who main FedWorld menu by selecting the information is expected to be decreased have access to the area and ensures that ‘‘Regulatory, Government by 102 hours per licensee. This personnel who enter are identified. Administration and State Systems,’’ reduction includes the time required for In July and August of this year, then selecting ‘‘Regulatory Information reviewing instructions, searching tampering events were discovered Mall.’’ At that point, a menu will be existing data sources, gathering and within vital areas of a reactor. The first displayed that has an option ‘‘U.S. maintaining the data needed, and search missed significant tampering Nuclear Regulatory Commission’’ that completing and reviewing the collection with safety-related switches. If vital will take you to the NRC Online main of information. The NRC is seeking areas are unlocked but alarmed, an entry menu. The NRC Online area also can be public comment on the potential impact by an unauthorized individual, accessed directly by typing ‘‘/go nrc’’ at of the collection of information deliberate or inadvertent, could require a FedWorld command line. If you access contained in the proposed rule and on a considerable level of effort to assure NRC from FedWorld’s main menu, you the following issues: that important equipment was not may return to FedWorld by selecting the 1. Is the proposed collection of damaged. It is also uncertain that such ‘‘Return to FedWorld’’ option from the information necessary for the proper alarms would always initiate the level of NRC Online Main Menu. However, if performance of the functions of the response needed to evaluate the safety you access NRC at FedWorld by using NRC, including whether the information systems within the impacted vital area. NRC’s toll-free number, you will have will have practical utility? In addition, most safety equipment is full access to all NRC systems but you 2. Is the estimate of burden accurate? automatic and rapid access to vital areas will not have access to the main 3. Is there a way to enhance the is generally not required. Thus, this FedWorld system. quality, utility, and clarity of the option of leaving a vital area unlocked If you contact FedWorld using Telnet, information to be collected? is no longer being considered. you will see the NRC area and menus, 4. How can the burden of the including the Rules Menu. Although collection of information be minimized, 1 Generic Letter 96–02 (February 13, 1996) you will be able to download including the use of automated identified those areas in which licensees might documents and leave messages, you will collection techniques? choose to revise their security plans without having not be able to write comments or upload Send comments on any aspect of this to wait for the issuance of the rule changes. One change would have provided the option of not files (comments). If you contact proposed collection of information, locking the doors to a vital area provided that the FedWorld using FTP, all files can be including suggestions for further security of the plant would not be compromised. accessed and downloaded but uploads reducing the burden, to the Information 7724 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules and Records Management Branch (T–6 needed for escort is 3 hours, and the cost(including overhead) of $45 per F33), U.S. Nuclear Regulatory cost per hour for security personnel is hour. A rough estimate of the potential Commission, Washington, DC 20555– $30 (loaded), a rough estimate of the savings per site per year is about $360 0001, or by Internet electronic mail at potential savings per site per year is (8 hrs/year ×$45/hr). With 75 sites, the [email protected]; and to the Desk about $330,000 (10 escorts/day/site × savings to the industry per year would Officer, Office of Information and 365 days/year × 3 hrs/escort × $30/hr). be approximately $27,000. Regulatory Affairs, NEOB–10202, With 75 sites, the savings to the Regulatory Flexibility Certification (3150–0002), Office of Management and industry per year would be Budget, Washington, DC 20503. approximately $24,000,000. As required by the Regulatory Comments to OMB on the collections Flexibility Act as amended, 5 U.S.C. of information or on the above issues 3. Control of Contractor Employee 605(b), the Commission certifies that should be submitted by March 24, 1997. Badges (§ 73.55(d)(5)). this proposed rule, if adopted, would Comments received after this date will The regulatory burden on licensees not have a significant economic impact be considered if it is practical to do so, would be reduced by more effective use on a substantial number of small but assurance of consideration cannot of security personnel, who would no entities. This proposed rule would affect be given to comments received after this longer be needed to handle badges for only licensees authorized to operate date. contractor personnel who have nuclear power reactors. These licensees unescorted access. There would be no do not fall within the scope of the Public Protection Notification reduction in plant security because definition of ‘‘small entities’’ set forth in The NRC may not conduct or sponsor, adequate safeguards would be in place the Regulatory Flexibility Act, or the and a person is not required to respond to ensure that the security of the badge Small Business Size Standards set out in to, a collection of information unless it is not jeopardized. regulations issued by the Small displays a currently valid OMB control Assuming that one security person Business Administration Act, 13 CFR number. per working day (8 hours) is relieved Part 121. from the duties of controlling contractor Regulatory Analysis employees badges and that the cost per Backfit Analysis A discussion of each of the five hour for security personnel is $30 The Commission has determined that changes proposed in this rule is (loaded), a rough estimate of the the backfit rule, 10 CFR 50.109, does not provided in the supplementary potential savings per site per year is apply to this proposed amendment information section. The costs and about $88,000 (8 hours/day ×365 days/ because this amendment would not benefits for each of the changes year ×$30 hr). With 75 sites, the savings impose new requirements on existing 10 proposed in this rulemaking are as to the industry per year would be CFR Part 50 licensees. The proposed follows: approximately $6,600,000. changes to physical security are voluntary and should the licensee 1. Search Requirements for On-duty 4. Maintenance of Access Lists for Each decide to implement this amendment, Guards (§ 73.55(d)(1)). Vital Area (§ 73.55(d)(7)(i)(A)). will be a reduction in burden to the The regulatory burden on licensees The regulatory burden on licensees licensee. Therefore, a backfit analysis would be reduced by eliminating would be reduced because licensees has not been prepared for this unnecessary weapon searches of guards would have to keep only one access list amendment. who are already allowed to carry a for all vital areas and reapprove it weapon, which would result in better quarterly, rather than keep individual List of Subjects in 10 CFR Part 73 utilization of licensee resources. There access lists for each vital area that must Criminal penalties, Hazardous would be no reduction in plant security be reapproved monthly. materials transportation, Export, Import, because the potential for reduction in Assuming that the time to reapprove Nuclear materials, Nuclear power plants security personnel hours does not each of the individual lists is 1 hour per and reactors, Reporting and impact the total size of the security month, that a combined list would take recordkeeping requirements, Security force. Further, the potential safety risk 1.5 hours per month, that the average measures. to personnel caused by removing and number of vital areas per site is 10, and For the reasons set out in the handling a guard’s weapon would be that the cost of a clerk including preamble and under the authority of the eliminated. overhead is $30 per hour (loaded), a Atomic Energy Act of 1954, as amended; rough estimate of the potential savings 2. Requirements for Vehicle Escort the Energy Reorganization Act of 1974, per site per year is about $3,420 [(1×10 (73.55(d)(4)). as amended; and 5 U.S.C. 553; the NRC vital areas/month ×12 months/yr—1.5 is proposing to adopt the following The regulatory burden on licensees ×1 combined vital area/quarter ×4 amendments to 10 CFR Part 73. would be reduced by requiring fewer quarters/yr) ×$30/hr]. With 75 sites, the vehicle escorts which would allow savings to the industry per year would PART 73ÐPHYSICAL PROTECTION OF personnel to be utilized more be approximately $256,500. PLANTS AND MATERIALS effectively. Resources could be redirected to areas in which they would 5. Key Controls for Vital Areas 1. The authority citation for Part 73 be more cost effective. The decrease in (§ 73.55(d)(8)). continues to read as follows: security would be marginal because The regulatory burden on the Authority: Secs. 53, 161, 68 Stat. 930, 948, unescorted access would be restricted to licensees would be reduced because as amended, sec. 147, 94 Stat. 780 (42 U.S.C. vehicles owned by the licensee and fewer resources would be needed to 2073, 2167, 2201); sec. 201, as amended, 204, driven by licensee employees with maintain the system. 88 Stat. 1242, as amended, 1245 sec. 1701, unescorted access. Assuming that of the approximately 106 Stat. 2951, 2952 (42 U.S.C. 5841, 5844, Assuming the number of entries by 60 locks per year, half of them had been 2297f). licensee-owned vehicles driven by changed for cause, leaving 30 locks Section 73.1 also issued under secs. personnel having unescorted access is unchanged which would take a 135, 141, Pub. L. 97–425, 96 Stat. 2232, 10-per-day per-site, the average time locksmith one day to change at a 2241 (42 U.S.C. 10155, 10161). Section Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules 7725

73.37(f) also issued under sec. 301, Pub. areas without escort provided that he or written policies under section 303(a) of L. 96–295, 94 Stat. 789 (42 U.S.C. 5841 she displays a licensee-issued picture the Riegle Community Development and note). Section 73.57 is issued under sec. badge upon entrance into the protected Regulatory Improvement Act of 1994 606, Pub. L. 99–399, 100 Stat. 876 (42 area which indicates: (CDRIA) the FDIC is proposing to amend U.S.C. 2169). (i) Non-employee—no escort required; its regulation addressing ‘‘least cost 2. Section 73.55 is amended by (ii) Areas to which access is resolutions’’ to correct a typographical revising paragraphs (d)(1), (d)(4), (d)(5), authorized; and error. The provisions of the regulation (d)(7)(i)(A), and (d)(8) to read as follows: (iii) The period for which access has relating to the security interests of been authorized. Federal Home Loan Banks (Banks) in § 73.55 Requirements for physical * * * * * protection of licensed activities in nuclear FDIC-administered receiverships, is power reactors against radiological (7) * * * being removed because of its limited sabotage. (i) * * * applicability and the federal statutory (A) Establish a current authorization protections provided to the Banks make * * * * * access list for all vital areas. The access (d) * * * it unnecessary to continue to address list must be updated by the cognizant the issues contained therein by (1) The licensee shall control all licensee manager or supervisor at least points of personnel and vehicle access regulation. To the extent specific issues once every 31 days and must be arise regarding the Banks’ extensions of into a protected area. Identification and reapproved at least quarterly. The search of all individuals unless credit or security interests in FDIC- licensee shall include on the access list administered receiverships, they can be otherwise provided herein must be only individuals whose specific duties made and authorization must be addressed on a case by case basis within require access to vital areas during the existing statutory structure. checked at these points. The search nonemergency conditions. function for detection of firearms, DATES: Comments must be submitted on explosives, and incendiary devices must * * * * * or before April 21, 1997. (d)(8) All keys, locks, combinations, be accomplished through the use of both ADDRESSES: Send written comments to and related access control devices used firearms and explosive detection the Office of the Executive Secretary, to control access to protected areas and equipment capable of detecting those Federal Deposit Insurance Corporation, vital areas must be controlled to reduce 550 17th Street, N.W., Washington, D.C., devices. The licensee shall subject all the probability of compromise. persons except bona fide Federal, State, 20429. Comments may be hand- Whenever there is evidence or suspicion delivered to Room F–400, 1776 F Street, and local law enforcement personnel on that any key, lock, combination, or official duty to these equipment N.W. 20429, on business days between related access control devices may have 8:30 a.m. and 4:30 p.m.; sent by searches upon entry into a protected been compromised, it must be changed area. Armed security guards who are on facsimile: (202) 898–3838; or by or rotated. The licensee shall issue keys, Internet: [email protected]. duty and have exited the protected area locks, combinations and other access on official business may reenter the Comments may be inspected and control devices to protected areas and photocopied in the FDIC Public protected area without being searched vital areas only to persons granted for firearms. Information Center, Room 100, 801 17th unescorted facility access. Whenever an Street, N.W., Washington, D.C. 20429, * * * * * individual’s unescorted access is (4) All vehicles, except under between 9:00 a.m. and 4:30 p.m. on revoked due to his or her lack of business days. emergency conditions, must be searched trustworthiness, reliability, or FOR FURTHER INFORMATION CONTACT: for items which could be used for inadequate work performance, keys, Mitchell Glassman, Deputy Director, sabotage purposes prior to entry into the locks, combinations, and related access Division of Resolutions and protected area. Vehicle areas to be control devices to which that person Receiverships, (202) 898–6525; Rodney searched must include the cab, engine had access must be changed or rotated. compartment, undercarriage, and cargo D. Ray, Counsel, Legal Division, (202) * * * * * 898–3556; Catherine A. Ribnick, area. All vehicles, except as indicated in Dated at Rockville, Maryland, this 14th day this paragraph, requiring entry into the of February, 1997. Counsel, Legal Division, (202) 736– 0117, Federal Deposit Insurance protected area must be escorted by a For the Nuclear Regulatory Commission. Corporation, Washington, D.C. 20429. member of the security organization John C. Hoyle, while within the protected area and, to Secretary of the Commission. SUPPLEMENTARY INFORMATION: the extent practicable, must be off [FR Doc. 97–4219 Filed 2–19–97; 8:45 am] loaded in the protected area at a specific Background designated materials receiving area that BILLING CODE 7590±01±P As part of the FDIC’s review of its is not adjacent to a vital area. Escort is regulations pursuant to section 303 of not required for designated licensee CDRIA, the FDIC reviewed its vehicles or licensee-owned vehicles FEDERAL DEPOSIT INSURANCE receivership regulations to assure that entering the protected area and driven CORPORATION there was a need for their continued existence. If it was determined that a by licensee employees having 12 CFR Part 360 unescorted access. regulation should be retained, it also (5) A numbered picture badge RIN 3064±AB92 was reviewed for accuracy and clarity. identification system must be used for As part of the review process, the FDIC all individuals who are authorized Resolution and Receivership Rules determined that § 360.1 should be access to protected areas without escort. AGENCY: Federal Deposit Insurance retained but amended to correct a Badges must be displayed by all Corporation. typographical error. It was determined individuals while inside the protected ACTION: Notice of proposed rulemaking that § 360.2 should be removed because area. An individual not employed by the and request for comments. the regulation is of limited applicability licensee but who requires frequent and and addresses only the concerns of a extended access to protected and vital SUMMARY: As part of the FDIC’s discrete and limited group of secured areas may be authorized access to such systematic review of its regulations and creditors, whose interests are already 7726 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules addressed by federal statutes. abolished. Since its transfer on August Based upon a review of the section Additionally, the regulation was the 9, 1989, the regulation has remained and its history, it appears that the product of an increasing number of unchanged. section is of limited applicability liquidating receiverships precipitated by The section implements and amplifies because the FHLBB intended for it to the nation’s thrift crisis, which has since upon the priority accorded to the Banks’ address issues related solely to the subsided, making it unnecessary to security interests in section 306(d) of Banks’ security interests in liquidating continue to address the issues contained the Competitive Equality Banking Act of receiverships. Since the regulation was therein by regulation. 1987, Pub. L. 100–86, 101 Stat. 552 promulgated, Congress also has (CEBA) (1988) (section 10(e), footnote 1, conferred significantly more benefits I. Section 360.1 Least-Cost Resolution of the Federal Home Loan Bank Act upon the Banks than are enjoyed by Section 13(c)(4)(E)(i) of the Federal (FHLB Act) (12 U.S.C. 1430(e), footnote most other secured creditors in FDIC- Deposit Insurance Act (FDI Act) (12 1).3 Section 360.2(a) requires the administered receiverships. Finally, the U.S.C. 1823(c)(4)(E)(i)) generally receiver to recognize the priority of any section was the product of an increasing prohibits the FDIC, after August 31, security interest held by a Bank for a number of institutions being placed in 1994, from taking any action directly or loan to a member or its affiliate, when liquidating receiverships in the late indirectly, with respect to a depository the member is placed in receivership.4 1980’s, when the nation was confronted institution which would have the effect The remaining paragraphs, (b) through with a crisis in the thrift industry, of increasing losses to any deposit (e), address issues related to the Banks’ which has since subsided. Therefore, insurance fund by protecting the security interests and collateral, which the Board of Directors has determined institution’s uninsured depositors or were not addressed in CEBA. that there is insufficient justification for other creditors. Section 360.1 was In addition to the priority accorded the section’s continued existence and promulgated in compliance with the the Banks’ security interests by CEBA, that the matters addressed therein can statutory mandate, contained in section other federal statutory provisions were be adequately addressed on a case by 13(c)(4)(E)(ii) of the FDI Act (12 U.S.C. enacted subsequent to promulgation of case basis within the existing statutory 1823(c)(4)(E)(ii)), that the FDIC issue the regulation which provide the Banks’ structure. Although the regulation is regulations implementing clause (i) not extensions of credit and security being removed as part of the CDRIA later than January 1, 1994. Because the interests additional receivership process, however, the FDIC intends to regulation was issued pursuant to protections. For example, an continue to assist the Banks with the statute, it is being retained. amendment contained in section 212(a) resolution of specific issues regarding Upon review, however, an erroneous of FIRREA excepted the Banks’ their extensions of credit or security statutory citation was discovered in extensions of credit or security interests interests, on a case by case basis, as the § 360.1(b) and the regulation is being from FIRREA’s detailed provisions need arises. amended to change the reference from addressing contracts entered into before ‘‘12 U.S.C. 13(c)(4)(A)’’ to ‘‘12 U.S.C. a receiver’s or conservator’s Paperwork Reduction Act 1823(c)(4)(A)’’. appointment.5 Additionally, section 141(b) of the Federal Deposit Insurance No collections of information II. Section 360.2 Federal Home Loan Corporation Improvement Act of 1991 pursuant to section 3504(h) of the Banks as Secured Creditors (FDICIA) excepted the Banks’ Paperwork Reduction Act (44 U.S.C. Section 360.2 was originally extensions of credit or security interests 3501 et. seq.) are contained in this promulgated by the Federal Home Loan from section 11(d)(5) (12 U.S.C. notice. Consequently, no information Bank Board (FHLBB) on April 27, 1989.1 1821(d)(5)) of the receivership claims has been submitted to the Office of At the time, the FHLBB recognized that process.6 Management and Budget for review. the incidence of liquidating receivership Regulatory Flexibility Act (liquidating receivership or liquidating 3 Section 10(e), footnote 1, provides: receiverships) insurance actions was Notwithstanding any other provision of law, any security interest granted to a Federal Home Loan The Board of Directors certifies that increasing. Against this background, the Bank by any member of any Federal Home Loan the proposed rule does not have a FHLBB determined that the regulation Bank or any affiliate of any such member shall be significant economic impact on a was needed, among other reasons, to set entitled to priority over the claims and rights of any substantial number of small entities forth expressly the Banks’ rights party (including any receiver, conservator, trustee, or similar party having rights of a lien creditor) within the meaning of the Regulatory regarding collateral securing Federal other than claims and rights that Flexibility Act (5 U.S.C. 601 et seq.). Home Loan Bank (Bank) advances in (1) Would be entitled to priority under otherwise The Board of Directors action is being situations where a receiver was applicable law; and taken to correct a statutory citation in an appointed, not to effect a purchase and (2) Are held by actual bona fide purchasers for existing regulation and to remove a assumption agreement, but to liquidate value or by actual parties that were secured by actual perfected security interests. section of the regulation addressing the institution’s assets over time, 4 The paragraph essentially tracks section 306(d) certain aspects of secured claims held accompanied by a Federal Savings and of CEBA but adds ‘‘whether such security interest by Banks in FDIC-administered Loan Insurance Corporation (FSLIC) is in specifically designated assets or a blanket receiverships. The Banks are not within deposit insurance payment of the interest in all assets or categories of assets’’. the Regulatory Flexibility Act’s deposit accounts.2 The regulation was 5 Section 212(a) of FIRREA amended section 11(c) through (j) of the FDI Act (12 U.S.C. 1821(c)–(j)). In definition of ‘‘small entities’’. subsequently transferred to the FDIC, the process, it added section 11(e)(13) (12 U.S.C. Accordingly, the Act’s requirements pursuant to section 402(a) of the 1821(e)(13)) to the FDI Act, which states: Financial Institutions Reform, Recovery, No provision of this subsection shall apply with to add section 11(d)(5)(D)(iii) (12 U.S.C. and Enforcement Act of 1989 (FIRREA) respect to: 1821(d)(5)(D)(iii)), which states: Pub. L. 101–73, 103 Stat. 183 (1989), (A) Any extension of credit from any Federal No provision of this paragraph shall apply with home loan bank or Federal Reserve bank to any respect to: when the FHLBB and FSLIC were insured depository institution; or (I) Any extension of credit from any Federal home (B) Any security interest in the assets of the loan bank or Federal Reserve bank to any institution 1 The regulation was originally designated 12 CFR institution securing any such extension of credit. described in paragraph (3)(A); or 569c.8–1. 6 Section 141(b) of FDICIA amended section 2 See 54 FR 19155 (May 4, 1989). 11(d)(5)(D) (12 U.S.C. 1821(d)(5)(D)) of the FDI Act (II) Any security interest in the assets of the institution securing any such extension of credit. Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules 7727 regarding an initial and final regulatory ACTION: Notice of proposed rulemaking in this notice may be changed in light flexibility analysis are inapplicable. (NPRM). of the comments received. Comments are specifically invited on List of Subjects in 12 CFR Part 360 SUMMARY: This document proposes the the overall regulatory, economic, Savings associations. adoption of a new airworthiness environmental, and energy aspects of For the reasons set out in the directive (AD) that is applicable to the proposed rule. All comments preamble, part 360 of chapter III of title certain Airbus Model A320 series submitted will be available, both before 12 of the Code of Federal Regulations is airplanes. This proposal would require and after the closing date for comments, proposed to be amended as follows: an initial inspection of fastener holes on in the Rules Docket for examination by certain outer frames of the fuselage to interested persons. A report PART 360ÐRESOLUTION AND detect fatigue cracking, and summarizing each FAA-public contact RECEIVERSHIP RULES modification of this area by cold concerned with the substance of this expanding these holes and installing 1. The authority citation for part 360 proposal will be filed in the Rules oversized fasteners. This proposal is continues to read as follows: Docket. prompted by a report from the Commenters wishing the FAA to Authority: 12 U.S.C. 1821(d)(11), manufacturer indicating that, during acknowledge receipt of their comments 1821(e)(8)(D)(i), 1823(c)(4); Sec. 401(h), Pub. full-scale fatigue testing of the test L. 101–73, 103 Stat. 357. submitted in response to this notice article, fatigue cracking was detected in must submit a self-addressed, stamped 2. Section 360.1 is amended by the area where the center fuselage joins postcard on which the following revising paragraph (b) to read as follows: the wing. The actions specified by the statement is made: ‘‘Comments to § 360.1 Least-cost resolution. proposed AD are intended to prevent Docket Number 96–NM–106–AD.’’ The fatigue cracking and consequent postcard will be date stamped and * * * * * reduced structural integrity of this area, (b) Purchase and assumption returned to the commenter. which could lead to rapid transactions. Subject to the requirement depressurization of the fuselage. Availability of NPRMs of section 13(c)(4)(A) of the FDI Act (12 Any person may obtain a copy of this U.S.C. 1823(c)(4)(A)), paragraph (a) of DATES: Comments must be received by March 31, 1997. NPRM by submitting a request to the this section shall not be construed as FAA, Transport Airplane Directorate, prohibiting the FDIC from allowing any ADDRESSES: Submit comments in ANM–103, Attention: Rules Docket No. person who acquires any assets or triplicate to the Federal Aviation 96–NM–106–AD, 1601 Lind Avenue, assumes any liabilities of any insured Administration (FAA), Transport SW., Renton, Washington 98055–4056. depository institution, for which the Airplane Directorate, ANM–103, FDIC has been appointed conservator or Attention: Rules Docket No. 96–NM– Discussion 106–AD, 1601 Lind Avenue, SW., receiver, to acquire uninsured deposit The Direction Ge´ne´rale de l’Aviation Renton, Washington 98055–4056. liabilities of such institution as long as Civile (DGAC), which is the Comments may be inspected at this the applicable insurance fund does not airworthiness authority for France, location between 9:00 a.m. and 3:00 incur any loss with respect to such recently notified the FAA that an unsafe p.m., Monday through Friday, except uninsured deposit liabilities in an condition may exist on certain Airbus Federal holidays. amount greater than the loss which Model A320 series airplanes. The DGAC would have been incurred with respect The service information referenced in the proposed rule may be obtained from advises that it has received a report from to such liabilities if the institution had the manufacturer indicating that fatigue been liquidated. Airbus Industrie, 1 Rond Point Maurice Bellonte, 31707 Blagnac Cedex, France. cracks were detected during full-scale § 360.2 [Removed and reserved] This information may be examined at fatigue testing of the test article after 3. Section 360.2 is removed and the FAA, Transport Airplane 90,001 simulated flights. These cracks reserved. Directorate, 1601 Lind Avenue, SW., were found in fastener holes in the Renton, Washington. flange caps of outer right frame 40 and By order of the Board of Directors. outer left frame 41, adjacent to Stringer FOR FURTHER INFORMATION CONTACT: Dated at Washington, D.C., this 4th day of Tim 23; this is the area where the center February, 1997. Backman, Aerospace Engineer, fuselage joins the wing. This condition, Federal Deposit Insurance Corporation Standardization Branch, ANM–113, if not prevented, consequently could Jerry L. Langley, FAA, Transport Airplane Directorate, reduce the structural integrity of this Executive Secretary. 1601 Lind Avenue SW, Renton, area, and lead to rapid decompression of [FR Doc. 97–4019 Filed 2–19–97; 8:45 am] Washington 98055–4056; telephone the fuselage. (206) 227–2797; fax (206) 227–1149. BILLING CODE 6714±01±P Explanation of Related and Relevant SUPPLEMENTARY INFORMATION: Service Information Comments Invited DEPARTMENT OF TRANSPORTATION Airbus has issued Service Bulletin Interested persons are invited to A320–53–1026, dated August 5, 1994, Federal Aviation Administration participate in the making of the which describes procedures for proposed rule by submitting such conducting repetitive eddy current 14 CFR Part 39 written data, views, or arguments as rotating probe inspections of fastener [Docket No. 96±NM±106±AD] they may desire. Communications shall holes on certain outer frames of the identify the Rules Docket number and fuselage to detect fatigue cracking and RIN 2120±AA64 be submitted in triplicate to the address repair, if necessary. These holes are Airworthiness Directives; Airbus Model specified above. All communications located on the forward and aft faces of A320 Series Airplanes received on or before the closing date the flange caps on outer left and right for comments, specified above, will be frames 37 through 41, adjacent to AGENCY: Federal Aviation considered before taking action on the Stringer 23; this is the area where the Administration, DOT. proposed rule. The proposals contained center fuselage joins the wing. 7728 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules

Airbus also has issued Service Differences Between the Proposed Rule Regulatory Policies and Procedures (44 Bulletin A320–53–1025, Revision 1, and the French CN FR 11034, February 26, 1979); and (3) if dated November 24, 1994, which Under the FAA’s proposed AD, promulgated, will not have a significant describes procedures for conducting an operators would be required to modify economic impact, positive or negative, initial eddy current rotation probe the area where the center fuselage joins on a substantial number of small entities inspection of these fastener holes to the wing by cold expanding certain under the criteria of the Regulatory detect fatigue cracking, and for fastener holes and installing oversized Flexibility Act. A copy of the draft modification of this area by cold fasteners in these holes. The DGAC has regulatory evaluation prepared for this expanding certain holes and installing not mandated this modification, but action is contained in the Rules Docket. oversized fasteners. This modification, instead, has mandated repetitive A copy of it may be obtained by which would improve the resistance of inspections of the area. contacting the Rules Docket at the this area to fatigue cracking, would The adequacy of inspections needed location provided under the caption eliminate the need for repetitive eddy to maintain the safety of the transport ADDRESSES. current inspections of this area. airplane fleet, coupled with a better List of Subjects in 14 CFR Part 39 The DGAC classified Airbus Service understanding of the human factors Air transportation, Aircraft, Aviation Bulletin A320–53–1026 as mandatory associated with numerous repetitive safety, Safety. and issued French airworthiness inspections, has caused the FAA to directive (CN) 95–101–69(B), dated May place less emphasis on repetitive The Proposed Amendment 24, 1995, in order to assure the inspections, and more emphasis on Accordingly, pursuant to the continued airworthiness of these design improvements and material authority delegated to me by the airplanes in France. The DGAC replacement. Thus, the FAA has Administrator, the Federal Aviation classified Airbus Service Bulletin A320– decided to require, whenever Administration proposes to amend part 53–1025 as ‘‘recommended,’’ but practicable, modifications necessary to 39 of the Federal Aviation Regulations indicated in CN 95–101–69(B) that remove the source of the problem (14 CFR part 39) as follows: accomplishment of this service bulletin addressed. The modification would terminate the repetitive eddy requirement of this proposed AD is in PART 39ÐAIRWORTHINESS current inspections required by that consonance with that decision. DIRECTIVES C/N. Cost Impact 1. The authority citation for part 39 FAA’s Conclusions The FAA estimates that 24 Airbus continues to read as follows: Model A320 series airplanes of U.S. Authority: 49 U.S.C. 106(g), 40113, 44701. This airplane model is manufactured registry would be affected by this § 39.13 [Amended] in France and is type certificated for proposed AD. operation in the United States under the It would take approximately 25 work 2. Section 39.13 is amended by provisions of section 21.29 of the hours per airplane to accomplish the adding the following new airworthiness Federal Aviation Regulations (14 CFR proposed actions, at an average labor directive: 21.29) and the applicable bilateral rate of $60 per work hour. Required Airbus Industrie: Docket 96–NM–106–AD. airworthiness agreement. Pursuant to parts would cost approximately $557 Applicability: Model A320 series airplanes this bilateral airworthiness agreement, per airplane. Based on these figures, the as listed in Airbus Service Bulletin A320–53– the DGAC has kept the FAA informed cost impact of the proposed AD on U.S. 1026, dated August 5, 1994; on which of the situation described above. The operators is estimated to be $49,368, or modifications 21281P1495 and 21680P1818 FAA has examined the findings of the $2,057 per airplane. have not been installed; certificated in any category. DGAC, reviewed all available The cost impact figure discussed information, and determined that AD above is based on assumptions that no Note 1: This AD applies to each airplane action is necessary for products of this identified in the preceding applicability operator has yet accomplished any of provision, regardless of whether it has been type design that are certificated for the proposed requirements of this AD operation in the United States. otherwise modified, altered, or repaired in action, and that no operator would the area subject to the requirements of this Explanation of Requirements of accomplish those actions in the future if AD. For airplanes that have been modified, Proposed Rule this AD were not adopted. altered, or repaired so that the performance of the requirements of this AD is affected, the Since an unsafe condition has been Regulatory Impact owner/operator must request approval for an identified that is likely to exist or The regulations proposed herein alternative method of compliance in develop on other airplanes of the same would not have substantial direct effects accordance with paragraph (e) of this AD. The request should include an assessment of type design registered in the United on the States, on the relationship the effect of the modification, alteration, or States, the proposed AD would require between the national government and repair on the unsafe condition addressed by an initial eddy current rotation probe the States, or on the distribution of this AD; and, if the unsafe condition has not inspection to detect fatigue cracking in power and responsibilities among the been eliminated, the request should include certain fastener holes in the area where various levels of government. Therefore, specific proposed actions to address it. the center fuselage joins the wing, and in accordance with Executive Order Compliance: Required as indicated, unless a modification to improve the resistance 12612, it is determined that this accomplished previously. of this area to fatigue cracking. The proposal would not have sufficient To prevent fatigue cracking in the area modification entails the cold expansion federalism implications to warrant the where the center fuselage joins the wing, of certain fastener holes and the preparation of a Federalism Assessment. which could reduce the structural integrity of this area and consequently result in rapid installation of oversized fasteners in For the reasons discussed above, I decompression of the fuselage, accomplish these holes. The actions would be certify that this proposed regulation (1) the following: required to be accomplished in is not a ’’significant regulatory action’’ (a) Prior to the accumulation of 16,000 total accordance with the Airbus service under Executive Order 12866; (2) is not landings, or within 6 months after the bulletins described previously. a ‘‘significant rule’’ under the DOT effective date of this AD, whichever occurs Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules 7729 later, perform an eddy current rotating probe Note 3: Information concerning the applicable to all Boeing Model 727 inspection to detect fatigue cracking in the existence of approved alternative methods of series airplanes, was published in the fastener holes of the outer frame flanges of compliance with this AD, if any, may be Federal Register as a Notice of Proposed left and right fuselage frames 37 through 41, obtained from the Standardization Branch, Rulemaking (NPRM) on April 1, 1996 adjacent to Stringer 23, in accordance with ANM–113. (61 FR 14269). The NPRM would have Airbus Service Bulletin A320–53–1026, (f) Special flight permits may be issued in dated August 5, 1994. accordance with sections 21.197 and 21.199 revised AD 93–01–14, amendment 39– Note 2: Prior to the effective date of this of the Federal Aviation Regulations (14 CFR 8468 (58 FR 5574, January 22, 1993). It AD, accomplishment of any modification in 21.197 and 21.199) to operate the airplane to would have continued to require the accordance with Airbus Service Bulletin a location where the requirements of this AD actions that were originally mandated A320–53–1025, dated August 5, 1994, is can be accomplished. by AD 93–01–14, including: inspections considered acceptable for compliance with Issued in Renton, Washington, on February to detect loose attach fitting bolts of the the modification requirements of paragraphs 12, 1997. door actuator of the main landing gear (b), (c)(1)(i), (c)(2) and (d) of this AD. Darrell M. Pederson, (MLG), inspections to determine (b) If the inspection required by paragraph Acting Manager, Transport Airplane whether serrations are fully mated, and (a) of this AD detects no cracking in any hole: Directorate, Aircraft Certification Service. various follow-on corrective actions. Prior to the accumulation of 6,000 landings The NPRM would have added the after this inspection, modify each hole in [FR Doc. 97–4101 Filed 2–19–97; 8:45 am] accordance with Paragraph 2.B.(5) of Airbus BILLING CODE 4910±13±U option of terminating all of the Service Bulletin A320–53–1025, Revision 1, requirements of the AD either by dated November 24, 1994. Thereafter, no replacing the aluminum rib fitting with further action is required by this AD. 14 CFR Part 39 a new steel rib fitting, or by modifying (c) If the inspection required by paragraph [Docket No. 95±NM±222±AD] the rib fitting assembly and performing (a) of this AD detects any cracking in no more various follow-on actions. than one hole per frame cap, accomplish the RIN 2120±AA64 That action was originally prompted requirements of paragraph (c) (1) and (c)(2) by reports of loose attach fitting bolts of of this AD: Airworthiness Directives; Boeing the door actuator of the MLG. The (1) Prior to further flight, repair this Model 727 Series Airplanes cracked hole and conduct another rotating requirements of the proposed AD were probe inspection of this hole to detect AGENCY: Federal Aviation intended to prevent an airplane from cracking, in accordance with Paragraph Administration, DOT. landing with one MLG partially 2.B.(6) of Airbus Service Bulletin A320–53– ACTION: Proposed rule; withdrawal. extended. 1025, Revision 1, dated November 24, 1994. Actions that Occurred Since the NPRM (i) If no cracking of this repaired hole is SUMMARY: This action withdraws a Was Issued detected: Prior to further flight, modify this notice of proposed rulemaking that hole in accordance with Paragraph 2.B.(6)(c) proposed a new airworthiness directive Since the issuance of that NPRM, the of this service bulletin. Thereafter, no further FAA has issued AD 97–02–09, action with regard to this hole is required by (AD), applicable to all Boeing Model this AD. 727 series airplanes. That action would amendment 39–9894 (62 FR 3988, (ii) If any cracking of this repaired hole is have required inspections to detect January 28, 1997), which supersedes detected: Prior to further flight, repair this loose attach fitting bolts of the door both AD 93–01–14 as well as AD 90–02– hole in a manner approved by the Manager, actuator of the main landing gear (MLG), 19 [amendment 39–6433 (55 FR 601, Standardization Branch, ANM–113, FAA, inspections to determine whether January 8, 1990)]. It requires: Transport Airplane Directorate. Thereafter, serrations are fully mated, and various 1. Repetitive eddy current or dye no further action with regard to this hole is penetrant inspections to detect cracking required by this AD. follow-on corrective actions. It also would have provided operators the of an expanded area of the actuator rib (2) Prior to the accumulation of 6,000 fitting, landings after the inspection required by option of terminating all of the paragraph (a) of this AD; modify all other requirements of the AD either by 2. Inspections to detect loose attach holes in accordance with Paragraph 2.B.(5) of replacing the aluminum rib fitting with fitting bolts of the door actuator, Airbus Service Bulletin A320–53–1025, a new steel rib fitting, or by modifying 3. Inspections to determine whether Revision 1, dated November 24, 1994. the rib fitting assembly and performing fitting serrations are fully mated, 4. and various follow-on corrective Thereafter, no further action is required by various follow-on actions. The this AD with respect to these holes. actions. requirements of that proposed AD were (d) If the inspection required by paragraph It also provides an optional intended to prevent an airplane from (a) of this AD detects any cracking in more terminating action for the inspections, landing with one MLG partially than one hole per frame cap, or if this which consists of replacing the extended. Since the issuance of the inspection detects any cracking in any frame: aluminum rib fitting with a new steel Prior to further flight, repair the discrepant NPRM, the Federal Aviation area in a manner approved by the Manager, rib fitting. Administration (FAA) has issued That AD was prompted by a report of Standardization Branch, ANM–113; and separate rulemaking to require these modify all other holes in accordance with a fractured rib fitting that had been same actions. Accordingly, the proposed reworked previously in accordance with Paragraph 2.B.(5) of Airbus Service Bulletin rule is withdrawn. A320–53–1025, Revision 1, dated November one of the existing AD’s. The actions 24, 1994. Thereafter, no further action is FOR FURTHER INFORMATION CONTACT: specified by AD 97–02–09 are intended required by this AD. Walter Sippel, Aerospace Engineer, to prevent damage to the airplane (e) An alternative method of compliance or Airframe Branch, ANM–120S, FAA, caused by a failure of the landing gear adjustment of the compliance time that Seattle Aircraft Certification Office, to extend due to a fractured rib fitting. provides an acceptable level of safety may be 1601 Lind Avenue, SW., Renton, used if approved by the Manager, Washington; telephone (206) 227–2774; FAA’s Conclusions Standardization Branch, ANM–113. fax (206) 227–1181. Operators shall submit their requests through Because AD 97–02–09 now an appropriate FAA Principal Maintenance SUPPLEMENTARY INFORMATION: A incorporates, as part of its required Inspector, who may add comments and then proposal to amend part 39 of the Federal actions, the same actions that were send it to the Manager, Standardization Aviation Regulations (14 CFR part 39) to proposed in Docket 95-NM–222-AD, the Branch, ANM–113. add a new airworthiness directive (AD), FAA finds that the previously proposed 7730 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules action is no longer necessary. by the proposed AD are intended to postcard will be date stamped and Accordingly, the NPRM is hereby prevent oil scavenge pump snap ring returned to the commenter. withdrawn. failure causing severe wear on the pump Availability of NPRMs Withdrawal of this NPRM constitutes end plate, which could result in loss of only such action, and does not preclude engine oil and subsequent engine Any person may obtain a copy of this the agency from issuing another notice shutdown. NPRM by submitting a request to the in the future, nor does it commit the DATES: Comments must be received by FAA, New England Region, Office of the agency to any course of action in the April 21, 1997. Assistant Chief Counsel, Attention: Rules Docket No. 96–ANE–24, 12 New future. ADDRESSES: Submit comments in England Executive Park, Burlington, MA Regulatory Impact triplicate to the Federal Aviation Administration (FAA), New England 01803–5299. Since this action only withdraws a Region, Office of the Assistant Chief Discussion notice of proposed rulemaking, it is Counsel, Attention: Rules Docket No. The Federal Aviation Administration neither a proposed nor a final rule and 96–ANE–24, 12 New England Executive therefore, is not covered under (FAA) has received reports of severe Park, Burlington, MA 01803–5299. wear on the pump end plate of Executive Order 12866, the Regulatory Comments may also be sent via the Flexibility Act, or DOT Regulatory AlliedSignal Inc. oil scavenge pumps, Internet using the following address: ‘‘9- Part Numbers (P/Ns) 101633–01 and –02 Policies and Procedures (44 FR 11034, [email protected]’’. Comments February 26, 1979). and Rajay Inc. oil scavenge pumps, P/ sent via the Internet must contain the Ns 1025–1 and –2. The investigation List of Subjects in 14 CFR Part 39 docket number in the subject line. revealed that the pump end plate failure Comments may be inspected at this was caused by failure of the snap ring Air transportation, Aircraft, Aviation location between 8:00 a.m. and 4:30 safety, Safety. that locates the pump rotor along the p.m., Monday through Friday, except longitudinal axis of the pump. Further The Withdrawal Federal holidays. investigation revealed an incident FOR FURTHER INFORMATION CONTACT: Accordingly, the notice of proposed where the pump end plate was worn Richard Simonson, Aerospace Engineer, rulemaking, Docket 95–NM–222–AD, completely through, resulting in loss of Seattle Aircraft Certification Office, published in the Federal Register on engine oil and subsequent engine FAA, Transport Airplane Directorate, April 1, 1996 (61 FR 14269), is shutdown. This condition, if not 1601 Lind Avenue, SW, Renton, WA withdrawn. corrected, could result in oil scavenge 98055–4056; telephone (206) 227–2597, pump snap ring failure causing severe Issued in Renton, Washington, on February fax (206) 227–1181. 12, 1997. wear on the pump end plate, which could result in loss of engine oil and Darrell M. Pederson, SUPPLEMENTARY INFORMATION: subsequent engine shutdown. Acting Manager, Transport Airplane Comments Invited Since an unsafe condition has been Directorate, Aircraft Certification Service. Interested persons are invited to identified that is likely to exist or [FR Doc. 97–4100 Filed 2–19–97; 8:45 am] participate in the making of the develop on other products of this same BILLING CODE 4910±13±U proposed rule by submitting such type design, the proposed AD would written data, views, or arguments as require initial and repetitive inspections they may desire. Communications of the oil scavenge pump for security of 14 CFR Part 39 should identify the Rules Docket the snap ring installation, snap ring and [Docket No. 96±ANE±24] number and be submitted in triplicate to washer wear, and shaft groove wear, and the address specified above. All replacement, if necessary, with RIN 2120±AA64 communications received on or before serviceable parts. The FAA has Airworthiness Directives; AlliedSignal the closing date for comments, specified determined that changes in pump Inc. and Rajay Inc. Oil Scavenge above, will be considered before taking design may warrant future rulemaking. Pumps action on the proposed rule. The The FAA estimates that 3,000 pumps proposals contained in this notice may installed on aircraft of U.S. registry AGENCY: Federal Aviation be changed in light of the comments would be affected by this proposed AD. Administration, DOT. received. The FAA estimates that it would take ACTION: Notice of proposed rulemaking Comments are specifically invited on approximately 4 work hours per oil (NPRM). the overall regulatory, economic, scavenge pump to accomplish the environmental, and energy aspects of proposed actions, and that the average SUMMARY: This document proposes the the proposed rule. All comments labor rate is $60 per work hour. adoption of a new airworthiness submitted will be available, both before Required parts, if the scavenge pump directive (AD) that is applicable to and after the closing date for comments, requires replacement, would cost AlliedSignal Inc. oil scavenge pumps, in the Rules Docket for examination by approximately $1,000 per oil scavenge Part Numbers (P/Ns) 101633–01 and –02 interested persons. A report pump. Based on these figures, the total and Rajay Inc. oil scavenge pumps, P/ summarizing each FAA-public contact cost impact of the proposed AD on U.S. Ns 1025–1 and –2. This proposal would concerned with the substance of this operators is estimated to be $3,720,000. require initial and repetitive inspections proposal will be filed in the Rules The regulations proposed herein of the oil scavenge pump for the Docket. would not have substantial direct effects security of the snap ring installation, Commenters wishing the FAA to on the States, on the relationship snap ring and washer wear, and shaft acknowledge receipt of their comments between the national government and groove wear, and replacement, if submitted in response to this notice the States, or on the distribution of necessary, with serviceable parts. This must submit a self-addressed, stamped power and responsibilities among the proposal is prompted by reports of postcard on which the following various levels of government. Therefore, severe wear on the end plate of the oil statement is made: ‘‘Comments to in accordance with Executive Order scavenge pump. The actions specified Docket Number 96–ANE–24.’’ The 12612, it is determined that this Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules 7731 proposal would not have sufficient alternative method of compliance in Issued in Burlington, Massachusetts, on federalism implications to warrant the accordance with paragraph (d) of this AD. February 4, 1997. preparation of a Federalism Assessment. The request should include an assessment of James C. Jones, For the reasons discussed above, I the effect of the modification, alteration, or Acting Manager, Engine and Propeller certify that this proposed regulation (1) repair on the unsafe condition addressed by Directorate, Aircraft Certification Service. this AD; and, if the unsafe condition has not is not a ‘‘significant regulatory action’’ [FR Doc. 97–4144 Filed 2–19–97; 8:45 am] been eliminated, the request should include under Executive Order 12866; (2) is not specific proposed actions to address it. BILLING CODE 4910±13±U a’’significant rule’’ under the DOT Regulatory Policies and Procedures (44 Compliance: Required as indicated, unless accomplished previously. FR 11034, February 26, 1979); and (3) if To prevent oil scavenge pump snap ring 14 CFR Part 39 promulgated, will not have a significant failure causing severe wear on the pump end [Docket No. 96±NM±190±AD] economic impact, positive or negative, plate, which could result in loss of engine oil on a substantial number of small entities and subsequent engine shutdown, RIN 2120±AA64 under the criteria of the Regulatory accomplish the following: Flexibility Act. A copy of the draft (a) Within 25 hours time in service (TIS) Airworthiness Directives; Raytheon regulatory evaluation prepared for this after the effective date of this AD, inspect oil Model DH 125±1A, ±3A, and ±400A action is contained in the Rules Docket. scavenge pumps in accordance with the Series Airplanes following instructions or Aerostar Aircraft A copy of it may be obtained by AGENCY: Federal Aviation Corporation Service Bulletin (SB) No. contacting the Rules Docket at the Administration, DOT. location provided under the caption SB600–131, dated June 14, 1996. (1) Remove the oil scavenge pump and ACTION: Notice of proposed rulemaking ADDRESSES . inspect for security of the snap ring (NPRM). List of Subjects in 14 CFR Part 39 installation. (2) Remove the snap ring and washer SUMMARY: This document proposes the Air transportation, Aircraft, Aviation between the snap ring and bearing, and adoption of a new airworthiness safety, Safety. inspect the snap ring and washer for wear, directive (AD) that is applicable to all The Proposed Amendment consisting of thinning or bevelling at the Raytheon Model DH 125–1A, –3A, and inside diameter. If any wear visible to the –400A series airplanes. This proposal Accordingly, pursuant to the naked eye is detected, replace with a would require a one-time inspection to authority delegated to me by the serviceable snap ring and washer prior to detect scoring of the upper fuselage skin Administrator, the Federal Aviation further flight. around the periphery of the cockpit Administration proposes to amend part (3) Inspect the shaft groove for round wear canopy blister interface, and repair, if on the spline side of the groove. If any wear 39 of the Federal Aviation Regulations necessary. This proposal is prompted by (14 CFR part 39) as follows: visible to the naked eye is detected, replace with a serviceable shaft prior to further flight. reports indicating that scoring of the PART 39ÐAIRWORTHINESS (4) If the snap ring is not in the shaft upper fuselage skin had been detected DIRECTIVES groove, disassemble the entire scavenge in that area. The actions specified by the pump and inspect for internal damage prior proposed AD are intended to detect and 1. The authority citation for part 39 to further flight. If any internal damage is correct scoring of the upper fuselage continues to read as follows: found, replace the oil scavenge pump with a skin around the periphery of the cockpit serviceable oil scavenge pump prior to Authority: 49 U.S.C. 106(g), 40113, 44701. canopy blister interface, which could further flight. result in reduced structural integrity of (b) Thereafter, at each 100-hour and annual the fuselage, and consequent cabin § 39.13 [Amended] inspection, perform repetitive inspections, 2. Section 39.13 is amended by and, if necessary, replace with serviceable depressurization. adding the following new airworthiness parts, in accordance with paragraph (a) of DATES: Comments must be received by directive: this AD. March 31, 1997. (c) Accomplishment of the procedures Allied Signal Inc. and Rajay Inc.: Docket No. ADDRESSES: Submit comments in described in Aerostar Aircraft Corporation 96–ANE–24. triplicate to the Federal Aviation Service Bulletin No. SB600–131, dated June Applicability: AlliedSignal Inc. oil Administration (FAA), Transport 14, 1996, constitutes an acceptable Airplane Directorate, ANM–103, scavenge pumps, Part Numbers (P/Ns) alternative method of compliance for the 101633–01 and –02 and Rajay oil scavenge actions required by this AD. Attention: Rules Docket No. 96–NM– pumps, P/Ns 1025–1 or –2, installed on (d) An alternative method of compliance or 190–AD, 1601 Lind Avenue, SW., Teledyne Continental Motors IO–470 and adjustment of the compliance time that Renton, Washington 98055–4056. TSIO–520 series, and Textron Lycoming O- provides an acceptable level of safety may be Comments may be inspected at this 360, IO–360, and IO–540 series reciprocating used if approved by the Manager, Seattle location between 9:00 a.m. and 3:00 engines. These engines are installed on but Aircraft Certification Office. The request not limited to reciprocating engine powered p.m., Monday through Friday, except should be forwarded through an appropriate aircraft manufactured by Aerostar Aircraft Federal holidays. FAA Maintenance Inspector, who may add Corporation, Cessna, Curtiss-Wright The service information referenced in comments and then send it to the Manager, Corporation (Travel Air), Helio Enterprises, the proposed rule may be obtained from Seattle Aircraft Certification Office. Inc., The New Piper Aircraft Corporation, Raytheon Aircraft Company, Revo Inc. (Lake), and Twin Commander. Note 2: Information concerning the Commercial Service Department, P.O. Note 1: This airworthiness directive (AD) existence of approved alternative methods of Box 85, Wichita, Kansas 67201–0085. compliance with this airworthiness directive, applies to each oil scavenge pump identified This information may be examined at in the preceding applicability provision, if any, may be obtained from the Seattle Aircraft Certification Office. the FAA, Transport Airplane regardless of whether it has been modified, Directorate, 1601 Lind Avenue, SW., (e) Special flight permits may be issued in altered, or repaired in the area subject to the Renton, Washington; or at the FAA, requirements of this AD. For oil scavenge accordance with sections 21.197 and 21.199 pumps that have been modified, altered, or of the Federal Aviation Regulations (14 CFR Small Airplane Directorate, Wichita repaired so that the performance of the 21.197 and 21.199) to operate the aircraft to Aircraft Certification Office, 1801 requirements of this AD is affected, the a location where the requirements of this AD Airport Road, Room 100, Mid-Continent owner/operator must request approval for an can be accomplished. Airport, Wichita, Kansas. 7732 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules

FOR FURTHER INFORMATION CONTACT: excess sealant is contrary to the between the national government and Larry Engler, Aerospace Engineer, instructions contained in Chapter 20 of the States, or on the distribution of Airframe Branch, ACE–120W, FAA, the Airplane Maintenance Manual power and responsibilities among the Small Airplane Directorate, Wichita (AMM). Scoring of the upper fuselage various levels of government. Therefore, Aircraft Certification Office, 1801 skin around the periphery of the cockpit in accordance with Executive Order Airport Road, Room 100, Mid-Continent canopy blister interface, if not corrected, 12612, it is determined that this Airport, Wichita, Kansas 67209; could result in reduced structural proposal would not have sufficient telephone (316) 946–4122; fax (316) integrity of the fuselage skin, and federalism implications to warrant the 946–4407. consequent cabin depressurization. preparation of a Federalism Assessment. For the reasons discussed above, I SUPPLEMENTARY INFORMATION: Explanation of Relevant Service certify that this proposed regulation (1) Information Comments Invited is not a ‘‘significant regulatory action’’ Interested persons are invited to The FAA has reviewed and approved under Executive Order 12866; (2) is not participate in the making of the Raytheon Service Bulletin SB.53–93, a ‘‘significant rule’’ under the DOT proposed rule by submitting such dated May 16, 1996, which describes Regulatory Policies and Procedures (44 written data, views, or arguments as procedures for a one-time detailed FR 11034, February 26, 1979); and (3) if they may desire. Communications shall visual inspection to detect scoring of the promulgated, will not have a significant identify the Rules Docket number and upper fuselage skin around the economic impact, positive or negative, be submitted in triplicate to the address periphery of the cockpit canopy blister on a substantial number of small entities specified above. All communications interface. The service bulletin also under the criteria of the Regulatory received on or before the closing date describes repair procedures for scoring Flexibility Act. A copy of the draft for comments, specified above, will be that is within the specified limits. regulatory evaluation prepared for this considered before taking action on the Explanation of Requirements of action is contained in the Rules Docket. proposed rule. The proposals contained Proposed Rule A copy of it may be obtained by in this notice may be changed in light contacting the Rules Docket at the of the comments received. Since an unsafe condition has been location provided under the caption Comments are specifically invited on identified that is likely to exist or ADDRESSES. the overall regulatory, economic, develop on other products of this same environmental, and energy aspects of type design, the proposed AD would List of Subjects in 14 CFR Part 39 the proposed rule. All comments require a one-time detailed visual Air transportation, Aircraft, Aviation submitted will be available, both before inspection to detect scoring of the upper safety, Safety. and after the closing date for comments, fuselage skin around the periphery of in the Rules Docket for examination by the cockpit canopy blister interface, and The Proposed Amendment interested persons. A report repair, if necessary. The visual Accordingly, pursuant to the summarizing each FAA-public contact inspection and repair of scoring that is authority delegated to me by the concerned with the substance of this within certain limits would be required Administrator, the Federal Aviation proposal will be filed in the Rules to be accomplished in accordance with Administration proposes to amend part Docket. the service bulletin described 39 of the Federal Aviation Regulations Commenters wishing the FAA to previously. Repair of scoring that is (14 CFR part 39) as follows: acknowledge receipt of their comments outside certain limits would be required submitted in response to this notice to be accomplished in accordance with PART 39ÐAIRWORTHINESS must submit a self-addressed, stamped a method approved by the FAA. DIRECTIVES postcard on which the following Cost Impact statement is made: ‘‘Comments to 1. The authority citation for part 39 Docket Number 96–NM–190–AD.’’ The There are approximately 200 Model continues to read as follows: postcard will be date stamped and DH 125–1A, –3A, and –400A series Authority: 49 U.S.C. 106(g), 40113, 44701. returned to the commenter. airplanes of the affected design in the worldwide fleet. The FAA estimates that § 39.13 [Amended] Availability of NPRMs 115 airplanes of U.S. registry would be 2. Section 39.13 is amended by Any person may obtain a copy of this affected by this proposed AD, that it adding the following new airworthiness NPRM by submitting a request to the would take approximately 4 work hours directive: FAA, Transport Airplane Directorate, per airplane to accomplish the proposed Raytheon Aircraft Company (Formerly ANM–103, Attention: Rules Docket No. actions, and that the average labor rate Beech, Raytheon Corporate Jets, British 96–NM–190–AD, 1601 Lind Avenue, is $60 per work hour. Based on these Aerospace, Hawker Siddeley, et al.): SW., Renton, Washington 98055–4056. figures, the cost impact of the proposed Docket 96–NM–190–AD. Applicability: All Model DH 125–1A, –3A, Discussion AD on U.S. operators is estimated to be $27,600, or $240 per airplane. and –400 series airplanes, certificated in any The FAA has received reports The cost impact figure discussed category. indicating that scoring of the upper above is based on assumptions that no Note 1: This AD applies to each airplane fuselage skin around the periphery of operator has yet accomplished any of identified in the preceding applicability the cockpit canopy blister interface has the proposed requirements of this AD provision, regardless of whether it has been occurred on Raytheon Model DH 125– action, and that no operator would modified, altered, or repaired in the area subject to the requirements of this AD. For 1A, –3A, and –400A series airplanes. accomplish those actions in the future if Investigation revealed that the scoring airplanes that have been modified, altered, or this AD were not adopted. repaired so that the performance of the was due to the use of sharp instruments Regulatory Impact requirements of this AD is affected, the to remove excess sealant during the owner/operator must request approval for an four-year inspection cycle of the The regulations proposed herein alternative method of compliance in fuselage skin under the canopy blister. would not have substantial direct effects accordance with paragraph (d) of this AD. Use of sharp instruments to remove on the States, on the relationship The request should include an assessment of Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules 7733 the effect of the modification, alteration, or Issued in Renton, Washington, on February 1995 (60 FR 65601), is hereby repair on the unsafe condition addressed by 13, 1997. withdrawn. this AD; and, if the unsafe condition has not Darrell M. Pederson, been eliminated, the request should include Authority: 49 U.S.C. 40103, 40113, 40120; Acting Manager, Transport Airplane E.O. 10854, 24 FR 9565, 3 CFR 1959–1963 specific proposed actions to address it. Directorate, Aircraft Certification Service. Note 2: Raytheon Model DH 125–1B, –3B, Comp., p. 389; 49 U.S.C. 106(g); 14 CFR [FR Doc. 97–4197 Filed 2–19–97; 8:45 am] and –400B series airplanes are similar in 11.69. design to the airplanes that are subject to the BILLING CODE 4910±13±U Issued in Kansas City, MO, on January 27, requirements of this AD and, therefore, also 1997. may be subject to the unsafe condition Herman J. Lyons, Jr., addressed by this AD. However, as of the 14 CFR Part 71 Manager, Air Traffic Division, Central Region. effective date of this AD, those models are [Airspace Docket No. 95±ACE±17] not type certificated for operation in the [FR Doc. 97–3747 Filed 2–19–97; 8:45 am] United States. Airworthiness authorities of Proposed Alteration of Class E BILLING CODE 4910±13±M countries in which the Model DH 125–1B, Airspace at Muscatine, IA –3B, and –400B series airplanes are approved for operation should consider adopting AGENCY: Federal Aviation 14 CFR Part 71 corrective action, applicable to those models, Administration [FAA], DOT. that is similar to the corrective action [Airspace Docket No. 96±ASW±21] required by this AD. ACTION: Proposed rule, withdrawal. Compliance: Required as indicated, unless SUMMARY: This action withdraws the Proposed Revision of Class E accomplished previously. Notice of Proposed Rulemaking (NPRM) Airspace; Silver City, NM To detect and correct scoring of the upper which proposed to change the Class E fuselage skin around the periphery of the AGENCY: Federal Aviation cockpit canopy blister interface, which could airspace area at Muscatine, IA. The result in reduced structural integrity of the NPRM is being withdrawn due to the Administration (FAA), DOT. delay in the installation of the Port City fuselage skin, and consequent cabin ACTION: Notice of proposed rulemaking. depressurization; accomplish the following: Very High Frequency Omnidirectional (a) Within 90 days after the effective date Range/Distance Measuring Equipment SUMMARY: This notice proposes to revise of this AD, perform a one-time detailed (VOR/DME). visual inspection to detect scoring of the the Class E airspace extending upward DATES: The proposed rule is withdrawn from 700 feet above ground level (AGL) upper fuselage skin around the periphery of February 20, 1997. the cockpit canopy blister interface, in at Silver City, NM. A new Global accordance with Raytheon Service Bulletin FOR FURTHER INFORMATION CONTACT: Positioning System (GPS) Standard SB.53–93, dated May 16, 1996. Kathy Randolph, Operations Branch, Instrument Approach Procedure (SIAP) (b) If no scoring is detected during the ACE–530C, Federal Aviation to Runway (RWY) 26 at Silver City- inspection required by paragraph (a) of this Administration, 601 E. 12th St., Kansas Grant County Airport has made this AD, no further action is required by this AD. City, MO 64106; telephone: (816) 426– proposal necessary. The intended effect (c) If any scoring is detected during the 3408. of this proposal is to provide adequate inspection required by paragraph (a) of this controlled airspace for aircraft executing AD, prior to further flight, determine the SUPPLEMENTARY INFORMATION: the GPS SIAP to RWY 26 at Silver City, maximum location and details of each score, The Proposed Rule including the edge distance and material NM. thickness, in accordance with Service On December 20, 1995 (60 FR 65601), DATES: Comments must be received on Bulletin SB.53–93, dated May 16, 1996. a Notice of Proposed Rulemaking was or before April 21, 1997. (1) If any scoring is found that is within the published in the Federal Register to limits specified in the service bulletin, prior change the Class E airspace at ADDRESSES: Send comments on the to further flight, repair in accordance with Muscatine, IA. The delay in obtaining proposal in triplicate to Manager, the service bulletin. the necessary equipment has resulted in Operations Branch, Air Traffic Division, (2) If any scoring is found that is outside Federal Aviation Administration, the limits specified in the service bulletin, delaying the installation and prior to further flight, repair in accordance commissioning of the VOR/DME until Southwest Region, Docket No. 96– with a method approved by the Manager, late 1997 or early 1998. ASW–21, Forth Worth, TX 76193–0530. The official docket may be examined in Wichita Aircraft Certification Office (ACO), Conclusion FAA, Small Airplane Directorate. the Office of the Assistant Chief (d) An alternative method of compliance or In consideration of the Counsel, Federal Aviation adjustment of the compliance time that aforementioned delay in installation Administration, Southwest Region, 2601 provides an acceptable level of safety may be and commissioning of the Port City Meacham Boulevard, Forth Worth, TX, used if approved by the Manager, Wichita VOR/DME, action is being taken to between 9:00 a.m. and 3:00 p.m., ACO. Operators shall submit their requests withdraw the proposed amendment of Monday through Friday, except Federal through an appropriate FAA Principal the Class E airspace area at Muscatine, holidays. An informal docket may also Maintenance Inspector, who may add be examined during normal business comments and then send it to the Manager, IA. If necessary, a new NPRM will be Wichita ACO. prepared at a later date. hours at the Operations Branch, Air Traffic Division, Federal Aviation Note 3: Information concerning the List of Subjects in 14 CFR part 71 existence of approved alternative methods of Administration, Southwest Region, 1601 compliance with this AD, if any, may be Airspace, Incorporation by reference, Meacham Boulevard, Forth Worth, TX. Navigation (air). obtained from the Wichita ACO. FOR FURTHER INFORMATION CONTACT: (e) Special flight permits may be issued in Withdrawal of Proposed Rule accordance with sections 21.197 and 21.199 Donald J. Day, Operations Branch, Air of the Federal Aviation Regulations (14 CFR Accordingly, pursuant to the Traffic Division, Federal Aviation 21.197 and 21.199) to operate the airplane to authority delegated to me, Airspace Administration, Southwest Region, a location where the requirements of this AD Docket No. 95–ACE–17, as published in Forth Worth, TX 76193–0530; telephone can be accomplished. the Federal Register on December 20, (817) 222–5593. 7734 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules

SUPPLEMENTARY INFORMATION: SIAP to RWY 26 at Silver City-Grant September 16, 1996, is amended as Comments Invited County Airport has made this proposal follows: necessary. The intended effect of this Interested parties are invited to Paragraph 6005 Class E airspace areas proposal is to provide adequate Class E extending upward from 700 feet or more participate in this proposed rulemaking airspace for aircraft executing the GPS above the surface of the earth. by submitting such written data, views, SIAP to Rwy 26 at Silver City-Grant * * * * * or arguments as they may desire. County Airport, Silver City, NM. Comments that provide the factual basis ASW NM E5 Silver City, NM [Revised] supporting the views and suggestions The coordinates for this airspace Silver City-Grant County Airport, NM presented are particularly helpful in docket are based on North American (lat. 32°38′11′′N., long. 108°09′23′′W.) developing reasoned regulatory Datum 83. Designated Class E airspace Silver City Localizer decisions on the proposal. Comments areas extending upward from 700 feet or (lat. 32°37′57′′N., long. 108°09′59′′W.) more above ground level are published Cozey LOM are specifically invited on the overall ° ′ ′′ ° ′ ′′ regulatory, aeronautical, economic, in Paragraph 6005 of FAA Order (lat. 32 37 55 N., long. 108 03 48 W.) 7400.9C, dated September 4, 1996, and Silver City VORTAC environmental, and energy-related (lat. 32°38′16′′N., long. 108°09′40′′W.) aspects of the proposal. effective September 16, 1996, which is That airspace extending upward from 700 Communications should identify the incorporated by reference in 14 CFR feet above the surface within a 6.8-mile airspace docket number and be 71.1. The Class E airspace designation radius of Silver City-Grant County Airport submitted in triplicate to the address listed in this document would be and within 2.2 miles south and 7 miles north listed under the caption ADDRESSES. published subsequently in the order. of the Silver City Localizer east course Commenters wishing the FAA to The FAA has determined that this extending from the 6.8-mile radius to 14.4 miles east of the airport and within 1.9 miles acknowledge receipt of their comments proposed regulation only involves an on this notice must submit, with those each side of the 107° bearing from the Cozey established body of technical LOM extending from the 6.8-mile radius to comments, a self-addressed, stamped, regulations that need frequent and postcard containing the following 8.2 miles southeast of the airport and within routine amendments to keep them 8 miles west and 4 miles east of the 141° statement: ‘‘Comments to Airspace operationally current. It, therefore—(1) radial of the Silver City VORTAC extending Docket No. 96–ASW–21.’’ The postcard is not a ‘‘significant regulatory action’’ from the 6.8-mile radius to 19.7 miles will be date and time stamped and under Executive Order 12866; (2) is not southeast of the airport. returned to the commenter. All a ‘‘significant rule’’ under DOT * * * * * communications received on or before Regulatory Policies and Procedures (44 Issued in Forth Worth, TX on February 12, the specified closing date for comments FR 11034; February 26, 1979); and (3) 1997. will be considered before taking action does not warrant preparation of a Albert L. Viselli, on the proposed rule. The proposal regulatory evaluation as the anticipated Acting Manager, Air Traffic Division, contained in this notice may be changed impact is so minimal. Since this is a Southwest Region. in the light of comments received. All routine matter that will only affect air [FR Doc. 97–4217 Filed 2–19–97; 8:45 am] comments submitted will be available traffic procedures and air navigation, it BILLING CODE 4910±13±M for examination in the Office of the is certified that this rule, when Assistant Chief Counsel, Federal promulgated, will not have a significant Aviation Administration, Southwest 14 CFR Part 71 Region, 2601 Meacham Boulevard, impact on a substantial number of small Forth Worth, TX, both before and after entities under the criteria of the [Airspace Docket No. 96±ASW±22] the closing date for comments. A report Regulatory Flexibility Act. Proposed Revision of Class E summarizing each substantive public List of Subjects in 14 CFR Part 71 contact with FAA personnel concerned Airspace; Perry, OK with this rulemaking will be filed in the Airspace, Incorporation by reference, AGENCY: Federal Aviation docket. Navigation (air). Administration (FAA), DOT. Availability of NPRM’s The Proposed Amendment ACTION: Notice of proposed rulemaking.

Any person may obtain a copy of this In consideration of the foregoing, the SUMMARY: This notice proposes to revise Notice of Proposed Rulemaking (NPRM) Federal Aviation Administration the Class E airspace extending upward by submitting a request to the proposed to amend 14 CFR part 71 as from 700 feet above ground level (AGL) Operations Branch, Air Traffic Division, follows: at Perry, OK. A new Global Positioning Federal Aviation Administration, System (GPS) Standard Instrument Southwest Region, Forth Worth, TX PART 71Ð[AMENDED] Approach procedure (SIAP) to Runway 76193–0530. Communications must (RWY) 17 at Perry Municipal Airport identify the notice number of this 1. The authority citation for 14 CFR has made this proposal necessary. The NPRM. Persons interested in being part 71 continues to read as follows: intended effect of this proposal is to placed on a mailing list for future provide adequate controlled airspace for NPRM’s should also request a copy of Authority: 49 U.S.C. 40103, 40113, 40120; E.O.; 10854, 24 FR 9565, 3 CFR, 1959–1963 aircraft executing the GPS SIAP to RWY Advisory Circular No. 11–2A that 17 at Perry Municipal Airport, Perry, describes the application procedure. Comp., p. 389; 49 U.S.C. 106(g); 14 CFR 11.69. OK. The Proposal DATES: Comments must be received on § 71.1 [Amended] The FAA is considering an or before April 21, 1997. amendment to part 71 of the Federal 2. The incorporation by reference in ADDRESSES: Send comments on the Aviation Regulations (14 CFR part 71) to 14 CFR 71.1 of the Federal Aviation proposal in triplicate to Manager, revise the Class E airspace, controlled Administration Order 7400.9C, Airspace Operations Branch, Air Traffic Division, airspace extending upward from 700 Designations and Reporting Points, Federal Aviation Administration, feet AGL, at Silver City, NM. A new GPS dated September 4, 1996, and effective Southwest Region, Docket No. 96– Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules 7735

ASW–22, Fort Worth, TX 76193–0530. Availability of NPRM’s The Proposed Amendment The official docket may be examined in Any person may obtain a copy of this In consideration of the foregoing, the the Office of the Assistant Chief Federal Aviation Administration Counsel, Federal Aviation Notice of Proposed Rulemaking (NPRM) by submitting a request to the proposes to amend 14 CFR part 71 as Administration, Southwest Region, 2601 follows: Meacham Boulevard, Fort Worth, TX, Operations Branch, Air Traffic Division, between 9:00 a.m. and 3:00 p.m., Federal Aviation Administration, PART 71Ð[AMENDED] Monday through Friday, except Federal Southwest Region, Fort Worth, TX 1. The authority citation for 14 CFR holidays. An informal docket may also 76193–0530. Communications must part 71 continues to read as follows: be examined during normal business identify the notice number of this hours at the Operations Branch, Air NPRM. Persons interested in being Authority: 49 U.S.C. 40103, 40113, 40120; Traffic Division, Federal Aviation placed on a mailing list for future E.O. 10854, 24 FR 9565, 3 CFR, 1959–1963 Administration, Southwest Region, 2601 NPRM’s should also request a copy of Comp., p. 389; 49 U.S.C. 106(g); 14 CFR 11.69. Meacham Boulevard, Fort Worth, TX. Advisory Circular No. 11–2A that describes the application procedure. § 71.1 [Amended] FOR FURTHER INFORMATION CONTACT: The Proposal 2. The incorporation by reference in Donald J. Day, Operations Branch, Air 14 CFR 71.1 of the Federal Aviation Traffic Division, Federal Aviation The FAA is considering an Administration Order 7400.9C, Airspace Administration, Southwest Region, Fort amendment to part 71 of the Federal Designations and Reporting Points, Work, TX 76193–0530; telephone: (817) Aviation Regulations (14 CFR part 71) to dated September 4, 1996, and effective 222–5593. revise the Class E airspace, controlled September 16, 1996, is amended as SUPPLEMENTARY INFORMATION: airspace extending upward from 700 follows: feet AGL, at Perry, OK. A new GPS SIAP Paragraph 6005 Class E airspace areas Comments Invited to RWY 17 at Perry Municipal Airport extending upward from 700 feet or more has made this proposal necessary. The Interested parties are invited to above the surface of the earth. intended effect of this proposal is to * * * * * participate in this proposed rulemaking provide adequate Class E airspace for by submitting such written data, views, aircraft executing the GPS SIAP to RWY ASW OK E5 Perry, OK [Revised] or arguments as they may desire. 17 at Perry Municipal Airport, Perry, Perry Municipal Airport, OK Comments that provide the factual basis OK. (lat. 36°23′08′′ N., long. 97°16′38′′ W.) supporting the views and suggestions The coordinates for this airspace That airspace extending upward from 700 presented are particularly helpful in feet above the surface within a 6.5-mile developing reasoned regulatory docket are based on North American radius of Perry Municipal Airport and within decisions on the proposal. Comments Datum 83. Designated Class E airspace 2 miles each side of the 359° bearing from the are specifically invited on the overall areas extending upward from 700 feet or airport extending from the 6.5-mile radius to regulatory, aeronautical, economic, more above ground level are published 10.5 miles north of the airport. environmental, and energy-related in Paragraph 6005 of FAA Order * * * * * * aspects of the proposal. 7400.9C, dated September 4, 1996, and Issued in Fort Worth, TX on February 12, Communications should identify the effective September 16, 1996, which is 1997. airspace docket number and be incorporated by reference in 14 CFR Albert L. Viselli, submitted in triplicate to the address 71.1. The Class E airspace designation Acting Manager, Air Traffic Division, listed under the caption ADDRESSES. listed in this document would be Southwest Region. Commenters wishing the FAA to published subsequently in the order. [FR Doc. 97–4216 Filed 2–19–97; 8:45 am] acknowledge receipt of their comments The FAA has determined that this BILLING CODE 4910±13±M on this notice must submit, with those proposed regulation only involves an comments, a self-addressed, stamped, established body of technical postcard containing the following regulations that need frequent and 14 CFR Part 71 statement: ‘‘Comments to Airspace routine amendments to keep them [Airspace Docket No. 96±ASW±23] Docket No. 96–ASW–22.’’ The postcard operationally current. It, therefore—(1) will be date and time stamped and is not a ‘‘significant regulatory action’’ Proposed Revision of Class E returned to the commenter. All under Executive Order 12866; (2) is not Airspace; Socorro, NM a ‘‘significant rule’’ under DOT communications received on or before AGENCY: Federal Aviation Regulatory Policies and Procedures (44 the specified closing date for comments Administration (FAA), DOT. will be considered before taking action FR 11034; February 26, 1979); and (3) ACTION: Notice of proposed rulemaking. on the proposed rule. The proposal does not warrant preparation of a contained in this notice may be changed regulatory evaluation as the anticipated SUMMARY: This notice proposes to revise in the light of comments received. All impact is so minimal. Since this is a the Class E airspace extending upward comments submitted will be available routine matter that will only affect air from 700 feet above ground level (AGL) for examination in the Office of the traffic procedures and air navigation, it at Socorro, NM. A new Global Assistant Chief Counsel, Federal is certified that this rule, when Positioning System (GPS) Standard Aviation Administration, Southwest promulgated, will not have a significant Instrument Approach Procedure (SIAP) Region, 2601 Meacham Boulevard, Fort impact on a substantial number of small to Runway (RWY) 33 at Socorro Worth, TX both before and after the entities under the criteria of the Municipal Airport has made this closing date for comments. A report Regulatory Flexibility Act. proposal necessary. The intended effect summarizing each substantive public List of Subjects in 14 CFR Part 71 of this proposal is to provide adequate contact with FAA personnel concerned controlled airspace for aircraft executing with this rulemaking will be filed in the Airspace, Incorporation by reference, the GPS SIAP to RWY 33 at Socorro docket. Navigation (air). Municipal Airport, Socorro, NM. 7736 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules

DATES: Comments must be received on closing date for comments. A report List of Subjects in 14 CFR Part 71 or before April 21, 1997. summarizing each substantive public Airspace, Incorporation by reference, ADDRESSES: Send comments on the contact with FAA personnel concerned Navigation (air). proposal in triplicate to Manager, with this rulemaking will be filed in the Operations Branch, Air Traffic Division, docket. The Proposed Amendment Federal Aviation Administration, Availability of NPRM’s In consideration of the foregoing, the Southwest Region, Docket No. 96– Federal Aviation Administration ASW–23, Fort Worth, TX 76193–0530. Any person may obtain a copy of this proposes to amend 14 CFR part 71 as The official docket may be examined in Notice of Proposed Rulemaking (NPRM) follows: the Office of the Assistant Chief by submitting a request to the Counsel, Federal Aviation Operations Branch, Air Traffic Division, PART 71Ð[AMENDED] Administration, Southwest Region, 2601 Federal Aviation Administration, 1. The authority citation for 14 CFR Meacham Boulevard, Fort Worth, TX, Southwest Region, Fort Worth, TX part 71 continues to read as follows: between 9:00 a.m. and 3:00 p.m., 76193–0530. Communications must Monday through Friday, except Federal identify the notice number of this Authority: 49 U.S.C. 40103, 40113, 40120; holidays. An informal docket may also NPRM. Persons interested in being E.O. 10854, 24 FR 9565, 3 CFR, 1959–1963 be examined during normal business placed on a mailing list for future Comp., p. 389; 49 U.S.C. 106(g); 14 CFR 11.69. hours at the Operations Branch, Air NPRM’s should also request a copy of Traffic Division, Federal Aviation Advisory Circular No. 11–2A that § 71.1 [Amended] Administration, Southwest Region, 2601 describes the application procedure. 2. The incorporation by reference in Meacham Boulevard, Fort Worth, TX. The Proposal 14 CFR 71.1 of the Federal Aviation FOR FURTHER INFORMATION CONTACT: Administration Order 7400.9C, Airspace Donald J. Day, Operations Branch, Air The FAA is considering an Designations and Reporting Points, Traffic Division, Federal Aviation amendment to part 71 of the Federal dated September 4, 1996, and effective Administration, Southwest Region, Fort Aviation Regulations (14 CFR part 71) to September 16, 1996, is amended as Worth, TX 76193–0530; telephone: (817) revise the Class E airspace, controlled follows: 222–5593. airspace extending upward from 700 feet AGL, at Socorro, NM. A new GPS Paragraph 6005 Class E airspace areas SUPPLEMENTARY INFORMATION: extending upward from 700 feet or more SIAP to RWY 33 at Socorro Municipal above the surface of the earth. Comments Invited Airport has made this proposal * * * * * Interested parties are invited to necessary. The intended effect of this participate in this proposed rulemaking proposal is to provide adequate Class E ASW NM E5 Socorro, NM [Revised] by submitting such written data, views, airspace for aircraft executing the GPS Socorro Municipal Airport, NM or arguments as they may desire. SIAP to RWY 33 at Socorro Municipal (lat. 34°01′19′′ N., long. 106°54′10′′ W.) Comments that provide the factual basis Airport, Socorro, NM. That airspace extending upward from 700 supporting the views and suggestions The coordinates for this airspace feet above the surface within a 6.7-mile presented are particularly helpful in docket are based on North American radius of Socorro Municipal Airport and ° developing reasoned regulatory Datum 83. Designated Class E airspace within 1.4 miles each side of the 164 bearing decisions on the proposal. Comments areas extending upward from 700 feet or from the airport extending from the 6.7-mile more above ground level are published radius to 7.1 miles south of the airport are specifically invited on the overall excluding that airspace west of long. regulatory, aeronautical, economic, in Paragraph 6005 of FAA Order 107°00′02′′. environmental, and energy-related 7400.9C, dated September 4, 1996, and effective September 16, 1996, which is * * * * * aspects of the proposal. Issued in Fort Worth, TX, on February 12, Communications should identify the incorporated by reference in 14 CFR 1997. 71.1. The Class E airspace designation airspace docket number and be Albert L. Viselli, submitted in triplicate to the address listed in this document would be Acting Manager, Air Traffic Division, ADDRESSES published subsequently in the order. listed under the caption . Southwest Region. Commenters wishing the FAA to The FAA has determined that this [FR Doc. 97–4215 Filed 2–19–97; 8:45 am] acknowledge receipt of their comments proposed regulation only involves an on this notice must submit, with those established body of technical BILLING CODE 4913±13±M comments, a self-addressed, stamped, regulations that need frequent and postcard containing the following routine amendments to keep them 14 CFR Part 71 statement: ‘‘Comments to Airspace operationally current. It, therefore—(1) docket No. 96–ASW–23.’’ The postcard is not a ‘‘significant regulatory action’’ [Airspace Docket No. 96±ASW±24] will be date and time stamped and under Executive Order 12866; (2) is not returned to the commenter. All a ‘‘significant rule’’ under DOT Proposed Revision of Class E communications received on or before Regulatory Policies and Procedures (44 Airspace; Jasper, TX the specified closing date for comments FR 11034; February 26, 1979); and (3) AGENCY: Federal Aviation will be considered before taking action does not warrant preparation of a Administration (FAA), DOT. on the proposed rule. The proposal regulatory evaluation as the anticipated ACTION: Notice of proposed rulemaking. contained in this notice may be changed impact is so minimal. Since this is a in the light of comments received. All routine matter that will only affect air SUMMARY: This notice proposes to revise comments submitted will be available traffic procedures and air navigation, it the Class E airspace extending upward for examination in the Office of the is certified that this rule, when from 700 feet above ground level (AGL) Assistant Chief Counsel, Federal promulgated, will not have a significant at Jasper, TX. A new Global Positioning Aviation Administration, Southwest impact on a substantial number of small System (GPS) Standard Instrument Region, 2601 Meacham Boulevard, Fort entities under the criteria of the Approach Procedure (SIAP) to Runway Worth, TX, both before and after the Regulatory Flexibility Act. (RWY) 18 at Jasper County-Bell Field Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules 7737 has made this proposal necessary. The comments submitted will be available is certified that this rule, when intended effect of this proposal is to for examination in the Office of the promulgated, will not have a significant provide adequate controlled airspace for Assistant Chief Counsel, Federal impact on a substantial number of small aircraft executing the GPS SIAP to RWY Aviation Administration, Southwest entities under the criteria of the 18 at Jasper County-Bell Field, Jasper, Region, 2601 Meacham Boulevard, Fort Regulatory Flexibility Act. TX. Worth, TX, both before and after the List of Subjects in 14 CFR Part 71 DATES: Comments must be received on closing date for comments. A report or before April 21, 1997. summarizing each substantive public Airspace, Incorporation by reference, ADDRESSES: Send comments on the contact with FAA personnel concerned Navigation (air). proposal in triplicate to Manager, with this rulemaking will be filed in the The Proposed Amendment docket. Operations Branch, Air Traffic Division, In consideration of the foregoing, the Federal Aviation Administration, Availability of NPRM’s Federal Aviation Administration Southwest Region, Docket No. 96– proposes to amend 14 CFR part 71 as ASW–24, Fort Worth, TX 76193–0530. Any person may obtain a copy of this follows: The official docket may be examined Notice of Proposed Rulemaking (NPRM) by submitting a request to the in the Office of the Assistant Chief PART 71Ð[AMENDED] Counsel, Federal Aviation Operations Branch, Air Traffic Division, Administration, Southwest Region, 2601 Federal Aviation Administration, 1. The authority citation for 14 CFR Meacham Boulevard, Fort Worth, TX, Southwest Region, Fort Worth, TX part 71 continues to read as follows: between 9:00 a.m. and 3:00 p.m., 76193–0530. Communications must identify the notice number of this Authority: 49 U.S.C. 40103, 40113, 40120; Monday through Friday, except Federal E.O. 10854, 24 FR 9565, 3 CFR, 1959–1963 holidays. An informal docket may also NPRM. Persons interested in being Comp., p. 389; 49 U.S.C. 106(g); 14 CFR be examined during normal business placed on a mailing list for future 11.69. hours at the Operations Branch, Air NPRM’s should also request a copy of § 71.1 [Amended] Traffic Division, Federal Aviation Advisory Circular No. 11–2A that Administration, Southwest Region, 2601 describes the application procedure. 2. The incorporation by reference in 14 CFR 71.1 of the Federal Aviation Meacham Boulevard, Fort Worth, TX The Proposal Administration Order 7400.9D, FOR FURTHER INFORMATION CONTACT: The FAA is considering an Airspace Designations and Reporting Donald J. Day, Operations Branch, Air amendment to part 71 of the Federal Points, dated September 4, 1996, and Traffic Division, Federal Aviation Aviation Regulations (14 CFR part 71) to effective September 16, 1996, is Administration, Southwest Region, Fort revise the Class E airspace, controlled amended as follows: Worth, TX 76193-0530; telephone (817) airspace extending upward from 700 222–5593. Paragraph 6005 Class E airspace areas feet AGL, at Jasper, TX. A new GPS extending upward from 700 feet or more SUPPLEMENTARY INFORMATION: SIAP to RWY 18 at Jasper County-Bell above the surface of the earth. Field has made this proposal necessary. Comments Invited * * * * * The intended effect of this proposal is Interested parties are invited to to provide adequate Class E airspace for ASW TX E5 Jasper, TX [Revised] participate in this proposed rulemaking aircraft executing the GPS SIAP to RWY Jasper, Jasper County-Bell Field, TX by submitting such written data, views, 18 at Jasper County-Bell Field, Jasper, (lat. 30°53′29′′ N., long. 94°02′02′′ W.) or arguments as they may desire. TX. Jasper RBN Comments that provide the factual basis The coordinates for this airspace (lat. 30°57′17′′ N., long. 94°02′01′′ W.) supporting the views and suggestions docket are based on North American That airspace extending upward from 700 presented are particularly helpful in Datum 83. Designated Class E airspace feet above the surface within a 6.4-mile developing reasoned regulatory radius of Jasper County-Bell Field and within areas extending upward from 700 feet or ° decisions on the proposal. Comments more above ground level are published 2.6 miles each side of the 001 bearing from are specifically invited on the overall the Jasper RBN extending from the 6.4-mile in Paragraph 6005 of FAA Order radius to 10.9 miles north of the airport. regulatory, aeronautical, economic, 7400.9D, dated September 4, 1996, and * * * * * environmental, and energy-related effective September 16, 1996, which is Issued in Forth Worth, TX on February 12, aspects of the proposal. incorporated by reference in 14 CFR 1997. Communications should identify the 71.1. The Class E airspace designation Albert L. Viselli, airspace docket number and be listed in this document would be submitted in triplicate to the address Acting Manager, Air Traffic Division, published subsequently in the order. Southwest Region. listed under the caption ADDRESSES. The FAA has determined that this Commenters wishing the FAA to proposed regulation only involves an [FR Doc. 97–4214 Filed 2–19–97; 8:45 am] acknowledge receipt of their comments established body of technical BILLING CODE 4910±13±M on this notice must submit, with those regulations that need frequent and comments, a self-addressed, stamped, routine amendments to keep them 14 CFR Part 71 postcard containing the following operationally current. It, therefore—(1) statement: ‘‘Comments to Airspace is not a ‘‘significant regulatory action’’ [Airspace Docket No. 96±ASW±25] Docket No. 96–ASW–24.’’ The postcard under Executive Order 12866; (2) is not will be date and time stamped and a ‘‘significant rule’’ under DOT Proposed Revision of Class E returned to the commenter. All Regulatory Policies and Procedures (44 Airspace; Brinkley, AR communications received on or before FR 11034; February 26, 1979); and (3) AGENCY: Federal Aviation the specified closing date for comments does not warrant preparation of a Administration (FAA), DOT. will be considered before taking action regulatory evaluation as the anticipated ACTION: Notice of proposed rulemaking. on the proposed rule. The proposal impact is so minimal. Since this is a contained in this notice may be changed routine matter that will only affect air SUMMARY: This notice proposes to revise in the light of comments received. All traffic procedures and air navigation, it the Class E airspace extending upward 7738 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules from 700 feet above ground level (AGL) communications received on or before Regulatory Policies and Procedures (44 at Brinkley, AR. A new Global the specified closing date for comments FR 11034; February 26, 1979); and (3) Positioning System (GPS) Standard will be considered before taking action does not warrant preparation of a Instrument Approach Procedure (SIAP) on the proposed rule. The proposal regulatory evaluation as the anticipated at Frank Federer Memorial Airport has contained in this notice may be changed impact is so minimal. Since this is a made this proposal necessary. The in the light of comments received. All routine matter that will only affect air intended effect of this proposal is to comments submitted will be available traffic procedures and air navigation, it provide adequate controlled airspace for for examination in the Office of the is certified that this rule, when aircraft executing the GPS–A SIAP at Assistant Chief Counsel, Federal promulgated, will not have a significant Frank Federer Memorial Airport, Aviation Administration, Southwest impact on a substantial number of small Brinkley, AR. Region, 2601 Meacham Boulevard, Fort entities under the criteria of the Worth, TX, both before and after the DATES: Comments must be received on Regulatory Flexibility Act. or before April 21, 1997. closing date for comments. A report ADDRESSES: Send comments on the summarizing each substantive public List of Subjects in 14 CFR Part 71 proposal in triplicate to Manager, contact with FAA personnel concerned Airspace, Incorporation by reference, Operations Branch, Air Traffic Division, with this rulemaking will be filed in the Federal Aviation Administration, docket. Navigation (air). Southwest Region, Docket No. 96– Availability of NPRM’s The Proposed Amendment ASW–25, Fort Worth, TX 76193–0530. Any person may obtain a copy of this The official docket may be examined In consideration of the foregoing, the Notice of Proposed Rulemaking (NPRM) in the Office of the Assistant Chief Federal Aviation Administration by submitting a request to the Counsel, Federal Aviation Operations Branch, Air Traffic Division, proposes to amend 14 CFR part 71 as Administration, Southwest Region, 2601 Federal Aviation Administration, follows: Meacham Boulevard, Fort Worth, TX, Southwest Region, Fort Worth, TX between 9:00 a.m. and 3:00 p.m., PART 71Ð[AMENDED] 76193–0530. Communications must Monday through Friday, except Federal identify the notice number of this holidays. An informal docket may also 1. The authority citation for 14 CFR NPRM. Persons interested in being be examined during normal business part 71 continues to read as follows: hours at the Operations Branch, Air placed on a mailing list for future Authority: 49 U.S.C. 40103, 40113, 40120; Traffic Division, Federal Aviation NPRM’s should also request a copy of E.O. 10854, 24 FR 9565, 3 CFR, 1959–1963 Administration, Southwest Region, 2601 Advisory Circular No. 11–2A that Comp., p. 389; 49 U.S.C. 106(g); 14 CFR Meacham Boulevard, Fort Worth, TX. describes the application procedure. 11.69. FOR FURTHER INFORMATION CONTACT: The Proposal Donald J. Day, Operations Branch, Air The FAA is considering an § 71.1 [Amended] Traffic Division, Federal Aviation amendment to part 71 of the Federal Administration, Southwest Region, Fort 2. The incorporation by reference in Aviation Regulations (14 CFR part 71) to 14 CFR 71.1 of the Federal Aviation Worth, TX 76193–0530; telephone: (817) revise the Class E airspace, controlled 222–5593. Administration Order 7400.9D, airspace extending upward from 700 Airspace Designations and Reporting feet AGL, at Brinkley, AR. A new GPS– SUPPLEMENTARY INFORMATION: Points, dated September 4, 1996, and A SIAP at Frank Federer Memorial effective September 16, 1996, is Comments Invited Airport has made this proposal amended as follows: Interested parties are invited to necessary. The intended effect of this participate in this proposed rulemaking proposal is to provide adequate Class E Paragraph 6005 Class E airspace areas by submitting such written data, views, airspace for aircraft executing the GPS– extending upward from 700 feet or more or arguments as they may desire. A SIAP at Frank Federer Memorial above the surface of the earth. Comments that provide the factual basis Airport, Brinkley, AR. * * * * * supporting the views and suggestions The coordinates for this airspace ASW AR E5 Brinkley, AR [Revised] presented are particularly helpful in docket are based on North American developing reasoned regulatory Datum 83. Designated Class E airspace Brinkley, Frank Federer Memorial Airport, AR decisions on the proposal. Comments areas extending upward from 700 feet or (lat. 34°52′49′′ N., long. 91°10′35′′ W.) are specifically invited on the overall more above ground level are published regulatory, aeronautical, economic, in Paragraph 6005 of FAA Order That airspace extending upward from 700 environmental, and energy-related 7400.9D, dated September 4, 1996, and feet above the surface within a 6.4-mile aspects of the proposal. radius of Frank Federer Memorial Airport effective September 16, 1996, which is ° Communications should identify the incorporated by reference in 14 CFR and within 2.5 miles each side of the 011 airspace docket number and be 71.1. The Class E airspace designation bearing from the airport extending from the submitted in triplicate to the address listed in this document would be 6.4-mile radius to 7.3 miles north of the airport. listed under the caption ADDRESSES. published subsequently in the order. Commenters wishing the FAA to The FAA has determined that this * * * * * acknowledge receipt of their comments proposed regulation only involves an Issued in Fort Worth, TX on February 12, on this notice must submit, with those established body of technical 1997. comments, a self-addressed, stamped, regulations that need frequent and Albert L. Viselli, postcard containing the following routine amendments to keep them Acting Manager, Air Traffic Division, statement: ‘‘Comments to Airspace operationally current. It, therefore—(1) Southwest Region. Docket No. 96–ASW–25.’’ The postcard is not a ‘‘significant regulatory action’’ [FR Doc. 97–4213 Filed 2–19–97; 8:45 am] will be date and time stamped and under Executive Order 12866; (2) is not BILLING CODE 4910±13±M returned to the commenter. All a ‘‘significant rule’’ under DOT Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules 7739

14 CFR Part 71 airspace docket number and be listed in this document would be submitted in triplicate to the address published subsequently in the order. [Airspace Docket No. 96±ASW±26] listed under the caption ADDRESSES. The FAA has determined that this Proposed Revision of Class E Commenters wishing the FAA to proposed regulation only involves an Airspace; Longview, TX acknowledge receipt of their comments established body of technical on this notice must submit, with those regulations that need frequent and AGENCY: Federal Aviation comments, a self-addressed, stamped, routine amendments to keep them Administration (FAA), DOT. postcard containing the following operationally current. It, therefore—(1) ACTION: Notice of proposed rulemaking. statement: ‘‘Comments to Airspace is not a ‘‘significant regulatory action’’ Docket No. 96–ASW–26.’’ The postcard under Executive Order 12866; (2) is not SUMMARY: This notice proposes to revise will be date and time stamped and the Class E airspace extending upward a ‘‘significant rule’’ under DOT returned to the commenter. All Regulatory Policies and Procedures (44 from 700 feet above ground level (AGL) communications received on or before at Longview, TX. A new VHF FR 11034; February 26, 1979); and (3) the specified closing date for comments does not warrant preparation of a Omnidirectional Range (VOR) or will be considered before taking action Tactical Air Navigation (TACAN) regulatory evaluation as the anticipated on the proposed rule. The proposal impact is so minimal. Since this is a Standard Instrument Approach contained in this notice may be changed Procedure (SIAP) to Runway (RWY) 13 routine matter that will only affect air in the light of comments received. All traffic procedures and air navigation, it at Gregg County Airport has made this comments submitted will be available is certified that this rule, when proposal necessary. The intended effect for examination in the Office of the promulgated, will not have a significant of this proposal is to provide adequate Assistant Chief Counsel, Federal impact on a substantial number of small controlled airspace for aircraft executing Aviation Administration, Southwest entities under the criteria of the the VOR or TACAN SIAP to RWY 13 at Region, 2601 Meacham Boulevard, Fort Regulatory Flexibility Act. Gregg County Airport, Longview, TX. Worth, TX, both before and after the DATES: Comments must be received on closing date for comments. A report List of Subjects in 14 CFR Part 71 or before April 21, 1997. summarizing each substantive public Airspace, Incorporation by reference, ADDRESSES: Send comments on the contact with FAA personnel concerned Navigation (air). proposal in triplicate to Manager, with this rulemaking will be filed in the Operations Branch, Air Traffic Division, docket. The Proposed Amendment Federal Aviation Administration, Availability of NPRM’s Southwest Region, Docket No. 96– In consideration of the foregoing, the ASW–26, Fort Worth, TX 76193–0530. Any person may obtain a copy of this Federal Aviation Administration The official docket may be examined Notice of Proposed Rulemaking (NPRM) proposes to amend 14 CFR part 71 as in the Office of the Assistant Chief by submitting a request to the follows: Counsel, Federal Aviation Operations Branch, Air Traffic Division, PART 71Ð[AMENDED] Administration, Southwest Region, 2601 Federal Aviation Administration, Meacham Boulevard, Fort Worth, TX, Southwest Region, Fort Worth, TX 76193–0530. Communications must 1. The authority citation for 14 CFR between 9:00 a.m. and 3:00 p.m., part 71 continues to read as follows: Monday through Friday, except Federal identify the notice number of this holidays. An informal docket may also NPRM. Persons interested in being Authority: 49 U.S.C. 40103, 40113, 40120; be examined during normal business placed on a mailing list for future E.O. 10854, 24 FR 9565, 3 CFR, 1959–1963 hours at the Operations Branch, Air NPRM’s should also request a copy of Comp., p. 389; 49 U.S.C. 106(g); 14 CFR 11.69. Traffic Division, Federal Aviation Advisory Circular No. 11–2A that Administration, Southwest Region, 2601 describes the application procedure. § 71.1 [Amended] Meacham Boulevard, Fort Worth, TX. The Proposal 2. The incorporation by reference in FOR FURTHER INFORMATION CONTACT: The FAA is considering an 14 CFR 71.1 of the Federal Aviation Donald J. Day, Operations Branch, Air amendment to part 71 of the Federal Administration Order 7400.9D, Traffic Division, Federal Aviation Aviation Regulations (14 CFR part 71) to Airspace Designations and Reporting Administration, Southwest Region, Fort revise the Class E airspace, controlled Points, dated September 4, 1996, and Worth, TX 76193–0530; telephone: (817) airspace extending upward from 700 effective September 16, 1996, is 222–5593. feet AGL, at Longview, TX. A new VOR amended as follows: SUPPLEMENTARY INFORMATION: or TACAN SIAP to RWY 13 at Gregg Paragraph 6005 Class E airspace areas County Airport has made this proposal Comments Invited extending upward from 700 feet or more necessary. The intended effect of this above the surface of the earth. Interested parties are invited to proposal is to provide adequate Class E * * * * * participate in this proposed rulemaking airspace for aircraft executing the VOR by submitting such written data, views, or TACAN SIAP to RWY 13 at Gregg ASW TX E5 Longview, TX [Revised] or arguments as they may desire. County Airport, Longview, TX. Longview, Gregg County Airport, TX Comments that provide the factual basis The coordinates for this airspace (lat. 32°23′05′′ N., long. 94°42′42′′ W.) Gregg County VORTAC supporting the views and suggestions docket are based on North American ° ′ ′′ ° ′ ′′ presented are particularly helpful in Datum 83. Designated Class E airspace (lat. 32 25 04 N., long. 94 45 11 W.) developing reasoned regulatory areas extending upward from 700 feet or That airspace extending upward from 700 decisions on the proposal. Comments more above ground level are published feet above the surface within a 7.1-mile radius of Gregg County Airport and within are specifically invited on the overall in Paragraph 6005 of FAA Order 1.5 miles each side of the 133° radial of the regulatory, aeronautical, economic, 7400.9D, dated September 4, 1996, and Gregg County Airport extending from the 7.1- environmental, and energy-related effective September 16, 1996, which is mile radius to 10.9 miles southeast of the aspects of the proposal. incorporated by reference in 14 CFR airport and within 3.1 miles each side of the Communications should identify the 71.1. The Class E airspace designation 305° radial of the Gregg County VORTAC 7740 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules extending from the 7.1-mile radius to 10.3 or arguments as they may desire. SIAP to RWY 35 at Athens Municipal miles northwest of the airport. Comments that provide the factual basis Airport, Athens, TX. * * * * * supporting the views and suggestions The coordinates for this airspace Issued in Fort Worth, TX on February 12, presented are particularly helpful in docket are based on North American 1997. developing reasoned regulatory Datum 83. Designated Class E airspace Albert L. Viselli, decisions on the proposal. Comments areas extending upward from 700 feet or Acting Manager, Air Traffic Division, are specifically invited on the overall more above ground level are published Southwest Region. regulatory, aeronautical, economic, in Paragraph 6005 of FAA Order [FR Doc. 97–4212 Filed 2–19–97; 8:45 am] environmental, and energy-related 7400.9D, dated September 4, 1996, and BILLING CODE 4913±13±M aspects of the proposal. effective September 16, 1996, which is Communications should identify the incorporated by reference in 14 CFR airspace docket number and be 71.1. The Class E airspace designation 14 CFR Part 71 submitted in triplicate to the address listed in this document would be [Airspace Docket No. 96±ASW±27] listed under the caption ADDRESSES. published subsequently in the order. Commenters wishing the FAA to The FAA has determined that this Proposed Revision of Class E acknowledge receipt of their comments proposed regulation only involves an Airspace; Athens, TX on this notice must submit, with those established body of technical comments, a self-addressed, stamped, regulations that need frequent and AGENCY: Federal Aviation postcard containing the following routine amendments to keep them Administration (FAA), DOT. statement: ‘‘Comments to Airspace operationally current. It, therefore—(1) ACTION: Notice of proposed rulemaking. Docket No. 96–ASW–27.’’ The postcard is not a ‘‘significant regulatory action’’ will be date and time stamped and under Executive Order 12866; (2) is not SUMMARY: This notice proposes to revise returned to the commenter. All a ‘‘significant rule’’ under DOT the Class E airspace extending upward communications received on or before Regulatory Policies and Procedures (44 from 700 feet above ground level (AGL) the specified closing date for comments FR 11034; February 26, 1979); and (3) at Athens, TX. A new Nondirectional will be considered before taking action does not warrant preparation of a Radio Beacon (NDB) Standard on the proposed rule. The proposal regulatory evaluation as the anticipated Instrument Approach Procedure (SIAP) contained in this notice may be changed impact is no minimal. Since this is a to Runway (RWY) 35 at Athens in the light of comments received. All routine matter that will only affect air Municipal Airport has made this comments submitted will be available traffic procedures and air navigation, it proposal necessary. The intended effect for examination in the Office of the is certified that this rule, when of this proposal is to provide adequate Assistant Chief Counsel, Federal promulgated, will not have a significant controlled airspace for aircraft executing Aviation Administration, Southwest impact on a substantial number of small the NDB SIAP to RWY 35 at Athens Region, 2601 Meacham Boulevard, Fort entities under the criteria of the Municipal Airport, Athens, TX. Worth, TX, both before and after the Regulatory Flexibility Act. DATES: Comments must be received on closing date for comments. A report List of Subjects in 14 CFR Part 71 or before April 21, 1997. summarizing each substantive public ADDRESSES: Send comments on the contact with FAA personnel concerned Airspace, Incorporation by reference, proposal in triplicate to Manager, with this rulemaking will be filed in the Navigation (air). Operations Branch, Air Traffic Division, docket. The Proposed Amendment Federal Aviation Administration, Southwest Region, Docket No. 96– Availability of NPRM’s In consideration of the foregoing, the Federal Aviation Administration AWS–27, Fort Worth, TX 76193–0530. Any person may obtain a copy of this The official docket may be examined proposes to amend 14 CFR part 71 as Notice of Proposed Rulemaking (NPRM) follows: in the Office of the Assistant Chief by submitting a request to the Counsel, Federal Aviation Operations Branch, Air Traffic Division, PART 71Ð[AMENDED] Administration, Southwest Region, 2601 Federal Aviation Administration, Meacham Boulevard, Fort Worth, TX, Southwest Region, Forth Worth, TX 1. The authority citation for 14 CFR between 9:00 a.m. and 3:00 p.m., 76193–0530. Communications must part 71 continues to read as follows: Monday through Friday, except Federal identify the notice number of this Authority: 49 U.S.C. 40103, 40113, 40120; holidays. An informal docket may also NPRM. Persons interested in being E. O. 10854, 24 FR 9565, 3 CFR, 1959–1963 be examined during normal business placed on a mailing list for future Comp., p. 389; 49 U.S.C. 106(g); 14 CFR hours at the Operations Branch, Air NPRM’s should also request a copy of 11.69. Traffic Division, Federal Aviation Advisory Circular No. 11–2A that § 71.1 [Amended] Administration, Southwest Region, 2601 describes the application procedure. Meacham Boulevard, Fort Worth, TX. 2. The incorporation by reference in The Proposal 14 CFR 71.1 of the Federal Aviation, FOR FURTHER INFORMATION CONTACT: Administration Order 7400.9D, Donald J. Day, Operations Branch, Air The FAA is considering an Airspace Designations and Reporting Traffic Division, Federal Aviation amendment to part 71 of the Federal Points, dated September 4, 1996, and Administration, Southwest Region, Fort Aviation Regulations (14 CFR part 71) to effective September 16, 1996, is Worth, TX 76193–0530; telephone: (817) revise the Class E airspace, controlled amended as follows: 222–5593. airspace extending upward from 700 Paragraph 6005 Class E airspace areas SUPPLEMENTARY INFORMATION: feet AGL, at Athens, TX. A new NDB extending upward from 700 feet or more SIAP to RWY 35 at Athens Municipal Comments Invited above the surface of the earth. Airport has made this proposal * * * * * Interested parties are invited to necessary. The intended effect of this participate in this proposed rulemaking proposal is to provide adequate Class E ASW TX E5 Athens, TX [Revised] by submitting such written data, views, airspace for aircraft executing the NDB Athens Municipal Airport, TX Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules 7741

(lat. 32°09′50′′N., long. 95°49′42′′W.) ATA–400 Office of Air Traffic Airspace The Proposal Athens, Lochridge Ranch Airport, TX Management, Federal Aviation ° ′ ′′ ° ′ ′′ The FAA is proposing to amend Title (lat. 31 59 22 N., long. 95 57 04 W.) Administration, 800 Independence Crossroads RBN 14 of the Code of Federal Regulations (lat. 32°03′49′′N., long. 95°57′27′′W.) Avenue, SW., Washington, DC 20591; part 71 (14 CFR part 71) by modifying Athens NDB telephone: (202) 267-8783. the Browerville/Barter Island, AK, En (lat. 32°09′34′′N., long. 95°49′49′′W.) SUPPLEMENTARY INFORMATION: Route Domestic Airspace Area. This That airspace extending upward from 700 action would remove that portion of the feet above the surface within a 6.5-mile Comments Invited area protected by controlled airspace radius of Athens Municipal Airport and known as V–438. En Route domestic ° Interested parties are invited to within 2.5 miles each side of the 177 bearing airspace areas are used for en route of the Athens NDB extending from the 6.5- participate in this proposed rulemaking mile radius to 7.3 miles south of the Athens navigation requiring en route air traffic by submitting such written data, views, control services outside of controlled Municipal Airport and within a 6.5-mile or arguments as they may desire. radius of Lochridge Ranch Airport and airspace. This action would redefine the within 4 miles each side of the 356° bearing Comments that provide the factual basis remaining area and rename Browerville/ of the Crossroads RBN extending from the supporting the views and suggestions Barter Island, AK, to Barter Island, AK. 6.5-mile radius to 9.2 miles north of the RBN. presented are particularly helpful in En route domestic airspace areas are * * * * * developing reasoned regulatory published in paragraph 6006 of FAA Issued in Forth Worth, TX on February 12, decisions on the proposal. Comments Order 7400.9D, dated September 4, 1997. are specifically invited on the overall 1996, and effective September 16, 1996, Albert L. Viselli, regulatory, aeronautical, economic, which is incorporated by reference in 14 Acting Manager, Air Traffic Division, environmental, and energy-related CFR 71.1. The en route domestic Southwest Region. aspects of the proposal. airspace area listed in this document [FR Doc. 97–4208 Filed 2–19–97; 8:45 am] Communications should identify the would be published subsequently in the BILLING CODE 4910±13±M airspace docket number and be Order. submitted in triplicate to the address The FAA has determined that this listed above. Commenters wishing the proposed regulation only involves an 14 CFR Part 71 FAA to acknowledge receipt of their established body of technical [Airspace Docket No. 97-AAL-1] comments on this notice must submit regulations for which frequent and with those comments a self-addressed, routine amendments are necessary to RIN: 2120-AA66 stamped postcard on which the keep them operationally current. Proposed Modification and Renaming following statement is made: Therefore, this regulation—(1) is not a of En Route Domestic Airspace; AK ‘‘Comments to Airspace Docket No. 97– ‘‘significant regulatory action’’ under AAL–1.’’ The postcard will be date/time Executive Order 12866; (2) is not a AGENCY: Federal Aviation stamped and returned to the ‘‘significant rule’’ under DOT Administration (FAA), DOT. commenter. All communications Regulatory Policies and Procedures (44 ACTION: Notice of proposed rulemaking. received on or before the specified FR 11034; February 26, 1979); and (3) closing date for comments will be does not warrant preparation of a SUMMARY: This proposed rule would considered before taking action on the Regulatory Evaluation as the anticipated modify the Browerville/Barter Island En proposed rule. The proposal contained impact is so minimal. Since this is a Route Domestic Airspace Area by in this notice may be changed in light routine matter that will only affect air removing that portion of the area of comments received. All comments traffic procedures and air navigation, it protected by controlled airspace known is certified that this rule, when as Federal Airway 438 (V–438). This submitted will be available for examination in the Rules Docket both promulgated, will not have a significant action would redefine the remaining economic impact on a substantial Browerville/Barter Island, AK, En Route before and after the closing date for comments. A report summarizing each number of small entities under the Domestic Airspace Area and rename criteria of the Regulatory Flexibility Act. Browerville/Barter Island, AK, to Barter substantive public contact with FAA Island, AK. personnel concerned with this List of Subjects in 14 CFR Part 71 rulemaking will be filed in the docket. DATES: Comments must be received on Airspace, Incorporation by reference, or before March 31, 1997. Availability of NPRM’s Navigation (air). ADDRESSES: Send comments on the The Proposed Amendment proposal in triplicate to: Manager, Air Any person may obtain a copy of this Traffic Division, AAL–500, Docket No. Notice of Proposed Rulemaking (NPRM) In consideration of the foregoing, the 97–AAL–1, Federal Aviation by submitting a request to the Federal Federal Aviation Administration Administration, 222 West 7th Avenue, Aviation Administration, Office of Air proposes to amend 14 CFR part 71 as #14, Anchorage, AL 99533. The official Traffic Airspace Management, follows: docket may be examined in the Rules Attention: Airspace and Rules Division, Docket, Office of the Chief Counsel, ATA–400, 800 Independence Avenue, PART 71Ð[AMENDED] Room 916, 800 Independence Avenue, SW., Washington, DC 20591, or by 1. The authority citation for 14 CFR SW., Washington, DC, weekdays, except calling (202) 267–8783. part 71 continues to read as follows: Federal holidays, between 8:30 a.m. and Communications must identify the notice number of this NPRM. Persons Authority: 49 U.S.C. 106(g), 40103, 40113, 5:00 p.m. 40120; E.O. 10854, 24 FR 9565, 3 CFR, 1959– An informal docket may also be interested in being placed on a mailing 1963 Comp., p. 389; 14 CFR 11.69. examined during normal business hours list for future NPRM’s should contact at the office of the Regional Air Traffic the FAA’s, Office of Rulemaking, (202) § 71.1 [Amended] Division. 267–9677, to request a copy of Advisory 2. The incorporation by reference in FOR FURTHER INFORMATION CONTACT: Bil Circular No. 11–2A, which describes the 14 CFR 71.1 of the Federal Aviation Nelson, Airspace and Rules Division, application procedure. Administration Order 7400.9D, Airspace 7742 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules

Designations and Reporting Points, comments received after August 6, 1996, relating to the labeling and advertising dated September 4, 1996, and effective and additional comments received on or of malt beverages which would prohibit September 16, 1996, is amended as before the March 7, 1997. the use of ‘‘Pina Colada,’’ ‘‘Daiquiri,’’ follows: Dated: February 12, 1997. ‘‘Margarita,’’ and similar terms in the Paragraph 6006—Domestic En Route Ada E. Deer, labeling of malt beverage products. Heublein’s petition also seeks to amend Airspace Areas Assistant Secretary—Indian Affairs. regulations relating to the labeling and * * * * * [FR Doc. 97–4077 Filed 2–19–97; 8:45 am] advertising of distilled spirits to Barter Island, AK [Revised] BILLING CODE 4310±02±P prohibit the term ‘‘Margarita’’ from From the Put River, AK, NDB 12 AGL to being used in the labeling of any Barter Island, AK, NDB. product unless that product is made * * * * * DEPARTMENT OF THE TREASURY with Tequila. Issued in Washington, DC, on February 5 The comment period for Notice No. 1997. Bureau of Alcohol, Tobacco and Firearms 844 was scheduled to close on February Jeff Griffith, 5, 1997. Prior to the close of the Program Director for Air Traffic, Airspace 27 CFR Parts 5 and 7 Comment Period, ATF received a Management. request from the National Association of [Notice No. 846; Ref. Notice No. 844] [FR Doc. 97–4206 Filed 2–19–97; 8:45 am] Beverage Importers, Inc. (NABI), a trade BILLING CODE 4910±13±U RIN 1512±AB50 association representing importers of alcoholic beverages, to extend the Use of Distilled Spirits Terms in comment period for 30 days. In DEPARTMENT OF THE INTERIOR Labeling and Advertising of Malt requesting the extended comment Beverages; Use of the Term period, NABI stated that the petition Bureau of Indian Affairs ``Margarita'' in Labeling Distilled had raised considerable controversy RIN 1076±AD14 Spirits within the industry, and that its AGENCY: Bureau of Alcohol, Tobacco members required additional time to 25 CFR Part 290 and Firearms (ATF), Department of the reach a position on the issues raised by the petition. Tribal Revenue Allocation Plans Treasury. ACTION: Notice of Petition; reopening of In consideration of this request, ATF AGENCY: Bureau of Indian Affairs, comment period. finds that a reopening of the comment Interior. period is warranted. Thus, the comment ACTION: Proposed Rule; Extension of SUMMARY: This notice reopens the period is being reopened for a period of Comment Period. comment period for Notice No. 844, a 30 additional days until March 7, 1997. Notice of Petition published in the SUMMARY: This notice extends the Federal Register on November 7, 1996. Disclosure comment period for the proposed rule, ATF has received a request to extend Copies of Heublein’s petition and which would establish procedures for the comment period in order to provide written comments received in response submission, review, and approval of sufficient time for all interested parties to the petition and to Notice No. 844 tribal plans for distributing revenues to respond to the issues raised in the will be available for public inspection from gaming activities. notice. during normal business hours at: ATF DATES: Comments must be received on DATES: Written comments must be Reading Room, Disclosure Branch, or before March 24, 1997. received by March 7, 1997. Room 6300, 650 Massachusetts Avenue ADDRESSES: Mail comments to George ADDRESSES: Send written comments to: NW, Washington, DC. Skibine, Director, Indian Gaming Chief, Wine, Bear, and Spirits Drafting Information Management Staff, Bureau of Indian Regulations Branch, Bureau of Alcohol, Affairs, 1849 C Street NW, MS 2070– Tobacco and Firearms, P.O. Box 50221, The author of this notice is Charles N. MIB, Washington, DC 20240. Comments Washington, DC 20091–0221; Attention: Bacon, Wine, Beer, and Spirits may be hand-delivered to the same Notice No. 844. Comments not Regulations Branch, Bureau of Alcohol, address from 9:00 a.m. to 4:00 p.m. exceeding three pages may be submitted Tobacco and Firearms. Monday through Friday or sent by by facsimile transmission to (202) 927– facsimile to 202–273–3153. 8602. List of Subjects FOR FURTHER INFORMATION CONTACT: FOR FURTHER INFORMATION CONTACT: 27 CFR Part 5 Nancy Pierskalla, Management Analyst, Charles N. Bacon, Wine, Beer, and Indian Gaming Management Staff, at Spirits Regulations Branch, Bureau of Advertising, Consumer protection, 202–219–4068. Alcohol, Tobacco and firearms, 650 Customs duties and inspection, Imports, Labeling, Liquors, Packaging and SUPPLEMENTARY INFORMATION: On Friday, Massachusetts Avenue, NW, June 7, 1996, the Bureau of Indian Washington, DC 20226; telephone (202) containers, Reporting and recordkeeping Affairs published a proposed rule, 61 FR 927–8230. requirements, Trade practices. 29044, concerning Tribal Revenue SUPPLEMENTARY INFORMATION: 27 CFR Part 7 Allocation Plans. The deadline for receipt of comments was August 6, Background Advertising, Beer , Consumer 1996. Six comments were received after On November 7, 1996, ATF published protection, Customs duties and August 6, 1996. Several of these a Notice of Petition in the Federal inspection, Imports, and Labeling. comments raise substantive issues that Register at 61 FR 57597 which outlined Authority may result in modification of the the proposals made in a petition proposed rule. The comment period is submitted by Heublein, Inc. Heublein’s This notice is issued under the reopened to allow consideration of the petition seeks changes in regulations authority of 27 U.S.C. 205. Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules 7743

Signed: February 13, 1997. actions to: Office of Air and Radiation progressing the O3 and PM NAAQS Director. Docket and Information Center (6102), reviews on the same schedule, EPA is John W. Magaw, Attention: U.S. Environmental making corresponding changes to the [FR Doc. 97–4289 Filed 2–19–97; 8:45 am] Protection Agency, 401 M Street SW., schedule for the O3 NAAQS review and BILLING CODE 4810±13±M Washington, DC 20460. In addition, associated requirements for designation please add the appropriate docket of reference and equivalent methods for number as follows: Proposed PM monitoring PM2.5 and ambient air ENVIRONMENTAL PROTECTION NAAQS, A–95–54; proposed O3 quality surveillance for PM. In response AGENCY NAAQS, A–95–58; proposed to requests from the public, EPA is also requirements for designation of extending the public comment period 40 CFR Parts 50, 51, 53, and 58 reference and equivalent methods for on the proposal of the interim PM2.5 and ambient air quality implementation policy of new or [AD±FRL±5692±1] surveillance for PM, A–96–51; and revised O3 and PM NAAQS and the advance notice of proposed rulemaking National Ambient Air Quality interim implementation policy on new on the implementation of new or Standards for Ozone and Particulate or revised O3 and PM NAAQS and the ANPR for implementation of new or revised O3 and PM NAAQS and regional Matter, Proposed Decision; haze regulations. Thus, EPA is Requirements for Designation of revised O3 and PM NAAQS and regional haze regulations, A–95–38. The dockets extending the public comment period Reference and Equivalent Methods for on the 40 CFR parts 50, 51, 53, and 58 PM and Ambient Air Quality may be inspected at the above address 2.5 between 8:00 a.m. and 5:30 p.m. on proposals from February 18, 1997, to Surveillance for Particulate Matter, March 12, 1997. Proposed Decision; Interim weekdays, and a reasonable fee may be Implementation Policy on New or charged for copying. Availability of Related Information FOR FURTHER INFORMATION CONTACT: Revised Ozone and Particulate Matter EPA has placed supplemental reports National Ambient Air Quality Part 50 notice on O3 NAAQS—Dr. David analyzing human exposure and health Standards, Proposed Policy; and McKee, Air Quality Strategies and risk associated with the proposed and Standards Division (MD–15), Office of Implementation of New or Revised several alternative O3 standards and Ozone and PM NAAQS and Regional Air Quality Planning and Standards, estimating health risks associated with Haze Regulations, Advanced Notice of U.S. Environmental Protection Agency, the proposed and alternative PM Research Triangle Park, NC 27711, Proposed Rulemaking standards into the O3 and PM dockets, telephone (919) 541–5288. respectively. The three documents are: AGENCY: Environmental Protection Part 50 document on PM NAAQS— (1) January 1997 supplement to Agency (EPA). Ms. Patricia Koman, same address, ‘‘Estimation of Ozone Exposures ACTION: Extension of public comment telephone (919) 541–5170. Experienced by Outdoor Children in period and announcement of Part 51 document on interim Nine Urban Areas Using a Probabilistic availability of additional reports. implementation policy on new or Version of NEM (April 1996),’’ (2) A revised O3 and PM NAAQS and the Probabilistic Assessment of Health Risks SUMMARY: The EPA is announcing the ANPR for implementation of new or Associated with Short-term Exposure to extension of the public comment period revised O3 and PM NAAQS and regional Tropospheric Ozone: A Supplement, on the proposed revisions to the haze regulations—Ms. Sharon Reinders, January 1997, and (3) December 1996 national ambient air quality standards same address, telephone (919) 541– supplement to ‘‘A Particulate Matter (NAAQS) for ozone (O ) (61 FR 65716) 3 5284. Risk Assessment for Philadelphia and and particulate matter (PM) (61 FR Parts 53 and 58 documents on Los Angeles (Revised, November 65638), and proposed requirements for requirements for designation of 1996).’’ designation of reference and equivalent reference and equivalent methods for These supplemental reports are also methods for PM2.5 and ambient air PM2.5 and ambient air quality available to the public through the quality surveillance for PM (61 FR surveillance for PM—Mr. Neil Frank, Office of Air Quality Planning and 65780), all of which were published on Monitoring and Quality Assurance Standards (OAQPS) Technology December 13, 1996. The period of time Group (MD–14), Emissions, Monitoring, Transfer Network (TTN) Bulletin Board for submitting written statements for the and Analysis Division, Office of Air System (BBS) in the Clean Air Act public hearing record for these Quality Planning and Standards, U.S. Amendments area, under Title I, Policy/ proposals is also being extended. This Environmental Protection Agency, Guidance Documents. To access the document also extends the public Research Triangle Park, NC 27711, bulletin board, a modem and comment period for the proposed telephone (919) 541–5560. communications software are necessary. interim implementation policy on new SUPPLEMENTARY INFORMATION: On To dial up, set your communications or revised O3 and PM NAAQS (61 FR February 10, 1997, the court order software to 8 data bits, no parity and 65752), and the advance notice of entered in American Lung Association one stop bit. Dial (919) 541–5742 and proposed rulemaking (ANPR) for v. Browner, CIV–93–643–TUC–ACM (D. follow the on-screen instructions to implementation of new or revised O3 Ariz., October 6, 1994), as modified, was register for access. After registering, and PM NAAQS and regional haze further modified (1) by changing the proceed to choice ‘‘ Gateway to TTN regulations (61 FR 65764), published on date specified for the close of the public Technical Areas’’, then choose ‘‘ December 13, 1996. comment period in the review of the PM CAAA BBS.’’ From the main menu, DATES: Written comments must be NAAQS to March 12, 1997, and (2) by choose ‘‘<1> Title I: Attain/Maint of received on or before March 12, 1997. changing the date for publication of a NAAQS,’’ then ‘‘

Policy Guidance Written statements for inclusion in the final decision to July 19, 1997. Documents.’’ To access these documents public hearing record must be received In the order making these through the World Wide Web, click on on or before March 12, 1997. modifications, the Court stated that no ‘‘TTN BBSWeb,’’ then proceed to the ADDRESSES: Submit comments in further extensions will be granted. Gateway to TTN Technical areas, as duplicate if possible on the proposed Because of the importance of above. If assistance is needed in 7744 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules accessing the system, call the help desk information collections on or before information collections contained in at (919) 541–5384 in Research Triangle April 21, 1997. this proceeding. The full text of this Park, NC. ADDRESSES: Comments and reply FNPRM is available for inspection and Dated: February 13, 1997. comments should be sent to Office of copying during normal business hours Richard Wilson, the Secretary, Federal Communications in the FCC Reference Center, 1919 M St., Room 239, N.W., Washington, D. C. Acting Assistant Administrator for Air and Commission, 1919 M Street, N.W., The complete text also may be obtained Radiation. Room 222, Washington, D. C. 20554, through the World Wide Web, at http:/ [FR Doc. 97–4330 Filed 2–18–97; 1:50 pm] with a copy to Janice Myles of the Common Carrier Bureau, 1919 M Street, /www.fcc.gov/Bureaus/Common BILLING CODE 6560±50±P N.W., Room 544, Washington, D. C. Carrier/Orders/fcc9735.wp, or may be 20554. Parties should also file one copy purchased from the Commission’s copy of any documents filed in this docket contractor, International Transcription FEDERAL COMMUNICATIONS with the Commission’s copy contractor, Service, Inc., (202) 857–3800, 2100 M COMMISSION International Transcription Services, St., N.W., Suite 140, Washington, D. C. Inc., 2100 M Street, N.W., Suite 140, 20037. 47 CFR Chapter I Washington, D. C. 20037. In addition to Paperwork Reduction Act: This filing comments with the Secretary, a FNPRM contains either a proposed or [CC Docket No. 96±152, FCC 97±35] copy of any comments on the modified information collection. The Implementation of the information collections contained Commission, as part of its continuing Telecommunications Act of 1996: herein should be submitted to Dorothy effort to reduce paperwork burdens, Telemessaging, Electronic Publishing, Conway, Federal Communications invites the general public and OMB to and Alarm Monitoring Services Commission, 1919 M Street, N.W., comment on the information collections Room 234, Washington, D. C. 20554, or contained in this FNPRM, as required AGENCY: Federal Communications via the Internet to [email protected], by the Paperwork Reduction Act of Commission. and to Timothy Fain, OMB Desk Officer, 1995, Public Law 104–13. Public and ACTION: Proposed rule. 725—17th Street, N.W.,10236 NEOB, agency comments are due at the same Washington, D. C. 20503 or via the time as other comments on this FNPRM; SUMMARY: The Further Notice of Internet to [email protected]. OMB notification of action is due April Proposed Rulemaking (FNPRM), FOR FURTHER INFORMATION CONTACT: Lisa 21, 1997. Comments should address: (a) released February 7, 1977, seeks Sockett, Attorney, Common Carrier whether the proposed collection of comment on the meaning of certain Bureau, Policy and Program Planning information is necessary for the proper terms in section 274 of the Division, (202) 418–1580. For additional performance of the functions of the Telecommunications Act of 1996, (Act), information concerning the information Commission, including whether the which governs Bell Operating collections contained in this FNPRM information shall have practical utility; Companies’ provision of electronic contact Dorothy Conway at 202–418– (b) the accuracy of the Commission’s publishing services. The intent of the 0217, or via the Internet at burden estimates; (c) ways to enhance FNPRM is to compile a record in [email protected]. the quality, utility, and clarity of the sufficient detail for us to determine the SUPPLEMENTARY INFORMATION: This is a information collected; and (d) ways to meaning of those terms in this context. summary of the Commission’s FNPRM minimize the burden of the collection of DATES: Comments are due on or before adopted February 6, 1997 and released information on the respondents, April 4, 1997 and reply comments are February 7, 1997 (FCC 97–35). This including the use of automated due on or before April 25, 1997. Written FNPRM contains proposed or modified collection techniques or other forms of comments by the public on the information collections subject to the information technology. proposed and/or modified information Paperwork Reduction Act of 1995 OMB Approval Number: None. collections are due April 4, 1997 and (PRA). It has been submitted to the Title: Section 274(b)(3)(B)—Written reply comments must be submitted no Office of Management and Budget Contracts Filed with the Commission later than April 25, 1997. Written (OMB) for review under the PRA. The and Made Publicly Available (CC comments must be submitted by the OMB, the general public, and other Docket No. 96–152, FNPRM). Office of Management and Budget Federal agencies are invited to comment Form No.: N/A. (OMB) on the proposed and/or modified on the proposed or modified Type of Review: New collection.

No. of Estimated Information Collection respondents time per Total annual (approx.) response burden

Written contracts filed with the Commission ...... 7 1¤4 hour per contract ...... 3Ð150 hours per respondent (21Ð1050 hours total). Written contracts made publicly available ...... 7 3¤4 hour per contract ...... 9Ð450 hours per respondent (63Ð3150 hours total).

Total Annual Burden: 21—3,150 Needs and Uses: The Commission electronic publishing providers hours for all respondents. proposes the information collections to affiliated with the BOC, and any other Respondents: Businesses or other for implement section 274(b)(3)(B) of the member of the public interested in profit. Act. The information may be used by monitoring the BOCs’ compliance with the Commission, unaffiliated electronic the Act. Estimated costs per respondent: $0. publishing providers competing with Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules 7745

Synopsis of Further Notice of Proposed ability does not imply the type of with the Commission,’’ can be read to Rulemaking ‘‘control’’ over the underlying require the filing of both contracts and information being transmitted and, tariffs with the Commission, or only the I. Further Notice of Proposed therefore, does not constitute electronic filing of tariffs. In addition, the phrase Rulemaking publishing. We seek comment on this ‘‘and made publicly available,’’ could A. Meaning of ‘‘Control’’ and ‘‘Financial interpretation. refer only to ‘‘tariffs’’ or also to ‘‘written contracts.’’ Although the Accounting Interest’’ ii. Meaning of ‘‘Financial Interest’’ Safeguards NPRM (61 FR 40161 (August 1. We concluded above, in Part III.A, 4. We also seek comment on the that a BOC engaged in the provision of 1, 1996)) sought comment on section meaning of the term ‘‘financial interest.’’ 274(b)(3), no commenters in that electronic publishing is subject to We tentatively conclude that a BOC has proceeding specifically addressed these section 274 only to the extent that it a ‘‘financial interest’’ in the content of issues regarding section 274(b)(3)(B). controls, or has a financial interest in, the information when the BOC owns the 7.‘‘Filed with the Commission.’’ We the content of the information being information or has a direct or indirect seek comment on whether BOCs should disseminated over its basic telephone equity interest in the information being be required under section 274(b)(3)(B) to services. The record compiled in this disseminated via its basic telephone file both written contracts and tariffs on proceeding, however, does not provide services. We seek comment on this Commission premises. We note that, sufficient detail for us to determine the tentative conclusion. We also seek pursuant to existing practice, BOCs are meaning of ‘‘control’’ and ‘‘financial comment on other forms of BOC already required to file tariffs with the interest’’ in this context. By clarifying participation that should be considered Commission. We also note that section these terms, we believe we will be in a indicia of ‘‘financial interest.’’ For 211 of the Communications Act imposes better position to determine when, and example, NYNEX maintains that a a general requirement on common under what circumstances, a BOC’s ‘‘financial interest’’ in the content of the carriers to ‘‘file with the Commission’’ participation in a service constitutes information should not be interpreted to copies of ‘‘contracts, agreements, or BOC provision of electronic publishing include receipt of compensation by a arrangements with other carriers, or service subject to the requirements of BOC for managing and presenting the with common carriers not subject to the section 274. content of unaffiliated entities as part of provisions of [the Communications i. Meaning of ‘‘Control’’ its gateway services. Alternatively, Act]’’ relating to communications traffic. PacTel contends that a ‘‘financial Our rules implementing this section, 2. The term ‘‘control’’ in section interest’’ must be a legally protected however, require only that certain 274(i)(4) is defined according to property interest.’’ We seek comment on carriers file certain types of contracts regulations promulgated by the these interpretations. with the Commission.’’ As to the Securities and Exchange Commission 5. In addition, we seek comment on remaining contracts within the scope of implementing the Securities Exchange whether we should establish a de section 211, carriers are permitted to Act of 1934. As defined thereunder, the minimis exception to the financial comply with section 211 by keeping the term ‘‘control’’ means ‘‘the possession, interest requirement once financial contracts on their premises such that direct or indirect, of the power to direct interest has been established. For they are ‘‘readily accessible to or cause the direction of the example, if a BOC has a financial Commission staff and members of the management and policies of a person, interest in only one percent of the public upon reasonable request.’’ We whether through the ownership of content of the information, should it be invite parties to comment on whether voting securities, by contract, or required to provide the electronic we can and should adopt these otherwise.’’ We tentatively conclude publishing service through a ‘‘separated procedures to implement the statutory that this definition, which defines the affiliate’’ or ‘‘electronic publishing joint language in section 274(b)(3)(B). term ‘‘control’’ in a corporate context, is venture’’? If not, should the BOC be 8. ‘‘Made Publicly Available.’’ We inappropriate for determining the required to do so if it has a financial tentatively conclude that section meaning of ‘‘control’’ in the present interest of ten percent? We seek 274(b)(3)(B) requires that both written context, i.e., when a BOC has ‘‘control’’ comment on the percentage of financial contracts and tariffs be made ‘‘publicly of the content of information interest in an electronic publishing available.’’ As noted above, BOCs are transmitted via its basic telephone service, as defined in section 274(h), already required to make their tariffs service. We therefore seek comment on that makes a BOC subject to the and certain written contracts with other how we should determine whether a requirements of section 274. carriers publicly available by filing them BOC has ‘‘control’’ of the content of the B. Meaning of ‘‘Transaction’’ in with the Commission and make others information being disseminated under Section 274(b)(3) and the Requirements contracts accessible upon reasonable section 274. of Section 274(b)(3)(B) request. We find that interpreting this 3. For example, we seek comment on 6. Section 274(b)(3) provides that a section to require all contracts, as well whether an ownership interest is separated affiliate or electronic as tariffs, to be made ‘‘publicly required for a BOC to have ‘‘control’’ of publishing joint venture established available,’’ is necessary to ensure that the content of the information. If so, we pursuant to section 274(a) and the BOC BOCs are complying with the seek comment on the percentage of with which it is affiliated shall ‘‘carry nondiscrimination and accounting ownership interest necessary for the out transactions (A) in a manner safeguards of the Act and to enable BOC to be deemed to be in ‘‘control’’ of consistent with such independence, (B) competitors to detect discrimination the content of the information. pursuant to written contracts or tariffs and potential improper cost allocations Alternatively, we seek comment on that are filed with the Commission and by the BOCs. We seek comment on this whether ‘‘control’’ should be broadly made publicly available, and (C) in a tentative conclusion. interpreted to include the ability of a manner that is auditable in accordance 9. Assuming that section 274(b)(3)(B) BOC, when acting as a gateway with generally accepted accounting does not require BOCs to file all their provider, to limit the types of standards.’’ We note that the clause in written contracts with separated information to which its gateway section 274(b)(3)(B), ‘‘pursuant to affiliates or electronic publishing joint connects. NYNEX suggests that this written contracts or tariffs that are filed ventures on Commission premises, we 7746 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules seek comment on the means by which transactions must be carried out the information collections contained in a BOC and its separated affiliate or pursuant to ‘‘written contracts or this FNPRM, as required by the electronic publishing joint venture must tariffs,’’ the specific transactions Paperwork Reduction Act of 1995, make their contracts ‘‘publicly described in section 274(d) may only be Public Law 104–13. Public and agency available’’ pursuant to section carried out pursuant to tariff (so long as comments are due at the same time as 274(b)(3)(B). In interpreting a similar such services are subject to rate other comments on this FNPRM; OMB requirement in section 272(b)(5), which regulation). We seek comment on this comments are due 60 days from the date requires that BOCs and their section 272 tentative conclusion. of publication of this FNPRM in the Federal Register. Comments should affiliates reduce their transactions to C. Procedural Matters writing and make them available for address: (a) whether the proposed public inspection, we found that a BOC i. Ex Parte Presentations collection of information is necessary must make information ‘‘available for This FNPRM is a non-restricted for the proper performance of the public inspection’’ pursuant to that notice-and-comment rulemaking functions of the Commission, including section by making it available at its proceeding. Ex parte presentations are whether the information shall have corporate headquarters and not the permitted, in accordance with the practical utility; (b) the accuracy of the RBOC corporate headquarters or the Commission’s rules, provided that they Commission’s burden estimates; (c) corporate headquarters of the BOC’s are disclosed as required. ways to enhance the quality, utility, and holding company. We stated that this clarity of the information collected; and ii. Regulatory Flexibility Certification information must include a certification (d) ways to minimize the burden of the statement identical to the certification 12. Section 603 of the Regulatory collection of information on the statement currently required to be Flexibility Act, (RFA) as amended, respondents, including the use of included with all Automated Reporting requires an initial regulatory flexibility automated collection techniques or and Management Information System analysis in notice and comment other forms of information technology. (‘‘ARMIS’’) reports. We also concluded rulemaking proceedings, unless we iv. Comment Filing Procedures that detailed written descriptions of certify that ‘‘the rule will not, if transactions between BOCs and their promulgated, have a significant 14. Pursuant to applicable procedures section 272 affiliates must be made economic impact on a substantial set forth in Sections 1.415 and 1.419 of available to the public on the Internet number of small entities.’’ A ‘‘small the Commission’s rules, 47 CFR 1.415, 1.419, interested parties may file within ten days of the transaction. We entity’’ is an entity that is comments on or before April 4, 1997, therefore seek comment on whether, for independently owned and operated; is and reply comments on or before April written contracts within section not dominant in its field of operation; 25, 1997. To file formally in this 274(b)(3)(B) that we decide need not be and meets any additional criteria proceeding, you must file an original filed on Commission premises, we established by the Small Business and six copies of all comments, reply should interpret the ‘‘publicly Administration (SBA). SBA regulations comments, and supporting comments. If available’’ requirement of this section in define small telecommunications you want each Commissioner to receive the same manner as we interpreted the entities in SIC code 4813 (Telephone a personal copy of your comments, you ‘‘available for public inspection’’ Companies Except Radio Telephone) as entities with fewer than 1,500 must file an original and eleven copies. requirement in section 272(b)(5). Comments and reply comments should Commenters disagreeing with this employees. This proceeding pertains to the BOCs which, because they are be sent to the Office of the Secretary, approach should explain why, and Federal Communications Commission, propose alternative approaches. dominant in their field of operation and have more than 1,500 employees, do not 1919 M Street, N.W., Room 222, 10. Meaning of ‘‘Transaction.’’ We qualify as small entities under the RFA. Washington, D.C., 20554, with a copy to also seek comment on what constitutes We also note that none of the BOCs is Janice Myles of the Common Carrier a ‘‘transaction’’ for purposes of section a small entity because each BOC is an Bureau, 1919 M Street, N.W., Room 544, 274(b)(3). We note that, for purposes of affiliate of a Regional Holding Company Washington, D.C., 20554. Parties should section 272(b)(5), we concluded that (RHC), and all of the BOCs or their also file one copy of any documents only once the BOC and its affiliate have RHCs have more than 1,500 employees. filed in this docket with the agreed upon the terms and conditions We therefore certify, pursuant to section Commission’s copy contractor, for telephone exchange and exchange 605(b) of the RFA, that the tentative International Transcription Services, access does the agreement constitute a conclusions, if adopted, will not have a Inc., 2100 M Street, N.W., Suite 140, ‘‘transaction.’’ We also found that an significant economic impact on a Washington, D.C., 20037. Comments agreement between a BOC and its substantial number of small entities. and reply comments will be available affiliate for the provision of unbundled The Secretary shall send a copy of this for public inspection during regular elements and facilities pursuant to FNPRM, including this certification and business hours in the FCC Reference explicit terms and conditions also statement, to the Chief Counsel for Center, 1919 M Street, N.W., Room 239, constitutes a ‘‘transaction.’’ We seek Advocacy of the Small Business Washington, D.C., 20554. comment here on whether we should Administration. A copy of this 15. Comments and reply comments adopt similar conclusions in the context certification will also be published in must include a short and concise of section 274(b)(3). We note, however, the Federal Register. summary of the substantive arguments that section 274(d) requires BOCs to raised in the pleading. Comments and provide ‘‘network access and iii. Initial Paperwork Reduction Act of reply comments must also comply with interconnections for basic telephone 1995 Analysis Section 1.49 and all other applicable service to electronic publishers at just 13. This FNPRM contains either a sections of the Commission’s Rules. See and reasonable rates that are tariffed (so proposed or modified information 47 CFR 1.49. However, we require here long as rates for such services are collection. As part of its continuing that a summary be included with all subject to rate regulation).’’ We therefore effort to reduce paperwork burdens, we comments and reply comments, tentatively conclude that, although invite the general public and the OMB regardless of length. This summary may section 274(b)(3)(B) provides that to take this opportunity to comment on be paginated separately from the rest of Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules 7747 the pleading (e.g., as ‘‘i, ii’’). We also them to Janice Myles of the Common Commission, Room 234, 1919 M Street, direct all interested parties to include Carrier Bureau, 1919 M Street, N.W., N.W., Washington, D.C., 20554, or via the name of the filing party and the date Room 544, Washington, D.C., 20554. the Internet to [email protected], and to of the filing on each page of their Such a submission should be on a 3.5 Timothy Fain, OMB Desk Officer, 10236 comments and reply comments. All inch diskette formatted in an IBM NEOB, 725—17th Street, N.W., parties are encouraged to utilize a table compatible form using MS DOS 5.0 and Washington, D.C., 20503 or via the of contents, regardless of the length of WordPerfect 5.1 software. The diskette Internet to [email protected]. their submission. Parties may not file should be submitted in ‘‘read only’’ II. Ordering Clauses more than a total of ten (10) pages of ex mode. The diskette should be clearly parte submissions, excluding cover labelled with the party’s name, 18. It is ordered that pursuant to letters. This 10 page limit does not proceeding, type of pleading (comment sections 1, 2, 4, 201, 202, 274 and 303(r) include: (1) written ex parte filings or reply comments) and date of of the Communications Act of 1934, as made solely to disclose an oral ex parte submission. The diskette should be amended, 47 U.S.C. 151, 152, 154, 201, contact; (2) written material submitted accompanied by a cover letter. 202, 274, and 303(r), the further notice of proposed rulemaking is adopted. at the time of an oral presentation to 17. Written comments by the public Commission staff that provides a brief 19. It is further ordered that the on the proposed and/or modified Secretary shall send a copy of the outline of the presentation; or (3) information collections are due April 4, written materials filed in response to further notice of proposed rulemaking, 1997, and reply comments must be including the regulatory flexibility direct requests from Commission staff. submitted not later than April 25, 1997. Ex parte filings in excess of this limit certification, to the Chief Counsel for Written comments must be submitted by Advocacy of the Small Business will not be considered as part of the the OMB on the proposed and/or record in this proceeding. Administration, in accordance with modified information collections on or paragraph 603(a) of the Regulatory 16. Parties are also asked to submit before 60 days after date of publication Flexibility Act, 5 U.S.C. 601 et seq. comments and reply comments on in the Federal Register. In addition to diskette. Such diskette submissions filing comments with the Secretary, a Federal Communications Commission. would be in addition to, and not a copy of any comments on the William F. Caton, substitute for, the formal filing information collections contained Acting Secretary. requirements addressed above. Parties herein should be submitted to Dorothy [FR Doc. 97–4027 Filed 2–19–97; 8:45 am] submitting diskettes should submit Conway, Federal Communications BILLING CODE 6712±01±P 7748

Notices Federal Register Vol. 62, No. 34

Thursday, February 20, 1997

This section of the FEDERAL REGISTER displays a currently valid OMB control Total Burden Hours: 50,000. contains documents other than rules or number. Donald Hulcher, proposed rules that are applicable to the Deputy Departmental Clearance Officer. public. Notices of hearings and investigations, Animal and Plant Health Inspection committee meetings, agency decisions and Service [FR Doc. 97–4166 Filed 2–19–97; 8:45 am] rulings, delegations of authority, filing of BILLING CODE 3410±01±M petitions and applications and agency Title: Asian Long Horned Beetle. statements of organization and functions are OMB Control Number: 0579—New. examples of documents appearing in this Summary: Compliance agreements Agricultural Marketing Service section. appeal letters, certificates, inspections, [Docket No. PY±96±002] limited permits, container markings, Tentative Voluntary Poultry Grade DEPARTMENT OF AGRICULTURE and 48-hour notices will be needed to allow regulated articles to move Standards interstate from quarantined areas in Submission for OMB Review; AGENCY: Agricultural Marketing Service, New York. Comment Request USDA. Need and Use of the Information: The February 14, 1997. ACTION: Notice; extension of test-market information is needed to control and period. The Department of Agriculture has monitor the movement of the Asian long submitted the following information horned beetle. The regulations SUMMARY: On February 15, 1996, the collection requirement(s) to OMB for quarantine certain areas within the State Agricultural Marketing Service (AMS) review and clearance under the of New York. published a notice in the Federal Paperwork Reduction Act of 1995, Register (61 FR 5975) announcing a one- Public Law 104–13. Comments Description of Respondents: Farms: year test-market period for USDA grade regarding (a) whether the collection of Farms; Individuals or households; identified cooked, boneless-skinless information is necessary for the proper Business or other for-profit; State, Local performance of the functions of the or Tribal Government. poultry products without added agency, including whether the Number of Respondents: 225. ingredients, based on tentative grade standards. AMS is extending the test- information will have practical utility; Frequency of Responses: Reporting: (b) the accuracy of the agency’s estimate market period beyond its scheduled On occasion. end, February 15, 1997, until it makes of burden including the validity of the Total Burden Hours: 132. methodology and assumptions used; (c) a final determination about the tentative ways to enhance the quality, utility and Emergency processing of this standards. clarity of the information to be submission has been requested by FOR FURTHER INFORMATION CONTACT: collected; (d) ways to minimize the February 14, 1997. Rex A. Barnes, Chief, Grading Branch, burden of the collection of information Office of the Secretary Poultry Division, 202–720–3271. on those who are to respond, including SUPPLEMENTARY INFORMATION: On through the use of appropriate Title: Customer Survey Activities. February 15, 1996, the Agricultural automated, electronic, mechanical, or OMB Control Number: 0505–0020. Marketing Service (AMS) published a other technological collection Summary: Executive Order 12862 notice in the Federal Register (61 FR techniques or other forms of information requires Federal Departments to 5975) announcing a one-year test-market technology should be addressed to: Desk establish and implement customer period for USDA grade identified Officer for Agriculture, Office of service standards. This ‘‘Generic cooked, boneless-skinless poultry Information and Regulatory Affairs, Clearance’’ encompasses all information products without added ingredients, Office of Management and Budget collection activities within USDA that based on tentative grade standards. The (OMB), Washington, D.C. 20503 and to will be conducted in order to satisfy the test-market period is scheduled to end Department Clearance Office, USDA, requirements of the Executive Order. OCIO, Mail Stop 7602, Washington, D.C. February 15, 1997, after which AMS Need and Use of the Information: The 20250–7602. Comments regarding these will evaluate the test results. If AMS results obtained from the various information collections are best assured decides to amend the current poultry customer satisfaction surveys will be of having their full effect if received grade standards, a proposal with a disseminated to key policy and within 30 days of this notification. comment period will be published in management officials, USDA employees, Copies of the submission(s) may be the Federal Register. stakeholders, the Congress and the obtained by calling (202) 720–6204 or AMS is currently evaluating the test- public. The data will be used in a (202) 720–6746. market results of two other sets of An agency may not conduct or variety of ways to improve customer tentative grade standards for ready-to- sponsor a collection of information service. cook products to determine if changes unless the collection of information Description of Respondents: Farms; should be made to the standards. Those displays a currently valid OMB control Individuals or households; Business or test-markets were for boneless-skinless number and the agency informs other for-profit; Not-for-profit poultry legs and drumsticks (60 FR potential persons who are to respond to institutions; State, Local or Tribal 16428) and boneless-skinless poultry the collection of information that such Government. products without added ingredients (60 persons are not required to respond to Frequency of Responses: Reporting: FR 30830), for which tentative standards the collection of information unless it On occasion. were published in the Federal Register Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Notices 7749 on March 30, 1995, and June 12, 1995, 5140. Copies of the draft report also are (15 CFR Part 400). It was formally filed respectively. AMS has determined that available from the following: FSIS at on February 5, 1997. it is appropriate to extend the test- http://www.usda.gov/fsis or FDA at FTZ 182 was approved on December market period for cooked products until http://vm.cfsan.fda.gov/list.html. 23, 1991 (Board Order 549, 57 F.R. 1450, a final determination is made regarding SUPPLEMENTARY INFORMATION: On 1/14/92). The general-purpose zone changes to the standards for both ready- January 25, 1997, the President directed currently consists of three sites: Site 1 to-cook and cooked products. This will the Secretaries of USDA and HHS and (16,000 sq. ft.)—public warehouse at also allow additional time for the the Administrator of the EPA to work 315 East Wallace Street, Fort Wayne; industry to utilize the tentative with consumers, producers, industry, Site 2 (17,500 sq. ft.)—public warehouse standards for cooked, boneless-skinless States, universities, and the public to at 2122 Bremer Road, Fort Wayne; and, products. identify ways to further improve the Site 3 (50 acres)—Air Trade Center at Dated: February 13, 1997. safety of our food supply through the Fort Wayne International Airport, Lon Hatamiya, government and private sector action, Fort Wayne. including public private partnerships, Administrator. The applicant is now requesting and make recommendations to the [FR Doc. 97–4111 Filed 2–19–97; 8:45 am] authority to expand Site 3 to include the President. The President requested that BILLING CODE 3410±02±P entire Air Trade Center and to add an the recommendations identify steps to additional site to its zone project. Site 3 further improve surveillance, at the Air Trade Center, adjacent to the inspection, research, risk assessment, Food Safety and Inspection Service Fort Wayne International Airport would education, and coordination among be expanded to cover 443 acres; and, [Docket No. 97±003N] local, State, and Federal health proposed Site 4 would cover 41 acres on authorities. 3 contiguous parcels at 1515 Riverfork President's National Food Safety To carry out the President’s initiative, Initiative Drive West, approximately 20 miles two public meetings will be held. At the from the Fort Wayne International AGENCY: Food Safety and Inspection first meeting, government officials will Airport, Huntington. Stride Rite Service, USDA. discuss the current thinking on the Children’s Group, Inc. (a subsidiary of President’s six areas of concern. They ACTION: Notice. Stride Rite Corporation), will be leasing also will discuss the agenda and goal of one of the parcels for its warehousing the meeting to be held in April. SUMMARY: The United States Department needs. No specific manufacturing of Agriculture’s (USDA) Food Safety At the April meeting, participants will requests are being made at this time. and Inspection Service (FSIS) and be asked to identify problems and Such requests would be made to the Research, Education, and Economics; provide recommendations related to the Board on a case-by-case basis. President’s six areas of concern. A The Department of Health and Human In accordance with the Board’s Services’ Food and Drug Administration second Federal Register notice will be published that provides additional regulations, a member of the FTZ Staff (FDA) and Centers for Disease Control; has been designated examiner to and the Environmental Protection information about the time, location, and focus of the April meeting. investigate the application and report to Agency (EPA) will convene a public the Board. meeting to discuss the ‘‘President’s Done at Washington, DC, on: February 13, National Food Safety Initiative.’’ At this 1997. Public comment on the application is meeting, participants will be briefed on Thomas J. Billy, invited from interested parties. the purpose of the President’s initiative Administrator. Submissions (original and 3 copies) and on the agenda for a second public [FR Doc. 97–4124 Filed 2–14–97; 9:54 am] shall be addressed to the Board’s Executive Secretary at the address meeting to be held in April. The goal of BILLING CODE 3410±DM±P the April meeting will be to discuss and below. The closing period for their develop, for the President, receipt is April 21, 1997. Rebuttal comprehensive recommendations for comments in response to material reducing, to the greatest extent possible, DEPARTMENT OF COMMERCE submitted during the foregoing period the annual incidence of foodborne may be submitted during the subsequent FOREIGN-TRADE ZONES BOARD illness by enhancing the safety of the 15-day period (to May 6, 1997). Nation’s food supply. [Docket 6±97] A copy of the application and DATES: The meeting will be held from accompanying exhibits will be available 9:00 a.m. until 1:00 p.m. on March 5, Foreign-Trade Zone 182ÐFort Wayne, for public inspection at each of the 1997. Indiana Area Application for Expansion following locations: ADDRESSES: The meeting will be held at An application has been submitted to Huntington Chamber of Commerce, 305 the Jefferson Auditorium, 1400 the Foreign-Trade Zones Board (the Warren Street, Huntington, IN 46750 Independence Ave, SW, Washington, Board) by the City of Fort Wayne, Office of the Executive Secretary, DC 20250. Indiana, grantee of Foreign-Trade Zone Foreign-Trade Zones Board, Room FOR FURTHER INFORMATION CONTACT: To 182, requesting authority to expand its 3716, U.S. Department of Commerce, register for the meeting, contact Lisa zone in the Fort Wayne, Indiana area. 14th & Pennsylvania Avenue, NW., Parks at (202) 501–7138, FAX (202) The Fort Wayne International Airport is Washington, DC 20230 501–7642, or E-mail usdafsis/ a Customs user fee airport facility [email protected]. For designated by the U.S. Customs Service. Dated: February 10, 1997. questions about the meeting or to obtain The application was submitted pursuant John J. Da Ponte, Jr., copies of a draft report, contact Mr. to the provisions of the Foreign-Trade Executive Secretary. Charles Danner, FSIS at (202) 501–7138 Zones Act, as amended (19 U.S.C. 81a- [FR Doc. 97–4220 Filed 2–19–97; 8:45 am] or Ms. Caren Carson, FDA at (202) 205– 81u), and the regulations of the Board BILLING CODE 3510±DS±P 7750 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Notices

Foreign-Trade Zones Board processed pursuant to the FTZ Act and zone to include one additional site in the Board’s regulations; and, Jackson County and five sites in [Order No. 868] Whereas, the Board has found that the adjoining Josephine County: Site 7 (112 Expansion of Foreign-Trade Zone 27 requirements of the Act and the acres)—Lake Creek Agribusiness Center, Boston, MA regulations would be satisfied, and that adjacent to Highway 140, Eagle Point the proposal would be in the public (Jackson County); Site 8 (47 acres, 6 Pursuant to its authority under the interest provided approval is subject to parcels)—within the 77-acre North Foreign-Trade Zones Act of June 18, a 2,000-acre activation limit; Valley Industrial Park, near Interstate 5, 1934, as amended (19 U.S.C. 81a–81u), Now, therefore, the Board hereby orders: Grants Pass (Josephine County), 25 the Foreign-Trade Zones Board (the miles north of the Medford-Jackson Board) adopts the following Order: The grantee is authorized to expand County Airport; Site 9 (19 acres, 4 Whereas, an application from the its zone as requested in the application, parcels)—within the 213-acre Grants Massachusetts Port Authority, grantee of subject to the Act and the Board’s Foreign-Trade Zone 27, for authority to regulations, including Section 400.28, Pass Parkway Development Zone, expand its general-purpose zone in and subject to a 2,000-acre activation Grants Pass (Josephine County); Site 10 Boston, Massachusetts, was filed by the limit. (20 acres)—within the 152-acre Illinois Board on April 23, 1996 (FTZ Docket Signed at Washington, DC, this 10th day of River Valley Airport, 125 Ringuette 33–96, 61 FR 19259, 5/1/96); and, February 1997. Street, Grants Pass (Josephine County); Whereas, notice inviting public Robert S. LaRussa, Site 11 (10 acres)—within the 319-acre comment was given in Federal Register Acting Assistant Secretary of Commerce for Grants Pass Airport, Grants Pass and the application has been processed Import Administration, Alternate Chairman, (Josephine County); and, Site 12 (4 pursuant to the FTZ Act and the Board’s Foreign-Trade Zones Board. acres)—Highway 199 Industrial Park, regulations; and, [FR Doc. 97–4222 Filed 2–19–97; 8:45 am] Highway 199, Cave Junction (Josephine Whereas, the Board adopts the BILLING CODE 3510±DS±P County). All of the sites will be operated findings and recommendations of the by the Ore-Cal Trade Corporation, examiner’s report, and finds that the [Docket 3±97] except for Site 7 which will be managed requirements of the FTZ Act and by its operator. No specific Board’s regulations are satisfied, and Foreign-Trade Zone 206ÐMedford- manufacturing requests are being made that the proposal is in the public Jackson County, OR Area; Application at this time. Such requests would be interest; for Expansion made to the Board on a case-by-case Now, therefore, the Board hereby basis. orders: An application has been submitted to The application to expand FTZ 27 is the Foreign-Trade Zones Board by In accordance with the Board’s approved, subject to the Act and the Jackson County, Oregon, grantee of regulations, a member of the FTZ Staff Board’s regulations, including Section Foreign-Trade Zone 206, requesting has been designated examiner to 400.28. authority to expand its zone in the investigate the application and report to Medford-Jackson County, Oregon area. the Board. Signed at Washington, DC, this 10th day of The Medford-Jackson County Airport February 1997. Public comment on the application is has been designated a Customs user fee invited from interested parties. Robert S. LaRussa, port facility by the U.S. Customs Submissions (original and 3 copies) Acting Assistant Secretary of Commerce for Service. The application was submitted shall be addressed to the Board’s Import Administration, Alternate Chairman, pursuant to the provisions of the Foreign-Trade Zones Board. Foreign-Trade Zones Act, as amended Executive Secretary at the address [FR Doc. 97–4221 Filed 2–19–97; 8:45 am] (19 U.S.C. 81a–81u), and the regulations below. The closing period for their BILLING CODE 3510±DS±P of the Board (15 CFR Part 400). It was receipt is April 21, 1997. Rebuttal formally filed on January 15, 1997. comments in response to material submitted during the foregoing period [Order No. 870] FTZ 206 was approved on January 11, 1995 (Board Order 719, 60 FR 5165, 1/ may be submitted during the subsequent Expansion of Foreign-Trade Zone 40 26/95). The general-purpose zone 15-day period (to May 6, 1997). Cleveland, OH, Area currently consists of six sites (528 acres) A copy of the application and in the Cities of Medford, White City and accompanying exhibits will be available Pursuant to its authority under the Eagle Point (Jackson County): Site 1 (95 Foreign-Trade Zones Act of June 18, for public inspection at each of the acres)—3650 Biddle Road, Medford; Site following locations: 1934, as amended (19 U.S.C. 81a-81u), 2 (38 acres)—King Business Center, Lear the Foreign-Trade Zones Board (the Way, Cardinal Avenue and Commerce County Administrator’s Office, Jackson Board) adopts the following Order: Drive, Medford; Site 3 (54 acres)—North County, Oregon, 10 S. Oakdale, Whereas, an application from the Medford Business Center, Bulcrest Medford, OR 97501. Cleveland-Cuyahoga County Port Drive, Gruman Drive and Kingsley Office of the Executive Secretary, Authority, grantee of Foreign-Trade Drive, Medford; Site 4 (215 acres)— Foreign-Trade Zones Board, Room Zone No. 40, for authority to expand its North Medford Business Center, Avenue 3716, U.S. Department of Commerce, general-purpose zone at sites in the H and 11th Street, White City (Jackson 14th & Pennsylvania Avenue NW., Cleveland, Ohio, area, within the County); Site 5 (23.33 acres)—Light Cleveland Customs port of entry, was Valley site, 10440 South Fork Little Washington, DC 20230. filed by the Foreign-Trade Zones (FTZ) Butte Creek Road, Eagle Point (Jackson Dated: January 22, 1997. Board on March 12, 1996 (Docket 21–96, County); and, Site 6 (103 acres)— John J. Da Ponte, Jr., 61 FR 12060, 3/25/96); KOGAP Business Center, 2080 South Executive Secretary. Whereas, notice inviting public Pacific Highway, Medford. [FR Doc. 97–4225 Filed 2–19–97; 8:45 am] comment was given in the Federal The applicant is now requesting Register and the application has been authority to expand the general-purpose BILLING CODE 3510±DS±P Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Notices 7751

[Docket 58±95] [Docket 4±97] submitted during the foregoing period may be submitted during the subsequent Foreign-Trade Zone 35; Philadelphia, Foreign-Trade Zone 84ÐHouston, 15-day period (to May 6, 1997). PA; Amended Application for Subzone; Texas Area Application for Expansion A copy of the application and Tosco Corporation (Oil Refinery of Subzone 84L California MicrowaveÐ accompanying exhibits will be available Complex); Delaware County, PA Microwave Network Systems, Inc.; for public inspection at each of the Stafford, Texas following locations: Notice is hereby given that the An application has been submitted to U.S. Department of Commerce Export application of the Philadelphia Regional the Foreign-Trade Zones Board (the Assistance Center, 500 Dallas, Suite Port Authority, grantee of FTZ 35, Board) by the Port of Houston 1160, Houston, Texas 77002 requesting special-purpose subzone Authority, grantee of FTZ 84, requesting Office of the Executive Secretary, status for the oil refinery complex of authority to relocate Subzone 84L, Foreign-Trade Zones Board, Room Tosco Corporation (Tosco), in Delaware authorized for California Microwave— 3716, U.S. Department of Commerce, County, PA (Doc. 58–95, 60 FR 53164, Microwave Network Systems, Inc. 14th and Pennsylvania Avenue, NW, 10/12/95) has been amended to reflect (microwave telecommunications Washington, DC 20230 certain changes to the refinery’s products), to a larger facility in Stafford, Dated: January 30, 1997. operations subsequent to its purchase by Texas, within the Houston Customs port John J. Da Ponte, Jr., Tosco from BP Exploration & Oil Inc. of entry. The application was submitted Executive Secretary. Upon taking over the refinery on pursuant to the provisions of the [FR Doc. 97–4224 Filed 2–19–97; 8:45 am] Foreign-Trade Zones Act, as amended February 2, 1996, Tosco requested that BILLING CODE 3510±DS±P the processing of the pending subzone (19 U.S.C. 81a-81u), and the regulations application be put on hold until further of the Board (15 CFR Part 400). It was notice. Tosco now has requested that formally filed on January 22, 1997. International Trade Administration Subzone 84L was approved on 12/28/ the processing of the application, as 94 (Board Order 722, 60 FR 2377, 1/9/ Application for Designation of a Fair amended, be resumed. It plans to restart 95) for the microwave radio/ refinery operations on May 1, 1997. telecommunications products ACTION: Proposed collection; comment The refinery (185,000 barrels per day, manufacturing facility (3.5 acres, 240 request. 360 employees) will be used to produce persons) of Microwave Networks, Inc. SUMMARY: The Department of fuels and petrochemical feedstocks. (MNI), located in Harris County, Texas. Commerce, as part of its continuing Fuels produced include gasoline, jet Approval was subject to the restriction effort to reduce paperwork and fuel, distillates, residual fuels, and requiring that the company elect respondent burden, invites the general naphthas. Petrochemical feedstocks and privileged foreign status on foreign public and other Federal agencies to refinery by-products may include components admitted to the subzone. take this opportunity to comment on the methane, ethane, butane, propane, MNI was acquired in 1996 by California continuing information collections, as toluene, benzene, xylene, petroleum Microwave, Inc. and now operates required by the Paperwork Reduction coke, asphalt and carbon black. LPG under the name of California Act of 1995, Public Law 104–13 (44 (liquified petroleum gas) recovery Microwave—Microwave Network U.S.C. 3506(c)(2)(A)). Systems, Inc. (CMMNS). facilities and two 15,000 barrel tanks DATES: Written comments must be have been added enabling all the LPG The zone grantee is now requesting submitted on or before April 21, 1997. authority on behalf of CMMNS to produced in the refinery to be recovered ADDRESSES: relocate the subzone from the currently Direct all written comments and sold. authorized manufacturing plant to a to Linda Engelmeier, Departmental The application remains otherwise larger manufacturing facility (16 acres, Forms Clearance Officer, Department of unchanged. 355 employees), located at 4000 Commerce, Room 5327, 14th and Greenbriar Drive in Stafford, Texas. The Constitution Avenue, NW, Washington, The comment period is reopened DC 20230. Phone number: (202) 482– until March 24, 1997. application includes a request for an expanded level of manufacturing 3272. Copies of the application and the authority but the scope of the products FOR FURTHER INFORMATION CONTACT: amendment are available for public made under FTZ procedures will not Requests for additional information or inspection at each of the following change (microwave radios for use in copies of the information collection locations: cellular and other telecommunications instrument and instructions should be U.S. Department of Commerce, Export networks). FTZ authority would remain directed to: Linda Harbaugh, ITA’s Tourism Industries, Room 1860, 1400 Assistance Center, Suite 1501, 615 subject to the restrictions approved in Constitution Ave, NW, Washington, DC Chestnut St., Philadelphia, PA 19106. Board Order 722. In accordance with the Board’s 20230; phone: (202) 482–4601, and fax: Office of the Executive Secretary, regulations, a member of the FTZ Staff (202) 482–2887. Foreign-Trade Zones Board, Room has been designated examiner to SUPPLEMENTARY INFORMATION: 3716, U.S. Department of Commerce, investigate the application and report to 14th & Pennsylvania Avenue NW., the Board. I. Abstract Washington, DC 20230. Public comment on the application is The International Trade Dated: February 13, 1997. invited from interested parties. Administration’s, Tourism Industries John J. Da Ponte, Jr., Submissions (original and 3 copies) office offers trade fair guidance and shall be addressed to the Board’s assistance to trade fair organizers, trade Executive Secretary. Executive Secretary at the address fair operators, and other travel and trade [FR Doc. 97–4223 Filed 2–19–97; 8:45 am] below. The closing period for their oriented groups. These fairs open doors BILLING CODE 3510±DS±P receipt is April 21, 1997. Rebuttal to promising travel markets around the comments in response to material world. These trade fairs provide an 7752 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Notices opportunity for showcasing quality Comments submitted in response to FOR FURTHER INFORMATION CONTACT: exhibits and products from around the this notice will be summarized and/or Chris E. Kuyatt, Visiting Committee world. The ‘‘Application for Designation included in the request for OMB Executive Director, National Institute of of a Fair’’ is a questionnaire that is approval of this information collection; Standards and Technology, prepared and signed by an organizer to they also will become a matter of public Gaithersburg, MD 20899, telephone begin the certification process. It asks record. number (301) 975–6090. the fair organizer to provide details as Dated: February 13, 1997. SUPPLEMENTARY INFORMATION: The to the date, place, and sponsor of the Linda Engelmeier, Assistant Secretary for Administration, fair, as well as license, permit, and Department Forms Clearance Officer, Office with the concurrence of the General corporate backers, and countries of Management and Organization. Counsel, formally determined on participating. To apply for the U.S. [FR Doc. 97–4169 Filed 2–19–97; 8:45 am] January 23, 1997, that portions of the Department of Commerce sponsorship, BILLING CODE 3510±DR±P meeting of the Visiting Committee on the fair organizer must have all of the Advanced Technology which involve components of the application in order. discussion of proposed funding of the Then, with the approval, the organizer National Institute of Standards and Manufacturing Extension Partnership is able to bring in their products in Technology and the Advanced Technology Program accordance with Customs laws. Articles may be closed in accordance with 5 which may be brought in, include, but Visiting Committee on Advanced U.S.C. 552b(c)(9)(B), because those are not limited to, actual exhibit items, Technology portions of the meetings will divulge pamphlets, brochures, and explanatory AGENCY: matters the premature disclosure of material in reasonable quantities National Institute of Standards and Technology, Department of which would be likely to significantly relating to the foreign exhibits at a fair, Commerce. frustrate implementation of proposed and material for use in constructing, agency actions; and that portions of ACTION: Notice of Partially Closed installing, or maintaining foreign meetings which involve discussion of Meeting. exhibits at a fair. the staffing issues of management and II. Method of Collection SUMMARY: Pursuant to the Federal other positions at NIST may be closed Advisory Committee Act, 5 U.S.C. app. in accordance with 5 U.S.C. 552b(c)(6), The request is sent to the Department 2, notice is hereby given that the because divulging information of Commerce, Tourism Industries, to the Visiting Committee on Advanced discussed in those portions of the Trade Fair Chairperson in written form. Technology, National Institute of meetings is likely to reveal information III. Data Standards and Technology (NIST), will of a personal nature where disclosure meet Tuesday, March 11, 1997 from would constitute a clearly unwarranted OMB Number: New Collection—no 8:30 a.m. to 5:15 p.m. The Visiting invasions of personal privacy. number assigned. Committee on Advanced Technology is Form Number: Not applicable. Dated: February 13, 1997. Type of Review: Regular submission composed of fifteen members appointed Elaine Bunten-Mines, by the Director of NIST who are eminent of a collection in use without OMB Director, Program Office. approval. in such fields as business, research, new product development, engineering, [FR Doc. 97–4148 Filed 2–19–97; 8:45 am] Affected Public: Business or other for- BILLING CODE 3510±13±M profit organizations. labor, education, management Estimated Number of Respondents: consulting, environment, and 200. international relations. The purpose of this meeting is to review and make National Oceanic and Atmospheric Estimated Time Per Response: 30 Administration minutes. recommendations regarding general Estimated Total Annual Burden policy for the Institute, its organization, Northwest Region Logbook Family of Hours: 100 hours. its budget, and its programs within the Forms Estimated Total Annual Cost: No start framework of applicable national up costs are involved. It is estimated to policies as set forth by the President and ACTION: Proposed collection; comment cost respondents a total $1,515.00 to the Congress. The agenda will include request. comply. an update on NIST programs; report on NIST facilities program, report on SUMMARY: The Department of IV. Request for Comments Advanced Technology Program (ATP) Commerce, as part of its continuing Comments are invited on: (a) Whether and the ATP Focused Program: effort to reduce paperwork and the proposed collection of information Materials Processing for Heavy respondent burden, invites the general is necessary for the proper performance Manufacturing, presentation on mobile public and other Federal agencies to of the functions of the agency, including robots, discussion of the Institute take this opportunity to comment on whether the information shall have budget, and a NIST laboratory tour. The proposed and/or continuing information practical utility; (b) the accuracy of the discussion on the Institute budget collections, as required by the agency’s estimate of the burden scheduled to begin at 4:30 p.m. and end Paperwork Reduction Act of 1995, (including hours and cost) of the at 5:15 p.m., on March 11, 1997, will be Public Law 104–13 (44 U.S.C. proposed collection of information; (c) closed. 3506(c)(2)(A)). ways to enhance the quality, utility, and DATES: The meeting will convene March DATES: Written comments must be clarity of the information to be 11, 1997, at 8:30 a.m. and will adjourn submitted on or before April 21, 1997. collected; and (d) ways to minimize the at 5:15 p.m. on March 11, 1997. ADDRESSES: Direct all written comments burden of the collection of information ADDRESSES: The meeting will be held in to Linda Engelmeier, Departmental on respondents, including through the the Employees Lounge (seating capacity Forms Clearance Officer, Department of use of automated collection techniques 80, includes 38 participants), Commerce, Room 5327, 14th and or other forms of information Administration Building, at NIST, Constitution Avenue, NW, Washington technology. Gaithersburg, Maryland. DC 20230. Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Notices 7753

FOR FURTHER INFORMATION CONTACT: Estimated Time Per Response: This is Administrative Committee, the Requests for additional information or variable depending on the action taken. Scientific and Statistical Committee copies of the information collection The expected daily average for vessel (SSC), the Advisory Panel (AP) and the instrument(s) and instructions should reports is about 1.25 minutes; for Habitat Advisory Panel (HAP) will hold be directed to William L. Robinson, entering information in catch/receipt meetings. NMFS, 7600 Sand Point Way NE, logbooks is 13–26 minutes; for weekly DATES: Seattle WA 98112, 206–526–6140. reports of fish caught or received is 4.3 The meetings will be held on minutes per day; for transfer logs is 0.5 March 18-20, 1997. SUPPLEMENTARY INFORMATION: minutes. ADDRESSES: All meetings will be held at I. Abstract Estimated Total Annual Burden the Marriott’s Frenchman’s Reef Beach Data collections dealing with Federal Hours: The public is expected to spend Resort, St. Thomas, U.S. Virgin Islands. less than 1,803 total hours complying reporting requirements for processing FOR FURTHER INFORMATION CONTACT: vessels affect participants in the with these data collections. Estimated Total Annual Cost to Caribbean Fishery Management Council, groundfish fishery off Washington, 268 Mun˜ oz Rivera Avenue, Suite 1108, Oregon, and California (WOC). The data Public: The direct cost to the public is estimated to be less than $10,000 San Juan, Puerto Rico 00918-2577; collections involve: (1) vessel reports; telephone: (787) 766-5926. (2) catch or receipt reports and annually to the fleet, averaging about logbooks; and (3) transfer/offloading $100 per vessel. These estimates do not SUPPLEMENTARY INFORMATION: The reports and logbooks. The data include time spent preparing Council will hold its 91st regular public collections apply to groundfish submissions. meeting to discuss the Third processing vessels over 125’(38.5 IV. Request for Comments Amendment to the Reeffish Fishery meters) in length and catcher vessels Management Plan (FMP) and the First delivering to them. Comments are invited on: (a) Whether Amendment to the Coral FMP, among Vessel reports indicate when a vessel the proposed collection of information other topics. is necessary for the proper performance has started and stopped operations, and The Administrative Committee will is needed to ensure catch/receipt reports of the functions of the agency, including whether the information shall have meet on Tuesday, March 18, 1997, from have been received, for observer 10:00 a.m. to 5:00 p.m., to discuss deployment, and for monitoring the practical utility; (b) the accuracy of the agency’s estimate of the burden administrative matters regarding fishery. Council operation. Logbooks are the basis for reports (including hours and cost) of the submitted to NMFS. The logbooks for proposed collection of information; (c) The Council will convene on processing vessels are used to keep ways to enhance the quality, utility, and Wednesday, March 19, 1997, from 9:00 daily and cumulative totals of the catch clarity of the information to be a.m. to 5:00 p.m. through Thursday, (or fish received from a catcher vessel), collected; and (d) ways to minimize the March 20, 1997, from 9:00 a.m. to noon, species, disposition, and numbers and burden of the collection of information approximately. species of prohibited species (salmon, on respondents, including through the The SSC, AP and HAP will meet on halibut, Dungeness crab). Reports of use of automated collection techniques March 19, 1997, from 1:00 p.m. to 3:00 species and amounts caught are or other forms of information p.m., to discuss the presentation of Dr. submitted on a weekly or daily basis, technology. Downs and provide their comments to depending on the duration of the Comments submitted in response to the Council. this notice will be summarized and/or season. Logbooks also are kept by The meetings are open to the public, fishing vessels to record specific haul or included in the request for OMB approval of this information collection; and will be conducted in English. set information. Logbooks also are used Fishers and other interested persons are to record transfers or offloading of fish they also will become a matter of public record. invited to attend and participate with or fish products which facilitates oral or written statements regarding enforcement. Dated: February 13, 1997. agenda issues. Linda Engelmeier, II. Method of Collection Departmental Forms Clearance Officer, Office There will be simultaneous These are written data collections that of Management and Organization. translation (English-Spanish) at the AP are prepared and submitted by the [FR Doc. 97–4170 Filed 2–19–97; 8:45 am] meeting only, from 10:00 a.m. to 3:00 p.m., on March 19, 1997. vessel owner or operator to the National BILLING CODE 3510±22±P Marine Fisheries Service, Northwest Special Accommodations Regional Office, by mail, fax, electronic mail, or in person. National Oceanic and Atmospheric These meetings are physically Administration accessible to people with disabilities. III. Data For more information or requests for OMB Number: 0648–0271 [I.D. 021197B] sign language interpretation and/or Form Number: None Caribbean Fishery Management other auxiliary aids please contact Mr. Type of Review: Regular Submission Council; Public Meetings Miguel A. Rolo´n at the Council (see FOR Affected Public: This data collection FURTHER INFORMATION CONTACT) at least 5 involves owners and operators of AGENCY: National Marine Fisheries days prior to the meeting date. vessels that fish for or process Service (NMFS), National Oceanic and Dated: February 13, 1997. groundfish in ocean waters 0–200 Atmospheric Administration (NOAA), nautical miles offshore Washington, Commerce. Gary C. Matlock Director, Office of Sustainable Fisheries, Oregon, and California. ACTION: Notice of public meetings. Estimated Number of Respondents: National Marine Fisheries Service. Fewer than 100 vessels are expected to SUMMARY: The Caribbean Fishery [FR Doc. 97–4156 Filed 2–19–97; 8:45 am] be affected. Management Council (Council) and its BILLING CODE 3510±22±F 7754 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Notices

COMMITTEE FOR THE issued to you on November 4, 1996, by the ADDRESSES: Copies of the file are IMPLEMENTATION OF TEXTILE Chairman, Committee for the Implementation available from the Office of the AGREEMENTS of Textile Agreements. That directive Secretariat, Commodity Futures Trading concerns imports of certain cotton, wool and Commission, 1155 21st Street, NW, Adjustment of Import Limits for Certain man-made fiber textiles and textile products and silk blend and other vegetable fiber Washington, DC 20581. Reference Cotton and Man-Made Fiber Textile apparel, produced or manufactured in should be made to the CBT dual trading Products Produced or Manufactured in Malaysia and exported during the twelve- exemption petition file. Malaysia month period which began on January 1, FOR FURTHER INFORMATION CONTACT: 1997 and extends through December 31, February 13, 1997. Rachel Berdansky, Staff Attorney, or 1997. Andrew Baer, Staff Attorney, Division of AGENCY: Committee for the Effective on February 20, 1997, you are Implementation of Textile Agreements directed to reduce the limits for the following Trading and Markets, Commodity (CITA). categories, as provided for under the Uruguay Futures Trading Commission, 1155 21st Round Agreements Act and the Uruguay Street, NW, Washington, DC 20581; ACTION: Issuing a directive to the Round Agreement on Textiles and Clothing: telephone: (202) 418–5490. Commissioner of Customs reducing SUPPLEMENTARY INFORMATION: Pursuant limits. 1 Category Twelve-month limit to Section 4j(a)(3) of the Commodity EFFECTIVE DATE: February 20, 1997. 336/636 ...... 421,491 dozen. Exchange Act and Regulation 155.5 FOR FURTHER INFORMATION CONTACT: Ross 338/339 ...... 1,044,973 dozen. thereunder, a board of trade may submit Arnold, International Trade Specialist, 347/348 ...... 442,861 dozen. a petition to the Commodity Futures Office of Textiles and Apparel, U.S. 638/639 ...... 433,722 dozen. Trading Commission (‘‘Commission’’) to exempt any of its affected contract Department of Commerce, (202) 482– 1 The limits have not been adjusted to ac- 4212. For information on the quota count for any imports exported after December markets (markets with an average daily status of these limits, refer to the Quota 31, 1996. volume of over 8,000 contracts traded Status Reports posted on the bulletin The Committee for the Implementation of for four consecutive quarters) from the boards of each Customs port or call Textile Agreements has determined that prohibition against dual trading. (202) 927–6712. For information on these actions fall within the foreign affairs Regulation 155.5(d)(6) authorizes the embargoes and quota re-openings, call exception to the rulemaking provisions of 5 Director of the Division of Trading and (202) 482–3715. U.S.C.553(a)(1). Markets to publish notice of each Sincerely, exemption petition deemed complete SUPPLEMENTARY INFORMATION: Troy H. Cribb, under Regulation 155.5(d) and to make Authority: Executive Order 11651 of March Chairman, Committee for the Implementation the petition available to the public as 3, 1972, as amended; section 204 of the of Textile Agreements. required by Section 4j(a)(5) of the Act. Agricultural Act of 1956, as amended (7 [FR Doc.97–4168 Filed 2–19–97; 8:45 am] CBT originally submitted a petition U.S.C. 1854); Uruguay Round Agreements Act. BILLING CODE 3510±DR±F for dual trading exemption on October 25, 1993. After the Commission The current limits for certain requested additional information, the categories are being reduced for COMMODITY FUTURES TRADING Exchange submitted a corrected petition carryforward applied in 1996. COMMISSION on December 2, 1993. That petition was A description of the textile and made available to the public by a notice apparel categories in terms of HTS Chicago Board of Trade Update of of availability published in the Federal numbers is available in the Petition for Exemption From the Dual Register on December 22, 1993. CORRELATION: Textile and Apparel Trading Prohibition in Affected Thereafter, the Exchange submitted Categories with the Harmonized Tariff Contract Markets March 25, 1994 and May 13, 1994 Schedule of the United States (see supplements plus an August 2, 1994 Federal Register notice 61 FR 66263, AGENCY: Commodity Futures Trading Commission. report. published on December 17, 1996). Also Pursuant to a request from the ACTION: Notice of update of petition for see 61 FR 58041, published on Commission, CBT submitted a dual exemption from the prohibition on dual November 12, 1996. trading exemption petition update dated trading in affected contract markets. The letter to the Commissioner of January 17, 1997 for its contract markets Customs and the actions taken pursuant SUMMARY: Chicago Board of Trade in wheat, corn, soybeans, soybean meal, to it are not designed to implement all (‘‘CBT’’ or ‘‘Exchange’’) has submitted soybean oil, U.S. Treasury Bonds, 10- of the provisions of the Uruguay Round an update of its October 25, 1993 Year Treasury Notes, and 5-Year Agreements Act and the Uruguay Round petition for exemption from the Treasury Notes futures contracts and its Agreement on Textiles and Clothing, but prohibition against dual trading in options on soybeans, corn, U.S. are designed to assist only in the thirteen contract markets. The Exchange Treasury Bond futures, 5-Year Treasury implementation of certain of their had re-submitted a corrected petition on Notes and 10-Year Treasury Notes provisions. December 2, 1993 and also submitted futures contracts. Upon CBT’s request, Troy H. Cribb, March 25, 1994, May 13, 1994 and the Commission informed the Exchange Chairman, Committee for the Implementation August 2, 1994 supplements to add that it could submit updated audit trail of Textile Agreements. three more affected markets. Upon data by March 31, 1997. Committee for the Implementation of Textile CBT’s request, the Commission Copies of the file containing all these Agreements informed the Exchange that it could materials and any future submissions, February 13, 1997. submit updated audit trail data by except to the extent the Exchange has Commissioner of Customs, March 31, 1997. Copies of the entire file, requested confidential treatment in Department of the Treasury, Washington, DC including any future submissions, will accordance with 17 CFR 145.9, are 20229. be available to the public upon request, available for inspection at the Dear Commissioner: This directive except to the extent the Exchange has Commission’s Office of the Secretariat, amends, but does not cancel, the directive requested confidential treatment. 1155 21st Street, NW, Washington, DC Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Notices 7755

20581, and may be obtained by mail at should be made to the CME dual trading forth in 17 CFR 145.5 and 145.9. that address or by telephone at (202) exemption petition file. Requests for copies of such materials 418–5100. FOR FURTHER INFORMATION CONTACT: should be made to FOI, Privacy and Petition materials subject to CBT’s Shauna Turnbull, Special Counsel, or Sunshine Act Compliance Staff of the request for confidential treatment may Evan Davis, Staff Attorney, Division of Office of the Secretariat at the above be available upon request pursuant to Trading and Markets, Commodity address in accordance with 17 CFR the Freedom of Information Act (5 Futures Trading Commission, 1155 21st 145.7 and 145.8. U.S.C. 552) and the Commission’s Street, NW, Washington, DC 20581; The CME timely submitted its original regulations thereunder (17 CFR part telephone: (202) 418–5490. petition before October 26, 1993, the 145), except to the extent they are SUPPLEMENTARY INFORMATION: Pursuant effective date of the dual trading entitled to confidential treatment as set to Section 4j(a)(3) of the Commodity prohibition. Therefore, application of forth in 17 CFR 145.5 and 145.9. Exchange Act and Regulation 155.5 the prohibition against the contract Requests for copies of such materials thereunder, a board of trade may submit markets covered by the petition has should be made to FOI, Privacy and a petition to the Commodity Futures been suspended in accordance with Sunshine Act Compliance Staff of the Trading Commission (‘‘Commission’’) to Commission Regulation 155.5(d)(5) and Office of the Secretariat at the above exempt any of its affected contract will remain suspended until the petition address in accordance with 17 CFR markets (markets with an average daily is acted upon. 145.7 and 145.8. volume of over 8,000 contracts traded Issued in Washington, DC, on February 12, The CBT timely submitted its original for four consecutive quarters) from the 1997. petition before October 26, 1993, the prohibition against dual trading. Jean A. Webb, effective date of the dual trading Regulation 155.5(d)(6) authorizes the Secretary. prohibition. Therefore, application of Director of the Division of Trading and [FR Doc. 97–4164 Filed 2–19–97; 8:45 am] the prohibition against the contract Markets to publish notice of each BILLING CODE 6351±01±M markets covered by the petition has exemption petition deemed complete been suspended in accordance with under Regulation 155.5(d) and to make Commission Regulation 155.5(d)(5) and the petition available to the public as New York Cotton Exchange Petition for will remain suspended until the petition required by Section 4j(a)(5) of the Act. Exemption From the Dual Trading is acted upon. CME originally submitted a petition Prohibition in an Affected Contract Issued in Washington, DC, on February 12, for dual trading exemption on October Market 1997. 22, 1993. After the Commission Jean A. Webb, requested additional information, the AGENCY: Commodity Futures Trading Secretary. Exchange submitted a corrected petition Commission. [FR Doc. 97–4165 Filed 2–19–97; 8:45 am] on December 2, 1993. That petition was ACTION: Notice of petition for exemption made available to the public by a notice BILLING CODE 6351±01±M from the prohibition on dual trading in of availability published in the Federal an affected contract market. Register on December 22, 1993. Chicago Mercantile Exchange Update Pursuant to a request from the SUMMARY: New York Cotton Exchange of Petition for Exemption From the Commission, CME submitted a dual (‘‘NYCE’’ or ‘‘Exchange’’) submitted a Dual Trading Prohibition in Affected trading exemption petition update dated petition for exemption from the Contract Markets January 21, 1997 for its contract markets prohibition against dual trading in one in Deutsche Mark, Eurodollar, Japanese contract market on September 28, 1995. AGENCY: Commodity Futures Trading Yen, Live Cattle, Standard & Poor’s 500, The Exchange submitted a supplement Commission. and Swiss Franc futures contracts, and to its original petition, which the ACTION: Notice of update of petition for options on Eurodollar and Standard & Commission received on November 21, exemption from the prohibition on dual Poor’s 500 futures contracts. Upon 1995. The Commission has initiated an trading in affected contract markets. CME’s request, the Commission audit trail test. NYCE will be given an informed the Exchange that it could opportunity to update its petition. SUMMARY: Chicago Mercantile Exchange submit updated audit trail data by Copies of the entire file, including the (‘‘CME’’ or ‘‘Exchange’’) has submitted March 31, 1997. eventual results of the audit trail test an update of its October 22, 1993 Copies of the file containing all these and any future submissions, will be petition for exemption from the materials and any future submissions, available to the public upon request, prohibition against dual trading in eight except to the extent the Exchange has except to the extent the Exchange has contract markets. The Exchange had re- requested confidential treatment in requested confidential treatment. submitted a corrected petition on accordance with 17 CFR 145.9, are December 2, 1993. Upon CME’s request, available for inspection at the ADDRESSES: Copies of the file containing the Commission informed the Exchange Commission’s Office of the Secretariat, all these materials, the eventual retest that it could submit updated audit trail 1155 21st Street, NW, Washington, DC results and any future submissions are data by March 31, 1997. Copies of the 20581, and may be obtained by mail at available from the Office of the entire file, including any future that address or by telephone at (202) Secretariat, Commodity Futures Trading submissions, will be available to the 418–5100. Commission, 1155 21st Street, NW, public upon request, except to the Petition materials subject to CME’s Washington, DC 20581. Reference extent the Exchange has requested request for confidential treatment may should be made to the NYCE dual confidential treatment. be available upon request pursuant to trading exemption petition file. ADDRESSES: Copies of the file are the Freedom of Information Act (5 FOR FURTHER INFORMATION CONTACT: available from the Office of the U.S.C. 552) and the Commission’s Duane Andresen, Special Counsel, Secretariat, Commodity Futures Trading regulations thereunder (17 CFR part Division of Trading and Markets, Commission, 1155 21st Street, NW, 145), except to the extent they are Commodity Futures Trading Washington, DC 20581. Reference entitled to confidential treatment as set Commission, 1155 21st Street, NW, 7756 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Notices

Washington, DC 20581; telephone: (202) Issued in Washington, DC, on February 12, Comex originally submitted a petition 418–5490. 1997. for dual trading exemption on October Jean A. Webb, 21, 1993. After the Commission SUPPLEMENTARY INFORMATION: Pursuant Secretary. requested additional information, the to Section 4j(a)(3) of the Commodity Exchange submitted a corrected petition Exchange Act and Regulation 155.5 [FR Doc. 97–4162 Filed 2–19–97; 8:45 am] BILLING CODE 6351±01±M on November 30, 1993. That petition thereunder, a board of trade may submit was made available to the public by a a petition to the Commodity Futures notice of availability published in the Trading Commission (‘‘Commission’’) to The Comex Division of the New York Federal Register on December 22, 1993. exempt any of its affected contract Mercantile Exchange's Update of Thereafter, Comex submitted a January markets (markets with an average daily Petition for Exemption From the Dual 5, 1994 supplement. Pursuant to a volume of over 8,000 contracts traded Trading Prohibition in Affected request from the Commission, Comex for four consecutive quarters) from the Contract Markets submitted a dual trading exemption prohibition against dual trading. petition update dated January 17, 1997 Regulation 155.5(d)(6) authorizes the AGENCY: Commodity Futures Trading for its contract markets in gold and Director of the Division of Trading and Commission. silver futures contracts. Markets to publish notice of each ACTION: Notice of update of petition for Copies of the file containing all these exemption petition deemed complete exemption from the prohibition on dual materials, except to the extent the under Regulation 155.5(d) and to make trading in affected contract markets. Exchange has requested confidential the petition available to the public as treatment in accordance with 17 CFR required by Section 4j(a)(5) of the Act. SUMMARY: The Comex Division of the 145.9, are available for inspection at the NYCE originally submitted a petition New York Mercantile Exchange Commission’s Office of the Secretariat, for dual trading exemption for its Cotton (‘‘Comex’’ or ‘‘Exchange’’) has submitted 1155 21st Street NW., Washington, DC 2 futures contract on September 28, an update of its October 21, 1993 20581, and may be obtained by mail at 1995, within 30 days after the contract petition for exemption from the that address or by telephone at (202) market became an affected market. After prohibition against dual trading in two 418–5100. the Commission requested additional contract markets (which was submitted Petition materials subject to Comex’s information, the Exchange submitted a by its predecessor Commodity request for confidential treatment may supplement on November 21, 1995. Exchange, Inc). The Exchange had be available upon request pursuant to resubmitted a corrected petition on the Freedom of Information Act (5 The Commission is currently testing November 30, 1993 and also submitted the Exchange’s audit trail system to U.S.C. 552) and the Commission’s a supplement on January 5, 1994. regulations thereunder (17 CFR Part determine its accuracy. In conjunction Copies of the entire file are available to with this test, the Exchange will be 145), except to the extent they are the public upon request, except to the entitled to confidential treatment as set given an opportunity to update its extent the Exchange has requested petition. forth in 17 CFR 145.5 and 145.9. confidential treatment. Requests for copies of such materials Copies of the file and any future ADDRESSES: Copies of the file are should be made to FOI, Privacy and updates, except to the extent the available from the Office of the Sunshine Act Compliance Staff of the Exchange has requested confidential Secretariat, Commodity Futures Trading Office of the Secretariat at the above treatment in accordance with 17 CFR Commission, 1155 21st Street NW, address in accordance with 17 CFR 145.9, are available for inspection at the Washington, DC 20581. Reference 145.7 and 145.8. Commission’s Office of the Secretariat, should be made to the Comex dual Comex timely submitted its original 1155 21st Street, NW, Washington, DC trading exemption petition file. petition before October 26, 1993, the 20581, and may be obtained by mail at FOR FURTHER INFORMATION CONTACT: effective date of the dual trading that address or by telephone at (202) Duane Andresen, Special Counsel, or prohibition. Therefore, application of 418–5100. Evan Davis, Staff Attorney, Division of the prohibition against the contract Petition materials subject to NYCE’s Trading and Markets, Commodity markets covered by the petition has request for confidential treatment may Futures Trading Commission, 1155 21st been suspended in accordance with be available upon request pursuant to Street NW, Washington, DC 20581; Commission Regulation 155.5(d)(5) and the Freedom of Information Act (5 telephone: (202) 418–5490. will remain suspended until the petition U.S.C. 552) and the Commission’s SUPPLEMENTARY INFORMATION: Pursuant is acted upon. regulations thereunder (17 CFR Part to Section 4j(a)(3) of the Commodity Issued in Washington, DC, on February 12, 145), except to the extent they are Exchange Act and Regulation 155.5 1997. entitled to confidential treatment as set thereunder, a board of trade may submit Jean A. Webb, forth in 17 CFR 145.5 and 145.9. a petition to the Commodity Futures Secretary. Requests for copies of such materials Trading Commission (‘‘Commission’’) to [FR Doc. 97–4163 Filed 2–19–97; 8:45 am] should be made to FOI, Privacy and exempt any of its affected contract BILLING CODE 6351±01±M Sunshine Act Compliance Staff of the markets (markets with an average daily Office of the Secretariat at the above volume of over 8,000 contracts traded address in accordance with 17 CFR for four consecutive quarters) from the Sunshine Act Meeting 145.7 and 145.8. prohibition against dual trading. Application of the prohibition against Regulation 155.5(d)(6) authorizes the AGENCY HOLDING THE MEETING: the contract market covered by the Director of the Division of Trading and Commodity Futures Trading petition has been suspended in Markets to publish notice of each Commission. accordance with Commission exemption petition deemed complete TIME AND DATE: 11:00 a.m., Friday, Regulation 155.5(d)(5) and will remain under Regulation 155.5(d) and to make March 7, 1997. suspended until the petition is acted the petition available to the public as PLACE: 1155 21st St., N.W., Washington, upon. required by Section 4j(a)(5) of the Act. D.C. 9th Fl. Conference Room. Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Notices 7757

STATUS: Closed. CONTACT PERSON FOR MORE INFORMATION: own deadlines. Applicants for new MATTERS TO BE CONSIDERED: Surveillance Jean A. Webb, 202–418–5100. AmeriCorps National grants must be Matters. Jean A. Webb, received by 3:30 p.m. (E.S.T.), April 1, Secretary of the Commission. 1997. Notice regarding the renewal CONTACT PERSON FOR MORE INFORMATION: application deadline for AmeriCorps Jean A. Webb, 202–418–5100. [FR Doc. 97–4385 Filed 2–18–97; 3:56 pm] BILLING CODE 6351±01±M National grants will be provided to Jean A. Webb, existing grantees at a later date. All Secretary of the Commission. AmeriCorps Indian Tribe and U.S. [FR Doc. 97–4382 Filed 2–18–97; 3:56 pm] CORPORATION FOR NATIONAL AND Territory applications must be received BILLING CODE 6351±01±M COMMUNITY SERVICE by 3:30 p.m. (E.S.T.), April 15, 1997. ADDRESSES: All applications should be AmeriCorps: State, National, Indian submitted to the Corporation for Sunshine Act Meeting Tribes, and U.S. Territories Programs National Service, 1201 New York Avenue, NW, Box AS (for AmeriCorps AGENCY HOLDING THE MEETING: AGENCY: Corporation for National and States), Box ACD (for AmeriCorps Commodity Futures Trading Community Service. National), Box ITT (for AmeriCorps Commission. ACTION: Notice of Availability of Funds Indian Tribes and U.S. Territories), TIME AND DATE: 11:00 a.m., Friday, for New and Renewal Grants, Notice of Washington, D.C. 20525. Facsimiles will March 14, 1997. Availability of 1997 Application not be accepted. Guidelines, and Responses to Public PLACE: FOR FURTHER INFORMATION CONTACT: 1155 21st St., N.W., Washington, Comments. D.C. 9th Fl. Conference Room. Questions about the AmeriCorps State application process should be directed STATUS: closed. SUMMARY: The Corporation for National and Community Service (Corporation) to the State Commission offices. Copies MATTERS TO BE CONSIDERED: Surveillance announces the availability of funds for of the ‘‘AmeriCorps National 1997 Matters. new and renewal AmeriCorps program Application Guidelines’’ and ‘‘1997 CONTACT PERSON FOR MORE INFORMATION: grants in the approximate amounts of: AmeriCorps Application Guidelines for Jean A. Webb, 202–418–5100. (1) $162 million for AmeriCorps State Indian Tribes and U.S. Territories’’ Jean A. Webb, program grants (CFDA # 94.003); (2) $40 should be requested by calling (202) 606–5000, extension 260. If potential Secretary of the Commission. million for AmeriCorps National # applicants have questions about the [FR Doc. 97–4383 Filed 2–18–97; 3:56 pm] program grants (CFDA 94.004); and (3) $5 million for AmeriCorps Indian Tribes AmeriCorps National and AmeriCorps BILLING CODE 6351±01±M and U.S. Territories program grants Indian Tribes and U.S. Territories (CFDA # 94.004). The application forms application guidelines or the Sunshine Act Meeting and guidelines for completing these application process, they should contact applications are contained in the (1) the Corporation for National Service, AGENCY HOLDING THE MEETING: ‘‘1997 AmeriCorps Guidelines and AmeriCorps Direct, 1201 New York Commodity Futures Trading Instructions for State Commissions’’, (2) Avenue, NW, Washington, D.C. 20525. Commission. the ‘‘AmeriCorps National 1997 Phone: (202) 606–5000, extension 125. Organizations interested in applying for TIME AND DATE: 11:00 a.m., Friday, Application Guidelines’’, and (3) the the AmeriCorps National program funds March 21, 1997. ‘‘1997 AmeriCorps Application Guidelines for Indian Tribes and U.S. may participate in conference calls on PLACE: 1155 21st St., N.W., Washington, Territories’’ respectively. February 27, 1997, and March 7, 1997, D.C. 9th Fl. Conference Room. The second section of this notice during which Corporation staff will STATUS: Closed. addresses comments submitted in provide technical assistance to potential response to the Corporation notice applicants. Both calls will commence at MATTERS TO BE CONSIDERED: Surveillance published in the Federal Register on 10 AM and end at 12 PM (E.S.T.). To Matters. August 6, 1996, which described register for these calls, please contact CONTACT PERSON FOR MORE INFORMATION: proposed changes to Corporation grant- Baqiya Adam at (202) 606–5000, Jean A. Webb, making guidelines, policies, and extension 549. The Corporation staff Jean A. Webb, 202–418–5100. priorities for 1997, and invited will also conduct conference calls to Secretary of the Commission. comments with regard to its AmeriCorps provide technical assistance to potential [FR Doc. 97–4384 Filed 2–18–97; 3:56 pm] State, National, Indian Tribes, and U.S. applicants seeking AmeriCorps Indian BILLING CODE 6351±01±M Territories programs. The changes Tribes and U.S. Territories program proposed for the Fiscal Year 1997 grant funds on March 3, 1997, and March 10, cycle were non-regulatory in nature. In 1997. All calls will commence at 2 pm Sunshine Act Meeting response to this notice, the Corporation (E.S.T.). To register for these calls, received comments from eleven please contact Rosa Harrison at (202)– AGENCY HOLDING THE MEETING: organizations. 606–5000, extension 433. Commodity Futures Trading DATES: All AmeriCorps State program SUPPLEMENTARY INFORMATION: The Commission. applications must be received by 3:30 Corporation’s requirements for TIME AND DATE: 11:00 a.m., Friday, p.m. (E.S.T.), April 15, 1997. Although AmeriCorps programs are set forth in March 28, 1997. AmeriCorps State program applications the Corporation’s authorizing statute (42 PLACE: 1155 21st St., N.W., Washington, must be received at the Corporation by U.S.C. section 12501 et seq.), its D.C. 9th Fl. Conference Room. that date, applicants seeking implementing regulations (45 CFR Part AmeriCorps funds from State 2500 et seq.), and grant application STATUS: Closed. Commissions should contact their guidelines. In addition to being MATTERS TO BE CONSIDERED: Surveillance respective State Commissions since thoroughly familiar with the statute and Matters. individual State Commissions set their its implementing regulations, 7758 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Notices prospective applicants should read the Number of encourages applicants that propose application carefully because, in some State Formula al- allowable programs in a single State to apply to cases, more specific information is lotment competitive that State’s Commission on National provided there. submissions and Community Service. Michigan ...... 2,564,671 12 (2) Estimated amount and quantity of I. AmeriCorps Program Fund awards. Availability Minnesota ...... 1,237,987 8 Mississippi ...... 724,399 7 The Corporation expects to make AmeriCorps engages thousands of Missouri ...... 1,429,739 9 fewer than forty (40) awards for new Americans on a full and part-time basis Montana ...... 450,000 6 AmeriCorps National operating to help communities address their Nebraska ...... 450,000 6 programs in Fiscal Year 1997 grant toughest challenges while earning Nevada ...... 450,000 6 cycle. The grant size will vary by support for college, graduate school, or New Hampshire 450,000 6 circumstance, need, and program job training. New Jersey ...... 2,133,870 11 model. The Corporation anticipates that New Mexico ...... 452,648 6 it will not be able to fund AmeriCorps A. AmeriCorps State New York ...... 4,870,809 19 National programs at the same level as North Carolina ... 1,932,399 11 Approximately $74.5 million in North Dakota ..... 450,000 0 it has in the past because of a program funds are available for new and Ohio ...... 2,994,693 13 congressionally-imposed cap and a lack renewal grants to States under State Oklahoma ...... 880,289 7 of available carryover funds. For this allotments, and approximately $87.5 Oregon ...... 843,467 7 reason, grantees that have previously million in program funds are available Pennsylvania ..... 3,242,136 14 received AmeriCorps funding should to States for new and renewal grants on Puerto Rico consider significantly reducing the a competitive basis. (1995) ...... 1,008,515 8 amount of requested support. The Corporation is committed to Rhode Island ..... 450,000 6 supporting only high-quality South Carolina .. 986,535 8 C. AmeriCorps Indian Tribes and U.S. AmeriCorps programs, and State South Dakota .... 450,000 0 Territories Tennessee ...... 1,411,618 9 Approximately $2.5 million is allotments are not entitlements. Texas ...... 5,028,705 19 (1) Eligible applicants. Utah ...... 524,090 6 available for new and renewal States, the District of Columbia, and Vermont ...... 450,000 5 AmeriCorps Indian Tribe program Puerto Rico, through a Corporation- Virginia ...... 1,777,493 10 grants, and approximately $2.5 million approved State Commission or Washington ...... 1,458,588 9 is available for new and renewal Alternative Administrative Entity West Virginia ..... 490,984 6 AmeriCorps U.S. Territories program (AAE), are eligible to submit a State Wisconsin ...... 1,375,850 9 grants under a population-based application to the Corporation for funds Wyoming ...... 450,000 5 formula. available through the AmeriCorps State (1) Eligible applicants. Total ...... 74,545,951 446 program. Eligible applicants include Indian (2) Estimated amount and quantity of Tribes and U.S. Territories. For the awards. B. AmeriCorps National purposes of this grant program an The following chart details the Approximately $40 million is Indian Tribe is an: (a) Indian Tribe, amount of funding for which each State available for new and renewal grants band, nation, or other organized group may apply. The chart also lists the through the AmeriCorps National or community, including any Native number of new program applications program competition. village, as defined in 43 U.S.C. section that each State may submit for funding (1) Eligible applicants. 1602(c), whether organized traditionally on a competitive basis. National nonprofit organizations, or pursuant to the Act of June 18, 1934 Indian Tribes, public or private (commonly known as the ‘‘Indian Number of nonprofit organizations (including labor Reorganization Act,’’ 26 U.S.C. section Formula al- allowable organizations), subdivisions of states, l461 et seq.); (b) any Regional State lotment competitive submissions and institutions of higher education are Corporation or Village Corporation, as eligible to apply for AmeriCorps defined in 43 U.S.C. section 1602 (g) or Alabama ...... $1,142,224 8 National program funds. For the (j), respectively, that is recognized as Alaska ...... 450,000 5 purpose of this grant process, a national eligible for the special programs and Arizona ...... 1,132,813 8 nonprofit organization is any nonprofit services provided by the United States Arkansas ...... 667,066 7 organization whose mission, under Federal law to Indians because of California ...... 8,483,903 29 membership, activities, or their status as Indians; and (c) any tribal Colorado ...... 1,006,221 8 constituencies are national in scope. Connecticut ...... 879,476 7 organization controlled, sanctioned, or Delaware ...... 450,000 6 However, an organization described in chartered by an entity described in (a) District of Co- Section 501(c)(4) of the Internal or (b) of this paragraph. For the lumbia ...... 450,000 5 Revenue Code of 1986, 26 U.S.C. purposes of this grant program, U.S. Florida ...... 3,804,449 16 501(c)(4), that engages in lobbying Territories are (a) American Samoa, (b) Georgia ...... 1,933,942 10 activities is not eligible to apply, serve the Commonwealth of the Northern Hawaii ...... 450,000 6 as a host site for Member placements, or Mariana Islands, (c) Guam, and (d) the Idaho ...... 450,000 6 act in any type of supervisory role in the U.S. Virgin Islands. Illinois ...... 3,177,168 14 program. (2) Estimated amount and quantity of Indiana ...... 1,558,639 9 Eligible applicants that propose awards. Iowa ...... 763,213 7 programs in more than one State are Eligible applicants may apply for Kansas ...... 688,970 7 Kentucky ...... 1,036,739 8 encouraged to seek funding directly operating funds to establish AmeriCorps Louisiana ...... 1,166,221 8 from the Corporation. These applicants programs. The Corporation expects to Maine ...... 450,000 6 may operate programs directly or make fewer than ten (10) AmeriCorps Maryland ...... 1,354,248 9 provide subgrants to local chapters or Indian Tribe program grants, and fewer Massachusetts .. 1,631,174 9 affiliates. The Corporation strongly than ten (10) AmeriCorps U.S. Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Notices 7759

Territories program grants. The average National grantees to apply for new grant D. State Coordination with AmeriCorps award under each program will be funds through State Commissions while National Applicants under $300,000. continuing their contractual The Corporation received four relationship for training and technical II. Education Awards comments about the grant application assistance with the AmeriCorps guideline language related to On September 4, 1996, the National grantee organization. The coordination between State Corporation published a Notice of Corporation decided not to add the Commissions and AmeriCorps National availability of education awards that language because any grantee or applicants. The comments were equally describes the AmeriCorps Education subgrantee can currently contract with divided between concurrence with the Award program. Applicants for any other national, State or local language and requests for changes. AmeriCorps State, National, and Tribes organization for technical assistance. Based on the comments received, the and U.S. Territories program grants are Therefore, we do not need to Corporation decided not to change the advised that instead of applying through specifically state this for operating sites requirements for coordination and to the AmeriCorps Education Award or subgrantees of AmeriCorps National continue such requirements. Additional program, they may include in their grantees only. language was added to the grant AmeriCorps State, National, or Tribes application guidelines describing the and U.S. Territories applications a B. 1997 Priorities Corporation’s expectations of request for positions for participants The Corporation received several AmeriCorps National applicants and of who receive only education awards comments on the Corporation’s new State Commissions with regard to better from the Corporation. AmeriCorps State, FY97 focus on children and youth coordination between the two. National, or Indian Tribes and U.S. within the four issue areas of Territories programs that include these educational, public safety, E. Issue Area Specialization positions are subject to all of the environmental and other human needs. The Corporation received three requirements that apply to AmeriCorps The comments were divided equally comments suggesting that limiting State, National, or Indian Tribes and between those favoring the new programs to one issue area may restrict U.S. Territories programs. priorities and those suggesting that the their ability to raise match funds and priorities needed some clarification and III. Professional Corps fulfill program objectives. The should not be focused so narrowly. The Corporation’s experience is that when The Corporation particularly invites Corporation has decided to maintain its programs try to meet many needs at applications for professional corps focus on children and youth for the once, it is more difficult to demonstrate programs. A professional corps program 1997 priorities. However, clarifying impact and fulfill program objectives. is defined in 42 U.S.C. section language was added to recognize that Therefore, the Corporation will continue 12572(a)(8). These programs must be some high quality programs have to encourage programs to focus their sponsored by public or private nonprofit different expertise and would dilute efforts on one issue area. The grant employers who agree to pay 100 percent their effectiveness if they redesign their application guidelines do recognize that of AmeriCorps Members’ salaries and programs to focus on children and certain types of programs (e.g., benefits (excluding the national service youth. Those programs are encouraged volunteer generator models or programs education award which is provided by to apply if they are high quality operating in rural areas) may not be able the Corporation). Members’ salaries may programs and can demonstrate to focus on singles issues. Programmatic exceed the maximum living allowance compelling needs. Applicants who needs or designs that lead an applicant in other national service programs. received funding from the Corporation to focus on multi-issues will be taken IV. 16-Year-Old AmeriCorps for the first time in 1995 or 1996 are into consideration during the grant Participants considered renewals and therefore, may application review and selection continue to address areas covered by the processes. In general, an individual must be at 1995 or 1996 priorities and need not least 17 years of age at the time he or change their focus to meet the F. Program Focus and Service Ethic she begins the term of service in order Corporation’s new priority focus on Several responders suggested that to be eligible for receipt of an education children and youth. language in the grant application award. However, certain 16-year-olds guidelines which indicates that the may enroll as AmeriCorps participants. C. Summer Programs Corporation will not fund programs Applicants who have an interest in The Corporation received several whose primary focus is job training enrolling 16-year-olds are advised that comments requesting some clarification should be softened. However, given the the participant must be an ‘‘out of on summer programs and a requirements in the National and school youth’’ as defined in 42 U.S.C. recommendation that the applicants be Community Service Act of 1990, as section 12511(16) and serve in one of encouraged to apply for summer amended, and its implementing two types of youth corps programs programs that are operated as regulations, the emphasis on imparting described in the authorizing statute. components of AmeriCorps programs, the service ethic and providing service (See 42 U.S.C. section 12572(a)(2) and rather than as free-standing programs. to communities is appropriate. The (a)(9)). The Corporation added clarifying Corporation did change the word V. Responses to Public Comments on language to this section of the grant ‘‘primary’’ to ‘‘major’’ to clarify the Proposed Changes to Corporation Grant application guidelines indicating that Corporation’s intent to continue to Making Guidelines the Corporation encourages, but does support programs that do assist not require, applicants to operate participants in job development A. Renewals, Re-competition and New summer programs as a component of activities, so long as it is not the major Applications 1997 Issue Area Priorities their year-round AmeriCorps programs focus of the program. The Corporation received one and to ensure that a summer component comment requesting that specific is consistent with the overall mission of G. Living Allowance language be added to permit existing or the applying organization and its Four responders recommended that former operating sites of AmeriCorps AmeriCorps programs. the Corporation continue its current 7760 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Notices flexibility concerning the amount of published in the Federal Register and diversity among priorities across the living allowances provided to reflected in this notice. Currently, the programs that it funds. AmeriCorps members. This Corporation does notify potential Dated: February 14, 1997. recommendation suggests a grantees of decisions at least two Barry W. Stevens, misunderstanding of the Corporation’s months before programs are expected to Acting General Counsel, Corporation for intent. The current language does not begin. However, the actual grant award National and Community Service. require programs to pay the lowest letters may not reach the grantee two living allowance. It only encourages it. months ahead of start dates. [FR Doc. 97–4192 Filed 2–19–97; 8:45 am] The Corporation has emphasized this in BILLING CODE 6050±28±P J. Application Evaluation and Selection the final grant application guidelines, of New Programs but continues to encourage programs to offer the minimum statutorily permitted The Corporation received several DEPARTMENT OF DEFENSE living allowances—not more than the comments concerning the ‘‘ability to Department of the Army average annual subsistence allowance monitor’’ section of the review criteria. Several felt that the Corporation needed provided to VISTAs. Army Education Advisory Committee to reexamine its assessment that H. Corporation Cost per Member individual placements are ‘‘hard to AGENCY: U.S. Army War College. All responders addressed this issue in monitor’’ and suggested that the ‘‘ability ACTION: Notice of Meeting. their recommendations. Some indicated to monitor’’ criterion be dropped from that lowering the allowable cost per the application review criteria. In SUMMARY: In accordance with Section Member would have a negative impact addition, one responder recommended 10(a)(2) of the Federal Advisory on program quality and the Corporation that the Corporation base its peer review Committee Act (P.L. 92–463), should take varying local conditions criteria on results rather than systems. announcement is made of the following and program designs into account and The Corporation considered these committee meeting: allow for some flexibility. Others felt the comments and their bases and decided Name of Committee: U.S. Army War reduction in Member costs is within not to eliminate the ‘‘ability to monitor’’ College Subcommittee of the Army reason, but wanted some clarification criterion, and to add language in the Education Advisory Committee. concerning what was included in the grant application guidelines asking Date of Meeting: April 7, 8, and 9, calculation. applicants with individual placements 1997. The Corporation cannot increase the to describe what they will do to ensure Place: Root Hall, U.S. Army War limit on the Corporation share of the that they would be able to monitor their College, Carlisle Barracks, Pennsylvania. cost per Member, but it does provide sites effectively despite their Time: 8:30 A.M.–5:00 P.M. flexibility to applicants by allowing geographically-dispersed locations. Proposed Agenda: Receive them to meet the target as an average The Corporation has not changed its information briefings, view facilities, across all programs within the overall review criteria because those observe classes, conduct discussions application rather than as an absolute criteria do place a heavy emphasis on with faculty and students, and provide number for each program. For example, results. Currently, the Corporation’s guidance concerning accreditation and a single State must meet the review criteria base 65 percent of the areas for improvement. Corporation’s required maximum cost evaluation on results related to getting FOR FURTHER INFORMATION CONTACT: per member as its average cost per things done, strengthening communities Colonel Terry J. Young, Box 118, U.S. member in that State. In addition, the and developing Members, and the Army War College, Carlisle Barracks, PA Corporation only limits the cost per ability of the program to evaluate those 17013 or phone (717) 245–3907. member of the Corporation share. results. SUPPLEMENTARY INFORMATION: This Programs are free to have a higher cost K. Miscellaneous meeting is open to the public. Any per member so long as it comes from a interested person may attend, appear funding source other than the The Corporation also received other before, or file statements with the Corporation. The Corporation also comments requesting some clarification committee after receiving advance delineated in the grant application on how the selection criteria will be approval for participation. To request guidelines all items included in the applied and whether or not advance approval or obtain further calculation of cost per Member. organizations that have already received information, contact Colonel Terry J. funding will be eligible to apply. Young at the above address or phone I. Timelines Additional language was added to number. Only one responder requested that the indicate that organizations that have Gregory D. Showalter, deadlines for grant applications be already received three years of funding extended. Other responders expressed from the Corporation are eligible to Army Federal Register Liaison Officer. appreciation that the Corporation is apply but will be competed as new [FR Doc. 97–4171 Filed 2–19–97; 8:45 am] providing more time between grant applicants rather than renewal BILLING CODE 3710±08±M application deadlines and actual applicants. The Corporation also added program start-up. One responder asked language that distinguishes the that the grant application deadlines Corporation’s request for individual CGSC Advisory Committee remain the same, but that the programs to focus on fewer priority AGENCY: U.S. Army Command and Corporation make final decisions at areas from the Corporation’s need to General Staff College. least two months before programs are ensure that we select programs that ACTION: Notice of meeting. expected to begin. meet priorities in all four issue areas The Corporation cannot change the within the overall group of selected SUMMARY: In accordance with Section grant application deadlines and still programs. The language states that, 10(a)(2) of the Federal Advisory meet a reasonable timeline for final while we encourage individual Committee Act (P.L. 92–463), decisions. Therefore, the grant programs to focus on an issue area, the announcement is made of the following application deadlines will remain as Corporation will ensure that it has committee meeting: Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Notices 7761

Name of Meeting: U.S. Army A 1993 reconnaissance-level report by simultaneously with the NEPA process, Command and General Staff College the Corps revealed that the dam does including requirements of the (CGSC) Advisory Committee. not meet the level of safety currently Endangered Species Act, Fish and Dates of Meeting: 30 April—2 May required for such a project when located Wildlife Coordination Act, National 1997. upstream from a major metropolitan Historic Preservation Act, Clear Water Place: Bell Hall, Room 113, Fort area. The proposed action is to provide Act, Clear Air Act, and others. Leavenworth, Kansas 66027–1352. increased flood storage capacity, an Gregory D. Showalter, Time: 1700–2200, 30 April 1997; increase in emergency spillway Army Federal Register Liaison Officer. 0730–2100, 1 May 1997; 0730–2100, 2 capacity, or a combination of the two, so [FR Doc. 97–4172 Filed 2–19–97; 8:45 am] May 1997. as to bring the project up to current dam BILLING CODE 3710±62±M Proposed Agenda: safety guidelines/requirements. 1700–2200, 30 April: Review of CGSC In accordance with the National educational program. Environmental Policy Act of 1969 and DELAWARE RIVER BASIN 0730–2100, 1 May: Continuation of implementing regulations, an COMMISSION review. environmental impact statement will be 0730–1030, 2 May: Continuation of prepared to analyze the impacts of the Notice of Commission Meeting and review. proposed action and alternatives. Public Public Hearing 1030–1130, 2 May: Executive Session. scoping meetings have been scheduled 1300–1400, 2 May: Report of to solicit comments regarding the scope Notice is hereby given that the Commandant. of the environmental studies. Delaware River Basin Commission will hold a public hearing on Wednesday, FOR FURTHER INFORMATION CONTACT: FOR FURTHER INFORMATION CONTACT: Philip J. Brookes, USACGSC Advisory February 26, 1997. The hearing will be Questions about the proposed action part of the Commission’s regular Committee, One Reynolds Ave., Bell and Environmental Impact Statement Hall, Room 123, Fort Leavenworth, business meeting which is open to the should be directed to: Ms. Candace M. public and scheduled to begin at 2:00 Kansas 66027–1352; Phone (913) 684– Thomas, Chief, Environmental Analysis 2741. p.m. in the Goddard Conference Room Branch,U.S. Army Corps of Engineers, of the Commission’s offices at 25 State SUPPLEMENTARY INFORMATION: The 215 North 17th Street, Omaha, Nebraska purpose of the meeting is for the Police Drive, West Trenton, New Jersey. 68102–4978; telephone (402) 221–4598, An informal conference among the Advisory Committee to examine the FAX (402) 221–4886. entire range of college operations and, Commissioners and staff will be held at SUPPLEMENTARY INFORMATION: A selected where appropriate, to provide advice 11:00 a.m. at the same location and will plan has yet to be defined. A number of and recommendations to the College include a presentation on the Christina possible alternatives were identified in Commandant and faculty. River Basin point and nonpoint study; the 1993 report; it is planned to refine The meeting will be open to the a demonstration on the New Castle the number of alternatives in the current public to the extent that space County GIS program; discussion of study. The alternatives most likely to be limitations of the meeting location proposed amendments to the studied in detail in the EIS are as permit. Because of these limitations, Southeastern Pennsylvania Ground follows: interested parties are requested to Water Protected Area Regulations and a • No Federal Action. reserve space by contacting the review of Basin States’ policies on • A dam rise. Committee’s Executive Secretary: Philip discharges to intermittent streams. • A supplemental spillway. In addition to the subjects listed J. Brookes at the above address or phone • A combination of dam raise and number. below which are scheduled for public addition of a supplemental spillway. hearing at the business meeting, the Gregory D. Showalter, • Supplemental upstream storage. Commission will also address the Army Federal Register Liaison Officer. • Other, partial solutions such as following matters: Minutes of the [FR Doc. 97–4173 Filed 2–19–97; 8:45 am] closing the existing spillway and/or January 22, 1997 business meeting; BILLING CODE 3710±08±M changes to the existing outlet works announcements; General Counsel’s capacity. report; report on Basin hydrologic An afternoon public open house and conditions, a resolution concerning Corps of Engineers evening scoping meeting have been funding in connection with the scheduled for March 4, 1997 at 2:00 Christina Basin study and public Intent To Prepare a Draft p.m. and 7:00 p.m. respectively at the Environmental Impact Statement for dialogue. Holiday Inn Denver Southwest, 3200 The subjects of the hearing will be as Cherry Creek Dam Safety Evaluation South Parker Road, Aurora, Colorado. follows: Denver, Colorado The purpose of these meetings is to Applications for Approval of the AGENCY: U.S. Army Corps of Engineers, solicit input on issues, alternatives to be Following Projects Pursuant to Article DOD. evaluated, and potential environmental 10.3, Article 11 and/or Section 3.8 of the ACTION: Notice of intent. effects. Written comments will also be Compact: solicited. 1. New York State Department of SUMMARY: Cherry Creek Dam was Potential significant environmental Environmental Conservation (NYSDEC) constructed in the 1940’s by the Corps issues include possible impacts to D–77–20 CP (Revision No. 3). An of Engineers primarily to provide flood threatened and endangered species, application to add the schedule of control for the City of Denver. Although wetlands, upstream areas of special experimental augmented conservation the project became operational in 1950, biological significance, and social and releases for Cannonsville Reservoir to the facility was operated without a economic impacts to upstream and the current experimental augmented permanent pool until 1958. The State of downstream residences and businesses. conservation release program of the Colorado, through its Department of Other applicable and pertinent Pepacton and Neversink Reservoirs. Parks and Outdoor Recreation, operates environmental review and consultation Along with the Cannonsville Reservoir the project as Cherry Creek State Park. requirements will be undertaken program, the applicant requests an 7762 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Notices extension of the existing experimental for the renewal of a ground water Route 1 and north of the West Branch augmented conservation release withdrawal project to supply up to 12 Chester Creek to which it will continue program for Pepacton and Neversink mg/30 days of water to the applicant’s to discharge. Reservoirs for a three year period. New distribution system from Well Nos. 1, 2, 10. Simpson Paper Company D–97–3. release valves at the Cannonsville 3 and 6. Commission approval on An application for approval of an Reservoir allow a more flexible release August 14, 1991 was limited to five existing combined ground water and schedule and make it feasible to reserve years. The applicant requests that the surface water withdrawal project to additional storage for thermal stress total withdrawal from all wells remain supply up to 60 mg/30 days of water to release when needed. The Neversink limited to 12 mg/30 days. The project is the applicant’s paper mill from existing Reservoir is located in Sullivan County located in South Manheim and Wayne Well Nos. 1 and 2 and Bubbling Springs, and the Cannonsville and Pepacton Townships, Schuylkill County, and to limit the withdrawal from the Reservoirs are located in Delaware Pennsylvania. wells to 42 mg/30 days, and from County, all in New York State. 6. City of Coatesville Authority D–96– Bubbling Springs to 60 mg/30 days. The 2. Merrill Creek Owners Group 16 CP. An application to amend the City project withdrawals are located in (MCOG) D–77–110 CP (Amendment No. of Coatesville Authority (CCA) Docket Whitemarsh Township, Montgomery 10). An application for inclusion of by extension of the time for compliance County in the Southeastern PECO Energy Company’s Fairless Hills with Docket DECISION II.e. which Pennsylvania Ground Water Protected Generating Station (a 72 megawatt requires the CCA to submit an Operating Area. Bubbling Springs is situated on combustion turbine facility formerly Plan for conjunctive use of its West Spring Mill Run, a tributary of the owned by U.S. Steel and approved for Branch Brandywine Creek withdrawal Schuylkill River. operation by PECO via Docket No. D– with its multiple-source water supply Documents relating to these items 96–63 on January 22, 1997) as a system including the Rock Run and may be examined at the Commission’s Designated Unit to Table A (Revised) of Hibernia (renamed Chambers Lake) offices. Preliminary dockets are the Merrill Creek Reservoir project. This Reservoirs. The project withdrawal is available in single copies upon request. action will allow releases from the located in West Caln Township, Chester Please contact George C. Elias reservoir to make up consumptive water County, Pennsylvania. concerning docket-related questions. use of the plant during drought periods. 7. Borough of West Grove D–96–26 CP. Persons wishing to testify at this hearing MCOG expects the Fairless Hills An application to replace the are requested to register with the Generating Station to have maximum withdrawal of water from Well Nos. 1 Secretary prior to the hearing. monthly consumptive water uses of and 6 in the applicant’s water supply 385,000 gallons per day (gpd) during system which has been contaminated by Dated: February 10, 1997. winter, 124,000 gpd during summer, leakage of gasoline from an Susan M. Weisman, and 324,000 gpd during spring and fall. underground storage tank. The Secretary. The plant is located at the existing U.S. applicant requests that the withdrawal [FR Doc. 97–4093 Filed 2–19–97; 8:45 am] Steel Fairless Hills plant site in Falls from replacement Well No. 4 (Harmony BILLING CODE 6360±01±P Township, Bucks County, Pennsylvania. Road) be limited to 4.5 mg/30 days, and 3. Pennsylvania-American Water that the total withdrawal from all wells Company D–85–86 CP RENEWAL 2. An remain limited to 10.8 mg/30 days. The application for the renewal of a ground project is located in West Grove DEPARTMENT OF ENERGY water withdrawal project, previously Borough, Chester County, Pennsylvania. approved under the ownership of 8. Paunnacussing Founders, Inc. D– Environmental Management Site- Pocono Farms East Water Company, to 96–42. An application for approval of a Specific Advisory Board, Nevada Test supply up to 4.68 million gallons (mg)/ ground water withdrawal project to Site 30 days of water to the applicant’s supply up to 6.0 mg/30 days of water to AGENCY: Department of Energy. Whispering Glen and Hickory Glen the applicant’s Look-A-Way Golf Club ACTION: Notice of open meeting. systems from Well Nos. 2E, 3E and 4E. from new Well Nos. 2 and 3, and to Commission approval on April 24, 1991 limit the withdrawal from all wells to SUMMARY: Pursuant to the provisions of was limited to five years. The applicant 6.0 mg/30 days. The project is located the Federal Advisory Committee Act requests that the total withdrawal from in Buckingham Township, Bucks (Public Law 92–463, 86 Stat. 770) notice all wells remain limited to 4.68 mg/30 County in the Southeastern is hereby given of the following days. The project is located in Pennsylvania Ground Water Protected Advisory Committee meeting: Coolbaugh Township, Monroe County, Area. Environmental Management Site- Pennsylvania. 9. Fox Valley Community Services, Specific Advisory Board (EM SSAB), 4. Crystal Water Supply Company, Inc. D–96–60. A project to modify and Nevada Test Site. Inc. D–86–22 CP RENEWAL 2. An rerate the applicant’s existing sewage DATES: Wednesday, March 5, 1997: 5:30 application for the renewal of a ground treatment plant (STP) from 0.056 p.m.—9:00 p.m. water withdrawal project to supply up million gallons/day (mgd) to 0.074 mgd. to 11.23 mg/30 days of water to the The STP will continue to provide ADDRESSES: Community College of applicant’s distribution system from secondary biological treatment via the Southern Nevada (Cheyenne Avenue Well Nos. A, B and 1. Commission extended aeration activated sludge Campus), High Desert Conference and approval on December 11, 1991 was process; after modification to equalize Training Center, Room 1422, 3200 East limited to five years. The applicant flow (and other minor modifications), Cheyenne Avenue, North Las Vegas, requests that the total withdrawal from the STP will be able to increase its Nevada 89030–4296, 702–651–4294. all wells remain limited to 11.23 mg/30 capacity to 0.074 mgd. The STP will FOR FURTHER INFORMATION CONTACT: days. The project is located in the Town continue to serve the Fox Valley Kevin Rohrer, U.S. Department of of Thompson, Sullivan County, New residential development in Concord Energy, Office of Environmental York. Township, Delaware County, Management, P.O. Box 98518, Las 5. Lake Wynonah Municipal Authority Pennsylvania. The project is located in Vegas, Nevada 89193–8513, phone: D–91–20 CP RENEWAL. An application Concord Township just south of U.S. 702–295–0197. Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Notices 7763

SUPPLEMENTARY INFORMATION: marketing affiliates to state that affiliate Commission and are available for public Purpose of the Board: The purpose of contract information is provided on El inspection. the Advisory Board is to make Paso’s Electronic Bulletin Board. Linwood A. Watson, Jr., recommendations to DOE and its El Paso states that copies of the filing Acting Secretary. regulators in the areas of environmental have been served upon all interstate [FR Doc. 97–4127 Filed 2–19–97; 8:45 am] pipeline system transportation restoration, waste management, and BILLING CODE 6717±01±M related activities. customers of El Paso and interested state regulatory commissions. February Agenda Any person desiring to be heard or to [Docket No. RP96±320±007] 5:30 pm Call to Order protest said filing should file a motion Koch Gateway Pipeline Company; 5:40 pm Presentations to intervene or protest with the Federal Notice of Proposed Changes in FERC 7:00 pm Public Comment/Questions Energy Regulatory Commission, 888 7:30 pm Break First Street, Washington, DC 20426, in Gas Tariff 7:45 pm Review Action Items accordance with Sections 385.214 and February 13, 1997. 385.211 of the Commission’s Rules and 8:00 pm Approve Meeting Minutes Take notice that on February 10, 1997, Regulations. All such motions or 8:10 pm Committee Reports Koch Gateway Pipeline Company 8:45 pm Public Comment protests must be filed as provided in (Koch) tendered for filing as part of its 9:00 pm Adjourn Section 154.210 of the Commission’s FERC Gas Tariff, Fifth Revised Volume Regulations. Protests will be considered Public Participation: The meeting is No. 1, the following revised tariff sheet, by the Commission in determining the open to the public. Written statements to be effective February 5, 1997: may be filed with the Committee either appropriate action to be taken, but will before or after the meeting. Individuals not serve to make protestants parties to Substitute Second Revised Sheet No. 29 who wish to make oral statements the proceeding. Any person wishing to Koch states that the above-mentioned pertaining to agenda items should become a party must file a motion to tariff sheet is being filed to correct an contact Kevin Rohrer, at the telephone intervene. Copies of this filing are on administrative error on Second Revised number listed above. Requests must be file with the Commission and are Sheet No. 29 filed in Docket No. RP96– received 5 days prior to the meeting and available for public inspection in the 320 on February 5, 1997. reasonable provision will be made to Public Reference Room. Any person desiring to protest said include the presentation in the agenda. Linwood A. Watson, Jr., filing should file a protest with the The Designated Federal Official is Acting Secretary. Federal Energy Regulatory Commission, empowered to conduct the meeting in a [FR Doc. 97–4128 Filed 2–19–97; 8:45 am] 888 First Street, N.E. Washington, D.C. fashion that will facilitate the orderly BILLING CODE 6717±01±M 20426, in accordance with Section conduct of business. 385.211 of the Commission’s Minutes: The minutes of this meeting regulations. All such protest must be will be available for public review and [Docket No. MG96±13±004] filed in accordance with Section copying at the Freedom of Information 154.210 of the Commission’s K N Interstate Gas Transmission Public Reading Room, 1E–190, Forrestal Regulations. Protests will be considered Company; Notice of Filing Building, 1000 Independence Avenue, by the Commission in determining SW, Washington, DC 20585 between February 13, 1997. appropriate action to be taken, but will 9:00 a.m. and 4 p.m., Monday-Friday, Take notice that on February 7, K N not serve to make protestants parties to except Federal holidays. Minutes will Interstate Gas Transmission Company the proceedings. Copies of this filing are also be available by writing to Kevin (KNI) submitted a response to the on file with the Commission and are Rohrer at the address listed above. Commission’s December 24, 1996 available for public inspection. Issued at Washington, DC on February 14, order.1 Linwood A. Watson, Jr., 1996. KNI states that copies of this filing Acting Secretary. Rachel M. Samuel, have been mailed to all parties on the [FR Doc. 97–4129 Filed 2–19–97; 8:45 am] Acting Deputy Advisory Committee official service list compiled by the BILLING CODE 6717±01±M Management Officer. Secretary in this proceeding. Any [FR Doc. 97–4147 Filed 2–19–97; 8:45 am] person desiring to be heard or to protest [Docket No. RP97±250±000] BILLING CODE 6450±01±P said filing should file a motion to intervene or protest with the Federal NorAm Gas Transmission Company; Energy Regulatory Commission, 888 Notice of Proposed Changes in FERC Federal Energy Regulatory First Street, N.E., Washington, D.C., Gas Tariff Commission 20426, in accordance with Rules 211 or 214 of the Commission’s Rules of [Docket No. MT97±3±000] February 13, 1997. Practice and Procedure (18 CFR 385.211 Take notice that on February 10, 1997, El Paso Natural Gas Company; Notice or 385.214). All such motions to NorAm Gas Transmission Company of Tariff Filing intervene or protest should be filed on (NGT) tendered for filing as part of its or before February 28, 1997. Protests FERC Gas Tariff, Fourth Revised February 13, 1997. will be considered by the Commission Volume No. 1, the following revised Take notice that on February 3, 1997, in determining the appropriate action to tariff sheets, to be effective May 1, 1997: El Paso Natural Gas Company (El Paso) be taken but will not serve to make tendered for filing as part of its FERC protestants parties to the proceeding. Second Revised Sheet No. 170 Original Sheet No. 170A Gas Tariff, Second Revised Volume No. Any person wishing to become a party Second Revised Sheet No. 280 1–A, Fourth Revised Sheet No. 357, to must file a motion to intervene. Copies Original Sheet No. 280A become effective March 5, 1997. of this filing are on file with the First Revised Sheet No. 282 El Paso states that the tendered tariff Original Sheet No. 282A sheet revises the identification of 1 77 FERC ¶61,309 (1996). Original Sheet No. 360 7764 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Notices

Original Sheet No. 361 Panhandle under Rate Schedule S–1, all protest in accordance with the Original Sheet No. 361A as more fully set forth in the requirements of the Commission’s Rules Original Sheet No. 362 application, which is on file with the of Practice and Procedure (18 CFR NGT states that the filing revises the Commission and open for public 385.214 or 385.211) and the Regulations capacity release provisions of NGT’s inspection. under the Natural Gas Act (18 CFR FERC Gas Tariff to provide for a Form It is indicated that Southwest is a 157.10). All protests filed with the of Master Capacity Release Service wholly-owned subsidiary of Panhandle. Commission will be considered by it in Agreement (MCRSA) and Addendum to It is also indicated that Panhandle will determining the appropriate action to be executed by replacement Shippers. transfer the assets at net book value. taken but will not serve to make the Currently, a replacement Shipper must Also, it is stated that Southwest would protestants parties to the proceeding. execute a Service Agreement under the provide 35 Bcf of storage service to Any person wishing to become a party appropriate Rate Schedule for each Panhandle under Rate Schedule FSS in to a proceeding or to participate as a individual release. Panhandle’s field zone from the North party in any hearing therein must file a Any person desiring to be heard or to Hopeton and Borchers North Storage motion to intervene in accordance with protest this filing should file a motion Fields. It is indicated that Southwest the Commission’s Rules. to intervene or protest with the Federal would also provide 21.4 Bcf of storage Take further notice that, pursuant to Energy Regulatory Commission, 888 service to Panhandle in Panhandle’s the authority contained in and subject to First Street, N.E., Washington, D.C. market zone from the Waverly and the jurisdiction conferred upon the 20426, in accordance with Rules 214 Howell Storage fields. Panhandle states Federal Energy Regulatory Commission and 211 of the Commission’s Rules of that it would in turn continue to by Sections 7 and 15 of the Natural Gas Practice and Procedure (18 CFR provide unbundled, open-access storage Act and the Commission’s Rules of 385.214, 385.211). All such motions or and transportation to its customers Practice and Procedure, a hearing will protests should be filed as provided in using storage capacity provided by be held without further notice before the Section 154.210 of the Commission’s Southwest and third parties. Commission or its designee on this Regulations. Protests will be considered Southwest states that the existing application if no motion to intervene is by the Commission in determining the injection and withdrawal profiles in its filed within the time required herein, if appropriate action to be taken, but will tariff are based on the performance of its the Commission on its own review of not serve to make protestants parties to single storage field, Borchers North the matter finds that a grant of the the proceeding. Any person wishing to Storage Field. It is indicated that, with certificate and permission and approval become a party must file a motion to the addition of the three storage fields, for the proposed abandonment are intervene. Copies of this filing are on Southwest must modify the injection required by the public convenience and file with the Commission and are and withdrawal profiles by combining necessity. If a motion for leave to available for public inspection in the the Borchers North and North Hopeton intervene is timely filed, or if the Public Reference Room. areas as the West Area Storage Facilities Commission on its own motion believes and the Waverly and Howell storage Linwood A. Watson, Jr., that a formal hearing is required, further fields as the East Area Storage Facilities. notice of such hearing will be duly Acting Secretary. Southwest also proposes to modify its [FR Doc. 97–4133 Filed 2–19–97; 8:45 am] given. Rate Schedule FSS to reflect the Under the procedure herein provided BILLING CODE 6717±01±M addition of the East Area Storage for, unless otherwise advised, it will be facilities and a new delivery point for unnecessary for Panhandle or [Docket No. CP97±237±000] West Area Storage Facilities and to Southwest to appear or be represented make minor modifications to Rate at the hearing. Panhandle Eastern Pipeline Company Schedules FSS and ISS. Southwest also Linwood A. Watson, Jr., and Southwest Gas Storage Company; proposes to institute a fuel tracker Notice of Application mechanism within Rate Schedules FSS Acting Secretary. and ISS to allow Southwest to track [FR Doc. 97–4126 Filed 2–19–97; 8:45 am] February 13, 1997. projected fuel requirements against BILLING CODE 6717±01±M Take notice that on February 7, 1997, actual fuel usage from the combined Panhandle Eastern Pipe Line Company storage fields, with bi-annual [Docket No. RP97±185±002] (Panhandle) and Southwest Gas Storage adjustments to the fuel reimbursement Company (Southwest), both located at rate at April 1 and November 1 of each Panhandle Eastern Pipe Line P.O. Box 1642, Houston, Texas 77251– year to coincide with the beginning of Company; Notice of Compliance Filing 1642, filed in Docket No. CP97–237–000 the injection and withdrawal periods, an application, pursuant to Sections 7(b) respectively. February 13, 1997. and (c) of the Natural Gas Act, It is stated that the Commission’s Take notice that on February 10, 1997, authorizing (1) Panhandle to abandon approval of the abandonment and Panhandle Eastern Pipe Line Company its Howell (Michigan), Waverly Illinois), certificate authorization would permit (Panhandle) tendered for filing as part of and North Hopeton (Oklahoma) storage Panhandle to further streamline its its FERC Gas Tariff, First Revised fields, including all cushion gas and business operations in conjunction with Volume No. 1, the tariff sheets listed on appurtenant facilities, along with the the industry’s restructuring under Order Appendix A attached to the filing, cushion gas supplied by Panhandle to No. 636 and allow all of Panhandle’s proposed to be effective January 9, 1997. Southwest’s Borchers North (Kansas) storage facilities to be owned by a Panhandle asserts that the purpose of Storage Field, by transfer to Southwest; single, non-jurisdictional company. this filing is to comply with the (2) Panhandle to abandon the lease of Any person desiring to be heard or to Commission’s order issued January 9, cushion gas to Southwest under Rate make any protest with reference to said 1997 in docket No. RP97–185–000, 78 Schedule LS–1; (3) Southwest to acquire application should on or before March FERC ¶ 61,011 (1997). and operate all of Panhandle’s storage 6, 1997, file with the Federal Energy Panhandle states that this compliance field assets; and (4) Southwest to Regulatory Commission, Washington, filing (1) deletes the indemnification abandon storage service provided to D.C. 20426, a motion to intervene or a clause in the exhibits to the negotiated Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Notices 7765 rate service agreements and (2) clarifies compiled by the Secretary in these FT–NT customers and interested State that the provision allowing agreed-to proceedings. Commissions. billing adjustments of payment Any person desiring to protest this Any person desiring to be heard or to obligations and the crediting filing should file a protest with the protest said filing should file a motion mechanism for releasing shippers with Federal Energy Regulatory Commission, to intervene or protest with the Federal negotiated rates does not permit 888 first Street, NE., Washington, DC Energy Regulatory Commission, 888 Panhandle to negotiate terms and 20426, in accordance with Rule 211 of First Street, Washington, D.C. 20426, in conditions of service. the Commission’s Rules of Practice and accordance with Sections 385.214 and Panhandle states that copies of this Procedure (18 CFR Section 385.211). All 385.211 of the Commission’s Rules and filing are being served on all affected such protests must be filed in Regulations. All such motions or customers, applicable state regulatory accordance with Section 154.210 of the protests must be filed as provided in agencies and all parties to this Commission’s Regulations. Protests will Section 154.210 of the Commission’s proceeding. be considered by the Commission in Regulations. Protests will be considered Any person desiring to protest this determining the appropriate action to be by the Commission in determining the filing should file a protest with the taken, but will not serve to make appropriate action to be taken, but will Federal Energy Regulatory Commission, protestants parties to the proceeding. not serve to make protestants parties to 888 First Street, N.E., Washington, D.C. Copies of this filing are on file with the the proceeding. Any person wishing to 20426, in accordance with Section Commission and are available for public become a party must file a motion to 385.211 of the Commission’s Rules and inspection in the Public Reference intervene. Copies of this filing are on Regulations. All such protests must be Room. file with the Commission and are filed in accordance with Section Linwood A. Watson, Jr., available for public inspection in the 154.210 of the Commission’s Acting Secretary. Public Reference Room. Regulations. Protests will be considered [FR Doc. 97–4130 Filed 2–19–97; 8:45 am] Linwood A. Watson, Jr., by the Commission in determining the BILLING CODE 6717±01±M Acting Secretary. appropriate action to be taken, but will [FR Doc. 97–4134 Filed 2–19–97; 8:45 am] not serve to make protestants parties to BILLING CODE 6717±01±M the proceeding. Copies of this filing are on file with the Commission and are [Docket No. TM97±7±29±000] [Docket No. RP97±186±002] available for public inspection in the Transcontinental Gas Pipe Line Public Reference Room. Corporation; Notice of Proposed Trunkline Gas Company; Notice of Linwood A. Watson, Jr., Changes in FERC Gas Tariff Compliance Filing Acting Secretary. [FR Doc. 97–4131 Filed 2–19–97; 8:45 am] February 13, 1997. February 13, 1997. BILLING CODE 6717±01±M Take notice that on February 7, 1997, Take notice that on February 10, 1997, Transcontinental Gas Pipe Line Trunkline Gas Company (Trunkline) Corporation (Transco) tendered for tendered for filing as part of its FERC [Docket No. RP96±346±002] filing certain revised tariff sheets to its Gas Tariff, First Revised Volume No. 1, FERC Gas Tariff, Third Revised Volume the tariff sheets listed on Appendix A Southern Natural Gas Company; No. 1 which tariff sheets are enumerated attached to the filing, proposed to be Notice of Proposed Changes in FERC in Appendix A attached to the filing. effective January 9, 1997. Trunkline Gas Tariff Transco states that the purpose of the asserts that the purpose of this filing is instant filing is to track rate changes to comply with the Commission’s order February 13, 1997. attributable to storage service purchased issued January 9, 1997 in Docket No. Take notice that on February 10, 1997, from Texas Eastern Transmission RP97–186–000, 78 FERC ¶ 61,012 Southern Natural Gas Company Corporation (TETCO) under its Rate (1997). (Southern) tendered for filing as part of Schedule X–28 the costs of which are Trunkline states that this compliance its FERC Gas Tariff, Seventh Revised included in the rates and charges filing (1) deletes the indemnification Volume No. 1, (Tariff) the following payable under Transco’s Rate Schedule clause in the exhibits to the negotiated tariff sheets to become effective S–2 and transportation services rate service agreements; (2) modifies February 23, 1997: purchased from Texas Gas Transmission Section 11.2(b) of the General Terms First Substitute Third Revised Sheet No. 140 Corporation (Texas Gas) under its Rate and Conditions to recognize that First Substitute First Revised Sheet No. 140a Schedule FT, the costs of which are rollover rights apply to negotiated rates First Substitute Second Revised Sheet No. included in the rates and charges that ‘‘equal or’’ exceed the maximum 141 payable under Transco’s Rate Schedule rate; and (3) clarifies that the provision Fourth Revised Sheet No. 142 FT–NT. The tracking filing is being allowing agreed-to billing adjustments Southern also proposed to withdraw made pursuant to Section 26 of the of payment obligations and the crediting Second Revised Sheet No. 139a General Terms and Conditions of mechanism for releasing shippers with submitted in its August 23, 1996 filing Transco’s Volume No. 1 Tariff and negotiated rates does not permit in the instant proceeding. Section 4 of Transco’s Rate Schedule Trunkline to negotiate terms and Southern states that its filing is in FT–NT. conditions of service. compliance with the Commission’s Transco states that included in Trunkline states that copies of this January 30, 1997 order approving Appendices B and C attached to the filing are being served on all affected changes to its cashout procedure and filing are explanations of the rate customers, applicable state regulatory directing Southern to file revised tariff changes and details regarding the agencies and all parties to this sheets consistent with its order. computation of the revised Rate proceeding. Southern states that copies of the Schedule S–2 and FT–NT rates. Any person desiring to protest this filing will be served upon all parties Transco states that copies of the filing filing should file a protest with the designated on the official service list are being mailed to each of its S–2 and Federal Energy Regulatory Commission, 7766 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Notices

888 First Street, N.E., Washington, D.C. Comment date: February 25, 1997, in 6. Cinergy Services, Inc. 20426, in accordance with Section accordance with Standard Paragraph E [Docket No. ER97–1429–000] 385.211 of the Commission’s Rules and at the end of this notice. Take notice that on January 24, 1997, Regulations. All such protests must be 3. PECO Energy Company Cinergy Services, Inc. (Cinergy), filed in accordance with Section tendered for filing a service agreement 154.210 of the Commission’s [Docket No. ER97–1424–000] under Cinergy’s Non-Firm Power Sales Regulations. Protests will be considered Take notice that on January 23, 1997, Standard Tariff (the Tariff) entered into by the Commission in determining the PECO Energy Company (PECO) filed a between Cinergy and Southern Indiana appropriate action to be taken, but will Service Agreement dated January 15, Gas and Electric Company. not serve to make protestants parties to 1997 with Duke/Louis Dreyfus L.L.C. Cinergy and Southern Indiana Gas the proceeding. Copies of this filing are (DUKE/DREYFUS) under PECO’s FERC and Electric Company are requesting an on file with the Commission and are Electric Tariff Original Volume No. 5 effective date of January 27, 1997. available for public inspection in the (Tariff). The Service Agreement adds Comment date: February 25, 1997, in Public Reference Room. DUKE/DREYFUS as a customer under accordance with Standard Paragraph E Linwood A. Watson, Jr., the Tariff. at the end of this notice. Acting Secretary. PECO requests an effective date of 7. UtiliCorp United Inc. [FR Doc. 97–4132 Filed 2–19–97; 8:45 am] January 15, 1997, for the Service [Docket No. ER97–1430–000] BILLING CODE 6717±01±M Agreement. Take notice that on January 24, 1997, PECO states that copies of this filing UtiliCorp United Inc. (UtiliCorp), filed [Docket No. ER97±1422±000, et al.] have been supplied to DUKE/DREYFUS service agreements with Kansas City and to the Pennsylvania Public Utility Power and Light Company for service PECO Energy Company, et al; Electric Commission. Rate and Corporate Regulation Filings under its non-firm point-to-point open Comment date: February 25, 1997, in access service tariff for its operating February 11, 1997. accordance with Standard Paragraph E divisions, Missouri Public Service, Take notice that the following filings at the end of this notice. WestPlains Energy-Kansas and have been made with the Commission: WestPlains Energy-Colorado. 4. Interstate Power Company Comment date: February 25, 1997, in 1. PECO Energy Company [Docket No. ER97–1425–000] accordance with Standard Paragraph E [Docket No. ER97–1422–000] at the end of this notice. Take notice that on January 23, 1997, Take notice that on January 23, 1997, Interstate Power Company (IPW), 8. PEC Energy Marketing, Inc. PECO Energy Company (PECO) filed a tendered for filing a Transmission [Docket No. ER97–1431–000] Service Agreement dated January 14, Service Agreement between IPW and Take notice that on January 24, 1997, 1997 with Plum Street Energy Sonat Power Marketing, L.P. (Sonat). PEC Energy Marketing, Inc. (PEC), Marketing, Inc. (PLUM STREET) under Under the Transmission Service tendered for filing, pursuant to Rule PECO’s FERC Electric Tariff Original Agreement, IPW will provide non-firm 205, 18 CFR 385.205, a petition for Volume No. 5 (Tariff). The Service point-to-point transmission service to waivers and blanket approvals under Agreement adds PLUM STREET as a Sonat. customer under the Tariff. various regulations of the Commission PECO requests an effective date of Comment date: February 25, 1997, in and for an order accepting its FERC January 14, 1997, for the Service accordance with Standard Paragraph E Electric Rate Schedule No. 1 to be Agreement. at the end of this notice. effective at the earliest possible time, PECO states that copies of this filing 5. American Electric Power Service but no later than 60 days from the date have been supplied to PLUM STREET Corporation of its filing. and to the Pennsylvania Public Utility PEC intends to engage in electric Commission. [Docket No. ER97–1427–000] power and energy transactions as a Comment date: February 25, 1997, in Take notice that on January 24, 1997, marketer and a broker. In transactions accordance with Standard Paragraph E the American Electric Power Service where PEC sells electric energy, it at the end of this notice. Corporation (AEPSC), tendered for filing proposes to make such sales on rates, terms and conditions to be mutually 2. PECO Energy Company executed service agreements with numerous parties, under the AEP agreed to with the purchasing party. As [Docket No. ER97–1423–000] Companies’ Point-to-Point Transmission outlined in the petition, PEC is an Take notice that on January 23, 1997, Service Tariffs. The Transmission Tariff affiliate of General Public Utilities PECO Energy Company (PECO) filed a has been designated as FERC Electric Corporation, a public utility holding Service Agreement dated January 14, Tariff Original Volume No. 4, effective company and the parent company of 1997 with Southern Energy Trading & July 9, 1996. AEPSC requests waiver of Jersey Central Power & Light Company, Marketing, Inc. (SET&M) under PECO’s notice to permit the Service Agreements Metropolitan Edison Company and FERC Electric Tariff Original Volume to be made effective for service billed on Pennsylvania Electric Company. No. 5 (Tariff). The Service Agreement and after December 30, 1996. Comment date: February 25, 1997, in adds SET&M as a customer under the accordance with Standard Paragraph E Tariff. A copy of the filing was served upon at the end of this notice. the Parties and the State Utility PECO requests an effective date of 9. DePere Energy Marketing, Inc. January 14, 1997, for the Service Regulatory Commissions of Indiana, Agreement. Kentucky, Michigan, Ohio, Tennessee, [Docket No. ER97–1432–000] PECO states that copies of this filing Virginia and West Virginia. Take notice that on January 24, 1997, have been supplied to SET&M and to Comment date: February 25, 1997, in DePere Energy Marketing, Inc. (DePere), the Pennsylvania Public Utility accordance with Standard Paragraph E tendered for filing, pursuant to Rule Commission. at the end of this notice. 205, 18 CFR 385.205, a petition for Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Notices 7767 waivers and blanket approvals under as agent for Southern Companies, and 16. Southern Company Services, Inc. various regulations of the Commission Southern Wholesale Energy, a [Docket No. ER97–1440–000] and for an order accepting its FERC department of SCS, as agent for Electric Rate Schedule No. 1 to be Southern Companies, under Southern Take notice that on January 30, 1997, effective at the earliest possible time, Companies Open Access Transmission Southern Company Services, Inc., acting but no later than 60 days from the date Tariff. on behalf of Alabama Power Company, of its filing. Comment date: February 25, 1997, in Georgia Power Company, Gulf Power DePere intends to engage in electric accordance with Standard Paragraph E Company, Mississippi Power Company power and energy transactions as a at the end of this notice. and Savannah Electric and Power marketer and a broker. In transactions Company (collectively referred to as where DePere sells electric energy, it 13. Southern Company Services, Inc. ‘‘Southern Companies’’), submitted a proposes to make such sales on rates, [Docket No. ER97–1437–000] report of short-term transactions that terms and conditions to be mutually occurred under the Market-Based Rate agreed to with the purchasing party. As Take notice that on January 30, 1997, Power Sales Tariff (FERC Electric Tariff, outlined in the petition, DePere is an Southern Company Services, Inc., acting Original Volume No. 4) during the affiliate of General Public Utilities on behalf of Gulf Power Company filed period October 1, 1996 through Corporation, a public utility holding a Service Agreement by and among December 31, 1996. itself, as agent for Gulf Power Company, company and the parent company of Comment date: February 25, 1997, in Jersey Central Power & Light Company, and Florida Public Utilities Company, pursuant to which Gulf Power Company accordance with Standard Paragraph E Metropolitan Edison Company and at the end of this notice. Pennsylvania Electric Company. will make wholesale power sales to Comment date: February 25, 1997, in Florida Public Utilities Company for a 17. Puget Sound Power & Light accordance with Standard Paragraph E term in excess of one (1) year. Company at the end of this notice. Comment date: February 25, 1997, in [Docket No. ER97–1441–000] accordance with Standard Paragraph E 10. Louisville Gas and Electric at the end of this notice. Take notice that on January 30, 1997, Company Puget Sound Power & Light Company 14. Cinergy Services, Inc. [Docket No. ER97–1434–000] tendered for filing a Residential Take notice that on January 24, 1997, [Docket No. ER97–1438–000] Exchange Termination Agreement. A copy of the filing was served upon the Louisville Gas and Electric Company Take notice that on January 29, 1997, Bonneville Power Administration. (LG&E), tendered for filing executed Cinergy Services, Inc. (Cinergy), Non-Firm Point-to-Point Transmission tendered for filing a service agreement Puget states that the Termination Service Agreements between LG&E and under Cinergy’s Open Access Agreement terminates a Residential Commonwealth Edison Company and Transmission Service Tariff (the Tariff) Purchase and Sale Agreement between between LG&E and Michigan Public entered into between Cinergy and Puget and Bonneville. Power under LG&E’s Open Access Indiana Municipal Power Agency. Comment date: February 25, 1997, in Transmission Tariff. LG&E originally Cinergy and Indiana Municipal Power accordance with Standard Paragraph E filed these agreements unexecuted in Agency are requesting an effective date at the end of this notice. Docket No. ER97–1126–000. of January 16, 1997. 18. Yadkin, Inc. Comment date: February 25, 1997, in Comment date: February 25, 1997, in accordance with Standard Paragraph E accordance with Standard Paragraph E [Docket No. ER97–1442–000] at the end of this notice. at the end of this notice. Take notice that on January 30, 1997, 11. Duke Power Company 15. American Electric Power Service Yadkin, Inc., tendered for filing a [Docket No. ER97–1435–000] Corporation summary of activity for the quarter ending December 31, 1996. Take notice that on January 30, 1997, [Docket No. ER97–1439–000] Duke Power Company (Duke), tendered Comment date: February 25, 1997, in for filing Schedule MR quarterly Take notice that on January 29, 1997, accordance with Standard Paragraph E transaction summaries for service under the American Electric Power Service at the end of this notice. Corporation (AEPSC), tendered for filing Duke’s FERC Electric Tariff, Original 19. Northeast Utilities Service Company Volume No. 3 for the quarter ended executed service agreements with December 31, 1996. numerous parties, under the AEP [Docket No. ER97–1443–000] Companies’ Point-to-Point Transmission Comment date: February 25, 1997, in Take notice that on January 29, 1997, Service Tariffs. The Transmission Tariff accordance with Standard Paragraph E Northeast Utilities Service Company has been designated as FERC Electric at the end of this notice. (NUSCO), tendered for filing, a Service Tariff Original volume No. 4, effective Agreement with Consolidated Edison of 12. Southern Company Services, Inc. July 9, 1996. AEPSC requests waiver of New York, under the NU System notice to permit the Service Agreements [Docket No. ER97–1436–000] Companies’ Sale for Resale, Tariff No. 7. to be made effective for service billed on Take notice that on January 30, 1997, NUSCO states that a copy of this filing Southern Company Services, Inc. (SCS), and after January 1, 1997. A copy of the filing was served upon has been mailed to Consolidated Edison acting on behalf of Alabama Power of New York. Company, Georgia Power Company, the Parties and the State Utility Gulf Power Company, Mississippi Regulatory Commissions of Indiana, NUSCO requests that the Service Power Company, and Savannah Electric Kentucky, Michigan, Ohio, Tennessee, Agreement become effective January 1, and Power Company (collectively Virginia and West Virginia. 1997. referred to as Southern Companies) filed Comment date: February 25, 1997, in Comment date: February 25, 1997, in a service agreement for additional native accordance with Standard Paragraph E accordance with Standard Paragraph E load transmission service between SCS, at the end of this notice. at the end of this notice. 7768 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Notices

20. Southern Indiana Gas and Electric Comment date: February 25, 1997, in FEA, the Commission’s staff has Company accordance with Standard Paragraph E analyzed the potential environmental [Docket No. ER97–1444–000] at the end of this notice. impacts of relicensing the existing project and has concluded that approval 23. Great Bay Power Corporation Take notice that on January 29, 1997, of the project, with appropriate Southern Indiana Gas and Electric [Docket No. ER97–1433–000] environmental protection measures, Company (SIGECO), tendered for filing Take notice that on January 28, 1997, would not constitute a major federal summary information on transactions Great Bay Power Corporation (Great action significantly affecting the quality that occurred during the period October Bay), tendered for filing a service of the human environment. 1, 1996 through December 31, 1996, agreement between Central Vermont Copies of the FEA are available for pursuant to its Market Based Rate Sales Public Service Corporation and Great review in the Public Reference Branch, Tariff accepted by the Commission in Bay for service under Great Bay’s Room 2–A, of the Commission’s offices Docket No. ER96–2734–000. revised Tariff for Short Term Sales. This at 888 First Street, N.E., Washington, Comment date: February 25, 1997, in Tariff was accepted for filing by the D.C. 20426. accordance with Standard Paragraph E Commission on May 17, 1996, in Docket Linwood A. Watson, Jr., at the end of this notice. No. ER96–726–000. The revised form of Acting Secretary. 21. The Dayton Power and Light service agreement is proposed to be [FR Doc. 97–4158 Filed 2–19–97; 8:45 am] effective January 23, 1997. Company BILLING CODE 6717±01±M Comment date: February 25, 1997, in [Docket No. ER97–1445–000] accordance with Standard Paragraph E at the end of this notice. Take notice that on January 25, 1997, [Project No. 1984±056±Wisconsin; Project The Dayton Power and Light Company Standard Paragraph No. 11162±002] (Dayton), submitted service agreements E. Any person desiring to be heard or establishing Southern Indiana Gas & Wisconsin River Power Co. & to protest said filing should file a Electric Company as a customer under Wisconsin Power & Light Co.; Notice motion to intervene or protest with the the terms of Dayton’s Market-Based of Intent to Conduct Public Scoping Federal Energy Regulatory Commission, Sales Tariff. Meetings and Site Visits 888 First Street, N.E., Washington, D.C. Dayton requests an effective date of 20426, in accordance with Rules 211 February 13, 1997. one day subsequent to this filing for the and 214 of the Commission’s Rules of service agreements. Accordingly, The Federal Energy Regulatory Practice and Procedure (18 CFR 385.211 Commission (FERC or the Commission) Dayton requests waiver of the and 18 CFR 385.214). All such motions Commission’s notice requirements. will hold public and agency scoping or protests should be filed on or before meetings on March 4, 6, and 7, 1997, for Copies of this filing were served upon the comment date. Protests will be Southern Indiana Gas & Electric the preparation of an Environmental considered by the Commission in Assessment (EA) under the National Company and the Public Utilities determining the appropriate action to be Commission of Ohio. Environmental Policy Act (NEPA) for taken, but will not serve to make the proposed relicensing of the Comment date: February 25, 1997, in protestants parties to the proceeding. Petenwell/Castle Rock Project No. 1984– accordance with Standard Paragraph E Any person wishing to become a party 056, and the issuance of an original at the end of this notice. must file a motion to intervene. Copies license for the Prairie du Sac Project No. 22. Ohio Valley Electric Corporation, of this filing are on file with the 11162–002. The two projects are located Indiana-Kentucky Electric Corporation Commission and are available for public on the lower Wisconsin River in Dane, inspection. [Docket No. ER97–1446–000] Sauk, Columbia, Adams, Juneau, and Lois D. Cashell, Wood Counties, Wisconsin. Take notice that on January 29, 1997, Secretary. In the December 31, 1996, Federal Ohio Valley Electric Corporation [FR Doc. 97–4123 Filed 2–19–97; 8:45 am] Register, the Commission published a (including its wholly-owned subsidiary, BILLING CODE 6717±01±P notice of its intent to prepare an EA for Indiana-Kentucky Electric Corporation the above listed projects. (OVEC)), tendered for filing a Service Agreement for Non-Firm Point-to-Point [Project No. 2438±007 New York] Scoping Meetings Transmission service, dated January 27, FERC staff will conduct two public Seneca Falls Power Corporation; 1997 (the Service Agreement) between scoping meetings and one agency Notice of Availability of Final Enron Power Marketing, Inc. (EPMI) and scoping meeting. The public scoping Environmental Assessment OVEC. OVEC proposes an effective date meetings are primarily for public input of January 27, 1997 and requests waiver February 13, 1997. while the agency scoping meeting will of the Commission’s notice requirement In accordance with the National focus on resource agency and non- to allow the requested effective date. Environmental Policy Act of 1969 and governmental organization (NGO) The Service Agreement provides for the Federal Energy Regulatory concerns. All interested individuals, non-firm transmission service by OVEC Commission’s (Commission’s) organizations, and agencies are invited to EPMI. regulations, 18 CFR Part 380 (Order No. to attend one or all of the meetings, and In its filing, OVEC states that the rates 486, 52 F.R. 47897), the Office of assist the staff in identifying the scope and charges included in the Service Hydropower Licensing has reviewed the of the environmental issues that should Agreement are the rates and charges set application for license for the Waterloo be analyzed in the EA. The times and forth in OVEC’s Order No. 888 and Seneca Falls Hydroelectric Project, locations of these meetings are as compliance filing (Docket No. OA96– located in Seneca, Yates, Schuyler, and follows: 190–000). Ontario Counties, New York, and has Public Scoping Meeting 1, Tuesday A copy of this filing was served upon prepared a Final Environmental March 4, 1997, 7:00 p.m. to 10:00 EPMI. Assessment (FEA) for the project. In the p.m., Prairie du Sac Village Hall, 280 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Notices 7769

Washington Street, Prairie du Sac, WI Agency Scoping Meeting, Friday March Document 1) outlining subject areas to 53578 7, 1997, 8:30 a.m., Holiday Inn, 655 be addressed at the meeting will be Public Scoping Meeting 2, Thursday Frontage Road—Exit 87, Wisconsin distributed by mail to the parties on the March 6, 1997, 7:00 p.m. to 10:00 Dells, WI 53965 FERC mailing list for each project. p.m., Adams-Columbia Electric Copies of Scoping Document 1 will also To help focus discussions, a Cooperative, 401 E. Lake Street, be available at the scoping meetings. Friendship, WI preliminary scoping document (Scoping

Site Visits Site visits will be held at the two projects; anyone with questions regarding the site visits should contact the appropriate contact person below. All participants must furnish their own transportation. The date and time of the site visits are as follows:

Date/Time Project/Dev. Contact

Monday March 3, 1997, 2:00 p.m...... Prairie du Sac ...... Linda Hinseth, WPLCo, (608) 252±3341. Tuesday March 4, 1997, 8:30 a.m...... Prairie du Sac ...... Linda Hinseth, WPLCo, (608) 252±3341. Wednesday March 5, 1997, 8:30 a.m...... Castle Rock Development Dick Hilliker, WRPCo, (715) 422±3722. Thursday March 6, 1997, 8:30 a.m...... Petenwell Development ..... Dick Hilliker, WRPCo, (715) 422±3722.

The location of the site visits will be proceeding on the projects under ENVIRONMENTAL PROTECTION as follows: consideration. Individuals presenting AGENCY statements at the meetings will be asked [FRL±5691±4] Project/Dev. Location to sign in before the meeting starts and to clearly identify themselves for the Prairie du Sac Wisconsin Power and Light Request for Comments: Co. Prairie du Sac Dam record. Speaking time for attendees at Implementation of the Oil Pollution Act Site Directions: From STH the evening meetings will be Facility Response Plan Requirements; 78, turn east on Dam determined before the meeting, based on Agency Information Collection Road, continue east to the number of persons wishing to speak Activities up for Renewal (OMB Control project site. and the approximate amount of time Number: 2050±0135) Castle Rock ... Castle Rock Development available for the session. All speakers Dam Site Wisconsin River AGENCY: Environmental Protection Power Co. Directions: will be provided at least 5 minutes to Agency (EPA). present their views. From CTH Z, travel west ACTION: Notice. on Edgewood Dr. to dam Individuals, organizations, and access road, continue west agencies with environmental expertise SUMMARY: In compliance with the to project site. and concerns are encouraged to attend Paperwork Reduction Act (44 U.S.C. Petenwell ...... Petenwell Development Dam 3501 et seq.), this notice announces that Site Wisconsin River the meetings and to assist the staff in Power Co. Directions: defining and clarifying the issues to be EPA is planning to submit the following From STH 21, travel north addressed in the EA. continuing Information Collection Request (ICR) to the Office of on 18th Ave., to dam ac- Persons choosing not to speak at the cess road, continue north Management and Budget (OMB). Before to project site. meetings, but who have views on the submitting the ICR to OMB for review issues, may submit written statements and approval, EPA is soliciting Objectives for inclusion in the public record at the comments on specific aspects of the meeting. In addition, written scoping proposed information collection as At the scoping meetings, the staff will: comments may be field with the described below. (1) summarize the environmental issues Secretary, Federal Energy Regulatory DATES: Comments must be submitted on tentatively identified for analysis in the Commission, 888 First Street, N.E., planned EA; (2) solicit from the meeting or before April 21, 1997. Washington, DC 20426. All such filings participants all available information, ADDRESSES: Oil Program Center, 401 M should conform with the requirements especially quantifiable data, on the Street SW (5203G), Washington, DC outlined in detail in Scoping Document resources at issue; (3) encourage 20460. Materials relevant to this ICR statements from experts and the public 1. may be inspected by visiting Public on issues that should be analyzed in the For further information, please Docket No. SPCC–5, located at 1235 EA, including viewpoints in opposition contact Frank Karwoski of (202) 219– Jefferson Davis Highway (ground floor), to, or in support of, the staff’s 2782. Arlington, Virginia. The docket is preliminary views; (4) determine the Linwood A. Watson, Jr., available for inspection between 9:00 a.m. and 4:00 p.m. Monday through relative depth of analysis for issues to be Acting Secretary. addressed in the EA; and (5) identify Friday, excluding Federal holidays. [FR Doc. 97–4125 Filed 2–19–97; 8:45 am] resource issues that are of lesser Appointments are necessary and can be importance, and, therefore, do not BILLING CODE 6717±01±M made by calling (703) 603–9232. A require detailed analysis. reasonable fee may be charged for copying docket material. Procedures FOR FURTHER INFORMATION CONTACT: The meetings will be recorded by a Bobbie Lively-Diebold, (703) 356–8774. stenographer and will become part of Facsimile number: (703) 603–9116. the formal record of the Commission Electronic address: 7770 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Notices [email protected]. Note Institutional Building (SIC 651); (6) Fuel the environment must prepare and that questions, but not comments, will Oil Dealers (SIC 598); and (7) submit response plans. Owners or be accepted electronically. Miscellaneous Manufacturing (SIC 20– operators of all facilities subject to the 39). Oil Pollution Prevention regulation SUPPLEMENTARY INFORMATION: must familiarize themselves with the Title Affected Entities rule to determine whether their facility Implementation of the Oil Pollution The Oil Pollution Prevention meets the ‘‘substantial harm’’ criteria. Act Facility Response Plan regulation (40 CFR Part 112) applies Under § 112.20(e), facilities that do not Requirements, OMB Control Number: only to non-transportation-related fixed meet the ‘‘substantial harm’’ criteria 2050–0135. EPA Control Number: facilities that could reasonably be must document this determination by 1630.03. Expiration Date: July 31, 1997. expected to discharge oil into or upon completing the ‘‘Certification of the navigable waters of the U.S. or Abstract Substantial Harm Determination Form,’’ adjoining shorelines, and that have: (1) provided in Appendix C of the The authority for EPA’s response plan regulation. a total underground buried storage requirements is derived from Section capacity of more than 42,000 gallons; or 311 of the Clean Water Act as amended Response Plan Development (2) a total aboveground oil storage by the Oil Pollution Act of 1990 (OPA). Under § 112.20(a), facilities that meet capacity of more than 1,320 gallons, or EPA’s regulation, which is codified at an aboveground oil storage capacity of the ‘‘substantial harm’’ criteria must 40 CFR 112.20, requires that owners and prepare and submit to EPA a response more than 660 gallons in a single operators of facilities that could cause container. All such facilities are plan. Preparation of a response plan ‘‘substantial harm’’ to the environment involves several tasks conducted by the required to conduct an initial screening by discharging oil into navigable water to determine whether they are required facility’s technical staff and/or hired bodies or adjoining shorelines prepare contractors. Facility personnel must use to develop a facility response plan in plans for responding, to the maximum accordance with the regulation. background information such as the extent practicable, to a worst case location, quantities, and types of Only those facilities that could cause discharge of oil, to a substantial threat ‘‘substantial harm’’ to the environment material stored and a geographic of such a discharge, and, as appropriate, description of the site (maps, schematic must prepare and submit a response to discharges smaller than worst case plan. A facility is screened as diagrams, latitude and longitude) discharges. available from the facility’s Spill ‘‘substantial harm’’ if one or both of the Each facility response plan is Prevention, Control, and following criteria are met: submitted to EPA. The Agency, in turn, Countermeasure Plan required by 40 (1) The facility has a total oil storage reviews and approves plans from CFR Part 112). The response plan also capacity greater than or equal to 42,000 facilities identified as having the must include a discussion of detection gallons and transfers oil of any kind potential to cause ‘‘significant and and notification procedures at the over water to or from vessels; or substantial harm’’ to the environment facility as well as a list of response (2) The facility’s total oil storage from oil discharges. Other low-risk, equipment. A facility must designate a capacity is greater than or equal to one regulated facilities that are not required qualified individual to serve as the million gallons, and any of the to prepare facility response plans are facility response coordinator who will following is true: required to document their • have full authority to implement and The facility is located at a distance determination that they do not meet the terminate response actions. Roles and such that an oil discharge from the ‘‘substantial harm’’ criteria. facility could shut down a public Facility response plans enhance responsibilities of other members of the drinking water intake; or EPA’s ability to protect navigable waters response team (both company • The facility is located at a distance and sensitive environments when oil responders and outside parties) also such that an oil discharge from the discharges occur and reduce the cost of must be clearly established. A facility facility could cause injury to fish and spills to the regulated community and may wish to enter into an arrangement wildlife and sensitive environments, as society. Response plans reduce such with an outside response contractor. If described in Appendices I, II, and III of costs by ensuring that discharges are so, that response contractor’s role must the Department of Commerce (DOC) controlled and cleaned up swiftly and be clearly defined. Guidance for Facility and Vessel efficiently. Facilities that are prepared To develop a response plan, the Response Plans; or to respond to incidents are more likely facility performs a hazard analysis, • At least one tank at the facility to contain the spread of a spill before it which involves identifying potential does not have adequate secondary reaches navigable waters and to mitigate hazards based on facility background containment; or the effects of a spill on the environment. information, determines the • The facility has had a reportable In an emergency, On-Scene vulnerability of the surrounding area oil spill greater than or equal to 10,000 Coordinators, local emergency response given the hazard, and assesses the risk gallons within the last five years. officials such as fire chiefs, and outside of a release. The results of the hazard In addition, the Regional oil spill response contractors may analysis are used to develop spill Administrator (RA) has the authority to consult a facility’s response plan. scenarios. For one scenario, the facility require any facility subject to the Oil None of the information to be calculates the volume of a worst case Pollution Prevention regulation to gathered for this collection is believed discharge and develops an effective prepare a response plan. to be confidential. The specific activities response to such a discharge. All The specific private industry sectors and reasons for the information aspects of an effective response must be subject to this action include but are not collection are described below. included in the response plan, limited to: (1) Petroleum Bulk Stations including containment, countermeasure, and Terminals (SIC 517); (2) Oil and Gas Initial Screening and Certification and mitigation procedures for different Extraction (SIC 13); (3) Trucking and Only those facilities regulated under types of incidents, and the provision for Warehousing (SIC 42); (4) Electrical the Oil Pollution Prevention regulation proper cleanup and disposal of Utility (SIC 49); (5) Commercial/ that could cause ‘‘substantial harm’’ to contaminated material. Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Notices 7771

Response Plan Maintenance Facility-specific response plans will which are established under OPA Under § 112.20(g), facilities must help facility owners and operators section 4202(a), may make use of the periodically review their response plans develop a response organization or facility response plans in the to ensure consistency with the National identify the necessary resources to preparation and update of ACPs. Local Oil and Hazardous Substances Pollution adequately respond to an oil spill in a Emergency Planning Committees timely manner. Successful plans will be (LEPCs) under the direction of the State Contingency Plan (NCP) and Area scenario-based and developed by the Emergency Planning Committee (SERC) Contingency Plans (ACPs). preparation of risk analyses of the areas also can use facility-specific information Consequently, owners or operators who in question; identification of several to help develop local contingency plans have prepared response plans must scenarios that require different levels of required under SARA Title III review relevant portions of the NCP and response; development of strategies to Community Right-to-Know provisions. the applicable ACPs annually and respond to each scenario; and Once information contained in the update their facility response plan as identification and provision of resources response plans is made available, local appropriate. necessary to respond to each scenario. If and Regional response authorities will Regulated facilities also are required implemented effectively, the plans will better understand the potential hazards to perform periodic drills and exercises reduce the impact and severity of oil and response capabilities in their area, in order to test the effectiveness of their spills and may prevent spills due to the thus reducing risk to the community. response plan. Under § 112.20(h)(8), identification of risks at the facility. facility response plans must include EPA reviews and approves response Burden Statement information about facility self- plans for those facilities whose Burden means the total time, effort, or inspection, drills/exercises, and discharges may cause ‘‘significant and financial resources expended by persons response training, including substantial harm’’ to the environment in to generate, maintain, retain, or disclose descriptions of training and drill/ order to ensure that facilities believed to or provide the information to or for a exercise programs and documentation of pose the highest risk have adequate Federal agency. This includes the time tank inspections, equipment resources and procedures in place to needed to review instructions; develop, inspections, response training meetings, respond to a spill. EPA conducts two acquire, install, and utilize technology response training sessions, and drills/ type of reviews for response plans and systems to collect, validate, and exercises. Consequently, facility submitted by ‘‘significant and verify information, process and response plans may be revised based on substantial harm’’ facilities. First, EPA maintain information, and disclose and evaluations of the facility drills and performs initial reviews of response provide information; adjust methods to exercises. plans submitted by ‘‘significant and comply with any new requirements and In addition, under § 112.20(d)(1), the substantial harm’’ facilities that are: instructions; train personnel to be able owner or operator of a facility newly-constructed (i.e., come into to respond to a collection of determined to have the potential to existence after the effective date of the information; search data sources; cause ‘‘significant and substantial regulation); existing facilities that complete and review the collection of harm’’ to the environment must become subject to the response plan information; and transmit or otherwise resubmit revised portions of their requirements as the result of a change in disclose the information. response plan after each material operations (after the effective date of the This notice provides the Agency’s change. Material changes include regulation); and facilities newly- estimated burden to facilities to perform changes in the amount or location of oil designated by the Regional the required actions under 40 CFR storage, changes in spill prevention Administrator as ‘‘significant and 112.20. The burden to regulated equipment and capabilities, and other substantial harm.’’ Second, EPA is facilities is estimated in terms of the changes that affect the potential for a required to periodically review the time (hours) spent by facility and other discharge to cause ‘‘significant and response plans of ‘‘significant and personnel to review the rule, conduct an substantial harm’’ to the environment. substantial harm’’ facilities that already initial screening to determine if plan preparation is required and, if Recordkeeping have submitted a response plan to the Agency, provided that the period necessary, prepare and maintain facility Facilities subject to the Oil Pollution between plan reviews does not exceed response plans. The Agency developed Prevention regulation, which determine five years. The Agency will require the burden hours estimates for facilities that the response planning requirements amendments to any response plan that based on consultations with facility under 40 CFR 112.20 do not apply to does not meet the requirements. engineers familiar with Oil Pollution their facility, must certify and maintain EPA also will use the facility-specific Prevention compliance and with EPA a record of this determination. Facilities information provided in the response Regional staff involved directly with the that are subject to the response planning plans to continue to update ACPs as implementation of the program. The requirements at 40 CFR 112.20 are required by the OPA. Certain plan burden hours calculated for each action required to maintain the response plan information, such as provisions for are taken from the current ICR and EPA at the facility. The determination of adequate response capability to respond anticipates using these burden hour applicability and the preparation of a to a worst case discharge, will help EPA estimates in the ICR renewal. The response plan are one-time activities. and other government agencies to better Agency is soliciting public comment on Facilities with response plans also are understand the distribution and these burden estimates. required to maintain updates to the plan capacity of the response contractor In calculating the burden on all to reflect material changes to the facility industry and more appropriately facilities subject to the response plan and to log activities such as discharge allocate government resources to requirements, EPA uses a model-facility prevention meetings, response training, complement existing private-sector approach to characterize the diverse and drills and exercises. capacity. nature of regulated facilities. For Regional, State and local response purposes of this ICR, facilities are Purpose of Data Collection authorities also will benefit from categorized according to size and type of The primary user of the facility information contained in facility facility operations. EPA’s size categories response plan will be the facility. response plans. Area Committees, are based on the oil storage capacity 7772 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Notices categories provided in the Agency’s million gallons; and (3) Large facility— exploration or production activities ‘‘Spill Prevention, Control, and total storage capacity greater than one (production). Countermeasure Facilities Study’’ million gallons. The current ICR also Exhibit 1 provides EPA’s estimate of (January 1991), which are defined as classifies facilities into three additional burden hours for facilities to read the follows: (1) Small facility—total categories based on how oil is used at regulation, make a determination of aboveground storage capacity greater the facility: consumption of oil as a raw whether the response planning than 1,320 gallons (or 660 gallons in a material or end-use product (storage/ single tank) but less than or equal to requirements apply to their facility, and consumption); marketing and complete the certification form as 42,000 gallons; (2) Medium facility— distribution of oil as a wholesale or total aboveground or underground necessary. This is a one time event for retail good (storage/distribution); or storage capacities greater than 42,000 a facility regulated by the Oil Pollution pumping oil from the ground as part of gallons but less than or equal to one Prevention regulation.

EXHIBIT 1ÐBURDEN HOURS TO READ RULE, MAKE DETERMINATION, AND COMPLETE CERTIFICATION

Hours required Size category of facility Management Technical Clerical Total

Small ...... 0.25 0 0 0.25 Medium ...... 1 0 0.5 1.5 Large ...... 2 4 0.5 6.5

Most regulated facilities already have negligible. Preparation of a response categories: Management, technical, made this one-time determination. The plan is a one-time event for a facility clerical, foreman, and labor. burden hour estimates include facility that meets the ‘‘substantial harm’’ Exhibit 4 provides the Agency’s personnel in the following labor screening criteria. The burden described estimate of the burden hours required to categories: management, technical, and in Exhibits 2 and 3 would apply to maintain a response plan (i.e., clerical. facilities who have not previously subsequent year burdens following Exhibits 2 and 3 provide the Agency’s submitted response plans because they initial year plan preparation burden) for estimate of the burden hours required to are new or recently identified by the RA medium and large facilities. The prepare a response plan for medium and as being ‘‘substantial harm’’ or estimates in Exhibit 4 apply to existing large facilities, respectively. Given the ‘‘significant and substantial harm’’ facilites with response plans. The screening criteria for ‘‘substantial facilities. The burden hour estimates burden hour estimates include facility harm,’’ the number of small facilities include facility personnel and personnel and consultants in the expected to be required to prepare a following labor categories: Management, consultants in the following labor facility response plan is assumed to be technical, clerical, foreman, and labor.

EXHIBIT 2ÐESTIMATED FIRST-YEAR BURDEN HOURS FOR FACILITIES REQUIRED TO PREPARE FACILITY RESPONSE PLANS: MEDIUM FACILITIES

Model Facility Category Storage/Consumption Storage/Distribution Production Facility Facility Facility Rule response Rule response Rule response familiarization plan familiarization plan familiarization plan

Facility Personnel Burden (Hours)

Management ...... 3.0 16.75 6.0 20.25 3.0 15.75 Technical ...... 6.0 34.5 3.0 39.5 6.0 33.5 Clerical ...... 1.0 7.0 1.0 7.0 1.0 6.0 Foreman ...... 0.0 10.0 0.0 10.0 0.0 10.0 Labor ...... 0.0 16.0 0.0 16.0 0.0 16.0

Contractor Personnel Burden (Hours)

Management ...... N/A 13.5 N/A 14.5 N/A 7.5 Technical ...... N/A 48.0 N/A 53.0 N/A 40.0 Clerical ...... N/A 9.5 N/A 10.5 N/A 6.5 Unit Burden Subtotal (Hours) ...... 10 155.25 10 170.75 10 135.25

Total Unit Burden ...... 165.25 hours 180.75 hours 145.25 hours N/AÐNot Applicable. RecordkeepingÐThe regulation does not include significant recordkeeping requirements. However, it can be assumed that the clerical labor in- dicated in this exhibit involves recordkeeping-related activities. Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Notices 7773

EXHIBIT 3ÐESTIMATED FIRST-YEAR BURDEN HOURS FOR FACILITIES REQUIRED TO PREPARE FACILITY RESPONSE PLANS: LARGE FACILITIES

Model facility category Storage/Consumption Storage/Distribution Facility Facility Rule response Rule response familiarization plan familiarization plan

Facility Personnel Burden (Hours)

Management ...... 4.0 30.5 4.0 35.5 Technical ...... 8.0 54.25 8.0 63.25 Clerical ...... 1.0 12.0 1.0 12.0 Foreman ...... 0.0 22.0 0.0 22.0 Labor ...... 0.0 64.0 0.0 64.0 Contractor Personnel Burden (Hours)

Management ...... N/A 23.25 N/A 25.25 Technical ...... N/A 102.0 N/A 128.0 Clerical ...... N/A 20.0 N/A 21.0 Unit Burden Subtotal (Hours) ...... 13.0 328.0 13.0 371.0

Total Unit Burden ...... 341 hours 384 hours N/AÐNot Applicable. RecordkeepingÐThe regulation does not include significant recordkeeping requirements. However, it can be assumed that the clerical labor in- dicated in this exhibit involves recordkeeping-related activities.

EXHIBIT 4ÐESTIMATED BURDEN HOURS FOR MAINTAINING FACILITY RESPONSE PLANS

Medium facilities Large facilities Storage/ Storage/ Storage/ Storage/ dis- consumption distribution Production consumption tribution

Facility Personnel Burden (Hours)

Management ...... 7.5 7.5 7.5 9.0 9.0 Technical ...... 18.5 19.5 18.5 21.0 22.0 Clerical ...... 2.0 2.0 2.0 2.0 2.0 Foreman ...... 10.0 10.0 10.0 22.0 22.0 Labor ...... 16.0 16.0 16.0 64.0 64.0

Contractor Personnel Burden (Hours)

Management ...... 0.0 0.0 0.0 6.0 8.0 Technical ...... 0.0 0.0 0.0 24.0 36.0 Clerical ...... 0.0 0.0 0.0 6.0 8.0

Total Unit Burden (Hours) ...... 54.0 55.0 54.0 154.0 171.0 N/AÐNot Applicable. RecordkeepingÐThe regulation does not include significant recordkeeping requirements. However, it can be assumed that the clerical labor in- dicated in this exhibit involves recordkeeping-related activities.

In estimating the total burden of the response plan maintenance activities. technical, and $16.72 for clerical labor. information collection on the regulated Screening and certification and the The hourly rates for foremen and community in the renewal ICR, EPA development of response plans are laborers are based on average wage rates will calculate the per facility (unit) expected only for new facilities or in the construction industry. The rates, burden for each model facility category facilities identified by the RA as being which include direct salary and fringe by multiplying the estimated burden either a ‘‘substantial harm’’ or benefits (calculated at 40 percent of hours by the wage rates established for ‘‘significant and substantial harm’’ direct salary) but do not include any each labor category. EPA then will facility. The bulk of facilities required to overhead costs are: $30.82 for foreman multiply the unit burden estimates for prepare plans in accordance with 40 and $20.55 for laborer. The consultant each model facility category by the total CFR 112.20 will be faced only with hourly rates, in 1993 dollars, are: number of affected facilities in that response plan maintenance activities for $105.06 for management, $72.00 category. The total burden of the the three-year approval period for this technical, and $32.85 for clerical labor. information collection on the regulated ICR renewal. In the renewal ICR, EPA will update the community will be the sum of the total The hourly rates used in the current labor wage rates for the different labor burden estimates for each model facility ICR, adjusted to 1993 dollars using the categories to reflect the Federal category for screening and certification, Employment Cost Index (ECI), are: government’s most current wage rate response plan development, and $53.49 for management, $36.66 for figures. 7774 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Notices

EPA also will estimate the number of to: (i) evaluate whether the proposed DATES: Comments must be submitted on new facilities subject to the Oil collection of information is necessary or before March 24, 1997. Pollution Prevention regulation that for the proper performance of the FOR FURTHER INFORMATION OR A COPY must determine whether the response functions of the Agency, including CALL: Sandy Farmer at EPA, (202) 260– planning requirements apply to their whether the information will have 2740, and refer to EPA ICR No. 1064.08. facilities. Similarly, the Agency will practical utility; (ii) evaluate the SUPPLEMENTARY INFORMATION: estimate the number of new facilities accuracy of the Agency’s estimate of the Title: Standards of Performance for subject to the requirements that must burden of the proposed collection of Automobile and Light Duty Truck prepare a response plan. EPA will use information, including the validity of Surface Coating Operations (Subpart these estimates and information on the the methodology and assumptions used; MM) OMB Control No. 2060–0034; EPA number of existing facilities that already (iii) enhance the quality, utility, and ICR No. 1064.08). This is a request for have submitted response plans to clarity of the information to be reinstatement, with change, or a calculate the total burden to the collected; and (iv) minimize the burden previously approved collection for regulated community for maintaining of the collection of information on those which approval has expired. response plans. who are to respond, including through Abstract: The Administrator has EPA anticipates in the renewal ICR the use of appropriate automated judged that VOC emissions from that the total burden attributable to the electronic, mechanical, or other automobile and light duty truck surface regulation at 40 CFR 112.20 will technological collection techniques, or coating operations cause or contribute to decrease in part because the Agency other forms of information technology, air pollution that may reasonably be believes the current ICR overestimated e.g., permitting electronic submission of anticipated to endanger public health or the number of facilities subject to the responses. welfare. Owners/operators of response planning requirements at the No person is required to respond to a automobile and light duty truck surface time the regulation was first collection of information unless it coating operations must notify EPA of promulgated. EPA will adjust the ICR displays a currently valid OMB control construction, modification, startups, estimates to reflect more accurate number. The OMB control numbers for shut downs, date and results of initial information obtained by the Agency EPA’s regulations are displayed at 40 performance test. Monitoring during the implementation of the CFR Part 9. Send comments regarding requirements specific to automobile and response plan requirements. these matters, or any other aspects of the light duty truck surface coating The Agency anticipates that the information collection, including operations consist of monitoring both burden on the regulated community for suggestions for reducing the burden, to VOC emissions and incineration the three-year period 1997–2000 will be the address listed above under temperatures. less than the burden for the three-year ADDRESSES near the top of this Notice. In order to ensure compliance with period 1994–1997, because the majority the standards promulgated to protect of facilities subject to the Oil Pollution Dated: February 13, 1997. public health, adequate reporting and Prevention regulation currently Stephen D. Luftig, recordkeeping is necessary. In the maintain either a certification form or a Director, Office of Emergency and Remedial absence of such information response plan. As a result, only those Response. enforcement personnel would be unable facilities previously not subject to the [FR Doc. 97–4122 Filed 2–19–97; 8:45 am] to determine whether the standards are regulation (i.e., facilities that are new, BILLING CODE 6560±50±P being met on a continuous basis, as that implement a change in design, such required by the Clean Air Act. as an increase in oil storage capacity, or An agency may not conduct or that are identified by the RA as a [FRL±5690±8] sponsor, and a person is not required to ‘‘substantial harm’’ facility) will be respond to, a collection of information required to either complete the Agency Information Collection unless it displays a currently valid OMB certification form or develop a response Activities Under OMB Review; control number. The OMB control plan in the upcoming three-year ICR Standards of Performance for New numbers for EPA’s regulations are listed approval period. For such ‘‘newly- Stationary Sources; Automobile and in 40 CFR Part 9 and 48 CFR Chapter regulated facilities,’’ the burden Light Duty Truck Surface Coating 15. The Federal Register Notice attributable to 40 CFR 112.20 may also Operations required under 5 CFR 1320.8(d), be lessened because the number of soliciting comments on this collection states that require response plans AGENCY: Environmental Protection of information was published on similar to that required under the OPA Agency (EPA). September 29, 1995. has increased and because some new ACTION: Notice. Response to Comments: The facilities may submit a response plan American Automobile Manufacturers prepared in the Integrated Contingency SUMMARY: In compliance with the Association (AAMA) and the Plan format. EPA currently is analyzing Paperwork Reduction Act (44 U.S.C. Association of International Automobile state requirements to determine the 3507(a)(1)(D), this notice announces that Manufacturers (AIAM) jointly filed degree of overlap with the response the Information Collection Request (ICR) comments in response to Information planning requirements under the Oil for Standards of Performance for New Collection Request (ICR) for Standards Pollution Prevention regulation. Stationary Sources—Automobile and of Performance for New Stationary As part of the Agency’s efforts to Light Duty Truck Surface Coating Sources—Automobile and Light Duty reduce the overall paperwork burden on Operations—Subpart MM) described Truck Surface Coating Operations— regulated facilities, EPA would like to below has been forwarded to the Office Subpart MM). The ICR describes the solicit comments on how the Agency of Management and Budget (OMB) for nature of the information collection and could best reduce the total paperwork review and approval. The ICR describes its expected burden and cost; where burden hours for this rule while the nature of the information collection appropriate, it includes the actual data maintaining an effective level of and its expected burden and cost; where collection instrument. environmental protection. EPA also appropriate, it includes the actual data A meeting was held on Wednesday, would like to solicit public comments collection instrument. January 8, 1997 at 2:00 p.m. to discuss Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Notices 7775 the comments of the AAMA and AIAM. respondent burden, including through emissions reduction which (taking into At the meeting AIAM represented both the use of automated collection consideration the cost * * * and organizations. techniques to the following addresses. energy requirements) the Administrator The majority of comments fell into Please refer to EPA ICR No. 1064.08 and determines has been adequately one of two categories. The first category OMB Control No. 2060–0034 in any demonstrated [Section 111(a)(1)]. of comments related to requirements correspondence. In addition, Section 114(a) requires that were the result of other regulations Ms. Sandy Farmer, U.S. Environmental that any owner or operator subject to as opposed to requirements specific to Protection Agency, OPPE Regulatory any Subpart to establish and maintain the Subpart MM New Source Information Division (2136), 401 M records, make reports, install, use and Performance Standard (NSPS). For Street, SW., Washington, DC 20460 maintain monitoring equipment or example, completing an application for and methods as required, and provide other Title V is not covered by this ICR Office of Information and Regulatory information as EPA may deem because it is not required by Subpart Affairs, Office of Management and necessary. MM. This ICR pertains only to Subpart Budget, Attention: Desk Officer for In the Administrator’s judgment, VOC MM and not other regulations that apply EPA, 725 17th Street, NW., emissions from flexible vinyl and to the auto manufacturing industry. Washington, DC 20503. urethane coating and printing industry The second category of comments Dated: February 12, 1997. cause or contribute to air pollution that related to activities undertaken by the may reasonably be anticipated to Joseph Retzer, industry but not required by the endanger public health or welfare. regulation. Comments regarding Director, Regulatory Information Division. Therefore, the New Source Performance performance audits, and conducting [FR Doc. 97–4117 Filed 2–19–97; 8:45 am] Standards (NSPS) were promulgated for surveys and studies are examples of BILLING CODE 6560±50±M this source category. The NSPS for the activities potentially performed by the Flexible Vinyl and Urethane Coating industry but they are not required by [FRL±5690±7] and Printing Industry were proposed on Subpart MM and therefore not January 18, 1983, and promulgated on accounted for in the ICR. Agency Information Collection June 29, 1984. These standards apply to As a result of the comments regarding Activities Under OMB Review; each rotogravure printing line used to the labor costs, EPA recalculated the Standards of Performance for Flexible print or coat flexible vinyl or urethane tables using the updated labor rates Vinyl and Urethane Coating and products, and for which construction, provided by Department of Commerce, Printing modification or reconstruction Bureau of Labor Statistics January 1996 commenced after the date of proposal. Employment and Earnings Table. AGENCY: Environmental Protection Volatile organic compounds (VOCs) are Burden Statement: The annual public Agency (EPA). the pollutants regulated under this reporting and recordkeeping burden for ACTION: Notice. Subpart. The standards restrict the use this collection of information is of inks to those with a weighted average SUMMARY: In compliance with the estimated to average 14.1 hours per VOC content of less than 1.0 kilogram Paperwork Reduction Act (44 U.S.C. response. Burden means the total time, VOC per kilogram of ink solids, unless 3501 et seq.), this notice announces that effort, or financial resources expended the source can otherwise reduce the Information Collection Request (ICR) by persons to generate, maintain, retain, emissions to the atmosphere by 85 for New Source Performance Standards or disclose or provide information to or percent. for a Federal agency. This includes the for Flexible Vinyl and Urethane Coating The information requested as part of time needed to review instructions; and Printing described below has been this rule include one-time-only develop, acquire, install, and utilize forwarded to the Office of Management notifications; records about the initial technology and systems for the purposes and Budget (OMB) for review and performance test, changes in the of collecting, validating, and verifying approval. The ICR describes the nature operation of the facility, and information, processing and of the information collection and its exceedences of parameters; and maintaining information, and disclosing expected burden and cost; where semiannual reports of those and providing information; adjust the appropriate, it includes the actual data exceedances. existing ways to comply with any collection instrument. Notifications are used to inform the previously applicable instructions and DATES: Comments must be submitted on Agency or delegated authority when a requirements; train personnel to be able or before March 24, 1997. source becomes subject to the standard. to respond to a collection of FOR FURTHER INFORMATION OR A COPY The reviewing authority may then information; search data sources; CALL: Sandy Farmer at EPA, (202) 260– inspect the source to check if the complete and review the collection of 2740, and refer to EPA ICR No. 1175.05. pollution control devices are properly information; and transmit or otherwise SUPPLEMENTARY INFORMATION: installed and operated and the standard disclose the information. Respondents/Affected Entities: 45. Title: NSPS for Flexible Vinyl and is being met. Performance test reports Estimated Number of Respondents: Urethane Coating and Printing (OMB are needed as these are the Agency’s 45. Control No. 2060–0073 expiration date record of a source’s initial capability to Frequency of Response: 4. 4/30/97; EPA ICR No.1175.05). This is a comply with the emission standard, and Estimated Number of Responses: 180. request for extension of a currently note the operating conditions Estimated Total Annual Hour Burden: approved collection. (temperature of exhaust gases, VOC 2,540.3 hours. Abstract: The EPA is charged under concentrations, and temperature across Estimated Total Annualized Cost Section 111 of the Clean Air Act, as the catalytic bed) under which Burden: $65,250. amended, to establish standards of compliance was achieved. The Send comments on the Agency’s need performance for new stationary sources semiannual reports are used for problem for this information, the accuracy of the that reflect: identification, as a check on source provided burden estimates, and any *** application of the best operation and maintenance, and for suggested methods for minimizing technological system of continuous compliance determinations. 7776 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Notices

An agency may not conduct or register the pesticide product Blue More detailed information on this sponsor, and a person is not required to Circle Liquid Biological Fungicide, registration is contained in an EPA respond to, a collection of information containing an active ingredient not Pesticide Fact Sheet on Burkholderia unless it displays a currently valid OMB included in any previously registered cepacia type Wisconsin isolate J82. control number. The OMB control product pursuant to the provisions of A copy of this fact sheet, which numbers for EPA’s regulations are listed section 3(c)(5) of the Federal Insecticide, provides a summary description of the in 40 CFR Part 9 and 48 CFR Chapter Fungicide, and Rodenticide Act chemical, use patterns and 15. The Federal Register Notice (FIFRA), as amended. formulations, science findings, and the required under 5 CFR 1320.8(d), FOR FURTHER INFORMATION CONTACT: By Agency’s regulatory position and soliciting comments on this collection mail: Denise Greenway, Biopesticides rationale, may be obtained from the of information was published on 08/30/ and Pollution Prevention Division National Technical Information Service 96 (61 FR 45959). (7501W), Office of Pesticide Programs, (NTIS), 5285 Port Royal Road, Burden Statement: The annual public Environmental Protection Agency, 401 Springfield, VA 22161. reporting and recordkeeping burden for M St., SW., Washington, DC 20460. In accordance with section 3(c)(2) of this collection of information is Office location and telephone number: FIFRA, a copy of the approved label and estimated to average 36.75 hours per Rm. CS51B6, Westfield Building North the list of data references used to response. Burden means the total time, Tower, 2800 Crystal Drive, Arlington, support registration are available for effort, or financial resources expended VA 22202, (703) 308–8263; e-mail: public inspection in the office of the by persons to generate, maintain, retain, [email protected]. Product Manager. The data and other or disclose or provide information to or SUPPLEMENTARY INFORMATION: scientific information used to support for a Federal agency. registration, except for material Respondents/Affected Entities: Each Electronic Availability: Electronic copies of this document and the Fact specifically protected by section 10 of applicable (modified, etc.) rotogravure FIFRA, are available for public printing line printing/coating flexible Sheet are available from the EPA home page at the Environmental Sub-Set entry inspection in the Public Response and vinyl or urethane products plant. Program Resources Branch, Field Estimated Number of Respondents: 7. for this document under ‘‘Regulations’’ Operations Division (7506C), Office of Frequency of Response: 2/per facility/ (http://www.epa.gov/fedrgstr/). Pesticide Programs, Environmental per year. EPA issued a notice, published in the Estimated Total Annual Hour Burden: Federal Register of October 9, 1996 (61 Protection Agency, Rm. 1132, CM #2, 514.5 hours. FR 52944; FRL–5397–1), which Arlington, VA 22202 (703-305–5805). Estimated Total Annualized Cost announced that Stine Microbial Requests for data must be made in Burden: $21,012.65. Products, 2225 Laredo Trail, Adel, IA accordance with the provisions of the Send comments on the Agency’s need 50003, had submitted an application to Freedom of Information Act and must for this information, the accuracy of the register the product Blue Circle Liquid be addressed to the Freedom of provided burden estimates, and any Biological Fungicide (File Symbol Information Office (A-101), 401 M St., suggested methods for minimizing 63950–A), containing the active SW., Washington, D.C. 20460. Such respondent burden, including through ingredient Burkholderia cepacia type requests should: (1) Identify the product the use of automated collection Wisconsin isolate J82 at 0.6 percent, an name and registration number and (2) techniques to the following addresses. active ingredient not included in any specify the data or information desired. Please refer to EPA ICR No.1175.05 and previously registered product. The Authority: 7 U.S.C. 136. OMB Control No. 2060–0073 in any active ingredient concentration was correspondence. Send to the following subsequently corrected from 0.6 to 2 List of Subjects addresses: percent. Environmental protection, Pesticides Ms. Sandy Farmer, U.S. Environmental The application was approved on and pests, Product registration. Protection Agency, OPPE Regulatory December 24, 1996, as Blue Circle Dated: February 4, 1997. Information Division (2137), 401 M Liquid Biological Fungicide (EPA Street, SW, Washington, DC 20460. Registration Number 63950–6), for Janet L. Andersen, Office of Information and Regulatory application to food and nonfood plant Affairs, Office of Management and Director, Biopesticides and Pollution and seedling roots. Prevention Division, Office of Pesticide Budget, Attention: Desk Officer for The Agency has considered all Programs. EPA, 725 17th Street, NW, required data on risks associated with Washington, DC 20503. the proposed use of Burkholderia [FR Doc. 97–4194 Filed 2–19–97; 8:45 am] Dated: February 12, 1997. cepacia type Wisconsin isolate J82, and BILLING CODE 6560±50±F Joseph Retzer, information on social, economic, and environmental benefits to be derived Director, Regulatory Information Division. [OPP±30429; FRL±5588±2] [FR Doc. 97–4118 Filed 2–19–97; 8:45 am] from use. Specifically, the Agency has considered the nature of the chemical BILLING CODE 6560±50±P Certain Companies; Applications to and its pattern of use, application Register Pesticide Products methods and rates, and level and extent [OPP±30422A; FRL±5587±9] of potential exposure. Based on these AGENCY: Environmental Protection reviews, the Agency was able to make Agency (EPA). Stine Microbial Products; Approval of basic health and safety determinations ACTION: Notice. a Pesticide Product Registration which show that use of Burkholderia AGENCY: Environmental Protection cepacia type Wisconsin isolate J82 SUMMARY: This notice announces receipt Agency (EPA). when used in accordance with of applications to register pesticide ACTION: Notice. widespread and commonly recognized products containing new active practice, will not generally cause ingredients not included in any SUMMARY: This notice announces unreasonable adverse effects to the previously registered products pursuant Agency approval of an application to environment. to the provisions of section 3(c)(4) of the Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Notices 7777

Federal Insecticide, Fungicide, and characters and any form of encryption. contain CBI must be submitted for Rodenticide Act (FIFRA), as amended. Comments and data will be accepted on inclusion in the public record. DATES: Written comments must be disks in Wordperfect in 5.1 file format Information not marked confidential submitted by March 24, 1997. or ASCII file format. All comments and may be disclosed publicly by EPA ADDRESSES: By mail, submit written data in electronic form must be without prior notice. All written comments identified by the document identified by the docket number [OPP– comments will be available for public control number [OPP–30429] and the 30429]. No ‘‘Confidential Business inspection in Rm. 1132 at the address file symbols) to: Public Response and Information’’ (CBI) should be submitted given above, from 8:30 a.m. to 4 p.m., Program Resources Branch, Field through e-mail. Electronic comments on Monday through Friday, excluding Operations Division (7506C), Office of this notice may be filed online at many holidays. Pesticide Programs, Environmental Federal Depository Libraries. Additional FOR FURTHER INFORMATION CONTACT: By Protection Agency, 401 M St., SW., information on electronic submission mail: Biopesticides and Pollution Washington, DC 20460. In person, bring can be found below in this document. Prevention Division (7501W), Attn: comments to: Environmental Protection Information submitted as a comment (Regulatory Action Leader named in Agency, Rm. 1132, CM #2, 1921 concerning this notice may be claimed each registration), Office of Pesticide Jefferson Davis Hwy., Arlington, VA. confidential by marking any part or all Programs, Environmental Protection Comments and data may also be of that information as ‘‘Confidential Agency, 401 M St., SW., Washington, submitted electronically by sending Business Information’’ (CBI). DC 20460. electronic mail (e-mail) to: opp- Information so marked will not be In person: Contact the Action Leader [email protected]. Electronic disclosed except in accordance with named in each registration at the comments must be submitted as an procedures set forth in 40 CFR part 2. following office location, telephone ASCII file avoiding the use of special A copy of the comment that does not number, and e-mail address.

Regulatory Action Leader Office location/telephone number Address

Anne Leslie, Rm. CS15-W46, (703±308±8727); e- Environmental Protection Agency mail: [email protected]. Westfield Building North Tower, 2800 Crystal Drive Arlington, VA 22202 Sheryl Reilly, Rm. CS15-W29, (703±308±8265); e- -Do- mail: [email protected].

SUPPLEMENTARY INFORMATION: EPA NEU 1160I Vegetable Oil Spray. A record has been established for this received applications as follows to Insecticide. Active ingredient: Canola notice under docket number [OPP– register pesticide products containing oil 96%. Proposed classification/Use: 30429] (including comments and data active ingredients not included in any None. For use to control adelgids, submitted electronically as described previously registered products pursuant aphids, cankerworms, caterpillars, below). A public version of this record, to the provisions of section 3(c)(4) of fungus gnats, spider mites, and a variety including printed, paper versions of FIFRA. Notice of receipt of these of other insects on growing crops, house electronic comments, which does not applications does not imply a decision plants, ornamentals, and shade trees. (S. include any information claimed as CBI, by the Agency on the applications. Reilly) is available for inspection from 8:30 4. File Symbol: 53689–R. Applicant: a.m. to 4 p.m., Monday through Friday, Products Containing Active Ingredients Great Lakes IPM, Inc., 10220 Church excluding legal holidays. The public Not Included In Any Previously Road NE, Vestaburg, MI 48891. Product record is located in Rm. 1132 of the Registered Products name: Rose Chafer Floral Lure. Insect Public Response and Program Resources 1. File Symbol: 67702–L. Applicant: attractant. Active ingredients: Alpha- Branch, Field Operations Division W. Neudorff GmbH KG, Postfach 1209, ionone 45.5% percent and hexanoic (7506C), Office of Pesticide Programs, An der Muhle 3, D-31860 Emmerthal, acid at 49.0%. Proposed classification/ Environmental Protection Agency, Germany. Product name: NEU 1161I. Use: None. For use as an insect Crystal Mall #2, 1921 Jefferson Davis Insecticide. Active ingredients: Canola attractant to control both male and Highway, Arlington, VA. oil 89.5% and pyrethrins 0.5%. female Rose Chafer Beetles from Electronic comments can be sent Proposed classification/Use: None. For attacking a variety of tree fruits, small directly to EPA at: use on growing crops, house plants, fruits, ornamental shrubs, flowers, and [email protected] ornamentals, and shade trees and the vegetables. (A. Leslie) Electronic comments must be control of fleas and ticks on pets. (S. Notice of approval or denial of an submitted as an ASCII file avoiding the Reilly) application to register a pesticide use of special characters and any form 2. File Symbol: 67702–A. Applicant: product will be announced in the of encryption. W. Neudorff GmbH KG. Product name: Federal Register. The procedure for The official record for this notice, as NEU 1161I RTU. Insecticide. Active requesting data will be given in the well as the public version, as described ingredients: Canola oil 1% and Federal Register if an application is above will be kept in paper form. pyrethrins 0.01%. Proposed approved. Accordingly, EPA will transfer all classification/Use: None. For use on Comments received within the comments received electronically into growing crops, house plants, specified time period will be considered printed, paper form as they are received ornamentals, and shade trees and the before a final decision is made; and will place the paper copies in the control of fleas and ticks on pets. (S. comments received after the time official record which will also include Reilly) specified will be considered only to the all comments submitted directly in 3. File Symbol: 67702–U. Applicant: extent possible without delaying writing. The official record is the paper W. Neudorff GmbH KG. Product name: processing of the application. record maintained at the address in 7778 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Notices

‘‘ADDRESSES’’ at the beginning of this comments and data in electronic form included in the petition a summary of document. must be identified by docket control the petition and authorization for the Written comments filed pursuant to number [PF–714]. Electronic comments summary to be published in the Federal this notice, will be available in the on this notice may be filed online at Register in a notice of receipt of the Public Response and Program Resources many Federal Depository Libraries. The petition. The summary represents the Branch, Field Operations Division at the official record for this rulemaking, as views of Abbott Laboratories; EPA, as address provided from 8:30 a.m. to 4 well as the public version described mentioned above, is in the process of p.m., Monday through Friday, excluding above, will be kept in paper form. evaluating the petition. As required by legal holidays. It is suggested that Accordingly, EPA will transfer all section 408(d)(3), EPA is including the persons interested in reviewing the comments received electronically into summary as a part of this notice of application file, telephone this office at printed, paper form as they are received filing. EPA may have made minor edits (703–305–5805), to ensure that the file and will place the paper copies in the to the summary for the purpose of is available on the date of intended visit. official rulemaking record, which will clarity. also include all comments submitted Authority: 7 U.S.C. 136. I. Abbott Laboratories’ Petition directly in writing. Summary List of Subjects Information submitted as a comment concerning this notice may be claimed A. Residue Chemistry Environmental protection, Pesticides confidential by marking any part or all 1. Plant metabolism. AVG signifies and pests, Product registration. of that information as ‘‘Confidential Dated: February 6, 1997. the active ingredient L-alpha-(2- Business Information’’ (CBI). aminoethoxyvinyl)glycine Janet L. Andersen, Information so marked will not be hydrochloride in its pure form. An disclosed except in accordance with Director, Biopesticides and Pollution alternative nomenclature for AVG is [S]- procedures set forth in 40 CFR part 2. trans-2-amino-4-[2-aminoethoxy]-3- Prevention Division, Office of Pesticide No CBI should be submitted through e- Programs. butanoic acid hydrochloride. N-acetyl mail. A copy of the comment that does AVG is the primary metabolite of AVG [FR Doc. 97–4195 Filed 2–19–97; 8:45 am] not contain CBI must be submitted for in apples. BILLING CODE 6560±50±F inclusion in the public record. 2. Analytical method. Abbott Information not marked confidential Laboratories has determined that may be disclosed publicly by EPA [PF±714; FRL±5589±4] residues of AVG are not expected in/on without prior notice. apples and pears at detectable levels Abbott Laboratories; Pesticide FOR FURTHER INFORMATION CONTACT: when orchards are treated at the label Tolerance Petition Filing Denise Greenway, Regulatory Action use rate and pre-harvest interval. The Leader, Biopesticides and Pollution Limit of Quantitation (LOQ) is 0.075 AGENCY: Environmental Protection Prevention Division (7501W), ppm and the Limit of Detection (LOD) Agency (EPA). Environmental Protection Agency, is 0.03 ppm by HPLC analysis. There is ACTION: Notice of filing. Washington, DC 20460, Office location, no concentrating of residues in the telephone number, and e-mail address: processed commodities (i.e., apple juice SUMMARY: This notice announces the Crystal Station I, 2800 Crystal Dr., filing of a pesticide petition proposing or wet apple pomace). Arlington, VA 22202. (703) 308–8263; e- 3. Magnitude of the residue. In the regulations establishing tolerances for mail: magnitude of the residue study in residues of the biochemical pesticide [email protected]. apples, the maximum residue at day 0 aminoethoxyvinylglycine in or on SUPPLEMENTARY INFORMATION: EPA has following treatment at the label use rate apples and pears. This notice includes received a pesticide petition (PP– was 0.131 ppm. By day 21, there were a summary of the petition that was 6F4632) from Abbott Laboratories, 1401 no quantifiable residues present. The prepared by the petitioner, Abbott Sheridan Road, North Chicago, IL exposure assessments (below) indicate Laboratories. 60064–4000. The petition proposes, that there will be large margins of DATES: Comments, identified by the pursuant to section 408 of the Federal exposure (MOEs) from aggregate docket control number [PF–714], must Food, Drug and Cosmetic Act (FFDCA), exposure to AVG. The proposed HPLC be received on or before March 24, 1997. 21 U.S.C. 346a, to amend 40 CFR part method used is deemed adequate by ADDRESSES: By mail, submit written 180 to establish tolerances for residues Abbott Laboratories to measure residues comments to: Public Response and of the biochemical pesticide and the company argues that no Program Resources Branch, Field aminoethoxyvinylglycine (AVG) in or additional analytical method for Operations Division (7506C), Office of on apples and pears at 0.08 part per detecting and measuring residue levels Pesticide Programs, Environmental million (ppm). EPA has determined that is needed. Protection Agency, 401 M St. SW., the petition contains data or information Washington, DC 20460. In person, bring regarding the elements set forth in B. Toxicological Profile comments to: Rm. 1132, Crystal Mall #2, section 408(d)(2); however, EPA has not 1. Acute toxicity. The acute 1921 Jefferson Davis Hwy., Arlington, fully evaluated the sufficiency of the mammalian toxicological data VA. submitted data at this time or whether considered in this proposed tolerance Comments and data may also be the data support granting of the petition. for AVG include: an acute oral toxicity submitted electronically by sending Additional data may be needed before study in rats, an acute dermal toxicity electronic mail (e-mail) to: opp- EPA rules on the petition. The proposed study in rabbits, an acute inhalation [email protected] or by analytical method is high pressure toxicity study in rats, a primary eye submitting disks. Electronic comments liquid chromatography (HPLC). irritation study in rabbits, a dermal must be submitted either in ASCII As required by section 408(d) of the irritation study in rabbits, and a dermal format (avoiding the use of special FFDCA, as recently amended by the sensitization study in guinea pigs. characters and any form of encryption) Food Quality Protection Act (FQPA) The results of these studies indicate or in WordPerfect in 5.1 file format. All (Pub. L. 104–170), Abbott Laboratories that AVG has an acute oral LD50 of 6,400 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Notices 7779 milligrams active ingredient per home and garden uses for AVG. AVG is Per- kilogram of body weight (mg a.i./kg bwt) used in a commercial floral Population subgroup Exposure mg cent in rats, an acute dermal LD50 greater preservative. There is no exposure to a.i./kg bwt of than 2,000 mg a.i./kg bwt in rabbits, an infants and children through this floral RfD 3 acute inhalation LD50 of 1,130 mg/m in preservative. The only potential Children 7±12 yrs ..... 0.000077 ...... 3.8 rats, causes slight eye and dermal exposure from this floral preservative Females 13±50 yrs ... 0.000040 ...... 2.0 irritation in rabbits, and is not a dermal would be dermal exposure. sensitizer in guinea pigs. For estimations of maximum As seen in the above table, even for 2. Genotoxicity. Abbott Laboratories anticipated residues, non-detectable the most highly exposed population concludes that AVG was not mutagenic residues were assigned a value one half subgroup, less than 13% of the RfD was in an Ames Salmonella gene mutation of the LOD. For the two instances in used. assay with or without metabolic which residues were detectable on one Chronic aggregate exposure to AVG activation. The company maintains that of the replicates, the full LOD was used. also was estimated using proposed there was no mutagenic activity The maximum anticipated residues of tolerance-level residues. Exposure was associated with AVG in cultures of AVG were calculated to be 0.018 ppm estimated using the same consumption mouse lymphoma cells (L5178Y tk ±) in the apple raw agricultural data that were used for the anticipated with or without metabolic activation. In commodity. residue exposure calculation. a rat bone marrow cell micronucleus The processed commodities examined The following table summarizes test in vivo, Abbott Laboratories reports were apple juice and wet apple pomace. results of the chronic exposure analyses that there was no indication that AVG Processing factors were calculated from using proposed tolerances for the was genotoxic. apples without washing prior to overall U.S. population and the five 3. Developmental toxicity. In a processing to provide the highest most highly exposed population developmental toxicity study in rats by possible estimate of anticipated residues subgroups. oral gavage, a no observable effect level in the juice and pomace. The mean (NOEL) of 1.77 mg a.i./kg bwt/day was apple juice processing factor was Per- determined for both developmental and determined to be 0.8; for wet apple Population subgroup Exposure mg cent maternal toxicity. a.i./kg bwt of pomace the processing factor was 0.9. RfD 4. Subchronic toxicity. A Reference A chronic dietary exposure analysis Dose (RfD) of 0.002 mg a.i./kg bwt/day was conducted for AVG using the U.S. Population ...... 0.000111 ...... 5.6 was derived from a 90–day feeding anticipated residues in apples for both All Infants ...... 0.000538 ...... 26.9 study in rats in which there was apples and pears. Residues were rarely Non-nursing Infants < 0.000638 ...... 31.9 decreased food consumption, body detected in field trials conducted at the 1 yr. weight and food efficiency (body-weight maximum rate and minimum interval Children 1±6 yrs ...... 0.000324 ...... 16.2 gain/food consumption), and fatty between application and harvest. The Children 7±12 yrs ..... 0.000173 ...... 8.7 changes in kidney and liver at dosage anticipated residue of 0.018 ppm Females 13+/nursing 0.000133 ...... 6.7 levels of 9 mg a.i./kg bwt/day or higher. represents about half of the LOD. The NOEL in this study was 2.2 mg a.i./ Low residues are expected in wet An examination of the summary table kg bwt/day. apple pomace, so finite residues of AVG demonstrates that chronic aggregate In a 21–day dermal toxicity study in are not expected in meat and milk; exposure represents no more than 32% rats, the NOEL was greater than 1,000 therefore, these foods were not included of the chronic RfD for any population mg a.i./kg/day. in the exposure analysis. subgroup. These calculations were In a 28–day dietary immunotoxicity Tap water, non-tap water, and water performed assuming that 100% of the study in rats with a NOEL of 5 mg a.i./ in commercially prepared food were apple and pear crops in the United kg/day, decreases in several immune also included in the analysis. Residue States would contain AVG residues at response parameters are considered levels in water were assumed to be tolerance levels. Assuming that 100% of secondary to the decreased food 0.0012 ppm. This was based upon all apple products consumed would consumption, body weight, and food calculations for airblast application of contain tolerance-level residues is the efficiency in the treated rats. AVG onto late season trees. It is worst-case scenario and yields a gross 5. Reproductive toxicity; chronic estimated that a negligible amount of overestimate of dietary exposure. toxicity; animal metabolism; metabolite the applied dose could drift into nearby An acute exposure analysis based toxicity. AVG is classified as a drinking water sources. The following upon anticipated residues was biochemical due to its proposed use table summarizes the results from the conducted using EPA’s Tier 2 method pattern, its low use rate, and its natural chronic aggregate exposure analysis with anticipated residues. For blended occurrence. Due to the nature of this based upon anticipated residues for the commodities (e.g., apple juice and pear biochemical pesticide, the requirements overall U.S. population and the five nectar), the mean anticipated residue for reproductive and chronic toxicity most highly exposed population level was used. For single serving studies as well as animal metabolism subgroups. The exposure estimate was commodities (e.g., raw apples and and metabolite toxicity have not been compared against the RfD of 0.002 mg pears), the LOQ of 0.075 ppm was used triggered in the Tier Toxicity Testing a.i./kg bwt/day: as a worst-case estimate of high end approach. exposure because AVG residues were Per- not quantifiable in the few samples in C. Aggregate Exposure which residues were detected. Population subgroup Exposure mg cent Dietary exposure—food and drinking a.i./kg bwt of A separate exposure analysis was water/non-dietary exposure. Expected RfD conducted for infants because baby foods are blended commodities. For dietary exposures from residues of AVG U.S. Population ...... 0.000055 ...... 2.5 would occur through apples, pears, and All Infants ...... 0.000206 ...... 10.3 these analyses, only raw forms of apples processed apples and pears. Spray drift Non-nursing Infants < 0.000258 ...... 12.9 and pears were assumed to be may lead to exposure to residues in 1 yr. consumed as single servings containing drinking water. There are no proposed Children 1±6 yrs ...... 0.000099 ...... 5.0 the high-end residue value of 0.075 7780 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Notices ppm. All prepared and processed foods related effects from AVG to suggest that Electronic comments must be were assumed to be blended foods the pesticide may have an endocrine submitted as an ASCII file avoiding the containing the mean anticipated residue disruption activity. use of special characters and any form of 0.018 ppm. The following table of encryption. F. Safety Determination summarizes the exposure analysis at the The official record for this 95th percentile: 1. U.S. population. AVG is a naturally rulemaking, as well as the public occurring amino acid. Based upon version, as described above, will be kept Population subgroup Exposure mg MOE expected residues in apples, pears, and in paper form. Accordingly, EPA will a.i./kg bwt water, Abbott Laboratories concludes transfer all comments received that there is a reasonable certainty of no electronically into printed, paper form U.S. Population ...... 0.000276 ...... 6,510 harm resulting from aggregate exposure All Infants ...... 0.000598 ...... 3,009 as they are received and will place the Non-nursing Infants 0.000551 ...... 3,269 of AVG to the general population. paper copies in the official rulemaking < 1 yr. 2. Infants and children. The effects record which will also include all Children 1±6 yrs ...... 0.000756 ...... 2,381 demonstrated in the developmental and comments submitted directly in writing. Children 7±12 yrs .... 0.000448 ...... 4,022 immune toxicity studies are considered The official rulemaking record is the Females 13±50 yrs .. 0.000198 ...... 9,091 secondary to the adverse effects upon paper record maintained at the address body weight gain, food consumption in ‘‘ADDRESSES’’ at the beginning of The MOE of the most highly exposed and food efficiency in the treated rats. this document. population subgroup, children 1 to 6 These data indicate to Abbott years old, is more than 23–fold higher Laboratories that AVG is not a List of Subjects than a level considered to provide developmental or immunological Environmental protection, adequate protection. toxicant, and that infants and children Agricultural commodities, Pesticides The acute exposure summary (below) are not sensitive subpopulations. The and pests, Reporting and recordkeeping. in which proposed tolerance-level company concludes that there is a Authority: 21 U.S.C. 346a. residues were used shows that reasonable certainty that no harm will Dated: February 10, 1997. estimated exposures provide adequate result from aggregate exposure of AVG MOEs, even at the 95th percentile of to infants and children. Janet L. Anderson, exposure. In this analysis, acute Director, Biopesticides and Pollution exposure was calculated for the entire G. International Tolerances Prevention Division, Office of Pesticide population rather than for consumers There are no Codex maximum residue Programs. only, a procedure recommended by the levels established for residues of AVG [FR Doc. 97–4114 Filed 2–19–97; 8:45 am] EPA in their proposed method for acute on apples or pears. BILLING CODE 6560±50±F dietary risk assessment. Therefore, based on the completeness and reliability of the toxicity data and [PF-709; FRL±5588±5] Population subgroup Exposure mg MOE the conservative exposure assessment, a.i./kg bwt Abbott Laboratories concludes that there Good Bugs, Inc.; Pesticide Tolerance is a reasonable certainty that no harm U.S. Population ...... 0.000406 ...... 4,432 Petition Filing All Infants ...... 0.002188 ...... 823 will result from aggregate exposure to Non-nursing Infants 0.002191 ...... 822 residues of AVG, including all AGENCY: Environmental Protection < 1 yr. anticipated dietary exposure and all Agency (EPA). Children 1±6 yrs ...... 0.001384 ...... 1,301 other non-occupational exposures. ACTION: Notice of filing. Children 7±12 yrs .... 0.000663 ...... 2,845 II. Public Record Females 13±50 yrs .. 0.000245 ...... 7,336 SUMMARY: This notice announces the EPA invites interested persons to initial filing of a pesticide petition The most highly exposed population submit comments on this notice of proposing the establishment of a subgroup, non-nursing infants, has an filing. Comments must bear a notation temporary exemption from the estimated MOE of 822, greater than 8– indicating the docket control number requirement of the tolerance for residues fold higher than a level considered to [PF–714]. of Burkholderia (pseudomonas) cepacia A record has been established for this provide adequate protection. strain AMMD in or on American notice under docket control number ginseng, carrots, peas, potatoes, snap D. Cumulative Effects [PF–714] (including comments and data beans, supersweet and sweet corn, AVG is a structurally unique submitted electronically as described tomatoes, and turf in California, Florida, biochemical pesticide and is a naturally below). A public version of this record, Illinois, Minnesota, Missouri, Ohio, occurring L-α-amino acid. Its proposed including printed, paper versions of Washington, and Wisconsin for the mode of action for mammalian toxicity electronic comments, which does not 1997-1999 growing seasons. The is the inhibition of the enzymeγ- include any information claimed as CBI, summary of the petition was prepared cystathionase. Other agents which is available for inspection from 8:30 by the petitioner, Good Bugs, Inc. inhibit this enzyme include naturally a.m. to 4 p.m., Monday through Friday, occurring amino acids such as alanine, excluding legal holidays. The public DATES: Comments, identified by the cysteine, glutamic acid, and record is located in Room 1132 of the docket control number [PF-709], must homoserine. Given the expected Public Response and Program Resources be received on or before March 24, 1997. exposure, Abbott Laboratories maintains Branch, Field Operations Division ADDRESSES: By mail, submit written that inhibition of this enzyme would not (7506C), Office of Pesticide Programs, comments to: Public Response and occur at levels that would pose a human Environmental Protection Agency, Program Resources Branch, Field health risk. Crystal Mall #2, 1921 Jefferson Davis Operations Division (7506C), Office of Pesticide Programs, Environmental E. Endocrine Effects Highway, Arlington, VA. Electronic comments can be sent Protection Agency, 401 M St., SW., Abbott Laboratories reports that there directly to EPA at: Washington, DC 20460. In person, bring have been no indications of treatment- [email protected] comments to: Crystal Mall #2, Room Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Notices 7781

1132, 1921 Jefferson Davis Highway, amended, Good Bugs Inc. has submitted In Minnesota, 5 acres of peas will be Arlington, VA. Comments and data may the following summary of information, treated in 1997, 50 in 1998, and 200 in also be submitted electronically by data, and arguments in support of their 1999; 5 acres of snap beans will be sending electronic mail (e-mail) to: opp- pesticide petition. This summary was treated in 1997, 50 acres in 1998, and [email protected]. Electronic prepared by Good Bugs Inc. and EPA 200 in 1999; 5 acres of sweet corn will comments must be submitted as an has not fully evaluated the merits of the be treated in 1997, 50 acres in 1998, and ASCII file avoiding the use of special petition. The summary may have been 200 acres in 1999; 5 acres of supersweet characters and any form of encryption. edited by EPA if the terminology used corn will be treated in 1997, 50 acres in Comments and data will also be was unclear, the summary contained 1998, and 200 acres in 1999. In Illinois, accepted on disks in WordPerfect in 5.1 extraneous material, or the summary 5 acres of peas will be treated in 1997, file format or ASCII file format. All was not clear that it reflected the 50 acres in 1998, and 200 acres in 199 comments and data in electronic form conclusion of the petitioner and not 9; 5 acres of sweet corn will be treated must be identified by docket control necessarily EPA. in 1997, 50 acres in 1998, and 200 acres number [PF-709]. Electronic comments in 1999; 5 acres of supersweet corn will I. Petition Summary on this notice may be filed online at be treated in 1997, 50 acres in 1998, and many Federal Depository Libraries. A. Proposed Use Practices 200 acres in 1999. In Washington, 5 Additional information on electronic 1. Foliar applications of Burkholderia acres of peas will be treated in 1997, 50 acres in 1998, and 200 acres in 1999. submissions can be found in Unit II. of (pseudomonas) cepacia strain AMMD this document. for potatoes, carrots, tomatoes, and turf B. Product Identity/Chemistry Information submitted as a comment will be at the rate of 4 oz/acre/ concerning this notice may be claimed 1. Burkholderia (pseudomonas) application, 20 applications per acre per cepacia strain AMMD was originally confidential by marking any part or all year. In Wisconsin, 20 acres of potatoes of that information as ‘‘Confidential isolated from the rhizosphere of a pea will be treated in 1997, 100 acres in plant. The cells of this strain are gram Business Information’’ (CBI). CBI should 1998, and 500 acres in 1999; 5 acres of not be submitted through e-mail. negative, aerobic, rod shaped and carrots will be treated in 1997, 10 acres produce poly-beta-hydroxybutyrate Information marked as CBI will not be in 1998, and 10 acres in 1999; 10 acres disclosed except in accordance with granules intracellularly. Colonies are of turf will be treated in 1997, 100 acres convex and white, but eventually procedures set forth in 40 CFR part 2. in 1998, and 100 acres in 1999. In A copy of the comment that does not become crenulated on nutrient broth Minnesota, 20 acres of turf will be yeast extract agar plates. Two colony contain CBI must be submitted for treated in 1997, 100 acres in 1998, and inclusion in the public record. morphologies, smooth and rough are 100 acres in 1999. In California, 10 acres present. Fluorescent pigments are not Information not marked confidential of carrots will be treated in 1998 and 10 may be disclosed publicly by EPA produced on King’s Medium B. The acres in 1999; 100 acres of potatoes will species Burkholderia (pseudomonas) without prior notice. All written be treated in 1998 and 100 acres in comments will be available for public cepacia was first identified using gas 1999; 100 acres of tomatoes will be chromatography fatty acid (GC-FAME) inspection in Room 1132 at the address treated in 1998 and 100 acres in 1999. given above, from 8:30 a.m. to 4 p.m., analysis. In Ohio, 5 acres of tomatoes will be 2. Burkholderia (pseudomonas) Monday through Friday, excluding legal treated in 1997, 20 acres in 1998, and 20 cepacia strain AMMD residues are not holidays. acres in 1999; 5 acres of turf will be anticipated at the time of harvest by FOR FURTHER INFORMATION CONTACT: By treated in 1997, 100 acres in 1998, and Good Bugs, Inc. Treatment of aerial mail: Teung F. Chin c/o (PM 90), 100 acres in 1999. In Florida, 10 acres plant parts and seeds are the only uses Regulatory Action Leader, Biopesticides of potato will be treated in 1997, 100 for this proposed microbial pesticide. and Pollution Prevention Division, acres in 1998, and 100 in 199; 5 acres Residues from seed treatments are not Office of Pesticide Programs, of tomatoes will be treated in 1997, 100 expected as the bacteria does not grow Environmental Protection Agency, 401 acres in 1998, and 100 in 1999; 5 acres systemically in the plant. The above M St., SW., Washington, DC 20460. of turf will be treated in 1997, 100 acres ground parts of potatoes, American Office location, telephone number, and in 1998, and 100 acres in 1999. In ginseng, and carrots are not eaten. Based e-mail address: 5th Floor, Crystal Missouri, 5 acres of turf will be treated on conducted studies, Good Bugs, Inc. Station #1, 2800 Crystal Drive, in 1997, 100 acres in 1998, and 500 believes that strain AMMD does not Arlington, VA, 703-308-1259, e-mail: acres in 1999. For foliar applications on survive well in the phyllosphere. [email protected]. American ginseng, 4 oz/acre/ Populations were no longer detectable 4 SUPPLEMENTARY INFORMATION: EPA has application, 12 applications/acre/year days after spray application to snap received a pesticide petition [PP– will be applied in Wisconsin on 4,000 bean leaves and flowers. An 7G4796] from Good Bugs, Inc., P.O. Box acres in 1997, 1998, and 1999. enforcement method for residues is not 939, New Glarus, WI 53574, proposing 2. For seed treatment of peas and needed to protect human health. pursuant to section 408(d) of the Federal sweet corn, the rate of application is 3 3. Good Bugs, Inc. believes that an Food, Drug and Cosmetic Act, 21 U.S.C. oz. per 100 lbs of seed, for snap beans analytical method for detecting and 346a(d), to amend 40 CFR part 180 by 2 oz. per 100 lbs of seed and for measuring the levels of this microbial establishing a temporary exemption supersweet corn, 4.5 oz. per 100 lbs of pesticide residue is not needed to from the requirement of a tolerance for seed. In Wisconsin, 5 acres of peas will protect human health due to lack of residues of the microbial pesticide, be treated in 1997, 50 acres in 1998, and signficant exposure. Burkholderia (pseudomonas) cepacia 200 acres in 1999; 5 acres of snap beans strain AMMD in or on the raw will be treated in 1997, 50 acres in 1998, C. Mammalian Toxicological Profile agricultural commodities American and 200 acres in 1999; 5 acres of sweet Good Bugs, Inc. believes that acute ginseng, carrots, peas, potatoes, snap corn will be treated in 1997, 50 acres in oral limit toxicity testing of beans, supersweet and sweet corn, 1998, and 200 acres in 1999; 5 acres of Burkholderia (pseudomonas) cepacia tomatoes, and turf. Pursuant to section supersweet corn will be treated in 1997, strain AMMD showed no evidence of 408(d)(2)(A)(i) of the FFDCA, as 50 acres in 1998, and 200 acres in 1999. toxicity or pathogenicity in rats dosed 7782 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Notices once by oral gavage with strain AMMD. (pseudomonas) cepacia are widely Electronic comments can be sent Normal weight gains were observed in distributed in nature and are readily directly to EPA at: all test animals during the observation isolated from soil, fresh water, and plant period. No lesions were observed in any roots and leaves. Strain AMMD does not [email protected] test animal. A waiver for genotoxicity, survive well in the phyllosphere and reproductive and developmental cannot be detected after 4 days. Electronic comments must be toxicity, subchronic toxicity, and 2. Some strains of Burkholderia submitted as an ASCII file avoiding the chronic toxicity is requested. This (pseudomonas) cepacia are infectious to use of special characters and any form testing is not generally required for individuals with cystic fibrosis or of encryption. microbial pesticides and the lack of compromised immune systems. Some The official record for this notice, as toxicity along with the lack of exposure strains of Burkholderia (pseudomonas) well as the public version, as described does not warrant such testing. cepacia can also cause skin infection of above will be kept in paper form. feet known as swamp rot. In addition, Accordingly, EPA will transfer all D. Aggregate Exposure this bacterium has been isolated from comments received electronically into 1. Dietary exposure. The species nosocomial sources such as printed, paper form as they are received Burkholderia (pseudomonas) cepacia is contaminated indwelling medical and will place the paper copies in the a common inhabitant of soils, plant devices and antiseptic solutions. Good official record which will also include surfaces, and fresh water. Good Bugs, Bugs, Inc. believes that because of the all comments submitted directly in Inc. believes that use of this microbial importance of these clinical strains, it is writing. The official record is the paper pesticide as outlined is not expected to critical that Burkholderia record maintained at the address in increase dietary exposure via food or (pseudomonas) cepacia strain AMMD is ‘‘ADDRESSES’’ at the beginning of this water consumption. Transfer of the distinguished from other strains. Two notice. microbial pesticide to drinking water is recent studies have determined that List of Subjects unlikely due to the low survivability of plant associated strains are distinct from the organism in the environment. Any clinical isolates. Molecular Environmental protection, low levels of oral exposure that may phyllogenetic studies based on Administrative practice and procedure, occur would not be harmful due to the deoxyribonucleic acid (DNA)-DNA and Agricultural commodities, Pesticides lack of mammalian toxicity. DNA-ribosomal ribonucleic acid (RNA) and pests, Reporting and recordkeeping 2. Non-dietary exposure of hybridization of 150 isolates have requirements. Burkholderia (pseudomonas) cepacia identified 4 genomovars of Burkholderia Dated: February 6, 1997. strain AMMD. Good Bugs, Inc. believes (pseudomonas) cepacia. All cystic that treatment of turf as outlined in the fibrosis isolates cluster in genomovar III; Janet L. Andersen, experimental plan will be on limited while environmental isolates (including Director, Biopesticides and Pollution acreage and, due to the low survivability phytopathogenic type strain) belong to Prevention Division, Office of Pesticide of the organism, exposure will be genomovar I. Programs. minimal. [FR Doc. 97–4115 Filed 2–19–97; 8:45 am] G. Existing Tolerances 3. Worker exposure via dermal BILLING CODE 6560±50±F exposure or inhalation. Good Bugs, Inc. 1. A tolerance exemption for believes that worker exposure will be Burkholderia (pseudomonas) cepacia, minimized by the label requirements of Wisconsin isolate/strain M36 (a.k.a. FEDERAL FINANCIAL INSTITUTIONS long-sleeved shirt, long pants, gloves, Blue Circle Inoculant), was granted in EXAMINATION COUNCIL and the wearing of a respirator. 1992 by EPA. 2. It is not known if any international E. Cumulative Exposure Revised Policy Statement on tolerance exemptions exist. ``Interagency Coordination of Formal Biological control agents of this type II. Public Record Corrective Action by the Federal Bank generally work by outcompeting the Regulatory Agencies'' disease organisms, therefore, not having Interested persons are invited to a toxic mode of action that can be submit comments on the this notice of AGENCY: Federal Financial Institutions shared. However, other exposure can filing. Comments must bear a notation Examination Council. occur since another strain of indicating the docket control number, ACTION: Notice of revised policy Burkholderia (pseudomonas) cepacia is [PF-709]. statement. already registered with the Agency. A record has been established for this Good Bugs, Inc. believes that since the notice under docket control number SUMMARY: The Task Force on Agency has registered this other strain [PF-709] including comments and data Supervision, acting under delegated and granted an exemption from submitted electronically as described authority from the Federal Financial tolerance, this added exposure does not below). A public version of this record, Institutions Examination Council present a hazard to human health in and including printed, paper versions of (FFIEC), has revised the policy of itself and thus does not add to electronic comments, which does not statement on ‘‘Interagency Coordination cumulative exposure. include any information claimed as CBI, of Formal Corrective Action by the is available for inspection from 8:30 Federal Bank Regulatory Agencies’’ F. Safety Determination a.m. to 4 p.m., Monday through Friday, dated December 18, 1979, and is 1. Good Bugs, Inc. believes the safety excluding legal holidays. The public recommending that the FFIEC member of the U.S. population and that of record is located in Room 1132 of the agencies adopt and implement the infants and children will not be Public Response and Program Resources updated policy statement. The revised adversely affected by the use of Branch, Field Operations Division policy statement entitled ‘‘Interagency Burkholderia (pseudomonas) cepacia (7506C), Office of Pesticide Programs, Notification and Coordination of strain AMMD. Strain AMMD was Environmental Protection Agency, Enforcement Actions by the Federal originally isolated from the rhizosphere Crystal Mall #2, 1921 Jefferson Davis Bank Regulatory Authorities’’ appears of a pea and strains of Burkholderia Highway, Arlington, VA. below. Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Notices 7783

DATES: Effective immediately. enforcement action shall be coordinated Vice President) 33 Liberty Street, New FOR FURTHER INFORMATION CONTACT: by the agencies directly involved. York, New York 10045-0001: FDIC: Daniel E. Austin, (202/898–6774) The purpose of these procedures is to 1. The Bank of New York Company, Review Examiner, Special Situations & encourage notification to appropriate Inc., New York, New York; to acquire Applications Section, Division of federal and state bank regulatory 9.9 percent of the voting shares of State Supervision, Federal Deposit Insurance authorities at the earliest practicable Street Boston Corporation, Boston, Corporation, 550 17th Street, NW, date. These procedures are not intended Massachusetts, and thereby indirectly Washington, DC 20429. to preclude or forestall any federal acquire State Street Bank and Trust FRB: Nancy Oakes, (202/452–2743), banking regulatory agency from Company, Boston, Massachusetts. In connection with this application, Senior Attorney, Enforcement initiating an enforcement action alone Applicant also has applied to acquire Section, Division of Banking and on a timely basis against an State Street Boston Securities Services Supervision & Regulation, Board of institution or institution-affiliated party Corp., Boston, Massachusetts, and Governors of the Federal Reserve for which it has primary supervisory thereby indirectly acquire Investors System, 20th & C Streets, NW, jurisdiction. Fiduciary Trust Company, Kansas City, Washington, DC 20551. Dated: February 13, 1997. Missouri, and thereby engage in Joe M. Cleaver, OCC: Carolyn Amundson, (202/874– performing functions or activities that 5371), Senior Attorney, Enforcement Executive Secretary/Federal Financial may be performed by a trust company, Institutions Examination Council. & Compliance Division, Office of the pursuant to § 225.25(b)(3) of the Board’s Comptroller of the Currency, 250 E [FR Doc. 97–4085 Filed 2–19–97; 8:45 am] Regulation Y; State Street Global Street, SW, Washington, DC 20219. BILLING CODE OCC: 4810±33±P (25%); FRB: 6210±01±P Advisors, Inc., Dover, Delaware, and (25%); FDIC: 6714±01±P (25%); OTS: 6720±01±P (25%) OTS: Scott Albinson, (202/906–7984), thereby indirectly acquire State Street Special Assistant to the Executive Global Advisors, United Kingdom Director for Supervision, Office of Limited, London, England, State Street FEDERAL RESERVE SYSTEM Thrift Supervision, 1700 G Street, Unit Trust Management Limited, NW, Washington, DC 20552. London, England, and Boston The text of the Revised Policy Formations of, Acquisitions by, and Mergers of Bank Holding Companies Esquiserve, L.P., Canton, Massachusetts, Statement follows: and thereby engage in acting as an Revised Policy The companies listed in this notice investment or financial advisor, have applied to the Board for approval, pursuant to §§ 226.25(b)(4)(ii) and Any federal banking regulatory pursuant to the Bank Holding Company (b)(4)(iii) of the Board’s Regulation Y; agency that proposes to take a formal Act of 1956 (12 U.S.C. 1841 et seq.) Boston Financial Data Services, North enforcement action against any federally (BHC Act), Regulation Y (12 CFR Part Quincy, Massachusetts, and thereby regulated financial institution or any 225), and all other applicable statutes indirectly acquire National Financial institution-affiliated party shall notify in and regulations to become a bank Data Services, Kansas City, Missouri, writing the other federal banking holding company and/or to acquire the CFDS Limited, Toronto, Ontario, regulatory agencies and, where assets or the ownership of, control of, or Canada, CFDS Investors Services appropriate, a state supervisory the power to vote shares of a bank or Limited, Toronto, Ontario, Canada, authority prior to or at the initiation of bank holding company and all of the European Financial Data Services, such action. For the purposes of banks and nonbanking companies Luxembourg, Princeton Financial interagency notification, an enforcement owned by the bank holding company, Systems, Princeton, New Jersey, Bridge action is initiated when the appropriate including the companies listed below. Financial Systems, Inc., St. Louis, responsible agency official, or group of The applications listed below, as well Missouri, and Dunai Financial Services officials, determines that formal as other related filings required by the PTY Limited, Melbourne, Australia, and enforcement action should be taken. All Board, are available for immediate thereby engage in data processing notifications to other federal banking inspection at the Federal Reserve Bank activities, pursuant to § 225.25(b)(7) of regulatory agencies shall be made to a indicated. Once the application has the Board’s Regulation Y. These designated contact person or persons as been accepted for processing, it will also activities will be conducted worldwide. specified by each agency. be available for inspection at the offices B. Federal Reserve Bank of Atlanta When there is an affiliation or other of the Board of Governors. Interested (Lois Berthaume, Vice President) 104 inter-institutional relationship, any persons may express their views in Marietta Street, N.W., Atlanta, Georgia federal banking regulatory agency that writing on the standards enumerated in 30303-2713: proposes to take an informal the BHC Act (12 U.S.C. 1842(c)). If the 1. 1st United Bancorp, Boca Raton, enforcement action against any federally proposal also involves the acquisition of Florida; to acquire 100 percent of the regulated financial institution or a nonbanking company, the review also voting shares of Island National Bank institution-affiliated party shall notify in includes whether the acquisition of the and Trust Company, Palm Beach, writing the other appropriate federal nonbanking company complies with the Florida. banking regulatory agencies and, where standards in section 4 of the BHC Act. C. Federal Reserve Bank of appropriate, a state supervisory Unless otherwise noted, nonbanking Minneapolis (Karen L. Grandstrand, authority prior to or at the initiation of activities will be conducted throughout Vice President) 250 Marquette Avenue, such action. the United States. Minneapolis, Minnesota 55480-2171: In the event that complementary Unless otherwise noted, comments 1. TCF Financial Corporation, action (e.g., action involving a bank and regarding each of these applications Minneapolis Minnesota; to become a its parent holding company, or a U.S. must be received at the Reserve Bank bank holding company by acquiring 100 branch or agency and a foreign bank) is indicated or the offices of the Board of percent of the voting shares of TCF considered appropriate by two or more Governors not later than March 14, National Bank Minnesota, Minneapolis, federal banking regulatory agencies, the 1997. Minnesota, a de novo bank; TCF preparation, processing, presentation, A. Federal Reserve Bank of New National Bank Illinois, Chicago, Illinois, service, and follow-up of the York (Christopher J. McCurdy, Senior a de novo bank; TCF National Bank 7784 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Notices

Wisconsin, Milwaukee Wisconsin, a de writing on the standards enumerated in Board of Governors of the Federal Reserve novo bank; Great Lakes National Bank the BHC Act (12 U.S.C. 1842(c)). If the System, February 14, 1997. Michigan, Ann Arbor, Michigan, a de proposal also involves the acquisition of Jennifer J. Johnson, novo bank; Great Lakes National Bank a nonbanking company, the review also Deputy Secretary of the Board. Ohio, Hamilton, Ohio, a de novo bank; includes whether the acquisition of the [FR Doc. 97–4183 Filed 2-19-97; 8:45 am] TCF Colorado Corporation, Englewood, nonbanking company complies with the BILLING CODE 6210-01-F Colorado, a bank holding company; by standards in section 4 of the BHC Act. acquiring TCF National Bank Colorado, Unless otherwise noted, nonbanking Englewood, Colorado, a de novo bank. activities will be conducted throughout Notice of Proposals to Engage in In connection with this application, the United States. Permissible Nonbanking Activities or Applicant also has applied to acquire Unless otherwise noted, comments to Acquire Companies that are TCF Securities, Inc., St. Paul, regarding each of these applications Engaged in Permissible Nonbanking Minnesota, and thereby engage in must be received at the Reserve Bank Activities offering securities brokerage services indicated or the offices of the Board of The companies listed in this notice involving mutual funds shares and Governors not later than March 17, have given notice under section 4 of the related investment advisory activities, 1997. Bank Holding Company Act (12 U.S.C. pursuant to §§ 225.25 (b)(4) and (b)(15) A. Federal Reserve Bank of 1843) (BHC Act) and Regulation of the Board’s Regulation Y. Richmond (Lloyd W. Bostian, Jr., Senior Y, (12 CFR Part 225) to engage de novo, In addition to this application, TCF Vice President) 701 East Byrd Street, or to acquire or control voting securities Colorado Corporation, Englewood, Richmond, Virginia 23261-4528: or assets of a company that engages Colorado, also has applied to become a 1. NationsBank Corporation, either directly or through a subsidiary or bank holding company by acquiring 100 Charlotte, North Carolina, and NB other company, in a nonbanking activity percent of the voting shares of TCF Holdings Corporation, Charlotte, North National Bank Colorado, Englewood, that is listed in § 225.25 of Regulation Carolina; to retain 7.98 percent of the Colorado, a de novo bank. Y (12 CFR 225.25) or that the Board has voting shares of Calvin B. Taylor D. Federal Reserve Bank of Dallas determined by Order to be closely Bankshares, Inc., Berlin, Maryland, and (Genie D. Short, Vice President) 2200 related to banking and permissible for thereby indirectly retain Calvin B. North Pearl Street, Dallas, Texas 75201- bank holding companies. Unless Taylor Banking Company of Berlin, 2272: otherwise noted, these activities will be Maryland, Berlin, Maryland. 1. ANB Bancshares, Inc., Gonzales, conducted throughout the United States. Texas, and ANB Nevada Group, Inc., In connection with this application, Each notice is available for inspection Carson City, Nevada; to become bank Applicants have also applied to retain at the Federal Reserve Bank indicated. holding companies by acquiring 100 13.03 percent of the votings shares of Once the notice has been accepted for percent of the voting shares of American First Perry Bancorp, Inc., Pinckneyville, processing, it will also be available for National Bank, Gonzales, Texas. Illinois, and thereby indirectly retain inspection at the offices of the Board of First National Bank in Pinckneyville, Governors. Interested persons may Board of Governors of the Federal Reserve Pinckneyville, Illinois. System, February 13, 1997. express their views in writing on the In addition to this application, Jennifer J. Johnson, question whether the proposal complies Applicants have also applied to retain with the standards of section 4 of the Deputy Secretary of the Board. 15.43 percent of the voting shares of The [FR Doc. 97–4154 Filed 2-19-97; 8:45 am] BHC Act. First National Bank in Falfurrias, Unless otherwise noted, comments BILLING CODE 6210-01-F Falfurrias, Texas. regarding the applications must be In addition to this application, received at the Reserve Bank indicated Applicants have also applied to retain Formations of, Acquisitions by, and or the offices of the Board of Governors 15.52 percent of the voting shares of Mergers of Bank Holding Companies not later than March 5, 1997. First National Security Company, De A. Federal Reserve Bank of The companies listed in this notice Queen, Arkansas, and thereby indirectly Richmond (Lloyd W. Bostian, Jr., Senior have applied to the Board for approval, retain Bank of Ashdown, NA, Ashdown, Vice President) 701 East Byrd Street, pursuant to the Bank Holding Company Arkansas; First National Bank of Richmond, Virginia 23261-4528: Act of 1956 (12 U.S.C. 1841 et seq.) Howard County, Dierks, Arkansas; 1. Crestar Financial Corporation, (BHC Act), Regulation Y (12 CFR Part Citizens National Bank, Nashville, Richmond, Virginia; to engage de novo 225), and all other applicable statutes Arkansas; Bank of Waldron, Waldron, through its subsidiary, Crestar Securities and regulations to become a bank Arkansas; American State Bank, Broken Corporation, Richmond, Virginia, in holding company and/or to acquire the Bow, Oklahoma; and First National underwriting and dealing in certain assets or the ownership of, control of, or Bank of De Queen, De Queen, Arkansas. bank-ineligible securities. See Citicorp the power to vote shares of a bank or In addition to this application, 73 Fed. Res. Bull. 473 (1987) and bank holding company and all of the Applicants have also applied to retain Chemical 73 Fed. Res. Bull. 731 (1987); banks and nonbanking companies 15.52 percent of the voting shares of in acting as agent in the private owned by the bank holding company, First National Security Company, De placement of all types of securities. See including the companies listed below. Queen, Arkansas, and therby indirectly Bankers Trust 75 Fed. Res. Bull. 829 The applications listed below, as well retain First National Bancshares of (1989) and J.P. Morgan 76 Fed. Res. as other related filings required by the Hempstead County, Inc., Hope, Bull. 26 (1990); and in buying and Board, are available for immediate Arkansas; First National Bank of Hope, selling all types of securities on the inspection at the Federal Reserve Bank Hope, Arkansas; Bank of Blevins, order of customers as riskless principal. indicated. Once the application has Blevins, Arkansas; and First National See 82 Fed. Res. Bull. 759 (1996). been accepted for processing, it will also Bank of Lewisville, Lewisville, B. Federal Reserve Bank of Chicago be available for inspection at the offices Arkansas. NationsBank has applied to (James A. Bluemle, Vice President) 230 of the Board of Governors. Interested retain all of these shares held in its South LaSalle Street, Chicago, Illinois persons may express their views in fiduciary capacity. 60690-1413: Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Notices 7785

1. HPK Financial Corporation, Public comment describes the terms of were based on competent and reliable Chicago, Illinois; to acquire Mortgage the consent agreement, and the studies or surveys. Service America, Inc., Lombard, Illinois, allegations in the accompanying Lastly, the Commission’s complaint and thereby engage in making and complaint. An electronic copy of the charges that respondent represented, servicing loans, pursuant to § full text of the consent agreement without a reasonable basis, that the 225.25(b)(1) of the Board’s Regulation Y. package can be obtained from the testimonials or endorsements from consumers appearing in advertisements Board of Governors of the Federal Reserve Commission Actions section of the FTC System, February 13, 1997. Home Pace (for February 11, 1997), on and promotional materials for its spark plugs reflect the typical or ordinary Jennifer J. Johnson, the World Wide Web, at ‘‘http:// www.ftc.gov/os/actions/htm.’’ A paper experience of members of the public Deputy Secretary of the Board. copy can be obtained from the FTC who use SplitFire Spark Plugs. [FR Doc. 97–4155 Filed 2-19-97; 8:45 am] Public Reference Room, Room H–130, The proposed consent order contains BILLING CODE 6210-01-F Sixth Street and Pennsylvania Avenue, provisions designed to remedy the N.W., Washington, D.C. 20580, either in violations charged and to prevent the person or by calling (202) 326–3627. respondent from engaging in similar FEDERAL TRADE COMMISSION Public comment is invited. Such acts and practices in the future. Part I of the proposed order prohibits [File No. 952±3029] comments or views will be considered by the Commission and will be available SplitFire, Inc., from representing, Splitfire, Inc.; Analysis to Aid Public for inspection and copying at its without competent and reliable Comment principal office in accordance with scientific evidence, the effect of any Section 4.9(b)(6)(ii) of the Commission’s motor vehicle product on a vehicle’s AGENCY: Federal Trade Commission. Rules of Practice (16 CFR 4.9(b)(6)(ii)). fuel economy, emissions, or ACTION: Proposal Consent Agreement. horsepower. Part I also prohibits the Analysis of Proposed Consent Order to company from representing, without SUMMARY: In settlement of alleged Aid Public Comment competent and reliable scientific violations of federal law prohibiting The Federal Trade Commission has evidence, the comparative or absolute unfair or deceptive acts or practices and provisionally accepted an agreement to cost savings that any motor vehicle unfair methods of competition, this a proposed consent order from product will contribute to or achieve. consent agreement, accepted subject to respondent SplitFire, Inc., an Illinois Part II of the proposed order prohibits final Commission approval, would corporation that markets automotive respondent, when advertising any motor prohibit, among other things, the products. vehicle product, from misrepresenting Northbrook, Illinois-based spark-plug The proposed consent order has been the existence, contents, validity, results, marketer from making deceptive claims placed on the public record for sixty conclusions or interpretations of any about the fuel economy, emissions, (60) days for receipt of comments by test, study, or research. horsepower, or cost savings gained from interested persons. Comments received Part III of the proposed order using its ‘‘split electrode’’ spark plugs during this period will become part of addresses claims made through and from misrepresenting the results of the public record. After sixty (60) days, endorsements or testimonials. Under tests, studies, or research and of the Commission will again review the Part III, respondent may make such testimonials. The complaint agreement and the comments received representations if respondent possesses accompanying the consent agreement and will decide whether it should make and relies upon competent and reliable alleges that Splitfire made false or final the agreement’s proposed order, or scientific evidence that substantiates the unsubstantiated economy, efficiency, withdraw from the agreement and take representations; or respondent must and improved performance claims for other appropriate action. disclose either what the generally its spark plugs. This matter concerns the advertising expected results would be for users of DATES: Comments must be received on of SplitFire’s ‘‘SplitFire’’ spark plug, the advertised product, or the limited or before April 21, 1997. which has one v-shaped, or ‘‘split’’ applicability of the endorser’s electrode. The Commission’s complaint experience to what consumers may ADDRESSES: Comments should be charges that SplitFire’s advertising generally expect to achieve. The directed to: FTC/Office of the Secretary, represented, without a reasonable basis, proposed order’s treatment of Room 159, 6th St. and Pa. Ave., N.W., that use of SplitFire Spark Plugs results testimonial claims is in accordance with Washington, D.C. 20580. in significantly better fuel economy, the Commission’s ‘‘Guides Concerning FOR FURTHER INFORMATION CONTACT: significantly greater horsepower, and Use of Endorsements and Testimonials Laura Fremont, Federal Trade significantly lower emissions than use in Advertising,’’ 16 C.F.R. 255.2(a). Commission, San Francisco Regional of either conventional (non split- Part IV of the proposed order requires Office, 901 Market Street, Suite 570, San electrode) spark plugs of platinum- respondent to possess adequate Francisco, CA 94103 (415) 356–5270. tipped spark plugs. The Commission’s substantiation for any representation SUPPLEMENTARY INFORMATION: Pursuant complaint also charges that respondent regarding the performance, benefits, or to Section 6(f) of the Federal Trade represented, without a reasonable basis, efficacy of any motor vehicle product. Commission Act, 38 Stat. 721, 15 U.S.C. that use of SplitFire Spark Plugs will The proposed order also requires 46, and Section 2.34 of the result in significant cost savings over respondent to maintain advertising Commission’s Rules of Practice (16 CFR use of either conventional or platinum- materials and materials relied upon to 2.34), notice is hereby given that the tipped spark plugs. substantiate claims covered by the above-captioned consent agreement In addition, the complaint alleges that order; to provide a copy of the consent containing a consent order to cease and the company lacked a reasonable basis agreement to certain personnel in the desist, having been filed with and for its claim that 70% of SplitFire Spark company; to notify the Commission of accepted, subject to final approval, by Plugs users achieve a gas mileage any change in the corporate structure the Commission, has been placed on the increase of from 1 to 6 more miles per that might affect compliance with the public record for a period of sixty (60) gallon. Further, the complaint alleges as order; and to file one or more reports days. The following Analysis to Aid false SplitFire’s claim that these figures detailing compliance with the order. 7786 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Notices

Under Part IX, the order terminates 20 full text of the consent agreement address various advertising practices in years from the date of issuance, except package can be obtained from the the jewelry industry, including those under certain specified conditions. Commission Actions section of the FTC employed by Zale. See, e.g., § 23.2 The purpose of this analysis is to Home Page (for February 10, 1997), on (Misleading Illustrations); § 23.20 facilitate public comment on the the world Wide Web, at ‘‘http:// (Misuse of terms such as ‘‘cultured proposed order. It is not intended to www.ftc.gov/os/actions/htm.’’ A paper pearl,’’ ‘‘seed pearl,’’ ‘‘Oriental pearl,’’ constitute an official interpretation of copy can be obtained from the FTC ‘‘natura,’’ ‘‘kultured,’’ ‘‘real,’’ ‘‘gem,’’ the agreement and proposed order or to Public Reference Room, Room H–130, ‘‘synthetic,’’ and regional designations); modify in any way their terms. Sixth Street and Pennsylvania Avenue, § 23.19 (Misuse of the word ‘‘pearl’’); N.W., Washington, D.C. 20580, either in Donald S. Clark, and § 23.18 (Definitions of various person or by calling (202) 326–3627. Secretary. pearls). These industry guides are Public comment is invited. Such [FR Doc. 97–4145 Filed 2–19–97; 8:45 am] administrative interpretations of laws BILLING CODE 6750±01±M comments or views will be considered by the Commission and will be available administered by the Commission for the for inspection and copying at its guidance of the public in conducting its [File No. 962±3118] principal office in accordance with affairs in conformity with legal Section 4.9(b)(6)(ii) of the Commission’s requirements. While the Guides are Zale Corporation; Analysis to Aid Rules of Practice (16 CFR 4.9(b)(6)(ii)). referenced in the complaint, they do not Public Comment create a separate cause of action. Analysis of Proposed Consent Order to AGENCY: Federal Trade Commission. Part I of the proposed order would Aid Public Comment ACTION: Proposed consent agreement. require that Zale not represent that The Federal Trade Commission has imitation pearls are cultured pearls. Part SUMMARY: In settlement of alleged accepted an agreement, subject to final II would prevent Zale from representing violation of federal law prohibiting approval, to a proposed consent order that imitation pearl jewelry is or unfair or deceptive acts or practices and from Zale Corporation, (hereinafter contains one or more pearls unless Zale unfair methods of competition, this ‘‘Zale’’). Zale is the largest retailer of designates the jewelry as ‘‘artificial,’’ consent agreement, accepted subject to fine jewelry products in the United ‘‘imitation,’’ ‘‘simulated,’’ or by some final Commission approval, would States. other word or phrase of like meaning. require, among other things, the Irving, The proposed consent order has been Part III would prevent Zale from Texas-based jewelry retailer to disclose, placed on the public record for sixty representing that cultured pearl jewelry clearly and prominently, the nature of (60) days for the reception of comments the pearl jewelry it sells and would by interested persons. Comments is or contains one or more pearls unless mandate that company stores display received during this period will become Zale designates the jewelry as consumer information about the part of the public record. After sixty (60) ‘‘cultured’’ or ‘‘cultivated,’’ or by some definition of natural, cultured, imitation days, the Commission will again review other word or phrase of like meaning. pearls. The complaint accompanying the agreement and any comments Part IV would prohibit the company the consent agreement alleges that Zale received and will decide whether it from misrepresenting the composition deceptively advertised its ‘‘Ocean should withdraw from the agreement or origin of any jewelry product Treasures’’ line of limitation pearl and take other appropriate action or composed partially or entirely of natural jewelry as composed of cultured pearls. make final the agreement’s proposed pearls, cultured pearls, or imitation DATES: Comments must be received on order. pearls. or before April 21, 1997. The proposed complaint alleges Part V of the proposed order would violations of Section 5 of the Federal ADDRESSES: Comments should be require Zale, for a period of three years, Trade Commission Act. This matter directed to: FTC/Office of the Secretary, to make available, at each of its stores focused on Zale’s advertisements for the Room 159, 6th St. and Pa. Ave., N.W., that sells natural, cultured or imitation ‘‘Ocean Treasures’’ line of imitation Washington, D.C. 20580. pearl jewelry. The advertisements pearls, a brief fact sheet entitled ‘‘Your FOR FURTHER INFORMATION CONTACT: depicted Ocean Treasures earrings, Guide to Pearls.’’ This fact sheet briefly Jeffrey Klurfeld, Federal Trade necklaces, rings and pendants, and defines the differences among the three Commission, San Francisco Regional described them as follows: ‘‘Ocean general categories of pearls. Office, 901 Market Street, Suite 570, San Treasures Fine Jewelry. Created by The proposed order also would Francisco, CA 94103. (415) 356–5275. nature, enhanced by man.’’ The require Zale to maintain materials SUPPLEMENTARY INFORMATION: Pursuant advertisements also included the related to its advertising of pearl, to Section 6(f) of the Federal Trade following statement: ‘‘Zales. The cultured pearl, and imitation pearl Commission Act, 38 Stat. 721, 15 U.S.C. Diamond, semi-precious and pearl jewelry. The proposed order would also 46, and Section 2.34 of the store.’’ The proposed complaint alleges require Zale to provide a copy of the Commission’s Rules of Practice (16 CFR that, through these depictions and consent agreement to all employees or 2.34), notice is hereby given that the statements, Zale violated Section 5 of representatives with duties affecting above-captioned consent agreement the Federal Trade Commission Act by compliance with the terms of the order; containing a consent order to cease and falsely claiming that the Ocean to notify the Commission of any changes desist, having been filed with and Treasures line of jewelry is composed of in corporate structure that might affect accepted, subject to final approval, by cultured pearls. compliance with the order; and to file the Commission, has been placed on the The Federal Trade Commission public record for a period of sixty (60) recently revised its Guides for the one or more reports detailing days. The following Analysis to Aid Jewelry, Precious Metals, and Pewter compliance with the order. Public Comment describes the terms of Industries, 16 C.F.R. Part 23, 61 F.R. The purpose of this analysis is to the consent agreement, and the 27212 (May 30, 1996) (the ‘‘Jewelry facilitate public comment on the allegations in the accompanying Guides’’). The previous version of the proposed order, and it is not intended complaint. An electronic copy of the Guides as well as the revised Guides to constitute an official interpretation of Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Notices 7787 the agreement and proposed order, or to (3) year period beginning February 10, written or oral comments at the meeting modify in any way their terms. 1997: should notify the contact person listed Donald S. Clark, (1) To exclude himself from serving in below, in writing or by phone, no later Secretary. any advisory capacity to the Public than close of business February 21, [FR Doc. 97–4146 Filed 2–19–97; 8:45 am] Health Service (PHS), including but not 1997. Requests to make oral comments BILLING CODE 6750±01±M limited to service on any PHS advisory committee, board, and/or peer review should contain the name, address, committee, or as a consultant; and telephone number, and organizational (2) That any institution that submits affiliation of the presenter. Depending DEPARTMENT OF HEALTH AND an application for PHS support for a on the time available and the number of HUMAN SERVICES research project on which the requests to make oral comments, it may Office of the Secretary; Findings of respondent’s participation is proposed be necessary to limit the time of each Scientific Misconduct or which uses the respondent in any presenter. capacity on PHS supported research MATTERS TO BE DISCUSSED: Topics to be AGENCY: Office of the Secretary, HHS. must concurrently submit a plan for discussed at this meeting include CDC’s ACTION: Notice. supervision of his duties. The proposed revised screening guidelines, supervisory plan must be designed to establishment of a data system to SUMMARY: Notice is hereby given that ensure the scientific integrity of the implement screening guidance, and data the Office of Research Integrity (ORI) respondent’s research contribution. The recommendations. There will be has made a final finding of scientific institution must submit a copy of the information presented regarding misconduct in the following case: supervisory plan to ORI. computer programming and how it James B. Boone, Jr., Ph.D., University No scientific publications were relates to data analysis and using data of Missouri-Columbia: Based upon an required to be corrected as part of this to make decisions. Agenda items are investigation conducted by the Agreement. subject to change as priorities dictate. University of Missouri-Columbia, information obtained by the Office of FOR FURTHER INFORMATION CONTACT: CONTACT PERSON FOR MORE INFORMATION: Research Integrity (ORI) during its Acting Director, Division of Research Claudette Grant, Lead Poisoning oversight review, and Dr. Boone’s own Investigations Office of Research Prevention Branch, Division of admission, ORI found that Dr. Boone, Integrity, 5515 Security Lane, Suite 700, Environmental Hazards and Health former Research Assistant Professor, Rockville, MD 20852, (301) 443–5330. Effects, NCEH, CDC, 4770 Buford Department of Veterinary Biomedical Chris B. Pascal, Highway, NE, M/S F42, Atlanta, Georgia Sciences at the University of Missouri- Acting Director, Office of Research Integrity. 30341, telephone 770/488–7330, fax 770/488–7335. Columbia, engaged in scientific [FR Doc. 97–4081 Filed 2–19–97; 8:45 am] misconduct by fabricating and falsifying BILLING CODE 4160±17±P Dated: February 13, 1997. data in biomedical research supported Joseph E. Salter, by a grant from the National Heart, Acting Director, Management Analysis and Lung, and Blood Institute (NHLBI), Centers for Disease Control and Services Office, Centers for Disease Control National Institutes of Health (NIH). Prevention and Prevention (CDC). Specifically, Dr. Boone fabricated the [FR Doc. 97–4139 Filed 2–19–97; 8:45 am] weights of individual, isolated muscles State Childhood Lead Poisoning BILLING CODE 4163±18±P that, in fact, had not been separated by Prevention Grantees Meeting dissection, and falsely presented The National Center for Administration for Children and unrelated gamma counter results as Environmental Health (NCEH) of the Families having been obtained from the same Centers for Disease Control and individual muscles. He presented these Prevention (CDC) announces the Office of Planning, Research and data to his laboratory director as the following meeting. results from two experiments that Dr. Evaluation; Statement of Organization, NAME: Meeting of State Childhood Lead Functions, and Delegations of Boone admitted he did not complete. Poisoning Prevention Grantees. Dr. Boone committed additional Authority TIMES AND DATES: 12 p.m.–4:10 p.m., falsifications in conducting research, February 24, 1997. 8:30 a.m.–5:30 p.m., This Notice amends Part K, Chapter K including presenting: (1) A computer February 25, 1997. 8 a.m.–5:10 p.m., of the Statement of Organization, spread sheet that used the above February 26, 1997. 8:30 a.m.–11:40 a.m., Functions, and Delegations of Authority described sets of the fabricated primary February 27, 1997. of the Department of Health and Human data of muscle weights and the falsified Services (DHHS), Administration for PLACE: Holiday Inn Select-Atlanta- gamma counter results to generate false Children and Families (ACF) as follows: computations of blood flow in separate Decatur Hotel and Conference Plaza, 130 Clairemont Avenue, Decatur, Chapter KM, The Office of Planning, muscles; (2) A computer spread sheet Research and Evaluation (OPRE) (60 FR for the statistical computations of the Georgia 30030, telephone 404/371– 0204. 56606) as last amended, November 9, data from the two sets of fabricated and 1995. This reorganization will establish falsified reduced data; and (3) A STATUS: Open to the public, limited only the Division of Data Collection and histogram derived from the falsified by space available. The meeting room Analysis within the Office of Planning, reduced data that showed significant accommodates approximately 80 Research and Evaluation. differences in some of the fabricated people. Amend Chapter KM as follows: experimental measurements on PURPOSE: This meeting will provide a 1. Delete KM.00 Mission in its individual muscles. forum for childhood lead poisoning entirety and replace with the following: Dr. Boone has accepted the ORI prevention coordinators and data KM.00 Mission. The Office of finding and has entered into a Voluntary administrators to review program Planning, Research and Evaluation Exclusion Agreement with ORI in which progress and discuss prevention issues (OPRE) is the principal advisor to the he has voluntarily agreed, for the three and concerns. Persons wishing to make Deputy Assistant Secretary for Policy 7788 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Notices and External Affairs and the Assistant all matters pertaining to: improving the children and other vulnerable Secretary for Children and Families on effectiveness and efficiency of ACF populations; strengthen and promote improving the effectiveness and programs; strategic planning; family stability; and foster sound growth efficiency of programs designed to make performance measurement; program and and development of children and their measurable improvements in the policy evaluation; research and families. economic and social well-being of demonstrations; state and local The Division provides guidance, children and families. innovations and progress; collection, analysis, technical assistance and analysis, and dissemination of data; and The Office provides guidance, oversight in ACF on: Strategic planning public/private partnership initiatives of analysis, technical assistance, and and performance measurement for child concern to the Assistant Secretary for oversight to ACF programs and across and family development; statistical, Children and Families. It represents the programs in the agency on: strategic policy and program analysis; surveys, Deputy Assistant Secretary for Policy planning aimed at measurable results; research and evaluation methodologies; and External Affairs and the Assistant performance measurement; research and demonstration testing and model Secretary for Children and Families at evaluation methodologies; development; synthesis and various planning, research, evaluation demonstration testing and model dissemination of research and and data collection and analysis forums development; statistical, policy and demonstration findings; and application and carries out special Departmental program analysis; synthesis and of emerging technologies to improve the dissemination of research and and Administration initiatives. B. The Division of Economic effectiveness of programs and service demonstration findings; and application delivery. of emerging technologies to improve the Independence, in cooperation with ACF effectiveness of programs and service income support programs and others, The Division: Manages the section delivery. The Office also is responsible works with Federal counterparts, states, 1110 social service research budget; for the collection, compilation, analysis, community agencies, and the private develops policy-relevant priorities; and dissemination of data. sector to understand and overcome conducts, manages and coordinates The Office oversees and manages the barriers to economic independence; major cross-program, leading-edge section 1110 and section 1115 social promote parental responsibility; and research, demonstration, and evaluation service research programs, including: assist in improving the effectiveness of studies; manages and conducts priority setting and analysis; processing programs that further economic statistical, policy and program analyses waivers for welfare reform independence. on social trends and behaviors which demonstrations; managing and The Division provides guidance, impact child and family well-being; and coordinating major cross-cutting, analysis, technical assistance and works in partnership with states, local leading-edge studies and special oversight in ACF on: strategic planning communities, and the private sector to initiatives; collaborating with states, and performance measurement for promote the well-being of children and communities, foundations, professional economic independence; statistical, families. policy and program analysis; surveys, organizations and others to promote the D. The Division of Data Collection research, and evaluation methodologies; development of children, family focused and Analysis is responsible for all demonstration testing and model services, parental responsibility, aspects of the collection, compilation, development; synthesis and employment, and economic analysis, and dissemination of data on dissemination of research and independence; and providing selected ACF programs. demonstration findings; and application coordination and leadership in of emerging technologies to programs The Division develops regulations to implementing the Government which promote employment, parental implement data collection requirements; Performance and Results Act (GPRA). responsibility, and economic designs, develops, implements, and 2. Delete KM.10 Organization in its independence. maintains systems for the collection and entirety and replace with the following: The Division analyzes, processes and analysis of data including: Participation KM.10 Organization. The Office of coordinates Federal review and rate information, recipient Planning, Research and Evaluation is decision-making for all section 1115 characteristics, administrative data, headed by a Director who reports to the state welfare reform waiver State expenditures on families, work Deputy Assistant Secretary for Policy demonstration requests; develops activities of non-custodial parents, and External Affairs. The Office is policy-relevant priorities; conducts, transitional services, and data used in organized as follows: manages and coordinates major cross- the assessment of State performance. • Office of the Director (KMA) program, leading-edge research, • The Division provides leadership in Division of Economic Independence demonstrations, and evaluation studies; (KMB) and coordinates with other ACF and manages and conducts statistical, policy HHS offices and external organizations • Division of Child and Family and program analyses on trends in Development (KMC) in the dissemination and use of these employment, child support payments, data for policy and research purposes. • Division of Data Collection and and other income supports; and works The Division also develops and Analysis (KMD) in partnership with states, communities, maintains statistical protocols and 3. Delete KM.20 Functions in its and the private sector to promote manuals for data collection purposes entirety and replace with the following: employment, parental responsibility, and provides technical assistance in the KM.20 Functions. A. The Office of the and family economic independence. use of these materials. Director provides direction and C. The Division of Child and Family executive leadership to OPRE in Development, in cooperation with ACF Dated: February 13, 1997. administering its responsibilities. It programs and others, works with Laurence J. Love, serves as principal advisor to the Federal counterparts, states, community Deputy Assistant Secretary for Program Deputy Assistant Secretary for Policy agencies, and the private sector to: Operations. and External Affairs and the Assistant improve the effectiveness and efficiency [FR Doc. 97–4182 Filed 2–19–97; 8:45 am] Secretary for Children and Families on of programs; assure the protection of BILLING CODE 4184±01±P Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Notices 7789

Food and Drug Administration Rockville, MD 20857, 301–443–5455, or Advisory Committee were available at FDA Advisory Committee Information this time, the Commissioner concluded Advisory Committees; Notice of Hotline, 1–800–741–8138 (301–443– that it was in the public interest to hold Meetings 0572 in the Washington, DC area), Anti- this meeting even if there was not Infective Drugs Advisory Committee, AGENCY: Food and Drug Administration, sufficient time for the customary 15-day HHS. code 12530. Please call the hotline for public notice. information concerning any possible ACTION: Notice. changes. Science Board to the Food and Drug SUMMARY: This notice announces General function of the committee. Administration The committee reviews and evaluates forthcoming meetings of public advisory Date, time, and place. March 13, available data concerning the safety and committees of the Food and Drug 1997, 9 a.m. to 3 p.m., Sheraton effectiveness of marketed and Administration (FDA). This notice also National Hotel, North Ballroom, 900 summarizes the procedures for the investigational human drug products for use in the treatment of infectious South Orme St. (Columbia Pike and meetings and methods by which Washington Blvd.), Arlington, VA. interested persons may participate in diseases and disorders. Agenda—Open public hearing. Type of meeting and contact person. open public hearings before FDA’s Open committee discussion, 9 a.m. to 11 advisory committees. Interested persons may present data, information, or views, orally or in a.m.; open public hearing, 11 a.m. to 12 FDA has established an Advisory writing, on issues pending before the m., unless public participation does not Committee Information Hotline (the committee. Those desiring to make last that long; open committee hotline) using a voice-mail telephone formal presentations should notify the discussion, 12 m. to 3 p.m.; Susan A. system. The hotline provides the public contact person before February 28, 1997, Homire, Office of Science (HF–33), Food with access to the most current and submit a brief statement of the and Drug Administration, 5600 Fishers information on FDA advisory committee general nature of the evidence or Lane, Rockville, MD 20857, 301–827– meetings. The advisory committee arguments they wish to present, the 3340, or FDA Advisory Committee hotline, which will disseminate current names and addresses of proposed Information Hotline, 1–800–741–8138 information and information updates, participants, and an indication of the (301–443–0572 in the Washington, DC can be accessed by dialing 1–800–741– approximate time required to make their area), Science Board to the Food and 8138 or 301–443–0572. Each advisory comments. Drug Administration, code 12603. committee is assigned a 5-digit number. Open committee discussion. On the Please call the hotline for information This 5-digit number will appear in each morning of March 5, 1997, the concerning any possible changes. individual notice of meeting. The committee will discuss supplemental General function of the board. The hotline will enable the public to obtain new drug application (NDA) 50–679/ board shall provide advice primarily to information about a particular advisory S002 Maxipime for Injection (cefepime the agency’s Senior Science Advisor committee by using the committee’s 5- hydrochloride, Bristol-Myers Squibb), in and, as needed, to the Commissioner digit number. Information in the hotline the treatment of febrile episodes in and other appropriate officials on is preliminary and may change before a neutropenic patients. In the afternoon of specific complex and technical issues as meeting is actually held. The hotline March 5, 1997, and on March 6 and 7, well as emerging issues within the will be updated when such changes are 1997, the committee will discuss the scientific community in industry and made. draft guidance document entitled academia. Additionally, the board will MEETINGS: The following advisory ‘‘Evaluating Clinical Studies of provide advice to the agency on keeping committee meetings are announced: Antimicrobials in the Division of Anti- pace with technical and scientific Anti-Infective Drugs Advisory Infective Drug Products,’’ which is evolutions in the fields of regulatory Committee currently in the Draft-Not for science; on formulating an appropriate Implementation stage. Copies of this research agenda; and on upgrading its Date, time, and place. March 5, 1997, draft guidance document can be scientific and research facilities to keep 8:30 a.m., Bethesda Ramada, Embassy obtained 2 weeks before the meeting pace with these changes. It will also Ballroom, 8400 Wisconsin Ave., from the Drug Information Branch, provide the means for critical review of Bethesda, MD, and March 6 and 7, 1997, Division of Communications agency sponsored intramural and 8:30 a.m., Holiday Inn—Bethesda, Management (HFD–210), Center for extramural scientific research programs. Versailles Ballrooms I and III, 8210 Drug Evaluation and Research, Food Agenda—Open public hearing. Wisconsin Ave., Bethesda, MD. The and Drug Administration, 5600 Fishers Interested persons may present data, hotels are in close proximity and have Lane, Rockville, MD 20857, 301–827– information, or views, orally or in parking available. In addition, there is a 4573, FAX: 301–827–4577. An writing, on issues pending before the public parking garage nearby at 8216 electronic version of this draft guidance board. Those desiring to make formal Woodmont Ave. document will be available 2 weeks presentations should notify the contact Type of meeting and contact person. before the meeting via the World Wide person before March 3, 1997, and Open public hearing, March 5, 1997, Web. To access the draft guidance submit a brief statement of the general 8:30 a.m. to 9:30 a.m., unless public document on the Internet, connect to nature of the evidence or arguments participation does not last that long; CDER’s home page at http:// they wish to present, and the names and open committee discussion, 9:30 a.m. to www.fda.gov/cder/guidance.htm. addresses of proposed participants. 5 p.m.; open committee discussion, FDA regrets that it was unable to Each presenter will be limited in time March 6, 1997, 8:30 a.m. to 5 p.m.; open publish this notice 15 days prior to the and not all requests to speak may be committee discussion, March 7, 1997, March 5, 6, and 7, 1997, Anti-Infective accommodated. All written statements 8:30 a.m. to 2 p.m.; Ermona B. Drugs Advisory Committee meeting. submitted in a timely fashion will be McGoodwin or Danyiel D’Antonio, Because the agency believes there is provided to the board. Center for Drug Evaluation and Research some urgency to bring these issues to Open board discussion. The Science (HFD–21), Food and Drug public discussion and qualified Board Subcommittee on Toxicology, Administration, 5600 Fishers Lane, members of the Anti-Infective Drugs which has been established to address 7790 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Notices issues related to toxicological testing hearing portion. Whether or not it also 12420 Parklawn Dr., rm. 1–23, methods, will provide an update on its includes any of the other three portions Rockville, MD 20857, approximately 15 activities. The Science Board will depend upon the specific meeting working days after the meeting, between Subcommittee on FDA Research will involved. There are no closed portions the hours of 9 a.m. and 4 p.m., Monday present a report to the board on a for the meetings announced in this through Friday. Summary minutes of strategy for optimizing the quality and notice. The dates and times reserved for the open portion of the meeting may be mission relevance of agency research the open portions of each committee requested in writing from the Freedom programs. meeting are listed above. of Information Office (address above) The open public hearing portion of beginning approximately 90 days after Vaccines and Related Biological the meeting(s) shall be at least 1 hour the meeting. Products Advisory Committee long unless public participation does This notice is issued under section not last that long. It is emphasized, Date, time, and place. March 14, 10(a)(1) and (a)(2) of the Federal however, that the 1 hour time limit for Advisory Committee Act (5 U.S.C. app. 1997, 12:30 p.m., National Institutes of an open public hearing represents a Health, Bldg. 29, conference room 121, 2), and FDA’s regulations (21 CFR part minimum rather than a maximum time 14) on advisory committees. 8800 Rockville Pike, Bethesda, MD. for public participation, and an open Dated: February 12, 1997. Type of meeting and contact person. public hearing may last for whatever This meeting will be held by a longer period the committee Michael A. Friedman, telephone conference call. A speaker chairperson determines will facilitate Deputy Commissioner for Operations. telephone will be provided in the the committee’s work. [FR Doc. 97–4305 Filed 2–18–97; 11:00 am] conference room to allow public Public hearings are subject to FDA’s BILLING CODE 4160±01±F participation in the meeting. Open guideline (subpart C of 21 CFR part 10) committee discussion, 12:30 p.m. to 2 concerning the policy and procedures [Docket No. 97N±0042] p.m.; open public hearing, 2 p.m. to 3 for electronic media coverage of FDA’s p.m., unless public participation does public administrative proceedings, Review of the Adverse Event Reporting not last that long; Nancy T. Cherry or including hearings before public Denise A. Royster, Center for Biologics System for Postmarketing advisory committees under 21 CFR part Surveillance; Public Meeting Evaluation and Research (HFM–21), 14. Under 21 CFR 10.205, Food and Drug Administration, 1401 representatives of the electronic media AGENCY: Food and Drug Administration, Rockville Pike, Rockville, MD 20852, may be permitted, subject to certain HHS. 301–827–0314, or FDA Advisory limitations, to videotape, film, or ACTION: Notice of public meeting. Committee Information Hotline, 1–800– otherwise record FDA’s public 741–8138 (301–443–0572 in the administrative proceedings, including SUMMARY: The Food and Drug Washington, DC area), Vaccines and presentations by participants. Administration (FDA) is announcing a Related Biological Products Advisory Meetings of advisory committees shall public meeting to provide the Committee, code 12388. Please call the be conducted, insofar as is practical, in pharmaceutical industry and other hotline for information concerning any accordance with the agenda published interested persons with information on possible changes. in this Federal Register notice. Changes the plans, progress, and technical General function of the committee. in the agenda will be announced at the specifications developed under the The committee reviews and evaluates beginning of the open portion of a reengineering of the Center for Drug data on the safety and effectiveness of meeting. Evaluation and Research’s (CDER’s) vaccines intended for use in the Any interested person who wishes to postmarketing surveillance program. diagnosis, prevention, or treatment of be assured of the right to make an oral The primary focus of the meeting will human diseases. presentation at the open public hearing be the electronic submission of adverse Agenda—Open public hearing. portion of a meeting shall inform the drug reaction (ADR) reports under the Interested persons may present data, contact person listed above, either orally new adverse event reporting system information, or views, orally or in or in writing, prior to the meeting. Any (AERS), which is currently under writing, on issues pending before the person attending the hearing who does development as a major component of committee. Those desiring to make not in advance of the meeting request an the reengineering effort. formal presentations should notify the opportunity to speak will be allowed to DATES: The public meeting will be held contact person by March 1, 1997, and make an oral presentation at the on Monday, March 17, 1997, from 9:30 submit a brief statement of the general hearing’s conclusion, if time permits, at a.m. to 5 p.m. There is no registration nature of the evidence or arguments the chairperson’s discretion. fee for the meeting. Because space is they wish to present, the names and The agenda, the questions to be limited, interested persons are addresses of proposed participants, and addressed by the committee, and a encouraged to register by March 7, 1997. an indication of the approximate time current list of committee members will required to make their comments. be available at the meeting location on ADDRESSES: The public meeting will Open committee discussion. The the day of the meeting. held at the DoubleTree Hotel, 1750 committee will discuss the influenza Transcripts of the open portion of the Rockville Pike, Rockville, MD 20852. virus vaccine’s formulation for 1997 and meeting may be requested in writing Persons interested in attending should 1998. from the Freedom of Information Office fax their registration to Robert Nelson at FDA public advisory committee (HFI–35), Food and Drug 301–480–2825. The facsimile should meetings may have as many as four Administration, rm. 12A–16, 5600 include the participant’s name and title; separable portions: (1) An open public Fishers Lane, Rockville, MD 20857, organization name, if any; address; and hearing, (2) an open committee approximately 15 working days after the telephone and fax numbers. discussion, (3) a closed presentation of meeting, at a cost of 10 cents per page. Three weeks prior to the public data, and (4) a closed committee The transcript may be viewed at the meeting, a copy of the meeting agenda deliberation. Every advisory committee Dockets Management Branch (HFA– will be available through CDER’s Fax- meeting shall have an open public 305), Food and Drug Administration, on-Demand, 301–827–0577 or 800–342– Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Notices 7791

2722, under the index ‘‘AERS Public of the AERS computerized system will Health Care Financing Administration Meeting,’’ document No. 0510. be described at the public meeting and # Information about the meeting will be made available to participants, [Form HCFA±P±15A] available via Internet using the World especially as they relate to the electronic Emergency Clearance: Public Information Wide Web (WWW). To connect to the submission of expedited and periodic Collection Requirements Submitted to the CDER home page, type http:// ADR reports. Office of Management and Budget (OMB) www.fda.gov/cder and go to the FDA has participated in the In compliance with the requirement ‘‘What’s Happening’’ section. Also development of several guidelines by of section 3506(c)(2)(A) of the available on the CDER home page is a Paperwork Reduction Act of 1995, the link to the new AERS home page, which the International Conference on Harmonisation of Technical Health Care Financing Administration contains a brief summary of the (HCFA), Department of Health and Requirements for Registration of materials that will be discussed at the Human Services (DHSS), has submitted Pharmaceuticals for Human Use (ICH) meeting. Information distributed at the to the Office of Management and Budget public meeting will be available from that relate to the submission of ADR (OMB) the following request for the Freedom of Information Office (HFI– reports under the AERS system: Emergency review. We are requesting an 35), Food and Drug Administration, ‘‘Clinical Safety Data Management: emergency review because the 5600 Fishers Lane, Rockville, MD Definitions and Standards for Expedited collection of this information is needed 20857, approximately 10 business days Reporting’’ (E2A); ‘‘Clinical Safety Data prior to the expiration of the normal after the meeting at a cost of 10 cents Management: Data Elements for time limits under OMB’s regulations at per page. Transmission of Individual Case Safety 5 CFR, Part 1320, thus causing the The agenda will be placed on display, Reports’’ (E2B); and ‘‘Clinical Safety disruption of this collection of under the docket number found in Data Management: Periodic Safety information, which is essential to the brackets in the heading of this Update Reports for Marketed Drugs’’ agency’s mission of ensuring that document, at the Dockets Management (E2C). In addition, two other guidelines beneficiary needs are evaluated and Branch (HFA–305), 12420 Parklawn Dr., are currently under development by implemented, to the extent possible, in rm. 1–23, Rockville, MD 20857. ICH: ‘‘Medical Terminology a cost-effective manner. The Agency FOR FURTHER INFORMATION CONTACT: (MEDDRA)’’ (M1) and ‘‘Electronic cannot reasonably comply with the Robert C. Nelson, Food and Drug Standards for the Transfer of Regulatory normal clearance procedures because Administration, Center for Drug Information (ESTRI)’’ (M2). public harm is likely to result if normal Evaluation and Research (HFD–700), clearance procedures are followed. At the public meeting, FDA will 5600 Fishers Lane, Rockville, MD Without this information, HCFA would explain how it intends to incorporate 20857, 301–827–3206. not be able to properly determine the these recommended standards into the SUPPLEMENTARY INFORMATION: The services needed by beneficiaries or the primary purpose of FDA’s requirements for the electronic most cost efficient manner to meet postmarketing surveillance program is submission of ADR reports under AERS. beneficiary needs, possibly resulting in to identify potentially serious drug The meeting will include a general the denial of beneficiary warranted safety problems, focusing especially on discussion of CDER’s plans to propose services and a loss of program dollars. newly marketed drugs. Although revisions to its postmarketing ADR HCFA is requesting that OMB provide premarket testing discloses a general reporting regulations. The goals of this a 24-hour review and a 180-day safety profile of a new drug’s rulemaking are to implement the approval. During this 180-day period comparatively common adverse effects, recommendations in the ICH guidelines HCFA will pursue OMB clearance of the larger and more diverse patient and to enhance the quality of ADR this collection as stipulated by 5 CFR populations exposed to the marketed reports received by the agency. The 1320.5. drug provides, for the first time, the agency hopes to familiarize the 1. Type of Information Collection opportunity to collect information on pharmaceutical industry with the Request: Revision of a currently rare, latent, and long-term effects. procedures for the electronic approved collection; Title of Reports are obtained from a variety of submission of ADR reports under AERS Information Collection: Medicare sources, including patients, treating so that they are prepared to comply with Current Beneficiary Survey (MCBS) physicians, foreign regulatory agencies, any revised regulations that may issue Round 18; Form No.: HCFA–P–15A; and clinical investigators. Over 75 as a result of the rulemaking initiative. Use: The MCBS is a continuous, percent of the ADR reports that FDA multipurpose survey of a nationally receives are routed from health care Additional information on the representative sample of aged and practitioners through pharmaceutical technical specifications of the AERS disabled persons for Medicare. The companies. The remainder of the reports system will be placed on display, as survey provides a comprehensive source come directly to FDA through the they are available in final form, at the of information on beneficiary agency’s MedWatch program. Dockets Management Branch (address characteristics, needs, and satisfaction FDA’s computerized spontaneous above) between 9 a.m. and 4 p.m., with Medicare-related activities. The reporting system (SRS) contains 1.4 Monday through Friday. proposed MCBS revisions will focus on million ADR reports for human drugs Dated: February 13, 1997. the evaluation of beneficiary and therapeutic biologics. FDA plans to William K. Hubbard, informational needs. This information replace SRS with AERS by September will enable HCFA to better coordinate 1997. All SRS historical data will be Associate Commissioner for Policy and integrate its current communication Coordination. migrated to AERS. AERS will enable objectives effectively and efficiently; FDA to receive reports from [FR Doc. 97–4161 Filed 2–19–97; 8:45 am] Frequency: On occasion; Affected pharmaceutical companies by electronic BILLING CODE 4160±01±F Public: Individuals and households; submission, transmitted data base to Number of Respondents: 16,000; Total data base through standardized Annual Responses: 16,000; Total pathways. The technical specifications Annual Hours: 16,000. 7792 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Notices

To request copies of the proposed Dated: February 13, 1997. ACTION: Notice. paperwork collections referenced above, LaVerne Y. Stringfield, SUMMARY: The proposed information call the Reports Clearance Office on Committee Management Officer, NIH. (410) 786–1325. Written comments and collection requirement described below [FR Doc. 97–4260 Filed 2–14–97; 4:34 pm] will be submitted to the Office of recommendations for the proposed BILLING CODE 4140±01±M Management and Budget (OMB) for information collections should be faxed review, as required by the Paperwork to OMB at (202) 395–6974, or sent Reduction Act. The Department is within 48 hours of this notice directly National Institute of Mental Health; Notice of Closed Meetings soliciting public comments on the to the OMB Desk Officer designated at subject proposal. the following address: OMB Human Pursuant to Section 10(d) of the DATES: Comments due: April 21, 1997. Resources and Housing Branch, Federal Advisory Committee Act, as ADDRESSES: Interested persons are Attention: Allison Eydt, New Executive amended (5 U.S.C. Appendix 2), notice Office Building, Room 10235, invited to submit comments regarding is hereby given of the following this proposal. Comments should refer to Washington, D.C. 20503. meetings of the National Institute of the proposal by name and/or OMB Dated: February 18, 1997. Mental Health Special Emphasis Panel: Control Number and should be sent to: Edwin J. Glatzel, Agenda/Purpose: To review and evaluate Reports Liaison Officer, Shelia E. Jones, grant applications. Director, Management Analysis and Planning Department of Housing & Urban Committee Name: National Institute of Staff, Office of Financial and Human Development, 451—7th Street, SW, Mental Health Special Emphasis Panel. Room 7230, Washington, DC 20410. Resources, Health Care Financing Date: February 20, 1997. Administration. Time: 8 a.m. FOR FURTHER INFORMATION CONTACT: [FR Doc. 97–4337 Filed 2–19–97; 8:45 am] Place: Hyatt Regency Bethesda, One Donner Buchet (202) 708–2290 (this is BILLING CODE 4120±03±P Bethesda Metro Center, Bethesda, MD 20814. not a toll-free number) for copies of the Contact Person: Rehana A. Chowdhury, proposed forms and other available Parklawn, Room 9C–26, 5600 Fishers Lane, documents. Rockville, MD 20857, Telephone: 301–443– National Institutes of Health SUPPLEMENTARY INFORMATION: 6470. The Department will submit the proposed National Institute of Arthritis and Committee Name: National Institute of Mental Health Special Emphasis Panel. information collection to OMB for Musculoskeletal and Skin Diseases; Date: March 6, 1997. review, as required by the Paperwork Notice of Closed Meeting Time: 2 p.m. Reduction Act of 1995 (44 U.S.C. Place: Parklawn, Room 9C–26, 5600 Chapter 35 as amended). Pursuant to Section 10(d) of the Fishers Lane, Rockville, MD 20857. The Notice is soliciting comments Federal Advisory Committee Act, as Contact Person: Lawrence E. Chaitkin, from members of the public and affected amended (5 U.S.C. Appendix 2), notice Parklawn, Room 9C–26, 5600 Fishers Lane, agencies concerning the proposed is hereby given of the following Rockville, MD 20857, Telephone: 301–443– collection of information to: (1) Evaluate National Institute of Arthritis and 4843. whether the proposed collection of Musculoskeletal and Skin Diseases The meetings will be closed in accordance information is necessary for the proper Special Emphasis Panel (SEP) meeting: with the provisions set forth in secs. performance of the functions of the 552b(c)(4) and 552b(c)(6), Title 5, U.S.C. agency, including whether the Name of SEP: Alendronate. applications and/or proposals and the information will have practical utility; Date: February 18, 1997. discussions could reveal confidential trade (2) Evaluate the accuracy of the agency’s Time: 3:00 p.m. - adjournment. secrets or commercial property such as estimate of the burden of the proposed Place: NIAMS Review Branch, 45 Natcher patentable material and personal information Building, Bethesda, Maryland 20892. concerning individuals associated with the collection of information; (3) Enhance applications and/or proposals, the disclosure Contact Person: Melvin H. Gottlieb, Ph.D., the quality, utility, and clarity of the of which would constitute a clearly information to be collected; and (4) Natcher Building, 45 Center Drive, Rm 5AS– unwarranted invasion of personal privacy. 25U, Bethesda, Maryland 20892–6500, Minimize the burden of the collection of This notice is being published less than information on those who are to Telephone: 301–594–4952. fifteen days prior to the meetings due to the Purpose/Agenda: To evaluate and review urgent need to meet timing limitations respond; including through the use of an individual contract proposal. The meeting imposed by the review and funding cycle. appropriate automated collection will be closed in accordance with the (Catalog of Federal Domestic Assistance techniques or other forms of information provisions set forth in sections 552b(c)(4) and Program Numbers 93.242, 93.281, 93.282) technology, e.g., permitting electronic 552b(c)(6), Title 5 U.S.C. The discussion of Dated: February 13, 1997. submission of responses. This Notice also lists the following this proposal could reveal confidential trade LaVerne Y. Stringfield, information: secrets or commercial property such as Committee Management Officer, NIH. patentable material and personal information Title of Proposal: Designation of 20 [FR Doc. 97–4261 Filed 2–14–97; 8:45 am] concerning individuals associated with the Community Development Corporations BILLING CODE 4140±01±M proposal, the disclosure of which would for authority to offer tax credits for constitute a clearly unwarranted invasion of contributions. personal privacy. OMB Control Number, if applicable: DEPARTMENT OF HOUSING AND Description of the need for the This notice is being published less than 15 URBAN DEVELOPMENT information and proposed use: To days prior to the meeting due to the urgent assess progress of designated CDCs in [Docket No. FR±4200±N±25] need to meet timing limitations imposed by accomplishing the program and the review and funding cycle. Notice of Proposed Information activities for which they received (Catalog of Federal Domestic Assistance Collection for Public Comment designation. Program Nos. [93.846, Project Grants in Agency form numbers, if applicable: Arthritis, Musculoskeletal and Skin Diseases AGENCY: Office of the Assistant Members of affected public: Staff of Research], National Institutes of Health, Secretary for Community Planning and the 20 community development HHS) Development, HUD. corporations (CDCs). Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Notices 7793

Estimation of the total numbers of information is necessary for the proper collection of information from HUD hours needed to prepare the information performance of the functions of the recipients only. collection including number of agency, including whether the Authority: Section 3506 of the Paperwork respondents, frequency of response, and information will have practical utility; Reduction Act of 1995 44 U.S.C., as hours of response: (2) Evaluate the accuracy of the agency’s amended. Section 7(d) of the Department of 20 CDCs × 5 hours = maximum of 100 estimate of the burden of the proposed Housing and Urban Development Act, 42 hours by respondents annually. collection of information; (3) Enhance U.S.C. 3535(d). Status of the proposed information the quality, utility, and clarity of the Dated: February 12, 1997. collection: 7 years of reporting information to be collected; and (4) Susan M. Forward, remaining for 20 CDCs. Minimize the burden of the collection of Deputy Assistant Secretary for Enforcement Authority: Sections 3506 of the Paperwork information on those who are to and Investigations. Reduction Act of 1995, 44 U.S.C. Chapter 35, respond; including through the use of [FR Doc. 97–4137 Filed 2–19–97; 8:45 am] as amended. appropriate automated collection BILLING CODE 4210±28±M Dated: February 12, 1997. techniques or other forms of information Howard B. Glaser, technology, permitting electronic Acting Assistant Secretary for Community submission of responses. DEPARTMENT OF THE INTERIOR Planning and Development. OMB Control Number: 25290034. Description of the need for the Fish and Wildlife Service [FR Doc. 97–4136 Filed 2–19–97; 8:45 am] information and proposed use: BILLING CODE 4210±29±M The information is needed to ensure Availability of Draft Recovery Plan for that HUD’s recipients comply with the the Florida Salt Marsh Vole (Microtus Section 504 reporting requirements at: Pennsylvanicus Dukecampbelli), for [Docket No. FR±4200±N±26] • 24 CFR 8.21(c)(4) and 24 CFR 8.24 Review and Comment Notice of Proposed Information (d)—Transition Plans. Recipients must Collection for Public Comment develop transition plans setting forth AGENCY: Fish and Wildlife Service, the steps necessary to complete Interior. AGENCY: Office of the Assistant structural changes that would make ACTION: Notice of document availability Secretary for Fair Housing and Equal their programs and activities accessible and public comment period. Opportunity, HUD. to persons with disabilities; ACTION: Notice. • 24 CFR 8.51—Self Evaluation. SUMMARY: The Fish and Wildlife Service Recipients must evaluate their current (Service) announces the availability for SUMMARY: The proposed information policies and practices to determine public review of a draft recovery plan collection requirement described below whether, in whole or in part, they do for the Florida salt marsh vole (Microtus will be submitted to the Office of not or may not meet the requirements of pennsylvanicus dukecampbelli), a Management and Budget (OMB) for Section 504; federally endangered rodent that is review, as required by the Paperwork • 24 CFR 8.25(c)—Needs Assessment known from only one site in Waccasassa Reduction Act. The Department is and Transition Plan. Public/Indian Bay, near Cedar Key, Levy County, soliciting public comments on the housing authorities must assess the Florida. The Service solicits review and subject proposal. needs of current tenants and applicants comment from the public on this draft DATES: Comments due: April 21, 1997. on waiting lists for accessible units and plan. ADDRESSES: Interested persons are assess the extent to which such needs DATES: Comments on the draft recovery invited to submit comments regarding have not been met or cannot reasonably plan must be received on or before April this proposal. Comments should refer to be met. PHAs must develop transition 21, 1997 to receive consideration by the the proposal by name and/or OMB plans setting forth steps necessary to Service. Control Number and should be sent to: complete structural changes, revealed ADDRESSES: Persons wishing to review Josie D. Harrison, Reports Liaison by the needs assessment, to make their the draft recovery plan may obtain a Office, Fair Housing and Equal programs and activities accessible to copy by contacting the Field Supervisor, Opportunity, Department of Housing persons with disabilities. Jacksonville Field Office, Fish and and Urban Development, 451—7th Agency Form Numbers: None. Wildlife Service, 6620 Southpoint Drive Street, SW, Room 5124, Washington, Members of Affected Public: All South, Suite 310, Jacksonville, Florida D.C. 20410–5000. recipients of Federal financial assistance 32216 (Telephone: 904–232–2580, FAX from this Department, including public 904–232–2404). Written comments and FOR FURTHER INFORMATION CONTACT: and private non-profit organizations and Cheryl Kent (202) 708–2333, Extension materials regarding the plan should be qualified persons with disabilities. addressed to the Field Supervisor, at the 348 or (202) 708–1734 (TTY) (these are Estimation of the total number of above address. Comments and materials not toll-free numbers) for copies of the hours needed to prepare the information received are available on request for proposed forms and other available collection including number of public inspection, by appointment, documents. respondents, frequency of response, and during normal business hours at the SUPPLEMENTARY INFORMATION: The hours of response. On an annual basis, above address. Department will submit the proposed 200 respondents (HUD recipients) will information collection to OMB for submit two (2) report(s) to HUD. It is FOR FURTHER INFORMATION CONTACT: review, as required by the Paperwork estimated that four (4) hours per annual Linda Finger at the above address Reduction Act of 1995 (44 U.S.C. reporting period will be required of a (Telephone: 904–232–2580 ext. 107). Chapter 35, as amended). recipient to prepare either of the SUPPLEMENTARY INFORMATION: The Notice is soliciting comments reporting requirements for a total of from members of the public and affected 1600. Background agencies concerning the proposed Status of the proposed information Restoring endangered or threatened collection of information to: (1) Evaluate collection: Revision of a currently plants and animals to the point where whether the proposed collection of approved collection to reflect the they are secure self-sustaining members 7794 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Notices of their ecosystems is a primary goal of Availability of an Environmental or Implementing Agreement should the Service’s endangered species Assessment and Receipt of an immediately contact the above office. program. To help guide the recovery Application for an Incidental Take Documents also will be available for effort, the Service is working to prepare Permit for Obyan Beach Resort public inspection, by appointment, recovery plans for most of the listed Associates, Saipan, Commonwealth of during normal business hours at the species native to the United States. the Northern Mariana Islands above address. Recovery plans describe actions (Commonwealth) FOR FURTHER INFORMATION CONTACT: Mr. considered necessary for conservation of AGENCY: Fish and Wildlife Service, Brooks Harper, Ms. Karen Evans or Dr. the species, establish criteria for the Interior. Annie Marshall, Pacific Islands Office, 808–541–3441. recovery levels for downlisting or ACTION: Notice of availability. delisting species, and estimate time and SUPPLEMENTARY INFORMATION: Section 9 cost for implementing the recovery SUMMARY: This notice advises the public of the Endangered Species Act prohibits measures needed. that Obyan Beach Resort Associates has the ‘‘taking’’ of a species listed as applied to the U.S. Fish and Wildlife threatened or endangered. However, the The Endangered Species Act of 1973 Service for an incidental take permit U.S. Fish and Wildlife Service, under (Act), as amended (16 U.S.C. 1531 et pursuant to section 10(a)(1)(B) of the limited circumstances, may issue seq.) requires the development of Endangered Species Act of 1973, as permits to take listed species incidental recovery plans for listed species unless amended. The application has been to, and not the purpose of, otherwise such a plan would not promote the assigned permit number PRT–824821. lawful activities. Regulations governing conservation of a particular species. The proposed permit would authorize permits for threatened species are Section 4(f) of the Act, as amended in the incidental take of nightingale reed- promulgated in 50 CFR 17.32; 1988, requires that public notice, and an warblers (Acrocephalus luscinia), regulations governing permits for opportunity for public review and federally listed as endangered, and/or endangered species are promulgated in comment be provided during recovery nightingale reed-warbler habitat during 50 CFR 17.22. plan development. The Service will the construction of a proposed 36-hole consider all information presented golf course and resort. The Micronesian Background during a public comment period prior to megapode (Megapodius laperouse) also Obyan Beach Resort Associates approval of each new or revised occurs on site but is not expected to be propose to construct a 36-hole golf recovery plan. The Service and other impacted by this project. Green sea course and resort on the southeastern Federal agencies will take these turtles (Chelonia mydas) may nest at a part of Saipan, Commonwealth of the comments into account in the course of beach near the project site, but outside Northern Mariana Islands. Obyan Beach implementing approved recovery plans. of the project boundaries, and are not Resort Associates seeks coverage for expected to be impacted by this project. impacts to 814 acres that contain The Florida salt marsh vole inhabits The permit would be in effect for 50 nightingale reed-warbler habitat. To one known coastal marsh site in Levy years. compensate for project impacts, Obyan County, Florida. The vole is limited by The U.S. Fish and Wildlife Service Beach Resort Associates will: (1) two factors, an extremely restricted also announces the availability of an Minimize on-site impacts and maintain range encompassing only one known Environmental Assessment for the habitat on site for 10 pairs of nightingale population, and the threat of losing this incidental take permit application, reed-warblers, and (2) work with the population to a storm event or which includes the proposed Habitat local Commonwealth government to population fluctuations. Conservation Plan fully describing the establish the Saipan Wildlife Mitigation The immediate goal of this recovery proposed project and mitigation, and Bank, that will consist of 3 conservation the accompanying Implementing plan is to prevent extinction of the salt sites located north of the project site. Agreement. This notice is provided marsh vole by protecting the existing The mitigation sites provide suitable pursuant to section 10(a) of the habitat for nightingale reed-warbler population. The actions needed to Endangered Species Act and National recover this species are: (1) Protect (tangantangan forest and mixed Environmental Policy Act regulations tangantangan/grassland mosaic). Obyan existing population, (2) conduct surveys (40 CFR 1506.6). All comments, to locate additional populations, and (3) Beach Resort Associates will work with including names and addresses, the Commonwealth government to conduct life history studies. received will become part of the official ensure that the mitigation bank is secure Public Comments Solicited administrative record and may be made through the promulgation of regulations available to the public. and will provide funding for long-term The Service solicits written comments DATES: Written comments on the permit management of the mitigation sites. on the recovery plan. All comments application, Environmental Assessment Other measures are specified in the received by the date specified above and Implementing Agreement should be Habitat Conservation Plan to minimize will be considered prior to the approval received on or before March 24, 1997. potential for take during construction of the plans. ADDRESSES: Comments regarding the activities. application or adequacy of the The Environmental Assessment Authority Environmental Assessment and considers the environmental The authority for this action is section Implementing Agreement should be consequences of three alternatives. 4(f) of the Endangered Species Act, 16 addressed to the U.S. Fish and Wildlife Alternative 3, the proposed action, U.S.C. 1533(f). Service, Pacific Islands Office, 300 Ala consists of the issuance of an incidental Moana Blvd., Room 3108, P.O. Box take permit and implementation of the David Hankla, 50088, Honolulu, HI 96850. Please refer Habitat Conservation Plan and its Field Supervisor. to permit number PRT–824821 when Implementing Agreement. This [FR Doc. 97–4094 Filed 2–19–97; 8:45 am] submitting comments. Individuals alternative is preferred because: (1) It BILLING CODE 4310±55±P wishing to obtain review copies of the satisfies the purpose and needs of the application, Environmental Assessment, U.S. Fish and Wildlife Service and Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Notices 7795

Obyan Beach Resort Associates; (2) Bureau of Land Management Oil & Gas Company, Goldmark impacts are minimized during Engineering, Inc., W.A. Moncrief, Jr., [WY±985±0222±66] construction, and (3) incidental take is Marathon Oil Company, and John P. mitigated by the establishment of a Cave Gulch-Bullfrog-Waltman Natural Lockridge, Inc. The land ownership wildlife mitigation bank and other Gas Development Project in Natrona pattern of the Cave Gulch-Bullfrog- measures specified in the Habitat County, Wyoming; Availability of the Waltman project area is 66 percent Conservation Plan. This mitigation bank Draft Environmental Impact Statement Private, 29 percent Federal (BLM), and would be established in perpetuity for (DEIS) 5 percent State of Wyoming. The the protection of the endangered mineral ownership is as follows, 20 SUMMARY: The Bureau of Land nightingale reed-warbler and other percent Private, 77 percent Federal Management (BLM) announces the wildlife species. Alternative 2 entails (BLM), and 3 percent State of Wyoming. availability of the Cave Gulch-Bullfrog- Over the next 10 years, the operators developing the project as originally Waltman Natural Gas Development propose to drill up to 160 additional permitted by the local government. The Project Draft Environmental Impact wells where approximately 40 wells are impacts to nightingale reed-warblers on Statement (DEIS) which analyzes the currently active to obtain maximum site would be greater under this environmental consequences of the oil recovery of natural gas from existing alternative and a wildlife mitigation and gas operators proposal to continue Federal, State, and private oil and gas bank would not be established. Under to drill wells on their leased acreages leases. The area was divided into four Alternative 1, the no action alternative, within the Cave Gulch-Bullfrog- segments by the operators to allow for the U.S. Fish and Wildlife Service Waltman oil and gas project area. This better definition of the Proposed Action would not issue an incidental take development area is located in Natrona with regard to well spacing and density, permit. The area leased would then be County and generally located within based on BLM’s February 1996, likely to revert back to the Townships 36 and 37 North; Ranges 86 preliminary geologic report. The two Commonwealth government. None of and 87 West, 6th Principal Meridian. development alternatives analyze wells the existing nightingale reed-warblers The area is accessed by U.S. Highway based on areas defined in the BLM’s would be lost, at least immediately. 20/26 west of Casper, Wyoming; and, June 1996, final geologic report. After the land reverted back to the north of Waltman, Wyoming via county The DEIS describes the physical, Commonwealth, it would then be road 104. Access to the interior of the biological, cultural, historic, and socio- available for other uses. These uses Cave Gulch-Bullfrog-Waltman project economic resources in and surrounding could have greater impacts to area is provided by a road system the project area. The focus of the impact nightingale reed-warblers as a result of developed to service prior and on-going analysis was based upon resource issues subdivision and the subsequent habitat drilling and production activities. and concerns identified during public fragmentation. Under the no action DATES: Comments on the DEIS will be scoping. Potential impacts of concern alternative, the mitigation sites would accepted for 45 days following the date from development were primarily concerned with raptor breeding and not be preserved as a wildlife mitigation the Environmental Protection Agency nesting, sensitive soils, and economics. bank. publishes their Notice of Availability in the Federal Register. The EPA notice is Dated: February 5, 1997. This notice is provided pursuant to expected on or about February 14, 1997. Alan L. Kesterke, section 10(a) of the Endangered Species In addition, a public meeting will be Associate State Director. Act and the National Environmental held Tuesday, March 11, 1997. The [FR Doc. 97–4097 Filed 2–19–97; 8:45 am] Policy Act of 1969 regulations (40 CFR meeting will be located at the University 1506.6). The U.S. Fish and Wildlife of Wyoming, Natrona County BILLING CODE 4310±22±P Service will evaluate the application, Cooperative Extension Building, 2011 associated documents, and comments Fairgrounds Road, Casper, Wyoming. [UT±056±1430±01±24±1A] submitted thereon to determine whether The meeting will be in two parts the application meets the requirements beginning with an open house from 3 Mountain Valley Management of the National Environmental Policy p.m.–5 p.m. followed by a public Framework Plan; Piute Co., UT Act regulations and section 10(a) of the meeting from 7 p.m.–9 p.m. Comments AGENCY: Bureau of Land Management, Endangered Species Act. If it is on the DEIS will be entertained during Interior. the open house and the public meeting. determined that the requirements are ACTION: Notice of intent to amend plan. met, a permit will be issued for the ADDRESSES: Comments on the DEIS incidental take of the listed species. The should be sent to Ms. Kate Padilla, SUMMARY: This Notice of Intent is to final permit decision will be made no Team Leader for the Cave Gulch- advise the public that the Bureau of sooner than 30 days from the date of Bullfrog-Waltman Natural Gas Land Management (BLM) intends to this notice. Development Project EIS, Bureau of consider a proposal which would Land Management, Casper District require amending an existing planning Dated: February 12, 1997. Office, 1701 East ‘‘E’’ Street, Casper, document. Thomas J. Dwyer, Wyoming 82601. DATES: The comment period for this Acting Regional Director, Region 1, Portland, SUPPLEMENTARY INFORMATION: The DEIS proposed plan amendment will Oregon. analyzes a proposed action, two (2) commence with publication of this [FR Doc. 97–4141 Filed 2–19–97; 8:45 am] development alternatives, and the no notice. Comments must be submitted BILLING CODE 4310±55±P action alternative. The proposal within the thirty day period presented by the operators is to commencing with the publication of continue to drill additional wells on this notice. their leased acreage within this natural FOR FURTHER INFORMATION CONTACT: gas development area. The current oil Dave Henderson, Sevier River Resource and gas operators are Chevron U.S.A., Area Manager, 150 East 900 North, Barrett Resources Corporation, Prima Richfield, Utah 84701. Existing 7796 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Notices planning documents and information hereby withdrawn from settlement, sale, order unless, as a result of a review are available at the above address or location, or entry under the general land conducted before the expiration date telephone (801) 896–1500. Comments laws, including the United States pursuant to section 204(f) of the Federal on the proposed plan amendment mining laws (30 U.S.C. Ch. 2 (1988)), Land Policy and Management Act of should be sent to the above address. but not from leasing under the mineral 1976, 43 U.S.C. 1714(f) (1988), the SUPPLEMENTARY INFORMATION: The BLM leasing laws, to protect the Edson Creek Secretary determines that the is proposing to amend the Mountain Park: withdrawal shall be extended. Valley Management Framework Plan Willamette Meridian Dated: February 4, 1997. which includes public lands in Piute T. 32 S., R. 14 W., Bob Armstrong, County, Utah. The purpose of the Sec. 6, that portion of the S1⁄2, commonly Assistant Secretary of the Interior. amendment would be to identify certain called Tax Lot 32–14–06–501, as more [FR Doc. 97–4095 Filed 2–19–97; 8:45 am] lands as suitable for direct sale pursuant particularly described as follows: to Section 203 of the Federal Land Beginning at a point which is north BILLING CODE 4310±33±P ° ′ Policy and Management Act of 1976. 16 30 east 479.0 ft. from the witness The lands identified for direct sale corner for the southwest closing corner of Sec. 6; Thence east 488.3 ft.; Thence [OR±958±0777±54; GP6±0214; OR±19015, comprise 560 acres described as follows: south 9°45′ east 73.1 ft.; Thence south OR±19121] T. 29 S., R. 3 W., Section 28, SW1⁄4NE1⁄4, 59°31′ east 115.9 ft.; Thence north 78°11′ E1⁄2NW1⁄4, SW1⁄4NW1⁄4, N1⁄2SW1⁄4, east 128.9 ft.; Thence north 68°11′ east Public Land Order No. 7245; SE1⁄4SW1⁄4, SE1⁄4 and Section 33, 94.0 ft.; Thence north 72°40′ east 85.5 ft.; Revocation of Secretarial Order Dated ° ′ N1⁄2NE1⁄4 and Section 34, SW1⁄4SW1⁄4, Thence north 66 01 east 111.0 ft.; November 14, 1917, and Executive Thence north 58°27′ east 80.0 ft.; Thence Salt Lake Meridian, Utah. ° ′ Order Dated May 4, 1918; Oregon The existing plan does not identify north 67 08 east 229.8 ft.; Thence north 24°38′ east 106.7 ft.; Thence north 43°55′ AGENCY: Bureau of Land Management, these lands for disposal. However, ° ′ east 110.9 ft.; Thence north 57 46 east Interior. because of the resource values and 304.5 ft.; Thence north 5°04′ west 50.6 public values and objectives involved, ft.; Thence north 36°55′ west 126.2 ft.; ACTION: Public land order. the public interest may well be served Thence north 59°18′ east 155.3 ft.; by sale of these lands. An Thence south 39°47′ east 416.7 ft.; SUMMARY: This order revokes in their environmental assessment will be Thence south 86°19′ east 258.2 ft.; entirety a Secretarial order and an Thence north 83°22′ east 109.9 ft.; Executive order which withdrew 174.72 prepared by an interdisciplinary team to ° ′ analyze the impacts of this proposal and Thence north 83 40 east 281.1 ft.; acres of public lands for the Bureau of Thence north 19°01′ east 777.6 ft.; Land Management’s Waterpower alternatives. Thence north 67°42′ east 166.3 ft.; ° ′ Designation No. 15 and Powersite Dated: February 7, 1997. Thence north 42 53 east 363.3 ft.; Reserve No. 686. The lands are no G. William Lamb, Thence north 441.7 ft.; Thence south 11°02′ west 73.0 ft.; Thence south 52°03′ longer needed for the purposes for State Director. west 234.6 ft.; Thence west 167.0 ft.; which they were withdrawn. This [FR Doc. 97–4138 Filed 2–19–97; 8:45 am] Thence south 43°41′ west 211.0 ft.; action will open 170.22 acres to surface BILLING CODE 4310±DQ±P±M Thence south 65°42′ west 194.0 ft.; entry, which have been and will remain Thence south 88°12′ west 350.0 ft.; open to mining. The 4.50-acre balance Thence south 60°29′ west 258.9 ft.; ° ′ remains closed to surface entry and [OR±958±0777±63; GP6±0278; OR±51891] Thence south 51 16 east 51.8 ft.; Thence mining due to another existing south 2°26′ west 212.9 ft.; Thence south Public Land Order No. 7246; 9°19′ east 92.4 ft.; Thence south 59°29′ withdrawal. All of the lands have been Withdrawal for Edson Creek Park; west 158.0 ft.; Thence north 67°06′ west and will remain open to mineral leasing. 321.8 ft.; Thence south 73°23′ west 411.2 EFFECTIVE DATE: March 24, 1997. Oregon ° ′ ft.; Thence south 42 36 west 215.2 ft.; FOR FURTHER INFORMATION CONTACT: AGENCY: Bureau of Land Management, Thence south 34°54′ west 671.0 ft.; ° ′ Betty McCarthy, BLM Oregon/ Interior. Thence north 88 52 west 216.1 ft.; Thence north 68°55′ west 67.8 ft.; Washington State Office, PO Box 2965, ACTION: Public land order. Thence north 35°39′ west 428.4 ft.; Portland, Oregon 97208–2965, 503–952– Thence south 16°30′ west 612.6 ft. to 6155. SUMMARY: This order withdraws 44.48 point of beginning. By virtue of the authority vested in acres of public land from surface entry The area described contains approximately the Secretary of the Interior by Section and mining for a period of 20 years for 44.48 acres in Curry County. 204 of the Federal Land Policy and the Bureau of Land Management to Management Act of 1976, 43 U.S.C. protect the recreation site known as 2. At 8:30 a.m. on March 24, 1997, the land will be opened to operation of the 1714 (1988), it is ordered as follows: Edson Creek Park. The land will be 1. The Secretarial Order dated opened to mineral leasing. mineral leasing laws and the Geothermal Steam Act, subject to valid November 14, 1917, which established EFFECTIVE DATE: February 20, 1997. existing rights, the provisions of existing Waterpower Designation No. 15, and the FOR FURTHER INFORMATION CONTACT: withdrawals, other segregations of Executive Order dated May 4, 1918, Betty McCarthy, BLM Oregon/ record, and the requirements of which established Powersite Reserve Washington State Office, PO Box 2965, applicable law. No. 686, are hereby revoked in their Portland, Oregon 97208–2965, 503–952– 3. The withdrawal made by this order entirety: 6155. does not alter the applicability of those Willamette Meridian By virtue of the authority vested in public land laws governing the use of the Secretary of the Interior by Section Oregon and California Railroad Grant Lands the land under lease, license, or permit, (a) Waterpower Designation No. 15 204 of the Federal Land Policy and or governing the disposal of their T. 22 S., R. 5 W., Management Act of 1976, 43 U.S.C. mineral or vegetative resources other Sec. 33, SW1⁄4NE1⁄4 and E1⁄2NW1⁄4, all land 1714 (1988), it is ordered as follows: than under the mining laws. lying within 50 feet of centerline of 1. Subject to valid existing rights, the 4. This withdrawal will expire 20 transmission line. following described public land is years from the effective date of this T. 35 S., R. 5 W., Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Notices 7797

Sec. 29, W1⁄2SW1⁄4, all land lying within 50 proposal to extend and revise the operations. Trained workers are feet of centerline of transmission line. currently approved collection of necessary to avoid hazards inherent in T. 3 S., R. 3 E., information discussed below. The these operations. The MMS uses the Sec. 29, lot 4, all land lying within 50 feet Paperwork Reduction Act of 1995 (PRA) information to ensure that personnel of centerline of transmission line. receive the minimum training necessary T. 2 S., R. 4 E., provides that an agency may not Sec. 1, that portion of Tract 37 within the conduct or sponsor, and a person is not for safety of operations and protection of NE1⁄4NW1⁄4. required to respond to, a collection of the environment. We also use the (b) Powersite Reserve No. 686 and information unless it displays a information to evaluate training Waterpower Designation No. 15 currently valid Office of Management programs for technical accuracy and to T. 41 S., R. 4 E., and Budget (OMB) control number. verify that they incorporate appropriate 1 1 1 1 Sec. 3, lot 3, SE ⁄4NW ⁄4, NE ⁄4SW ⁄4, and DATES: instruction and testing activities. 1 1 Submit written comments by NW ⁄4SE ⁄4. April 21, 1997. The MMS just recently revised the The areas described in (a) and (b) above subpart O regulations and published a ADDRESSES: Direct all written comments aggregate approximately 174.72 acres in final rule on February 5, 1997 (62 FR to Rules Processing, Minerals Clackamas, Douglas, Jackson, and Josephine 5320). The effective date of the final rule Management Service, Mail Stop 4700, Counties. is March 7, 1997. The amended 381 Elden Street, Herndon, Virginia regulations simplify the training options 2. The following described land is 20170–4817. within the boundary of Power Project and provide flexibility to use alternative FOR FURTHER INFORMATION CONTACT: No. 477 and will remain closed to the training methods. The rule was Alexis London, Rules Processing, operation of the public land laws, rewritten in ‘‘plain English.’’ The Minerals Management Service, including the mining laws: revision made no significant changes to telephone (703) 787–1600. T. 2 S., R. 4 E., the information collection requirements. Sec. 1, that portion of Tract 37 within the SUPPLEMENTARY INFORMATION: During the proposed rulemaking 1 1 process, only one comment was NE ⁄4NW ⁄4. Title: 30 CFR Part 250, Subpart O, The area described contains approximately Training of Lessee and Contractor received with respect to the information 4.50 acres. Employees Engaged in Oil and Gas and collection aspects of the rule. The commenter(s) contended that schools 3. At 8:30 a.m. on March 24, 1997, the Suphur Operations in the Outer should not need to continue lands described in paragraph 1, except Continental Shelf (OCS). maintaining training records for 5 years as provided in paragraph 3, will be Abstract: The OCS Lands Act because of the new training period. The opened to such forms of disposition as (OCSLA) and its Amendments of 1978 MMS disagreed and kept the 5-year may by law be made of Revested Oregon give the Secretary of the Interior the retention period in the regulations in and California Railroad Grant Lands, responsibility to preserve, protect, and order to have the maximum time to subject to valid existing rights, the develop oil and gas resources in the review records under the statute of provisions of existing withdrawals, OCS consistent with the need to make such resources available to meet the limitations. other segregations of record, and the Proprietary or confidential Nation’s energy needs as rapidly as requirements of applicable law. All information will be protected according possible; balance orderly energy valid applications received at or prior to to the Freedom of Information Act and resource development with protection 8:30 a.m., on March 24, 1997, shall be 30 CFR 250.18, Data and information to of human, marine, and coastal considered as simultaneously filed at be made available to the public. environments; ensure the public a fair that time. Personal information will be protected and equitable return on resources of the 4. The State of Oregon has waived its according to the Privacy Act. The OCS; and preserve and maintain free preference right for public highway collection does not include items of a enterprise competition. Section 1332(6) rights-of-way or material sites as sensitive nature. The requirement to of the OCSLA states that ‘‘operations in provided by the Federal Power Act of response is mandatory. June 10, 1920, 16 U.S.C. 818 (1988). the outer Continental Shelf should be Description of Respondents: Federal conducted in a safe manner by well- Dated: February 4, 1997. OCS oil and gas and sulphur lessees and trained personnel using technology, training organizations. Bob Armstrong, precautions, and techniques sufficient Assistant Secretary of the Interior. Frequency: On occasion. to prevent or minimize the likelihood of Estimated Number of Respondents: [FR Doc. 97–4096 Filed 2–19–97; 8:45 am] blowouts, loss of well control, fires, 130 lessees and 54 training BILLING CODE 4310±33±P spillages, physical obstruction to other organizations. users of the waters or subsoil and Estimated Annual Burden: 3,947 seabed, or other occurrences which may Minerals Management Service burden hours. Based on $35 per hour, cause damage to the environment or to the cost to respondents is $138,145. Agency Information Collection property, or endanger life or health.’’ Estimated Other Annual Costs to To do this, MMS has issued Activities: Proposed Collection; Respondents: MMS has identified no regulations governing OCS oil and gas Comment Request other cost burdens on respondents for and sulphur lease operations The rules providing this information. AGENCY: Minerals Management Service governing training of lessee and OMB Number: 1010–0078. (MMS), Interior. contractor personnel operating in the Comments: The MMS will summarize ACTION: Notice of extension and revision OCS are prescribed in 30 CFR Part 250, written responses to this notice and of a currently approved information Subpart O. The MMS needs the address them in its submission for OMB collection. information collected under subpart O approval. All comments will become a to ensure that lessee and contractor matter of public record. We will also SUMMARY: As part of its continuing effort personnel are properly trained in the consult with a representative sample of to reduce paperwork and respondent use of equipment and procedures in respondents. The estimates shown burden, MMS invites the public and drilling, well completion/workover, above are those currently approved by other Federal agencies to comment on a well servicing, and production OMB for this collection of information. 7798 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Notices

As a result of the consultations and Bureau Clearance Officer: Caole A. comment in the Federal Register on comments we receive, we will make any deWitt, (703) 787–1242. August 7, 1995; no further changes were necessary adjustments for our Dated: February 13, 1997. made. submission to OMB. In calculating the E.P. Danenberger, Dated: February 13, 1997. burden, MMS assumes that respondents Robert K. Yearout, perform many of the requirements and Chief, Engineering and Operations Division. [FR Doc. 97–4193 Filed 2–19–97; 8:45 am] Acting Associate Director, Park Operations maintain records in the normal course and Education. of their activities. MMS considers these BILLING CODE 4310±MR±M [FR Doc. 97–4180 Filed 2–19–97; 8:45 am] to be usual and customary. Commenters are invited to provide information if BILLING CODE 4810±70±M they disagree with this assumption and National Park Service they should tell us what the burden AGENCY: National Park Service, Interior. National Register of Historic Places; hours and costs imposed by this ACTION: Publication of certain Notification of Pending Nominations collection of information are. concession policies and procedures. (1) The MMS specifically solicits Nominations for the following comments on the following questions: SUMMARY: The National Park Service properties being considered for listing (a) Is the proposed collection of (NPS) authorizes private businesses in the National Register were received information necessary for the proper known as concessioners to provide by the National Park Service before performance of MMS’s functions, and necessary and appropriate visitor February 8, 1997. will it be useful? facilities and services in areas of the Pursuant to section 60.13 of 36 CFR (b) Are the estimates of the burden National Park System. NPS is Part 60 written comments concerning hours of the proposed collection undertaking a review of its policies and the significance of these properties reasonable? procedures concerning concession under the National Register criteria for (c) Do you have any suggestions that management activities. Certain policy evaluation may be forwarded to the would enhance the quality, clarity, or and procedural changes have been National Register, National Park Service, usefulness of the information to be published for comment previously. P.O. Box 37127, Washington, D.C. collected? Pending completion of a full review, 20013–7127. Written comments should (d) Is there a way to minimize the NPS is publishing the remainder of its be submitted by March 7, 1997. information collection burden on those staff manual (NPS–48) dealing with the who are to respond, including through Carol D. Shull, administration of concession Keeper of the National Register. the use of appropriate automated authorizations for comment. Although electronic; mechanical, or other forms of not required by law to seek public ARKANSAS information technology? comment on these policies and Logan County (2) In addition, the PRA requires procedures, NPS will consider all Logan County Courthouse, Southern Judicial agencies to estimate the total annual comments received in a timely manner. cost burden to respondents or District, Jct. of 4th and N. Broadway Sts., COMMENT DUE DATE: March 24, 1997. SE corner, Booneville, 97000207 recordkeepers resulting from the collection of information. The MMS ADDRESSES: Comments should be COLORADO needs your comments on this item. Your addressed to Robert Yearout, Program Manager, Concessions Program, Douglas County response should split the cost estimate Lamb Spring, (Prehistoric Paleo-Indian into two components: National Park Service, P.O. Box 37127, Washington, D.C. 20013–7127. Cultures of the Colorado Plains MPS) (a) Total capital and startup cost Address Restricted, Littleton vicinity, component and FOR FURTHER INFORMATION CONTACT: 97000208 (b) Annual operation, maintenance, Copies of those sections of NPS–48 and purchase of service component. which have not been published for FLORIDA Your estimates should consider the comment previously may be obtained by Hernando County, costs to generate, maintain, and disclose contacting Wendelin Mann, May—Stringer House, 601 Museum Crt., or provide the information. You should Concessions Program, National Park Brooksville, 97000210 describe the methods you use to Service (202) 565–1219. Indian River County estimate major cost factors including SUPPLEMENTARY INFORMATION: The system and technology acquisition, Pueblo Arcade, 2044 14th St., Vero Beach, following sections of NPS–48 have been 97000211 expected useful life of capital published for comment previously and equipment, discount rate(s), and the are not included under this notice: Manatee County period over which you incur costs. 1. NPS Franchise Fee Determination Whitfield Estates Lantana Avenue Historic Capital and startup costs include, System: Published for comment in the District, (Whitfield Estates Subdivison among other items, computers and Federal Register on August 7, 1985; MPS) 332—336 Lantana Ave., Sarasota software you purchase to prepare for final notice published in the Federal vicinity, 97000209 collecting information; monitoring, Register on December 31, 1996. IOWA sampling, drilling, and testing 2. Sample Prospectus and Related Buchanan County equipment; and record storage facilities. Guidelines: Rescinded Chapters 6, 7, 8 Generally, your estimates should not and 11 of NPS–48. Published for Fisher—Plane Commercial Building, 119 and 121 1st St., E., Independence, 97000212 include equipment or services purchase: comment in the Federal Register on Fuhrman, Mathias C. and Eva B. Crowell, (1) Before October 1, 1995; (2) to comply March 17, 1994; final notice published Farm, 1780 185th St., Independence with requirements not associated with in the Federal Register on February 22, vicinity, 97000213 the information collection; (3) for 1995. reasons other than to provide 3. Revision of Commercial Use MISSISSIPPI information or keep records for the License Program to Incidental Business Hinds County Government; or (4) as part of customary Permit Program: Rescinded Chapter 13 Cain Hall (Raymond and Vicinity MRA) and usual business or private practices. of NPS–48. Adopted and published for Hinds Community College, approximately Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Notices 7799

.75 mi. W of jct. of MS 18 and MS 467, WYOMING Dr. Brian A. Reaves, Bureau of Justice Raymond, 97000214 Crook County Statistics, Office of Justice Programs, U.S. Department of Justice, Room 303, Marshall County Ranch A, Off Riflepit Rd., approximately 3 633 Indiana Avenue, NW., Washington, Jonesboro, Lake City & Eastern Railroad mi. E of US 14—I–90, Ranch A National Depot (Historic Railroad Depots of Fish Genetics Laboratory, Beulah vicinity, DC 20531. Additionally, comments may Arkansas MPS) Jct. of S. Dewey and 97000227 be submitted to the Department of Baltimore Sts., NW corner, Manila, [FR Doc. 97–4079 Filed 2–19–97; 8:45 am] Justice, Justice Management Division, 97000206 BILLING CODE 4310±70±P Information Management and Security Staff, Attention: Department Clearance NEVADA Officer, Suite 850, Washington, Center, Storey County DEPARTMENT OF JUSTICE 1001 G Street, NW., Washington, DC King House, 26—28 S. Howard St., Virginia 20530. City, 97000216 Office of Justice Programs Overview of this information Piper’s Opera House, 1, 3, and 5 N. B St., collection: Virginia City, 97000217 Bureau of Justice Statistics; Agency Silver Terrace Cemeteries, E St., northern Information Collection Activities: (1) Type of Information Collection: terminus, Virginia City, 97000215 Proposed Collection; Comment New Collection. Request NEW YORK (2) Title of the Form/Collection: 1997 Sample Survey of Law Enforcement Kings County ACTION: Notice of Information Collection Under Review; 1997 Sample Survey of Agencies. Green—Wood Cemetery, Jct. of 5th Ave. and Law Enforcement Agencies. 25th St., Brooklyn, 97000228 (3) Agency form number, if any, and the applicable component of the NORTH CAROLINA The proposed information collection is published to obtain comments from Department of Justice sponsoring the Wake County the public and affected agencies. collection. Form: CJ–44, CJ–44A. Bureau Leslie—Alford—Mims House (Wake County Comments are encouraged and will be of Justice Statistics, Office of Justice MPS) 100 Avent Ferry Rd., Holly Springs, accepted until April 21, 1997. Programs, United States Department of 97000218 We request written comments and Justice. PENNSYLVANIA suggestions from the public and affected (4) Affected public who will be asked agencies concerning the proposed or required to respond, as well as a brief Bedford County collection of information. Your abstract: Primary: State, local or tribal Grand View Point Hotel (Lincoln Highway comments should address one or more government. Other: None. These forms Heritage Corridor Historic Resources: of the following four points: will be used to collect administrative Franklin to Westmoreland Counties MPS) (1) Evaluate whether the proposed and management statistics from a US 30, 17 mi. W of Bedford, Juniata collection of information is necessary nationally representative sample of Twnshp., Bedford vicinity, 97000219 for the proper performance of the State and local law enforcement TENNESSEE functions of the agency, including agencies in the United States in order to whether the information will have Knox County provide basic information on their practical utility; workload and resources. Asbury Methodist Episcopal Church, South (2) Evaluate the accuracy of the (Knoxville and Knox County MPS) 2820 agencies estimate of the burden of the (5) An estimate of the total number of Asbury Rd., Knoxville vicinity, 97000222 proposed collection of information, respondents and the amount of time First Baptist Church (Knoxville and Knox including the validity of the estimated for an average respondent to County MPS) 510 Main Ave., Knoxville, metho9dology and assumptions used; respond: 3,400 respondents at 1.27 97000223 (3) Enhance the quality, utility, and hours per response. This includes 2 Fourth and Gill Historic District (Boundary hours per response for 925 respondents Decrease), 803, 807, 815, 820, 816, 812, clarity of the information to be 808, 804, 800 N. 4th St., Knoxville, collected; and to Form CJ–44 and 1 Hour per response 97000220 (4) Minimize the burden of the for 2,475 respondents to Form CJ–44A. collection of information on those who Shelby County (6) An estimate of the total public are to respond, including through the burden (in hours) associated with the South Main Street Historic District use of appropriate automated, collection: 4,325 annual burden hours. (Boundary Increase), 663 S. Main St., electronic, mechanical, or other Memphis, 97000224 technological collection techniques or If additional information is required Tipton County other forms of information technology, contact: Mr. Robert B. Briggs, Clearance e.g., permitting electronic submission of Officer, United States Department of East Main Street Historic District, Address responses. Justice, Information Management and Restricted, Hartsville vicinity, 97000221 Comments and/or suggestions Security Staff, Justice Management UTAH regarding the item(s) contained in this Division, Suite 850, Washington Center, Cache County notice, especially regarding the 1001 G Street, NW., Washington, DC estimated public burden and associated 20530. Olson, Erick Lehi and Ingrid Larsen, House, response time should be directed to Dr. 490 East 600 South, River Heights, Dated: February 13, 1997. Brian A. Reaves at the address listed 97000225 below. If you have additional Robert B. Briggs, Summit County comments, suggestions, or need a copy Department Clearance Officer, United States Grix, John, Cabin, .25 mi W of UT 150, of the proposed information collection Department of Justice. approximately 20 mi. NE of Kamas, Kamas instrument with instructions, or [FR Doc. 97–4105 Filed 2–19–97; 8:45 am] vicinity, 97000226 additional information, please contact, BILLING CODE 4410±18±M 7800 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Notices

Office of Juvenile Justice and notice, especially regarding the DEPARTMENT OF LABOR Delinquency Prevention; Agency estimated public burden and associated Information Collection Activities: response time should be directed to Eric Employment and Training Proposed Collection; Comment Peterson at the address listed below. If Administration Request you have additional comments, Proposed Information Collection; Work suggestions, or need a copy of the ACTION: Notice of Information Collection Opportunity Tax Credit Comment Under Emergency Review; State Input proposed information collection Request for the 1996 Report to Congress on Title instrument with instructions, or V Community Prevention Grants. additional information, please contact ACTION: Notice. Eric Peterson (202–616–3644), Office of SUMMARY: The Department of Justice, Office of Juvenile Justice and Delinquency The Department of Labor, as part of its continuing effort to reduce Justice Programs, Office of Juvenile Prevention, Office of Justice Programs, paperwork and respondent burden Justice and Delinquency Prevention Department of Justice, 633 Indiana conducts a preclearance consultation (OJDDP) has submitted the following Avenue, NW, Washington, DC 20531. information collection request to the program to provide the general public Office of Management and Budget Overview of this information and Federal agencies with an (OMB) for review and clearance in collection: opportunity to comment on proposed accordance with the emergency review (1) Type of Information Collection: and/or continuing collections of procedures of the Paperwork Reduction New collection. information in accordance with the Act of 1995. The proposed information Paperwork Reduction Act of 1995 (2) Title of the Form/Collection: State collection is published to obtained (PRA95) (44 U.S.C. 3506(c)(2)(A)). This Input for the 1996 Report to Congress on comments from the public and affected program helps to ensure that requested agencies. Emergency review and Title V Community Prevention Grants. data can be provided in the desired approval of this collection has been (3) Agency form number, if any, and format, reporting burden (time and requested from OMB by February 21, the applicable component of the financial resources) is minimized, 1997. If granted, the emergency Department of Justice sponsoring the collection instruments are clearly approval is only valid for 180 days. collection. Form: None. Office of understood, and the impact of collection Comments should be directed to OMB, Juvenile Justice and Delinquency requirements on respondents can be Office of Information and Regulatory Prevention, Office of Justice Programs, properly assessed. Currently, the Affairs, Attention: Ms. Victoria Department of Justice. Employment and Training Wassmer, 202–395–5871, Department of Administration is soliciting comments Justice Desk Officer, Washington, DC, (4) Affected public who will be asked concerning the proposed extension of 20530. or required to respond, as well as a brief the Work Opportunity Tax Credit During the first 60 days of this same abstract: Primary: State and local units Reporting Requirements. period a regular review of this of government. Other: None. The A copy of the proposed information information collection is also being information collected with this form collection request (ICR) can be obtained undertaken. Comments are encouraged will allow OJJDP to report to Congress by contacting the office listed below in and will be accepted until April 21, on the status of Title V program the addressee section of this notice. 1997. The agency requests written implementation, grant activity in the DATES: Written comments must be comments and suggestions from the past fiscal year, and promising local submitted to the office listed in the public and affected agencies concerning delinquency prevention programs. addressee section below on or before the proposed collection of information. (5) An estimate of the total number of April 21, 1997. The Department of Labor Your comments should address one or respondents and the amount of time is particularly interested in comments more of the following four points: estimated for an average respondent to which: (1) evaluate whether the proposed • Evaluate whether the proposed collection of information is necessary respond: 57 respondents at 1 hour per response. collection of information is necessary for the proper performance of the for the proper performance of the functions of the agency, including (6) An estimate of the total public functions of the agency, including whether the information will have burden (in hours) associated with the whether the information will have practical utility; collection: 57 annual burden hours. practical utility; (2) evaluate the accuracy of the If additional information is required • Evaluate the accuracy of the agencies estimate of the burden of the agency’s estimate of the burden of the proposed collection of information, contact: Mr. Robert B. Briggs, Clearance proposed collection, including the including the validity of the Officer, United States Department of validity of the methodology and methodology and assumptions used; Justice, Information Management and Security Staff, Justice Management assumptions used; (3) enhance the quality, utility, and • clarity of the information to be Division, Suite 850, Washington Center, Enhance the quality, utility, and collected; and 1001 G Street, NW, Washington, DC clarification of the information to be (4) minimize the burden of the 20530. collected; and • Minimize the burden of the collection of information on those who Dated: February 13, 1997. are to respond, including through the collection of information on those who use of appropriate automated, Robert B. Briggs, are to respond, including through the electronic, mechanical, or other Department Clearance Officer, United States use of appropriate automated, technological collection techniques or Department of Justice. electronic, mechanical, or other other forms of information technology, FR Doc. 97–4106 Filed 2–19–97; 8:45 am] technological, e.g., permitting e.g., permitting electronic submission of BILLING CODE 4410±18±M submissions of responses. responses. ADDRESSES: Carmen Ortize, U.S. Comments and/or suggestions Employment Service, Employment and regarding the item(s) contained in this Training Administration, U.S. Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Notices 7801

Department of Labor, Room N–4470, of Labor regional office. The data will be collections and to provide a significant 200 Constitution Avenue, NW., use, primarily, to supplement IRS Form source of information for the Secretary’s Washington, DC 20210, 202–219–5185 8850, help expedite the processing of, Annual Report to Congress on the (this is not a toll-free number). either, employer requests for WOTC Program. The data recorded Certification generated through IRS through the use of these forms will also SUPPLEMENTARY INFORMATION: Form 8850 or issuance of Conditional help in the preparation of an annual I. Background Certifications (CCs) and processing of report to the Committee on Ways and employer requests for Certifications as a Means of the U.S. House of The Employment and Training result of individuals’ bearing SESAs or Representatives. Administration (ETA) has oversight participating agencies’ generated CCs, Type of Review: Extension. responsibilities for the Work help streamline SESAs verification Opportunity Tax Credit (WOTC) under Agency: Employment and Training mandated activities, aid and expedite Administration. the Small Business Jobs Protection Act the preparation of the quarterly reports. of 1996 (Pub. L. 104–188). Data Title: Work Opportunity Tax Credit collected on the WOTC will be collected II. Current Actions (WOTC). by the State Employment Security This is a request for OMB approval of OMB Number: 1205–0371. Agencies and provided to the U.S. an extension of an existing collection of Agency Number: ETA 9057–9059, Employment Service, Division of information previously approved by 9061–9063, and 9065. Planning and Operations, Washington, OMB. The extension will allow the Affected Public: State, Local or Tribal DC, through the appropriate Department Department to continue these data Government.

Cite/Reference Total Frequency Total Average time Burden respondents responses per response

ETA 9057 ...... 52 Quarterly ..... 208 8 hours ...... 1,664 ETA 9058 ...... 52 Quarterly ..... 208 8 hours ...... 1,664 ETA 9059 ...... 52 Quarterly ..... 208 8 hours ...... 1,664 ETA 9061±9063 & 9065 ...... 7,800 As needed ... 7,800 20 min. ea. .. 2,600 Record keeping ...... 52 Annually ...... 52 997 ...... 51,844

Totals ...... 9,048 ...... 59,436

Total Burden Cost (capital/startup): laborers and mechanics employed on current construction industry wage

Agenda: To review and evaluate earth Special Emphasis Panel in Electrical Purpose of Meeting: To provide advice and sciences as part of the selection process and Communications Systems; Notice recommendations concerning proposals for awards. of Meeting submitted to NSF for financial support. Reason for Closing: The proposals Agenda: To review and evaluate **PFET being reviewed include information of a In accordance with the Federal regular research ** proposals as part of the proprietary or confidential nature, Advisory Committee Act (Pub. L. 92– selection process for awards. 463, as amended), the National Science including technical information; Reason for Closing: The proposals being Foundation announces the following financial data, such as salaries; and reviewed include information of a meeting: proprietary or confidential nature, including personal information concerning technical information; financial data, such as individuals associated with proposals. NAME: Special Emphasis Panel in Electrical and Communications System salaries; and personal information These matters are exempt under 5 concerning individuals associated with the U.S.C. 552b(c), (4) and (6) of the (1196). DATE AND TIME: March 10, 1997; 8:30 proposals. These matters are exempt under 5 Government in the Sunshine Act. a.m. to 5:00 p.m. U.S.C. 552b(c), (4) and (6) of the Government Dated: February 13, 1997. PLACE: Room 330, National Science in the Sunshine Act. Linda Allen-Benton, Foundation, 4201 Wilson Boulevard, Dated: February 13, 1997. Arlington, VA. Deputy Director, Division of Human Resource Linda Allen-Benton, Management, Acting Committee Management TYPE OF MEETING: Closed. Officer. CONTACT PERSON: Dr. Virginia Ayres, Deputy Director, Division of Human Resource Program Director, Physical Foundations of Management, Acting Committee Management [FR Doc. 97–4153 Filed 2–19–97; 8:45 am] Enabling Technologies Division of Electrical Officer. BILLING CODE 7555±01±M and Communications Systems, NSF, 4201 [FR Doc. 97–4151 Filed 2–19–97; 8:45 am] Wilson Boulevard, Room 675, Arlington, VA 22230, Telephone: (703) 306–1339. BILLING CODE 7555±01±M Special Emphasis Panel in Computer PURPOSE: To provide advice and and Computation Research; Notice of recommendations concerning proposals Meeting submitted to NSF for financial support. Special Emphasis Panel in AGENDA: To review and evaluate research Mathematical Sciences; Notice of In accordance with the Federal proposals as part of the selection process for Meeting Advisory Committee Act (Pub. L. 92– awards. REASON FOR CLOSING: The proposals In accordance with the Federal 463, as amended), the National Science being reviewed include information of a Foundation announces the following proprietary or confidential nature, including Advisory Committee Act (Pub. L. 92– meeting: technical information; financial data, such as 463, as amended), the National Science Name: Special Emphasis Panel in salaries; and personal information Foundation announces the following Computer and Computation Research (1192). concerning individuals associated with the meeting: proposals. These matters are within Date: March 10, 1997. Name and Committee Code: Special Time: 8:30 a.m.–5:00 p.m. exemptions 4 and 6 of 5 U.S.C. 552b.(c)(4) and (6) of the Government in the Sunshine Emphasis in Mathematical Sciences (1204). Place: National Science Foundation, 4201 Date and Time: March 10–12, 1997; 8:00 Wilson Boulevard, Arlington, VA, 22230 Act. Dated: February 13, 1997. a.m. until 5:00 p.m. Room: 1150. Place: Room 1020, National Science Type of meeting: Closed. Linda Allen-Benton, Foundation, 4201 Wilson Boulevard, Contact person(s): Frank D. Anger, Program Deputy Director, Division of Human Resource Director, Software Engineering and Language Arlington, VA 22230. Management, Acting Committee Management Type of meeting: Closed. Program, CISE/CCR, Room 1145, National Officer. Contact Person: Dr. Joe W. Jenkins, Science Foundation, 4201 Wilson Boulevard, [FR Doc. 97–4152 Filed 2–19–97; 8:45 am] Arlington, Virginia 22230. Program Director, National Science Telephone: (703) 306–1911. BILLING CODE 7555±01±M Foundation, 4201 Wilson Boulevard, Purpose of meeting: To provide advice and Arlington, VA 22230. Telephone: (703) 306– recommendations for the Software 1879. Engineering and Language Program (SEL) by Special Emphasis Panel in Electrical Purpose of Meeting: To provide advice and reviewing a group of approximately 12 and Communications Systems; Notice recommendations concerning proposals proposals responding to an initiative in of Meeting submitted to NSF for financial support. Evolutionary Development of Complex In accordance with the Federal Agenda: To review and evaluate proposals Software for that program. concerning the Operator Algebra/Operator Advisory Committee Act (Pub. L. 92– Agenda: Review and evaluate SEL Theory (OA/OT) Program, as part of the proposals as a part of the selection process 463, as amended), the National Science selection process for awards. for awards. Foundation announces the following Reason for Closing: The proposals being Reason for closing: The proposals being meeting: reviewed include information of a reviewed include information of a Name: Special Emphasis Panel in proprietary or confidential nature, including proprietary or confidential nature, including Electrical and Communications Systems technical information; financial data, such as technical information, financial data, such as (1196). salaries, and personal information salaries and personal information concerning Date and Time: March 10 & 11, 1997; 8:30 individuals associated with the proposals. concerning individuals associated with the AM–5:00 PM. proposals. These matters are within These matters are exempt under 5 U.S.C. Place: Room 680 on 3/10 & 11, National 552b(c) (4) and (6) of the Government in the exemptions (4) and (6) of 5 U.S.C. 552b(c), Science Foundation, 4201 Wilson Boulevard, Sunshine Act. the Government in the Sunshine Act. Arlington, VA. Dated: February 13, 1997. Type of Meeting: Closed. Dated: February 13, 1997. Linda Allen-Benton, Contact Persons: Dr. Rajinder Khosla, Linda Allen-Benton, Program Director, Physical Foundations of Deputy Director, Division of Human Resource Deputy Director, Division of Human Resource Enabling Technologies (PFET), Division of Management, Acting Committee Management Management, Acting Committee Management Electrical and Communications Systems, Officer. Officer. National Science Foundation, 4201 Wilson [FR Doc. 97–4150 Filed 2–19–97; 8:45 am] Blvd., Room 675, Arlington, VA 22230. [FR Doc. 97–4149 Filed 2–19–97; 8:45 am] BILLING CODE 7555±01±M Telephone: (703) 306–1339. BILLING CODE 7555±01±M 7804 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Notices

NATIONAL TRANSPORTATION Issued in Washington, DC on this 13th day operation within the analyzed core operating SAFETY BOARD of February, 1997. limits and the appropriate actions will be Jim Hall, taken if the limits are exceeded. The cycle specific limits within the OLR will be Reporting StatisticsÐAirlines Chairman. implemented and controlled by plant [FR Doc. 97–4159 Filed 2–19–97; 8:45 am] procedures. Any needed revisions of the AGENCY : National Transportation Safety BILLING CODE 7533±01±M limit values in the OLR will be performed Board. based on NRC approved methodology as delineated in TS 6.9.1.9. Each accident ACTION: Notice of statistical reporting analysis addressed in the Byron and changes. NUCLEAR REGULATORY COMMISSION Braidwood Updated Final Safety Analysis Report (UFSAR) will be examined with SUMMARY: On January 7, 1997, the NTSB [Docket Nos. STN 50±454, STN 50±455, STN respect to changes in cycle dependent adopted a system for classifying airline 50±456 and STN 50±457] parameters. These parameters are obtained accidents by their severity. This system from the application of NRC approved reload is a minor revision of a proposal Commonwealth Edison Company; design methodologies, to ensure that the transient evaluation of new reloads are published in the Federal Register on Notice of Consideration of Issuance of Amendments to Facility Operating bounded by previously accepted analysis. December 5, 1996. An improved This examination, which will be performed classification system providing more Licenses, Proposed no Significant under the requirements of 10 CFR 50.59 meaningful measures of the level of Hazards Consideration Determination, process, ensures that future reloads will not safety of airline transportation was and Opportunity for a Hearing involve a significant increase in the required by the FAA Reauthorization The U.S. Nuclear Regulatory probability or consequences of an accident Act of 1996. This notice describes previously evaluated. Commission (the Commission) is Therefore, the proposed changes do not changes in the adopted version from the considering issuance of amendments to involve a significant increase in the proposed classification system and Facility Operating License Nos. NPF–37, probability or consequences of an accident additional accident parameters, many NPF–66, NPF–72, and NPF–77 issued to previously evaluated. focusing on passenger injuries. The Commonwealth Edison for operation of 2. The proposed changes do not create the NTSB will remain open to suggestions the Byron Station, Units 1 and 2, located possibility of a new or different kind of for improving the content and format of in Ogle County, Illinois and Braidwood accident from any accident previously its statistics. Station, Units 1 and 2, located in Will evaluated. County, Illinois. The relocation of the cycle specific DATES: variables has no influence or impact, nor The NTSB adopted the new The proposed amendments would classification system on January 7, 1997. does it contribute in any way to the relocate certain cycle-specific parameter probability or consequences of any new or ADDRESSES: Comments and suggestions limits from the Technical Specifications different kind of accident. No safety related may be submitted to: Analysis and Data to the Operating Limits Report (ORL). equipment, safety function or plant Division (RE–50), ATTN: Airline Before issuance of the proposed operations will be altered as a result of this Statistics, National Transportation license amendments, the Commission proposed change. The cycle specific variables Safety Board, 490 L’Enfant Plaza, S.W., will have made findings as required by are calculated using NRC approved methods Washington, D.C. 20594–2000. the Atomic Energy Act of 1954, as and submitted to the NRC for their review to amended (the Act) and the allow the Staff to continue to trend the values FOR FURTHER INFORMATION CONTACT: Stan Commission’s regulations. of these limits. The Technical Specifications Smith (202) 314–6550. will continue to require operation within the The Commission has made a analyzed core operating limits and SUPPLEMENTARY INFORMATION: The Safety proposed determination that the appropriate actions will be taken, when, or Board retained its proposed four- amendments requested involve no if, the limits are exceeded. category system but re-designated the significant hazards consideration. Under Therefore, the proposed changes do not in second category ‘‘Serious’’ rather than the Commission’s regulations in 10 CFR any way create the possibility of a new or ‘‘Severe.’’ A cautionary note was added 50.92, this means that operation of the different kind of accident from any accident facility in accordance with the proposed previously evaluated. to the list of accidents in which one or 3. The proposed change does not involve more passengers received fatal injuries. amendments would not (1) involve a significant increase in the probability or a significant reduction in a margin of safety That note reads: for the following reasons: consequences of an accident previously The NTSB wishes to make clear to all users The margin of safety is not affected by the evaluated; or (2) create the possibility of relocation of cycle specific core operating of the following list of accidents that the a new or different kind of accident from limits from the Technical Specifications. The information it contains cannot, by itself, be any accident previously evaluated; or margin of safety presently provided by used to compare the safety either of operators (3) involve a significant reduction in a current Technical Specifications remains or of aircraft types. Airlines that have margin of safety. As required by 10 CFR unchanged. Appropriate measures exist to operated the greatest number of flights and 50.91(a), the licensee has provided its control the values of these cycle specific flight hours could be expected to have analysis of the issue of no significant limits. The proposed amendment continues suffered the greatest number of fatal-to- hazards consideration, which is to require operation within the core limits as obtained from the NRC approved reload passenger accidents (assuming that such presented below: accidents are random events, and not the design and safety analysis methodologies. result of some systematic deficiency). 1. The proposed Technical Specification Appropriate actions are required to be taken, Similarly, the most used aircraft types would changes do not involve a significant increase when, or if, these limits are exceeded. in the probability or consequences of an The development of the limits for future tend to be involved in such accidents more accident previously evaluated. reloads will continue to conform to those than lesser used types. The NTSB also The relocation of the cycle-specific core methods described in the NRC approved cautions the user to bear in mind when operating limits from the Technical documentation. In addition, each future attempting to compare today’s airline system Specifications has no influence or impact on reload will involve a 10 CFR 50.59 safety to prior years that airline activity (and hence the probability or consequences of any review to assure that operation of the Byron exposure to risk) has risen by almost 100% accident previously evaluated. The Technical and Braidwood units within the cycle from the first year depicted to the last. Specifications will continue to require specific limits will not involve a reduction in Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Notices 7805 the margin of safety as defined in the basis any person whose interest may be litigated in the matter. Each contention for any Technical Specification. affected by this proceeding and who must consist of a specific statement of Therefore, the proposed changes do not wishes to participate as a party in the the issue of law or fact to be raised or impact operation of the plant in a manner proceeding must file a written request controverted. In addition, the petitioner that involves a significant reduction in the margin of safety. for a hearing and a petition for leave to shall provide a brief explanation of the intervene. Requests for a hearing and a bases of the contention and a concise The NRC staff has reviewed the petition for leave to intervene shall be statement of the alleged facts or expert licensee’s analysis and, based on this filed in accordance with the opinion which support the contention review, it appears that the three Commission’s ‘‘Rules of Practice for and on which the petitioner intends to standards of 10 CFR 50.92(c) are Domestic Licensing Proceedings’’ in 10 rely in proving the contention at the satisfied. Therefore, the NRC staff CFR Part 2. Interested persons should hearing. The petitioner must also proposes to determine that the consult a current copy of 10 CFR 2.714 provide references to those specific amendments requested involve no which is available at the Commission’s sources and documents of which the significant hazards consideration. Public Document Room, the Gelman petitioner is aware and on which the The Commission is seeking public Building, 2120 L Street, NW., petitioner intends to rely to establish comments on this proposed Washington, DC, and at the local public those facts or expert opinion. Petitioner determination. Any comments received document room located at: for Byron, must provide sufficient information to within 30 days after the date of the Byron Public Library District, 109 N. show that a genuine dispute exists with publication of this notice will be Franklin, P.O. Box 434, Byron, Illinois the applicant on a material issue of law considered in making any final 61010; for Braidwood, the Wilmington or fact. Contentions shall be limited to determination. Public Library, 201 S. Kankakee Street, matters within the scope of the Normally, the Commission will not Wilmington, Illinois 60481. If a request amendments under consideration. The issue the amendments until the for a hearing or petition for leave to contention must be one which, if expiration of the 30-day notice period. intervene is filed by the above date, the proven, would entitle the petitioner to However, should circumstances change Commission or an Atomic Safety and relief. A petitioner who fails to file such during the notice period such that Licensing Board, designated by the a supplement which satisfies these failure to act in a timely way would Commission or by the Chairman of the requirements with respect to at least one result, for example, in derating or Atomic Safety and Licensing Board contention will not be permitted to shutdown of the facility, the Panel, will rule on the request and/or participate as a party. Commission may issue the license petition; and the Secretary or the Those permitted to intervene become amendments before the expiration of the designated Atomic Safety and Licensing parties to the proceeding, subject to any 30-day notice period, provided that its Board will issue a notice of hearing or limitations in the order granting leave to final determination is that the an appropriate order. intervene, and have the opportunity to amendments involve no significant As required by 10 CFR 2.714, a participate fully in the conduct of the hazards consideration. The final petition for leave to intervene shall set hearing, including the opportunity to determination will consider all public forth with particularity the interest of present evidence and cross-examine and State comments received. Should the petitioner in the proceeding, and witnesses. the Commission take this action, it will how that interest may be affected by the If a hearing is requested, the publish in the Federal Register a notice results of the proceeding. The petition Commission will make a final of issuance and provide for opportunity should specifically explain the reasons determination on the issue of no for a hearing after issuance. The why intervention should be permitted significant hazards consideration. The Commission expects that the need to with particular reference to the final determination will serve to decide take this action will occur very following factors: (1) the nature of the when the hearing is held. infrequently. petitioner’s right under the Act to be If the final determination is that the Written comments may be submitted made party to the proceeding; (2) the amendments requested involve no by mail to the Chief, Rules Review and nature and extent of the petitioner’s significant hazards consideration, the Directives Branch, Division of Freedom property, financial, or other interest in Commission may issue the amendments of Information and Publications the proceeding; and (3) the possible and make them immediately effective, Services, Office of Administration, U.S. effect of any order which may be notwithstanding the request for a Nuclear Regulatory Commission, entered in the proceeding on the hearing. Any hearing held would take Washington, DC 20555–0001, and petitioner’s interest. The petition should place after issuance of the amendments. should cite the publication date and also identify the specific aspect(s) of the If the final determination is that the page number of this Federal Register subject matter of the proceeding as to amendments requested involve a notice. Written comments may also be which petitioner wishes to intervene. significant hazards consideration, any delivered to Room 6D22, Two White Any person who has filed a petition for hearing held would take place before Flint North, 11545 Rockville Pike, leave to intervene or who has been the issuance of any amendments. Rockville, Maryland, from 7:30 a.m. to admitted as a party may amend the A request for a hearing or a petition 4:15 p.m. Federal workdays. Copies of petition without requesting leave of the for leave to intervene must be filed with written comments received may be Board up to 15 days prior to the first the Secretary of the Commission, U.S. examined at the NRC Public Document prehearing conference scheduled in the Nuclear Regulatory Commission, Room, the Gelman Building, 2120 L proceeding, but such an amended Washington, DC 20555–0001, Attention: Street, NW., Washington, DC. petition must satisfy the specificity Docketing and Services Branch, or may The filing of requests for hearing and requirements described above. be delivered to the Commission’s Public petitions for leave to intervene is Not later than 15 days prior to the first Document Room, the Gelman Building, discussed below. prehearing conference scheduled in the 2120 L Street, NW., Washington, DC, by By March 24, 1997, the licensee may proceeding, a petitioner shall file a the above date. Where petitions are filed file a request for a hearing with respect supplement to the petition to intervene during the last 10 days of the notice to issuance of the amendments to the which must include a list of the period, it is requested that the petitioner subject facility operating licenses and contentions which are sought to be promptly so inform the Commission by 7806 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Notices a toll-free telephone call to Western amendment to Facility Operating regulatory aspects of the proposed Union at 1–(800) 248–5100 (in Missouri License No. NPF–2 for the Farley generic letter presented under the 1–(800) 342–6700). The Western Union Nuclear Plant, Unit 1, located in Supplementary Information heading. operator should be given Datagram Houston County, Alabama. The proposed generic letter has been Identification Number N1023 and the The proposed amendment would endorsed by the Committee to Review following message addressed to Robert have revised the technical specifications Generic Requirements (CRGR). The A. Capra: petitioner’s name and by modifying the installation method for relevant information that was sent to the telephone number, date petition was previously licensed steam generator CRGR will be placed in the NRC Public mailed, plant name, and publication tube elevated tubesheet laser welded Document Room. The NRC will date and page number of this Federal sleeves in Farley Nuclear Plant, Unit 1. consider comments received from Register notice. A copy of the petition The Commission had previously interested parties in the final evaluation should also be sent to the Office of the issued a Notice of Consideration of of the proposed generic letter. The General Counsel, U.S. Nuclear Issuance of Amendments published in NRC’s final evaluation will include a Regulatory Commission, Washington, the Federal Register on September 11, review of the technical position and, as DC 20555–0001, and to Michael I. 1996 (61 FR 47982). However, by letter appropriate, an analysis of the value/ Miller, Esquire; Sidley and Austin, One dated February 7, 1997, Southern impact on licensees. Should this generic First National Plaza, Chicago, Illinois Nuclear withdrew the proposed change. letter be issued by the NRC, it will 60603, attorney for the licensee. For further details with respect to this become available for public inspection Nontimely filings of petitions for action, see the application for in the NRC Public Document Room. amendment dated August 23, 1996, and leave to intervene, amended petitions, DATES: Comment period expires March supplemental petitions and/or requests the licensee’s letter dated February 7, 24, 1997. Comments submitted after this for hearing will not be entertained 1997, which withdrew the application date will be considered if it is practical absent a determination by the for license amendment. The above to do so, but assurance of consideration Commission, the presiding officer or the documents are available for public cannot be given except for comments presiding Atomic Safety and Licensing inspection at the Commission’s Public received on or before this date. Board that the petition and/or request Document Room, the Gelman Building, 2120 L Street, NW., Washington, DC, ADDRESSEES: Submit written comments should be granted based upon a to Chief, Rules Review and Directives balancing of the factors specified in 10 and at the local public document room located at the Houston-Love Memorial Branch, U.S. Nuclear Regulatory CFR 2.714(a)(1)(i)–(v) and 2.714(d). Commission, Mail Stop T–6D–69, For further details with respect to this Library, 212 W. Burdeshaw Street, P.O. Washington, DC 20555–0001. Written action, see the application for Box 1369, Dothan, Alabama. comments may also be delivered to amendments dated December 21, 1995, Dated at Rockville, Md., this 13th day of 11545 Rockville Pike, Rockville, as supplemented on October 24, 1996, February 1997. Maryland, from 7:30 am to 4:15 pm, which are available for public For the Nuclear Regulatory Commission. Federal workdays. Copies of written inspection at the Commission’s Public Jacob I. Zimmerman, comments received may be examined at Document Room, the Gelman Building, Project Manager, Project Directorate II–2, the NRC Public Document Room, 2120 2120 L Street, NW., Washington, DC, Division of Reactor Projects—I/II, Office of L Street, N.W., (Lower Level), and at the local public document rooms Nuclear Reactor Regulation. Washington, DC. located at: for Byron, the Byron Public [FR Doc. 97–4176 Filed 2–19–97; 8:45 am] FOR FURTHER INFORMATION CONTACT: Library District, 109 N. Franklin, P.O. BILLING CODE 7590±01±P Box 434, Byron, Illinois 61010; for Howard (Jack) Dawson, (301) 415–3138. Braidwood, the Wilmington Public SUPPLEMENTARY INFORMATION: Library, 201 S. Kankakee Street, Proposed Generic Communication; NRC GENERIC LETTER 97–XX: Wilmington, Illinois 60481. Assurance of Sufficient Net Positive ASSURANCE OF SUFFICIENT NET Suction Head for Emergency Core Dated at Rockville, Maryland, this 13th day POSITIVE SUCTION HEAD FOR Cooling and Containment Heat of February 1997. EMERGENCY CORE COOLING Removal Pumps (M96537) For the Nuclear Regulatory Commission. AND CONTAINMENT HEAT George F. Dick, Jr., AGENCY: Nuclear Regulatory REMOVAL PUMPS Project Manager, Project Directorate III–2, Commission. Addressees Division of Reactor Projects—III/IV Office of ACTION: Notice of opportunity for public Nuclear Reactor Regulation. comment. All holders of operating licenses for [FR Doc. 97–4177 Filed 2–19–97; 8:45 am] nuclear power plants, except those who BILLING CODE 7590±01±P SUMMARY: The Nuclear Regulatory have certified to a permanent cessation Commission (NRC) is proposing to issue of operations. a generic letter that will request [Docket No. 50±348] addressees to submit the analysis and Purpose Southern Nuclear Operating Company, pertinent assumptions used to The U.S. Nuclear Regulatory Inc. Alabama Power Company; Notice determine the net positive suction head Commission (NRC) is issuing this of Withdrawal of Application for (NPSH) available for emergency core generic letter (GL) to request that Amendment to Facility Operating cooling (including core spray and decay addressees submit the analysis and License heat removal) and containment heat pertinent assumptions used to removal pumps. This information will determine the net positive suction head The U.S. Nuclear Regulatory enable the NRC to determine if the (NPSH) available for emergency core Commission (the Commission) has NPSH analyses for reactor facilities are cooling (including core spray and decay granted the request of Southern Nuclear consistent with their respective current heat removal) and containment heat Operating Company, Inc. (Southern licensing basis. The NRC is seeking removal pumps. This information will Nuclear), to withdraw its August 23, comment from interested parties enable the NRC to determine if the 1996, application for proposed regarding both the technical and NPSH analyses for reactor facilities are Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Notices 7807 consistent with their respective current NPSH analyses may be warranted if an containment sump temperature licensing basis. addressee determines that a facility is analysis, incorrect calculation of not in compliance with the bounding pump suction head losses, Background Commission’s rules and regulations. In and use of a hot fluid correction factor As a result of recent NRC inspection such cases, the affected addressees are to reduce NPSH requirements. The activities, licensee notifications, and expected to take corrective action, as licensee’s calculation of record, licensee event reports, a safety- appropriate, in accordance with the performed in 1995 and which does not significant issue has been identified that requirements stated in 10 CFR part 50, include the hot fluid correction factor, has generic implications and warrants appendix B, to restore their facility to indicates a condition in which the action by the NRC to ensure that the compliance. available NPSH for the containment issue has been adequately addressed The following is a sample of the NRC spray pumps would be below the and resolved. The issue is that the staff’s recent findings concerning the required NPSH for the first 5 minutes NPSH available for emergency core NPSH issues addressed by this generic after pump suction is switched from the cooling system (ECCS) (including core letter: refueling water storage tank to the spray and decay heat removal) and Haddam Neck recirculation sump. This analysis was containment heat removal pumps may performed for a power level of 2700 not be adequate under all design-basis In 1986 and 1995, the licensee thermal megawatts (MWt). When the hot accident scenarios. In some cases, this identified conditions where the NPSH fluid correction factor was used, the may be a result of changes in plant available for the residual heat removal NPSH available could only be shown to configuration, operating procedures, (RHR) pumps may be insufficient when be slightly greater than the NPSH environmental conditions or other the pumps are operating in the required for the same 5-minute period. operating parameters that have taken emergency core cooling mode. In 1986, For the remainder of the transient, the place over the life of the plant. the licensee determined that the only NPSH available to the containment In other cases, the licensing analysis extant NPSH analysis, which was spray pumps was shown to exceed the may not bound all postulated events for performed in 1979 as part of the amount required. a sufficient time, or assumptions used in Systematic Evaluation Program, did not The basis for the licensee’s contention the analysis may be non-conservative or properly account for hydraulic losses in that the containment spray pumps were inconsistent with those assumptions suction piping, and as a result, operable is that recent pump tests and methodologies traditionally erroneously indicated that containment showed that the pumps could operate considered acceptable by the staff. For overpressure was not needed to satisfy for a 15-minute period with NPSH example, some licensees have recently NPSH requirements for the pumps in below the required value without discovered that they must take credit for the recirculation mode of operation. A damage to the hydraulic performance or containment overpressure to meet ECCS new analysis showed that credit had to mechanical integrity of the pumps. The (including core spray and decay heat be taken for 6 psi of containment licensee performed another analysis for removal) and containment heat removal overpressure. In another reanalysis a power level of 2440 MWt which pump NPSH requirements. In the conducted in 1995 for increased service showed that adequate NPSH margin examples the NRC staff is familiar with, water temperature, the licensee found would exist for the containment spray the need for crediting this overpressure that additional containment pumps in the recirculation mode of in ECCS analyses has arisen due to overpressure, which constituted a operation. This analysis did not include changes in plant configuration and significant fraction of the peak use of the hot fluid correction factor. operating conditions which have calculated containment accident The ISAT concluded that it was occurred over the life of the plant, and/ pressure, was necessary to meet NPSH appropriate to consider the containment or errors in prior NPSH calculations. requirements for the same pumps. On spray pumps operable at a power level The overpressure being credited by August 30, 1996, the licensee reported of 2440 MWt. Maine Yankee is currently licensees may be inconsistent with the in Licensee Event Report (LER) 96–016 prohibited by the NRC from operation licensing basis of the plant. that calculations recently performed to above 2440 MWt. The NRC staff is The current NPSH analyses (including determine the NPSH available for the currently reviewing the licensee’s any corresponding containment residual heat removal pumps may have analysis and assumptions in greater pressure analysis) may not be available been in error for the alternate, short- detail. to the staff in docketed material (e.g., term recirculation flow path, due to Pilgrim final safety analysis reports) because insufficient containment overpressure some licensees have changed their for a period of pump operation. The The NRC staff’s safety evaluation for analyses. Consequently, this generic licensee attributed this event to the licensing of the Pilgrim plant, and letter requests that addressees submit failure to fully analyze the containment documents referenced by the evaluation, the analyses and pertinent assumptions pressure and sump temperature indicate that containment overpressure used to determine the NPSH available responses under design-basis accident was not necessary to satisfy RHR and for emergency core cooling (including conditions. core spray pump NPSH requirements. core spray and decay heat removal) and When a plant modification was made in containment heat removal pumps. This Maine Yankee 1984, the licensee’s safety analysis of generic letter applies only to ECCS During an inspection conducted in the modification stated that the NPSH (including core spray and decay heat July and August 1996, to determine if available was determined assuming (1) removal) and containment heat removal Maine Yankee was in conformance with maximum debris loading conditions on pumps that take suction from the its design and licensing bases, an NRC the sump strainers for the residual heat containment sump or suppression pool Independent Safety Assessment Team removal and core spray pumps and (2) following a loss-of-coolant accident (ISAT) identified potential weaknesses no credit for containment over-pressure. (LOCA) or secondary line break. in the licensee’s containment spray On April 14, 1994, in its response to New NPSH analyses are not required pump NPSH analysis. These potential NRC Bulletin 93–02, ‘‘Debris Plugging of or requested to respond to this weaknesses included concerns Emergency Core Cooling Suction information request. However, new regarding the validity of the Strainers’’ (March 23, 1993), the 7808 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Notices licensee stated that the NPSH available to the non-conservative assumptions heat removal pumps may be inadequate to the residual heat removal and core used in the NPSH calculation. However, as a result of changing plant conditions, spray pumps was analyzed assuming no the team also concluded that this issue and/or errors and non-conservative overpressure condition in the torus. did not constitute an immediate safety assumptions in NPSH calculations. In However, in an analysis conducted by concern since the licensee’s calculations some cases, NPSH reanalyses conducted the licensee in 1996 in support of a conservatively assumed no credit for to support plant modifications may strainer modification, credit is needed containment overpressure and use of result in a substantial reduction of and taken for containment over- maximum expected reactor building margin in NPSH available or a change pressure. At the time of this analysis, water temperature. As a result of the in the original design basis of the plant. the licensee also indicated that the teams findings, the NRC staff is In particular, recent examples have assumption of no overpressure in the reviewing the issue of adequate NPSH indicated that containment overpressure torus, stated in its response to Bulletin for the reactor building spray pumps at has been credited by licensees to satisfy 93–02, was incorrect. While the issue of Crystal River, Unit 3, in greater detail. NPSH requirements in response to whether or not credit for over-pressure Related Generic Communications changing plant conditions and errors in is part of Pilgrim’s original licensing prior NPSH calculations. basis is currently under staff review, the On October 22, 1996, the staff issued NRC Regulatory Guide 1.1 establishes potential exists that other licensees have Information Notice (IN) 96–55, the regulatory position that emergency made modifications to their plants that ‘‘Inadequate Net Positive Suction Head core cooling and containment heat may be inconsistent with their licensing of Emergency Core Cooling and removal systems should be designed so basis and could reduce the NPSH Containment Heat Removal Pumps that adequate NPSH is provided to available to ECCS and core spray Under Design Basis Accident system pumps assuming maximum Conditions,’’ to alert addressees to pumps. expected temperatures of pumped fluids recent discoveries by licensees that and no increase in containment pressure Crystal River, Unit 3 there may be scenarios for which the from that present before any postulated As part of the NRC’s Integrated NPSH available for emergency core loss-of-coolant accidents. Standard Performance Assessment of Crystal cooling system and containment heat Review Plan (SRP) 6.2.2, ‘‘Containment River, Unit 3, conducted in July 1996, removal pumps may not be sufficient. Heat Removal Systems’’ (NUREG–0800, an NRC inspection team reviewed the Earlier INs describing similar events Revision 3, July 1981) clarifies RG 1.1 licensee’s calculation which established include IN 87–63, ‘‘Inadequate Net by stating that the NPSH analysis the minimum required post-LOCA Positive Suction Head in Low Pressure should be based on the assumption that reactor building water level for ensuring Safety Systems,’’ dated December 9, adequate NPSH available for the reactor 1987, and IN 88–74, ‘‘Potentially the containment pressure equals the building spray pumps. When the team Inadequate Performance of ECCS in vapor pressure of the sump water, to compared this level with the minimum PWRs During Recirculation Operation ensure that credit is not taken for predicted level, they found that for one Following a LOCA,’’ issued on containment pressurization during the of the pumps, there was only a slight September 4, 1988. transient. As part of licensing and difference between the water level Systematic Evaluation Plan reviews, the available and the water level required to Discussion NRC staff has, in the past, selectively ensure adequate NPSH during the post- It is important that the emergency allowed limited credit for a containment accident recirculation phase of pump core cooling (including core spray and pressure that is above the vapor operation. decay heat removal) and containment pressure of the sump fluid (i.e., an The team found that the licensee used spray system pumps have adequate overpressure) to satisfy NPSH non-conservative assumptions in NPSH available for all design-basis requirements on a case-by-case basis. calculating the available NPSH for the LOCAs to ensure that the systems can Requested Information spray pump. For example, uncertainty reliably perform their intended in data regarding the required NPSH functions under accident conditions. Addressees are requested to review, was not accounted for, a correction Inadequate NPSH could cause voiding for each of their reactor facilities, the factor to reduce the NPSH required was in the pumped fluid, resulting in pump current analyses that are used to used in the calculation without cavitation. While some ECCS (including determine the available NPSH for the considering the effects of non- core spray and decay heat removal) and emergency core cooling (including core condensable gases in the pumped fluid, containment heat removal pumps can spray and decay heat removal) and and uncertainties associated with the operate for relatively short periods of containment heat removal pumps hydraulic resistance of check valves in time while cavitating, prolonged which, at any time following a design- the spray lines were not fully accounted operation under cavitation conditions basis accident, take suction from the for. Conservative assumptions that were for any pump can cause vapor binding, containment sump or the suppression included in the calculation were those resulting in reduced pump performance pool. No new NPSH analysis is detailed in Regulatory Guide (RG) 1.1, and potential common-mode failure of requested or required. Based on this ‘‘Net Positive Suction Head for the pumps. Common-mode failure review, within 60 days from the date of Emergency Core Cooling and would result in the inability of the this generic letter, addressees are Containment Heat Removal System emergency core cooling system to requested to provide the information Pumps,’’ dated November 2, 1970 provide adequate long-term core cooling outlined below for each of their (originally Safety Guide 1), regarding and/or the inability of the containment facilities; to the extent practical, the use the use of maximum reactor building spray system to maintain the of a tabular format is acceptable in fluid temperature and no credit for containment pressure and temperature presenting the information. containment overpressure. below design limits. (1) Provide the NPSH analysis and The team concluded that the This generic letter addresses assumptions for each pump, and, in cavitation-free operation of building situations in which the NPSH available particular, spray pump 1B during the recirculation for ECCS (including core spray and (a) Specify, as a function of time, the phase of operation is questionable due decay heat removal) and containment required NPSH and the available NPSH, Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Notices 7809

(b) Identify the postulated pipe breaks and specify how many fan coolers were requirements for structures, systems, that were analyzed if a spectrum of assumed to be operating. and components important to safety, primary and secondary system pipe General Design Criterion (GDC) 35 of Required Response break sizes and locations was appendix A to Title 10 of the Code of considered in the NPSH analysis, Within 30 days from the date of this Federal Regulations (10 CFR part 50, (c) Specify the emergency core generic letter, each addressee is required appendix A) specifies that there be a cooling (including core spray and decay to submit a written response indicating system to provide abundant emergency heat removal) and containment heat (a) whether or not the requested core cooling. Furthermore, 10 CFR removal system configurations (and information will be submitted, and (b) 50.46, which addresses the acceptance associated flow rates) that were whether or not the requested criteria for emergency core cooling considered in the NPSH analysis for information will be submitted within systems for light water nuclear power each pump; identify and justify which the requested time period. Addressees reactors, requires, in part, that the configurations were not analyzed, who choose not to submit the requested emergency core cooling system be able (d) Specify if the current licensing- information, or are unable to satisfy the to provide long-term cooling following basis NPSH analysis is different from requested completion date, must any loss-of-coolant accident. The the original licensing-basis analysis, and describe in their response an alternative potential for the loss of adequate NPSH (e) Specify any quality assurance course of action that is proposed to be for emergency core cooling system procedures and engineering program taken, including the basis for the pumps, and the cavitation that would controls in place when the current acceptability of the proposed alternative result, raises the concern that the NPSH analysis was performed. course of action. emergency core cooling system would New NPSH analyses are not required (2) For each pump, specify whether or not be capable of providing core cooling or requested to respond to this not containment overpressure, i.e., over the duration of postulated accident information request. However, new containment pressure above the vapor conditions as required by GDC 35 and NPSH analyses may be warranted if an pressure of the sump (or suppression 10 CFR 50.46. addressee determines that a facility is pool) fluid, was credited in the Similarly, GDC 38 of appendix A to not in compliance with the calculation of available NPSH. Specify 10 CFR part 50 specifies that there be a Commission’s rules and regulations. In the amount of overpressure needed, and system to rapidly remove heat from the such cases, the affected addressees are the minimum overpressure available. reactor containment in order to reduce expected to take corrective action, as Indicate if the overpressure was the containment pressure and appropriate, in accordance with the determined from the containment temperature following any loss-of- requirements stated in 10 CFR part 50, pressure at a single point in time, or if coolant accident, and GDC 16 of appendix B, to restore their facility to the containment pressure profile over an appendix A to 10 CFR part 50 specifies compliance. extended period of time was considered. that reactor containment and associated NRC staff will review the responses to If an extended period of time was systems be provided to assure that the this generic letter and if concerns are considered, state how long and give the containment design conditions identified, affected addressees will be rationale for choosing this time period; important to safety are not exceeded for notified. if only a single point in time was the duration of the accident conditions. Address the required written response The potential for the loss of adequate considered, state the point in time and to the U.S. Nuclear Regulatory give the rationale for selecting this point NPSH in containment spray pumps, and Commission, ATTN: Document Control the cavitation that would result, raises in time. Desk, Washington, DC 20555–0001, (3) When containment overpressure is the concern that containment spray under oath or affirmation under the would not be capable of lowering and credited in the calculation of available provisions of section 182a, Atomic NPSH, specify the containment maintaining the containment pressure Energy Act of 1954, as amended, and 10 and temperature below design values as atmosphere heat removal assumptions CFR 50.54(f). that were used in the containment required by GDC 38 and GDC 16. response analysis to determine the Backfit Discussion Considering the safety significance of removing heat from the containment minimum containment overpressure This generic letter only requests atmosphere and cooling the reactor core available, and in particular, information from addressees under the following a design-basis accident, the (a) Identify the heat transfer provisions of section 182a of the Atomic requested information is needed to correlations that were used, and specify Energy Act of 1954, as amended, and 10 verify addressee compliance with whether or not multipliers were used, to CFR 50.54(f). The information requested licensing basis commitments regarding calculate the transfer of energy to the will enable the staff to determine the performance of emergency core heat sinks in the containment, whether addressees’ NPSH analyses for cooling (including core spray and decay (b) Specify how many trains of the emergency core cooling (including heat removal) system and containment containment spray were assumed to be the core spray and decay heat removal) heat removal system pumps. The operating, and whether a minimum, and containment heat removal system evaluation required by 10 CFR 50.54(f) maximum, or intermediate value of pumps comply and conform with the to justify this information request is spray flow was assumed, current licensing basis for their included in the preceding discussion. (c) Specify how the service water respective facilities, including the temperatures for the heat exchangers licensing safety analyses and the Dated at Rockville, Md., this 11th day of that remove energy from the principle design criteria which require February 1997. containment atmosphere were chosen and/or commit that safety-related For the Nuclear Regulatory Commission. for the NPSH analysis, and specify any components and systems be provided to Thomas T. Martin, special assumptions made concerning mitigate the consequences of design- Director, Division of Reactor Program heat transfer across the heat exchangers basis accidents. Management, Office of Nuclear Reactor (e.g., effect of fouling on heat transfer), With respect to the principle design Regulation. (d) Specify the total number of criteria for nuclear power reactor [FR Doc. 97–4175 Filed 2–19–97; 8:45 am] containment fan coolers at the plant, facilities, which establish minimum BILLING CODE 7590±01±P 7810 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Notices

Advisory Committee on Reactor 1:15 p.m.–2:45 p.m.: Arthur Andersen 1:30 p.m.–2:30 p.m.: Department of Safeguards; Meeting Report, ‘‘Recommendations to Improve Energy’s (DOE’s) Tritium Production the Senior Management Meeting Program In accordance with the purposes of Process’’ (Open)—The Committee will hear sections 29 and 182b. of the Atomic (Open)—The Committee will hear presentations by and hold discussions Energy Act (42 U.S.C. 2039, 2232b), the presentations by and hold discussions with representatives of DOE regarding Advisory Committee on Reactor with representatives of the NRC staff DOE’s tritium production program. Safeguards will hold a meeting on regarding the results of the Arthur Representatives of the NRC staff will March 6–8, 1997, in Conference Room Andersen study that was performed to participate, as appropriate. T–2B3, 11545 Rockville Pike, Rockville, evaluate the Senior NRC Management 2:30 p.m.–3:00 p.m.: Future ACRS Maryland. The date of this meeting was Meeting Process for assessing the Activities previously published in the Federal performance of operating nuclear plants. Register on Thursday, January 23, 1997 Representatives of the nuclear (Open)—The Committee will discuss (62 FR 3539). industry will participate, as appropriate. the recommendations of the Planning and Procedures Subcommittee regarding Thursday, March 6, 1997 3:00 p.m.–4:30 p.m.: Risk-Informed, items proposed for consideration by the Performance-Based Regulation and full Committee during future meetings. 8:30 a.m.–8:45 a.m.: Opening Remarks Related Matters by the ACRS Chairman 3:00 p.m.–3:15 p.m.: Reconciliation of (Open)—The Committee will hear ACRS Comments and (Open)—The ACRS Chairman will presentations by and hold discussions Recommendations with representatives of the NRC staff make opening remarks regarding (Open)—The Committee will discuss conduct of the meeting and comment regarding the proposed Standard Review Plan (SRP) Sections, Regulatory responses from the NRC Executive briefly regarding items of current Director for Operations (EDO) to interest. During this session, the Guides, and other matters associated with the risk-informed, performance- comments and recommendations Committee will discuss priorities for included in recent ACRS reports. The preparation of ACRS reports. based regulation. Representatives of the nuclear EDO responses are expected to be 8:45 a.m.–10:30 a.m.: Capability of industry will participate, as appropriate. provided to the ACRS prior to the RELAP5/MOD 3 Code to Assess the meeting 4:45 p.m.–7:15 p.m.: Preparation of AP600 Design ACRS Reports 3:30 p.m.–7:15 p.m.: Preparation of ACRS Reports (Open/Closed)—The Committee will (Open)—The Committee will discuss hear presentations by and hold proposed ACRS reports on matters (Open)—The Committee will continue discussions with representatives of the considered during this meeting. its discussion of proposed ACRS reports on matters considered during this NRC staff regarding the capability of the Friday, March 7, 1997 meeting. RELAP5/MOD 3 code to assess the adequacy of the AP600 passive plant 8:30 a.m.–8:35 a.m.: Opening Remarks Saturday, March 8, 1997 by the ACRS Chairman design. 8:30 a.m.–9:00 a.m.: Report of the The Committee may hear (Open)—The ACRS Chairman will Planning and Procedures Subcommittee make opening remarks regarding presentations by representatives of the (Open/Closed)—The Committee will conduct of the meeting. Westinghouse Electric Corporation, as hear a report of the Planning and appropriate. 8:35 a.m.–9:45 a.m.: Independent Safety Procedures Subcommittee on matters Note: A portion of this session may be Assessment of the Main Yankee Atomic related to the conduct of ACRS business closed to discuss Westinghouse proprietary Power Station and organizational and personnel information. (Open)—The Committee will hear matters relating to the ACRS. 10:45 a.m.–12:15 p.m.: AP600 Test Data presentations by and hold discussions Note: A portion of this session may be from ROSA and Oregon State University with representatives of the NRC staff closed to discuss organizational and personnel matters that relate solely to the (OSU)–APEX Test Facilities regarding the results of independent safety assessment of the Main Yankee internal personnel rules and practices of this Advisory Committee, and matters the release (Open/Closed)—The Committee will Atomic Power Station. of which would constitute a clearly hear presentations by and hold Representatives of the nuclear unwarranted invasion of personal privacy. discussions with representatives of the industry will participate, as appropriate. NRC staff regarding the issues 9:00 a.m.–1:00 p.m.: Preparation of 9:45 a.m.–12:30 p.m.: National ACRS Reports associated with the release of test data Academy of Sciences/National Research from ROSA and OSU–APEX test Council (NAS/NRC) Phase 2 Study (Open)—The Committee will continue facilities to the public. Report its discussion of proposed ACRS reports The Committee may hear on matters considered during this (Open)—The Committee will hear meeting. presentations by representatives of the presentations by and hold discussions Westinghouse Electric Corporation, as with the Chairman of the NAS/NRC 1:00 p.m.–2:00 p.m.: Strategic Planning appropriate. Committee regarding the results of the (Open)—The Committee will continue Note: A portion of this session may be NAS/NRC Phase 2 Study on the digital its discussion of items of significant closed to discuss Westinghouse proprietary instrumentation and control systems. importance to NRC, including information and matters the premature Other member(s) of the NAS/NRC rebaselining of the Committee activities disclosure of which would be likely to Committee, representatives of the NRC for FY 1997. significantly frustrate implementation of a staff and nuclear industry will Procedures for the conduct of and proposed agency action. participate, as appropriate. participation in ACRS meetings were Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Notices 7811 published in the Federal Register on internet at http://www.nrc.gov/ Comments may be submitted October 1, 1996 (61 FR 51310). In ACRSACNW. electronically, in either ASCII text or accordance with these procedures, oral Dated: February 13, 1997. Wordperfect format (version 5.1 or later), by calling the NRC Electronic or written statements may be presented Andrew L. Bates, by members of the public, electronic Bulletin Board on FedWorld. The Advisory Committee Management Officer. recordings will be permitted only bulletin board may be accessed using a during the open portions of the meeting, [FR Doc. 97–4174 Filed 2–19–97; 8:45 am] personal computer, a modem, and one and questions may be asked only by BILLING CODE 7590±01±P of the commonly available members of the Committee, its communications software packages, or consultants, and staff. Persons desiring directly via Internet. Draft Regulatory Guide; Issuance, to make oral statements should notify If using a personal computer and Availability Mr. Sam Duraiswamy, Chief, Nuclear modem, the NRC subsystem on Reactors Branch, at least five days The Nuclear Regulatory Commission FedWorld can be accessed directly by before the meeting, if possible, so that has issued for public comment a dialing the toll free number: 1–800– appropriate arrangements can be made proposed revision of a guide in its 303–9672. Communication software to allow the necessary time during the Regulatory Guide Series. This series has parameters should be set as follows: meeting for such statements. Use of still, been developed to describe and make parity to none, data bits to 8, and stop motion picture, and television cameras available to the public such information bits to 1 (N,8,1). Using ANSI or VT–100 during this meeting may be limited to as methods acceptable to the NRC staff terminal emulation, the NRC NUREGs selected portions of the meeting as for implementing specific parts of the and RegGuides for Comment subsystem determined by the Chairman. NRC’s regulations, techniques used by can then be accessed by selecting the Information regarding the time to be set the staff in evaluating specific problems ‘‘Rules Menu’’ option from the ‘‘NRC aside for this purpose may be obtained or postulated accidents, and data Main Menu.’’ For further information about options available for NRC at by contacting the Chief of the Nuclear needed by the staff in its review of FedWorld, consult the ‘‘Help/ Reactors Branch prior to the meeting. In applications for permits and licenses. Information Center’’ from the ‘‘NRC view of the possibility that the schedule The draft guide is a proposed Main Menu.’’ Users will find the for ACRS meetings may be adjusted by Revision 3 to Regulatory Guide 1.134, ‘‘FedWorld Online User’s Guides’’ the Chairman as necessary to facilitate and it is temporarily identified as DG– particularly helpful. Many NRC the conduct of the meeting, persons 1068, ‘‘Medical Evaluation of Licensed subsystems and data bases also have a planning to attend should check with Personnel at Nuclear Power Plants.’’ ‘‘Help/Information Center’’ option that the Chief of the Nuclear Reactors Branch The guide will be in Division 1, ‘‘Power if such rescheduling would result in is tailored to the particular subsystem. Reactors.’’ This regulatory guide is being The NRC subsystem on FedWorld can major inconvenience. revised to endorse an updated ANSI/ also be accessed by a direct dial phone In accordance with Subsection 10(d) ANS–3.4–1996, ‘‘Medical Certification number for the main FedWorld BBS, P.L. 92–463, I have determined that it is and Monitoring of Personnel Requiring 703–321–3339, or by using Telnet via necessary to close portions of this Operator Licenses for Nuclear Power Internet, fedworld.gov. If using 703– meeting noted above to discuss Plants,’’ which describes methods 321–3339 to contact FedWorld, the NRC proprietary information per 5 U.S.C. acceptable to the NRC staff for subsystem will be accessed from the 552b(c)(4), information the premature determining the medical qualifications main FedWorld menu by selecting the disclosure of which would be likely to of applicants for initial or renewal ‘‘Regulatory, Government significantly frustrate implementation of operator or senior operator licenses for Administration and State Systems,’’ a proposed agency action per 5 U.S.C. nuclear power plants and for notifying then selecting ‘‘Regulatory Information 552b(c)(9)(B), matters that relate solely the NRC of an operator’s incapacitating Mall.’’ At that point, a menu will be to the internal personnel rules and disability or illness. displayed that has an option ‘‘U.S. practices of this Advisory Committee The draft guide has not received Nuclear Regulatory Commission’’ that per 5 U.S.C. 552b(c)(2), and to discuss complete staff review and does not will take you to the NRC Online main matters the release of which would represent an official NRC staff position. menu. The NRC Online area also can be constitute a clearly unwarranted Public comments are being solicited accessed directly by typing ‘‘/go nrc’’ at invasion of personal privacy per 5 on the guide. Comments should be a FedWorld command line. If you access U.S.C. 552b(c)(6). accompanied by supporting data. NRC from FedWorld’s main menu, you Further information regarding topics Written comments may be submitted to may return to FedWorld by selecting the to be discussed, whether the meeting the Rules Review and Directives Branch, ‘‘Return to FedWorld’’ option from the has been cancelled or rescheduled, the Division of Freedom of Information and NRC Online Main Menu. However, if Chairman’s ruling on requests for the Publications Services, Office of you access NRC at FedWorld by using opportunity to present oral statements Administration, U.S. Nuclear Regulatory NRC’s toll-free number, you will have and the time allotted therefor can be Commission, Washington, DC 20555. full access to all NRC systems but you obtained by contacting Mr. Sam Copies of comments received may be will not have access to the main Duraiswamy, Chief, Nuclear Reactors examined at the NRC Public Document FedWorld system. Branch (telephone 301/415–7364), Room, 2120 L Street NW., Washington, If you contact FedWorld using Telnet, between 7:30 a.m. and 4:15 p.m. EST. DC. Comments will be most helpful if you will see the NRC area and menus, ACRS meeting notices, meeting received by March 17, 1997. including the Rules menu. Although transcripts, and letter reports are now Although a time limit is given for you will be able to download available on FedWorld from the ‘‘NRC comments on this draft guide, documents and leave messages, you will MAIN MENU.’’ Direct Dial Access comments and suggestions in not be able to write comments or upload number to FedWorld is (800) 303–9672 connection with items for inclusion in files (comments). If you contact or ftp.fedworld. These documents and guides currently being developed or FedWorld using FTP, all files can be the meeting agenda are also available for improvements in all published guides accessed and downloaded but uploads downloading or reviewing on the are encouraged at any time. are not allowed; all you will see is a list 7812 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Notices of files without descriptions (normal Summary of Application: Applicant Account B. These variable accounts are Gopher look). An index file listing all seeks an order declaring that it has the sole shareholders of Applicant. files within a subdirectory, with ceased to be an investment company as 3. Applicant is a small fund with descriptions, is included. There is a 15- defined by the 1940 Act. continuing net redemptions. Applicant’s minute time limit for FTP access. Filing Date: The application was filed board of directors believes it was in the Although FedWorld can be accessed on December 31, 1996. best interest of its stockholders to merge through the World Wide Web, like FTP Hearing or Notification of Hearing: An Applicant into a larger fund, to obtain that mode only provides access for order granting the application will be economies of scale with respect to fees downloading files and does not display issued unless the Commission orders a and expenses. the NRC Rules menu. hearing. Interested persons may request 4. On December 18, 1996, pursuant to For more information on NRC bulletin a hearing by writing to the Secretary of an Agreement and Plan of boards call Mr. Arthur Davis, Systems the SEC and serving Applicant with a Reorganization dated October 1, 1996, Integration and Development Branch, copy of the request, in person or by between Applicant and MFS/Sun Life U.S. Nuclear Regulatory Commission, mail. Hearing requests should be Series Trust (the ‘‘Series Trust’’), Washington, DC 20555, telephone (301) received by the SEC by 5:30 p.m. on Applicant exchanged all of its assets for 415–5780; e-mail [email protected]. For March 10, 1997, and should be shares of the Money Market Series of the more information on this draft accompanied by proof of service on Series Trust. Applicant subsequently regulatory guide, contact D. McCain at Applicant in the form of an affidavit or, dissolved and distributed all the Money the NRC, telephone (301) 415–1021; e- for lawyers, a certificate of service. Market Series shares on a pro rata basis mail [email protected]. Hearing requests should state the nature to each stockholder of Applicant. These Regulatory guides are available for of the requestor’s interest, the reason for transactions have been approved by inspection at the Commission’s Public the request, and the issues contested. Applicant’s board of directors and by Document Room, 2120 L Street NW., Persons may request notification of a Applicant’s stockholders. Washington, DC. Requests for single hearing by writing to the Secretary of 5. All expenses incurred in copies of draft or final guides (which the SEC. connection with these transactions will may be reproduced) or for placement on ADDRESSES: Secretary, Securities and be borne by Sun Life of Canada (U.S.). an automatic distribution list for single Exchange Commission, 450 5th Street, 6. Applicant has no assets and no copies of future draft guides in specific NW., Washington, DC 20549. Applicant, security holders. divisions should be made in writing to c/o Bonnie S. Angus, Sun Life 7. Applicant has no debts or other the U.S. Nuclear Regulatory Assurance Company of Canada (U.S.), liabilities outstanding. Commission, Washington, DC 20555, 50 Milk Street, Boston, Massachusetts 8. Applicant is not a party to any Attention: Distribution and Mail 02109. litigation or administrative proceeding, Services Section; or by fax at (301) 415– FOR FURTHER INFORMATION CONTACT: and is not now engaged, nor does it 2260. Telephone requests cannot be Michael Koffler, Staff Attorney, or Kevin intend to engage, in any business accommodated. Regulatory guides are M. Kirchoff, Branch Chief, Office of activities other than those necessary for not copyrighted, and Commission Insurance Products (Division of winding up its affairs. approval is not required to reproduce Investment Management), at (202) 942– 9. Within the last 18 months, them. 0670. Applicant has not transferred any of its (5 U.S.C. 552(a)). SUPPLEMENTARY INFORMATION: Following assets to a separate trust. Dated at Rockville, Maryland, this 7th day is a summary of the application; the For the Commission, by the Division of of February 1997. complete application is available for a Investment Management, pursuant to For the Nuclear Regulatory Commission. fee from the Public Reference Branch of delegated authority. Bill M. Morris, the SEC. Margaret H. McFarland, Deputy Secretary. Director, Division of Regulatory Applications, Applicant’s Representation Office of Nuclear Regulatory Research. [FR Doc. 97–4092 Filed 2–19–97; 8:45 am] [FR Doc. 97–4178 Filed 2–19–97; 8:45 am] 1. Applicant is an open-end, BILLING CODE 8010±01±M diversified management company BILLING CODE 7590±01±P organized as a Delaware corporation. On March 12, 1982, Applicant filed with [Release No. 34±38268; File No. SR±CBOE± the Commission a notification of 97±02] SECURITIES AND EXCHANGE registration as an investment company COMMISSION Self-Regulatory Organizations; Notice on Form N–8A, and a registration of Filing of Proposed Rule Change by statement under Section 8(b) of the 1940 [Rel. No. IC±22508; File No. 811±3414] Chicago Board Options Exchange, Act and under the Securities Act of Incorporated, Relating to the Use of Sun Growth Variable Annuity Fund, 1933 (File No. 2–76478) registering an Proprietary Brokerage Order Routing Inc. indefinite amount of securities. The Terminals on the Floor of the registration statement was declared Exchange February 12, 1997. effective April 22, 1982, and public AGENCY: Securities and Exchange offering of Applicant’s securities began February 11, 1997. Commission (‘‘SEC’’ or ‘‘Commission’’). on April 30, 1982. Pursuant to section 19(b)(1) of the ACTION: Notice of Application for an 2. Shares of Applicant are the Securities Exchange Act of 1934 Order under the Investment Company underlying investment of two separate (‘‘Act’’),1 and Rule 19b–4 thereunder,2 Act of 1940 (‘‘1940 Act’’). accounts of Sun Life Assurance notice is hereby given that on January Company of Canada (U.S.) (‘‘Sun Life of 21, 1997, the Chicago Board Options Applicant: Sun Growth Variable Canada (U.S.)’’), which are registered as Exchange, Inc. (‘‘CBOE’’ or ‘‘Exchange’’) Annuity Fund, Inc. (‘‘Applicant’’). unit investment trusts: Sun Life of Relevant 1940 Act Section: Order Canada (U.S.) Variable Account A and 1 15 U.S.C. 78s(b)(1). requested under Section 8(f). Sun Life of Canada (U.S.) Variable 2 17 CFR 240.19b–4. Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Notices 7813 filed with the Securities and Exchange routing of firm and customer orders 2. Statutory Basis Commission (‘‘Commission’’) the directly to brokers in the crowd The proposed rule change is proposed rule change as described in (‘‘Terminals’’). The Exchange’s general consistent with section 6(b) of the Act 5 Items I, II, and III below, which Items policy concerning the use of Terminals in general, and furthers the objectives of have been prepared by the self- in the SPX trading crowd was recently sections 6(b)(1) 6 and 6(b)(5) 7 of the Act 3 regulatory organization. The approved by the Commission. Pursuant in particular, in that the proposal is Commission is publishing this notice to to this policy, members may use designed to improve communications to solicit comments on the proposed rule Terminals in the SPX trading crowd and from the Exchange’s OEX trading change from interested persons. only with the written approval of the crowd in a manner that gives the Exchange after submission of the I. Self-Regulatory Organization’s Exchange necessary monitoring tools Exchange’s Application Agreement. Statement of the Terms of Substance of and that is designed to prevent the Proposed Rule Change In its filing originally proposing the fraudulent and manipulative acts and adoption of a policy pertaining to the practices, promote just and equitable The Exchange proposes to extend use of Terminals on the trading floor, principles of trade, perfect the from the Standard & Poor’s 500 index the Exchange stated that it would mechanisms of a free and open market, (‘‘SPX options’’) to the trading crowd in initially limit the use of Terminals to and protect investors and the public options on the Standard & Poor’s 100 the SPX options trading crowd. To date interest. index (‘‘OEX options’’) its existing only one member firm has applied and policy adopted pursuant to Exchange been approved to use Terminals in that B. Self-Regulatory Organization’s Rule 6.23 whereby members are crowd. The Exchange now proposes to Statement on Burden on Competition permitted to establish, maintain and use extend the availability of Terminals to The Exchange believes that the proprietary hand-held, brokerage order one additional trading crowd on the proposed rule change will not impose routing terminals and related systems floor, the OEX crowd, in response to a any inappropriate burden on (‘‘Terminals’’) in the trading crowd with request from the same member firm that competition. To the contrary, the the written approval of the Exchange has been approved to use Terminals in Exchange believes that the proposed upon submission of an ‘‘Application & the SPX crowd. The Exchange notes that rule change will promote competition Agreement for Brokerage/Order Routing the use of Terminals in the OEX crowd among brokers by encouraging the Terminals in Trading Crowds’’ would be subject to exactly the same development and use of new systems (‘‘Application Agreement’’). At present, terms and conditions that apply in the designed to facilitate the execution of members may apply to use Terminals SPX crowd, including the use of the customer orders, while at the same time only in the trading crowd in SPX same form of Application and preserving the benefits of the auction options. The Exchange proposes to Agreement that was recently approved.4 market for all customers. make changes to the Application The Exchange originally proposed to Agreement reflecting its use to apply for C. Self-Regulatory Organization’s limit Terminals to the SPX crowd for an Terminals in the OEX crowd as well as Statement on Comments on the initial evaluation period because the the SPX crowd. The text of the proposed Proposed Rule Change Received From one firm proposing to use Terminals rule change is available at the Office of Members, Participants, or Others made its proposal with respect to SPX the Secretary, CBOE and at the options only, and because the Exchange No written comments were either Commission. believed it should have some experience solicited or received with respect to the II. Self-Regulatory Organization’s with its Terminals policy before proposal. Statement of the Purpose of, and extending the policy beyond the SPX III. Date of Effectiveness of the Statutory Basic for, the proposed Rule Options trading crowd. Now that the Proposed Rule Change and Timing for Change same firm has expressed a desire to use Commission Action In its filing with the Commission, the Terminal in the OEX crowd as well as Within 35 days of the publication of self-regulatory organization included the SPX crowd, the Exchange believes this notice in the Federal Register or statements concerning the purpose of that having Terminals in both crowds within such longer period (i) as the and basis for the proposed rule change will provide a better evaluation of the Commission may designate up to 90 and discussed any comments it received Exchange’s Terminals policy than if days of such date if it finds such longer on the proposed rule change. The text Terminals are limited to the SPX crowd period to be appropriate and publishes of these statements may be examined at only. Because OEX options represent a its reasons for so finding or (ii) as to the places specified in Item IV below. more retail-oriented product than the which the self-regulatory organization The self-regulatory organization has largely institutional SPX options, the consents, the Commission will: prepared summaries, set forth in Exchange believes that the availability (A) By order approve the proposed Sections A, B, and C below, of the most of Terminals in both crowds will better rule change, or significant aspects of such statements. enable the Exchange to evaluate how (B) Institute proceedings to determine Terminals may be used for both retail whether the proposed rule change A. Self-Regulatory Organization’s and institutional orders, which in turn should be disapproved. Statement of the Purpose of, and will be relevant to deciding when and Statutory Basis for, the Proposed Rule under what conditions to propose an IV. Solicitation of Comments Change extension of the Terminal policy on a Interested persons are invited to 1. Purpose floor-wide basis. submit written data, views, and arguments concerning the foregoing. The purpose of the proposed rule 3 See Securities Exchange Act Release No. 38054 Persons making written submissions change is to extend to floor brokers in (Dec. 16, 1996), 61 FR 67365 (Dec. 20, 1996) should file six copies thereof with the the OEX trading crowd the Exchange’s (‘‘Release No. 38054’’). 4 In particular, the applicant must agree that its policy pursuant to which members have 5 15 U.S.C. 78f(b) . terminal will be used to receive brokerage orders the right to use proprietary, wireless, 6 15 U.S.C. 78f(b) (1). only, and that it will not be used to perform a hand-held terminals for the electronic 7 15 U.S.C. 78f(b) (5). market making function. id. 7814 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Notices

Secretary, Securities and Exchange FOR FURTHER INFORMATION CONTACT: continues to protect our nation’s most Commission, 450 Fifth Street, NW., Mark Ruley, Financial Management vulnerable citizens. Washington, DC 20549. Copies of the Analyst, Office of Finance, Assessment The Committee heard public submission, all subsequent and Management, Social Security testimony in Washington, D.C., Chicago, amendments, all written statements Administration, 451 Altmeyer Building, IL, San Francisco, CA and Atlanta, GA. with respect to the proposed rule Baltimore, Maryland 21235, (410) 965– The Committee also held deliberative change that are filed with the 0371. meetings in Baltimore, MD in April, Commission, and all written Dated: February 12, 1997. June, and September 1996. We communications relating to the Richard Harron, announced these meetings in the proposed rule change between the Tax Forms Coordinator. Federal Register. The public was also Commission and any person, other than invited to comment directly to the those that may be withheld from the [FR Doc. 97–4080 Filed 2–19–97; 8:45 am] Committee during the period July 1995 public in accordance with the BILLING CODE 4190±29±P to September 1996. The Committee provisions of 5 U.S.C. 552, will be available for inspection and copying at submitted its final report to SSA on Final Report of the Representative the Commission’s Public Reference November 7, 1996. Payment Advisory Committee Room. Copies of such filing will also be After the close of the public comment available for inspection and copying at AGENCY: Social Security Administration period, SSA may consider all comments the principal office of the Exchange. All (SSA). received in developing initiatives to submissions should refer to File No. ACTION: Notice of availability of final improve the representative payment SR–CBOE–97–02 and should be report. program. submitted by March 13, 1997. Dated: February 12, 1997. SUMMARY: The Social Security For the Commission, by the Division of Georgina Harding, Market Regulation, pursuant to delegated Administration (SSA) is making authority. available the final report of the Staff Director, Representative Payment Advisory Committee. Margaret H. McFarland, Representative Payment Advisory Committee. [FR Doc. 97–4078 Filed 2–19–97; 8:45 am] Deputy Secretary. ADDRESSES: Copies of the final report BILLING CODE 4190±29±P [FR Doc. 97–4091 Filed 2–19–97; 8:45 am] are available, free of charge, and may be BILLING CODE 8010±01±M requested by writing to: SSA, Representative Payment Advisory Committee Staff, 3–M–1 Operations STATE DEPARTMENT SOCIAL SECURITY ADMINISTRATION Building, 6401 Security Blvd., Baltimore, MD 21235. You may also Overseas Security Advisory Council Notice of Proposed Change in Meeting; Closed Magnetic Media Specifications for request a copy of the report by calling: Submitters Who File Corrected Wage (410) 966–4688. The report is also available for viewing on SSA’s Home The Department of State announces a Reports Using Magnetic Media or meeting of the U.S. State Department— Electronic Filing Page of the Internet at http:// www.ssa.gov. Overseas Security Advisory Council on SUMMARY: Notice is hereby given that Written comments may be sent: by Thursday, February 27, at the Registry SSA has developed new Magnetic mail—SSA, Representative Payment Resort & Spa, Fort Lauderdale, Florida. Media Reporting and Electronic Filing Advisory Committee Staff, 3–M–1 Pursuant to Section 10(d) of the Federal Specifications (MMREF–2) for Operations Building, 6401 Security Advisory Committee Act and 5 U.S.C. submitters who file corrected wage Blvd., Baltimore, MD 21235; or by 552b(c) (1) and (4), it has been reports to SSA, using magnetic tape, telefax—(410) 966–0980; via Internet— determined the meeting will be closed diskette, cartridge or electronic filing. [email protected]. to the public. Matters relative to The new MMREF–2 will consist of a DATES: If you would like to submit classified national security information single record format to be used to report comments, they should be postmarked as well as privileged commercial domestic or territorial correction reports on or before May 21, 1997. information will be discussed. The using magnetic media and electronic FOR FURTHER INFORMATION CONTACT: agenda calls for the discussion of filing. SSA, Representative Payment Advisory classified and corporate proprietary/ We would like to receive any Committee Staff, 3–M–1 Operations security information as well as private comments the public may offer on the Building, 6401 Security Blvd., sector physical and procedural security MMREF–2. An educational seminar on Baltimore, MD 21235; telephone—(410) policies and protective programs at the MMREF–2 is scheduled to be held 966–4688. sensitive U.S. Government and private at the SSA headquarters in Baltimore SUPPLEMENTARY INFORMATION: The sector locations overseas. February 24, 1997, 9 a.m. to 12 p.m. To Representative Payment Advisory For more information contact Marsha receive a draft copy of the MMREF–2 Committee was chartered in July 1995 to Thurman, Overseas Security Advisory and/or to attend the educational undertake a comprehensive examination Council, Department of State, seminar contact the addressee below. of SSA representative payment policy in Washington, D.C. 20522–1003, phone: DATES: Comments must be received by five broad areas: (1) Beneficiary 202–663–0869. March 14, 1997 on the MMREF–2. incapability; (2) payee selection; (3) Dated: February 13, 1997. ADDRESSES: To receive a draft and/or to payee recruitment and support; (4) be part of the seminar, contact Ed standards for payee selection; (5) payee William D. Clarke, Bulson, Social Security Administration, accountability and oversight. The Acting Director of the Diplomatic Security Room 3–B–15 Operations Building, Committee was established to take a Service. Baltimore, Maryland 21235 or fax him at fresh look at SSA’s representative [FR Doc. 97–4284 Filed 2–18–97; 10:39 am] (410) 966–4159. payment program to ensure that it BILLING CODE 4710±24±M Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Notices 7815

OFFICE OF THE UNITED STATES panel request is on the agenda, unless with section 135(g)(2) of the Trade Act TRADE REPRESENTATIVE the DSB determines by consensus of 1974 (19 U.S.C. 2155(g)(2))— otherwise. The next scheduled DSB (1) Must so designate that information WTO Dispute Settlement Proceeding meeting will be held on February 25, or advice; Regarding Hungary's Export Subsidies 1997. Under normal circumstances, the (2) must clearly mark the material as on Agricultural Products (Docket No. panel, which will hold its meetings in ‘‘SUBMITTED IN CONFIDENCE’’ in a WTO/D±14) Geneva, Switzerland, would be contrasting color ink at the top of each expected to issue a report detailing its page of each copy; and AGENCY: Office of the United States findings and recommendations within (3) is encouraged to provide a non- Trade Representative. six to nine months after it is established. confidential summary of the ACTION: Notice; request for comments. information or advice. Major Issues Raised by the United Pursuant to section 127(e) of the SUMMARY: Pursuant to section 127(b)(1) States and Legal Basis of Complaint URAA (19 U.S.C. 3537(e)), USTR will of the Uruguay Round Agreements Act In Hungary’s Schedule annexed to the maintain a file on this dispute (URAA) (19 U.S.C. 3537(b)(1)), the Marrakesh Protocol to the General settlement proceeding, accessible to the Office of the United States Trade Agreements on Tariffs and Trade 1994 public, in the USTR Reading Room: Representative (USTR) is providing (Schedule), Hungary provided an Room 101, Office of the United States notice that the United States has exclusive list of the agricultural Trade Representative, 600 17th Street, requested the establishment of a dispute products or groups of products that NW., Washington, DC 20508. The public settlement panel under the Agreement would be eligible for particular file will include a listing of any Establishing the World Trade categories of export subsidies. comments received by USTR from the Organization (WTO), to examine Hungary’s Schedule also specified the public with respect to the proceeding; Hungary’s export subsidies on maximum level of expenditure for such the U.S. submissions to the panel in the agricultural products. More specifically, subsidies that may be allocated or proceeding; the submissions, or non- the United States alleges that Hungary’s incurred for each year with respect to confidential summaries of submissions, export subsidies are inconsistent with each agricultural product or group of to the panel received from other the obligations of the WTO Agreement products, and the maximum quantity of participants in the dispute, as well as on Agriculture, including, but not each agricultural product or group of the report of the dispute settlement limited to, Article 3.3, Article 8 and products for which such subsidies could panel and, if applicable, the report of Article 9.2. USTR also invites written be granted each year. In 1995, Hungary the Appellate Body. An appointment to comments from the public concerning provided export subsidies on review the public file (Docket WTO/D– the issues raised in the dispute. agricultural products that are not 14 (‘‘U.S.–Hungary Export Subsidies’’)), DATES: Although USTR will accept any specified in its Schedule. In addition, in may be made by calling Brenda Webb, comments received during the course of the case of agricultural products that are (202) 395–6186. The USTR Reading the dispute settlement proceedings, specified in its Schedule, Hungary Room is open to the public from 9:30 comments should be submitted on or provided export subsidies in excess of a.m. to 12 noon and 1 p.m. to 4 p.m., before March 17, 1997, to be assured of its specified budgetary outlay and Monday through Friday. timely consideration by USTR in quantity commitment levels. Both sets A. Jane Bradley, of circumstances continued in 1996. preparing its first written submission to Assistant U.S. Trade Representative for the panel. Hungary’s export subsidies appear to Monitoring and Enforcement. be inconsistent with Hungary’s ADDRESSES: Comments may be [FR Doc. 97–4181 Filed 2–19–97; 8:45 am] obligations to limit its export subsidies submitted to Ileana Falticeni, Office of BILLING CODE 3190±01±M Monitoring and Enforcement, Room under the Agreement on Agriculture, 501, Attn: Hungary Export Subsidies including, but not limited to, Article 3.3, Article 8, and Article 9.2. Dispute, Office of the U.S. Trade DEPARTMENT OF TRANSPORTATION Representative, 600 17th Street, N.W., Public Comment: Requirements for Washington, DC 20508. Submissions Federal Aviation Administration FOR FURTHER INFORMATION CONTACT: Interested persons are invited to Approval of Noise Compatibility William D. Hunter, Attorney, (202) 395– submit written comments concerning Program; Tallahassee Regional 3582, or Marilyn Moore, Senior the issues raised in the dispute. Airport, Tallahassee, FL Economist, (202) 395–6127. Comments must be in English and SUPPLEMENTARY INFORMATION: On provided in fifteen copies. A person AGENCY: Federal Aviation January 9, 1997, the United States requesting that information contained in Administration, DOT. requested establishment of a WTO a comment submitted by that person be ACTION: Notice. dispute settlement panel to examine treated as confidential business whether Hungary’s export subsidies on information must certify that such SUMMARY: The Federal Aviation agricultural products are inconsistent information is business confidential and Administration (FAA) announces its with the obligations of the WTO would not customarily be released to findings on the noise compatibility Agreement on Agriculture. Argentina, the public by the commenter. program submitted by the City of Australia and New Zealand also Confidential business information must Tallahassee, Florida, under the requested the establishment of a panel. be clearly marked ‘‘BUSINESS provisions of Title I of the Aviation The WTO Dispute Settlement Body CONFIDENTIAL’’ in a contrasting color Safety and Noise Abatement Act of 1979 (DSB) considered the U.S. request at its ink at the top of each page of each copy. (Public Law 96–193) and 14 CFR Part meeting on January 22, 1997. Under the A person requesting that information 150. These findings are made in WTO Understanding on Rules and or advice contained in a comment recognition of the description of Federal Procedures Governing the Settlement of submitted by that person, other than and non-Federal responsibilities in Disputes, the DSB must establish a business confidential information, be Senate Report No. 96–52 (1980). On panel at the next DSB meeting where a treated as confidential in accordance June 25, 1996, the FAA determined that 7816 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Notices the noise exposure maps submitted by measure should be recommended for FAA. Where Federal funding is sought, the City of Tallahassee, Florida, under action. The FAA’s approval or requests for project grants must be Part 150 were in compliance with disapproval of FAR Part 150 program submitted to the FAA Airports District applicable requirements. On December recommendations is measured Office in Orlando, Florida. 20, 1996, the Administrator approved according to the standards expressed in The City of Tallahassee, Florida, the Tallahassee Regional Airport noise Part 150 of the Act, and is limited to the submitted to the FAA on June 4, 1996, compatibility program. Thirteen (13) of following determinations: updated noise exposure maps, fifteen (15) recommendations of the a. The noise compatibility program descriptions, and other documentation program were approved in full. Two was developed in accordance with the produced during the noise compatibility recommendations were partially provisions and procedures of FAR Part planning study conducted from January approved. 150; 3, 1994 through May 30, 1996. The EFFECTIVE DATE: The effective date of the b. Program measures are reasonably Tallahassee Regional Airport noise FAA’s approval of the Tallahassee consistent with achieving the goals of exposure maps were determined by Regional Airport noise compatibility reducing existing noncompatible land FAA to be in compliance with program is December 20, 1996. uses around the airport and preventing applicable requirements on June 25, FOR FURTHER INFORMATION CONTACT: the introduction of additional 1996. Notice of this determination was Mr. Tommy J. Pickering, P.E., Federal noncompatible land uses; published in the Federal Register. c. Program measures would not create Aviation Administration, Orlando The Tallahassee Regional Airport an undue burden on interstate or foreign Airports District Office, 5950 Hazeltine study contains a proposed noise commerce, unjustly discriminate against National Drive, Suite 400, Orlando, compatibility program comprised of types or classes of aeronautical users, Florida 32822–5024, (407) 812–6331, actions designed for phased violate the terms of airport grant Extension 29. Documents reflecting this implementation by airport management agreements, or intrude into areas FAA action may be reviewed at this and adjacent jurisdictions from the date preempted by the Federal government; same location. of study completion to the year 2001. It and SUPPLEMENTARY INFORMATION: This was requested that FAA evaluate and d. Program measures relating to the notice announces that the FAA has approve this material as a noise use of flight procedures can be given its overall approval to the noise compatibility program as described in implemented within the period covered compatibility program for Tallahassee Section 104(b) of the Act. The FAA by the program without derogating Regional Airport, effective December 20, began its review of the program on June safety, adversely affecting the efficient 1996. 25, 1996, and was required by a use and management of the navigable Under Section 104(a) of the Aviation provision of the Act to approve or airspace and air traffic control systems, Safety and Noise Abatement Act of 1979 disapprove the program within 180 days or adversely affecting other powers and (hereinafter referred to as ‘‘the Act’’), an (other than the use of new flight responsibilities of the Administrator airport operator who has previously procedures for noise control). Failure to prescribed by law. submitted a noise exposure map may approve or disapprove such program submit to the FAA a noise compatibility Specific limitations with respect to within the 180-day period shall be program which sets forth the measures FAA’s approval of an airport noise deemed to be an approval of such taken or proposed by the airport compatibility program are delineated in program. operator for the reduction of existing FAR Part 150, Section 150.5. Approval noncompatible land uses and is not a determination concerning the The submitted program contained prevention of additional noncompatible acceptability of land uses under Federal, fifteen (15) proposed actions for noise land uses within the area covered by the state, or local law. Approval does not by mitigation on and off the airport. The noise exposure maps. The Act requires itself constitute an FAA implementing FAA completed its review and such programs to be developed in action. A request for Federal action or determined that the procedural and consultation with interested and approval to implement specific noise substantive requirements of the Act and affected parties including local compatibility measures may be FAR Part 150 have been satisfied. The communities, government agencies, required, and an FAA decision on the overall program, therefore, was airport users, and FAA personnel. request may require an environmental approved by the Administrator effective Each airport noise compatibility assessment of the proposed action. December 20, 1996. program developed in accordance with Approval does not constitute a Outright approval was granted for Federal Aviation Regulations (FAR) Part commitment by the FAA to financially thirteen (13) of the fifteen (15) specific 150 is a local program, not a Federal assist in the implementation of the program measures. Two (2) measures program. The FAA does not substitute program nor a determination that all were partially approved. The approval its judgment for that of the airport measures covered by the program are action was for the following program proprietor with respect to which eligible for grant-in-aid funding from the measures: Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Notices 7817

OPERATIONAL CONTROLS

Operational control number Description NCP pages

1 ...... Balance the air carrier and military jet departure activity on Runways 27 and 36 (approximately 40 percent of Pgs. 35±36; p. the departure activity on each runway) to reduce noise exposure north of the airport. Departure activity on 12; and other runways should remain the same as the current conditions. This measure recommends a modifica- Table 14. tion of Air Traffic Control procedures to increase the use of Runway 27 departures of air carrier and mili- tary jet activity to approximately 40 percent and to reduce departure of these aircraft to approximately 40 percent on Runways 36. For military jet departures, approximately 40 percent of these represent touch and go activity and would need to remain on Runway 36. The remaining military jet activity would be assigned to the same as the proposed air carrier activity. Other aircraft runway utilization would remain the same as the current condition. This would reduce noise exposure on sensitive areas north of the Airport and reduce the number of impacts within their 65 DNL contour by 53 people. FAA Action: Approved as a voluntary measure. 2 ...... This measure recommends the implementation of a ``close-in'' departure procedure for Runways 36 and 09 Pgs. 36±37; and a ``distant'' departure for Runway 18 based on Advisory Circular 91±53A. This will increase aircraft al- Table 14; titude over noise sensitive areas south of the Airport and reduce noise levels in residential areas north and and AC 91± east of the Airport. FAA Action: Approved as a voluntary measure. 53. 3 ...... This measure recommends that when precision approach Global Positioning System (GPS) technology be- Pg. 37 and comes available, a GPS should be installed and alternative approach procedures to Runway 27 should be Table 14. reviewed to determine if approach track modifications are warranted. This will provide for future flexibility in reducing arrival noise to areas east of the Airport. FAA Action: Approved in part. FAA approves the review of alternative approach procedures to Runway 27 to determine if approach track modifications are war- ranted for noise benefits when precision approach GPS technology becomes available. The airport opera- tor may submit supplemental information, including the noise benefits, upon completion of its review and may request approval under Part 150 of specified approach procedures to be used. However, the installa- tion of a GPS under Part 150 is disapproved. The primary benefits of a GPS would be related to a devel- opment upgrade rather than noise benefits. This does not prevent the installation of a GPS outside of Part 150. 4 ...... This measure supports the Federal legislation for the phase-out of Stage 2 aircraft by the year 2000. The Pg. 37 and phase-out of Stage 2 aircraft will reduce the impact of aircraft noise on areas surrounding the Airport. FAA Table 14. Action: Approved as an expression of airport operator support for the Federal transition sechedule.

LAND USE MEASURES

Land use con- trol number Description NCP pages

1 ...... This measure recommends that current zoning for the City of Tallahassee and Leon County be amended to Pg. 42±43; Ex- implement noise overlay zoning to supplement the underlying zoning categories. Overlay Zone 1 should be hibit 12; and associated with the 60 DNL contour and Zone 2 should be associated with the 65 DNL contour using iden- Tables 13 & tifiable features to define the limits. Generally, residential uses, churches, hospitals and schools would be 15. excluded from the 65 DNL contour and consideration would be given to precluding the location of addi- tional mobile homes from the 60 DNL contour and above. This could preclude the potential for future in- compatible development in areas subject to overflight and noise exposure. FAA Action: Approved. 2 ...... It is recommended that current zoning for the City of Tallahassee and Leon County be changed to designate Pgs. 43±44; land north of the Airport, east of Sand Road, West of Capitol Circle S.W., and south of S.R. 20 for future Exhibits 11 compatible forms of commercial and industrial development; and to designate land north of S.R. 20, west and 13; and of Capitol Circle S.W., south of Gum Road and east of a north-south line situated approximately 3,600 feet Tables 13 & west of Capitol Circle S.W. for low density residential development. This would preclude the potential for 15. future incompatible development in areas subject to overflight and noise exposure. FAA Action: Approved in part. The portion of this recommendation related to any new residential development, regardless of den- sity, does not meet Part 150 approval criteria to prevent the introduction of noncompatible land uses and is disapproved. This disapproval for purposes of Part 150 is not intended to discourage planning efforts to re- duce the potential for future noncompatible land uses. 3 ...... It is recommended that existing building codes for the City of Tallahassee and Leon County be amended to Pgs. 44±45 require soundproofing in new residential and noise sensitive institutional land uses (churches, hospitals, and Tables etc.) that may occur within the composite current and future 65 DNL noise contours. This addresses noise 13 & 15. impacts which may occur on new noise sensitive uses in undeveloped areas. The application of these standards should only impact vested residential lots or parcels available for development, and only if the acquisition program proposed is not implemented. FAA Action: Approved. Sound attenuation consistent with Part 150 Table 1 will make these structures compatible. The FAA believes that the prevention of addi- tional residential land uses within the DNL 65dB contour is highly preferred over allowing such uses even at lower densities and combined with sound attenuation. The airport operator and local land use jurisdic- tion are urged to pursue all possible avenues to discourage new residential development within these lev- els of noise exposure. 4 ...... It is recommended that the City of Tallahassee and Leon County amend the current Tallahassee-Leon Coun- Pgs. 47±48 ty Comprehensive Plan to incorporate the recommendations of the updated FAR part 150 Noise Compat- and Tables ibility Study into the provisions of their planning document. This would identify noise and land use compat- 13 & 15. ibility areas within the aircraft noise impact areas. FAA Action: Approved. 7818 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Notices

LAND USE MEASURESÐContinued

Land use con- trol number Description NCP pages

5 ...... It is recommended that procedures be implemented to factor noise compatibility considerations into the Pg. 48 and Ta- project review process of local planning commissions, Boards of Adjustment and staff review of land devel- bles 13 & opment proposals. This measure would include the development of specific checklist items relating to is- 15. sues of noise compatibility and a map showing the area where noise compatibility issues are critical. FAA Action: Approved. 6 ...... It is recommended that the Broadmoor Estates Mobile Home Park be considered for voluntary fee simple ac- Pgs. 50±51; quisition and the present occupants be relocated to other compatible locations not impacted by aircraft re- Exhibit 13; lated noise. This would remove approximately 210 residences (incompatible land uses) from high noise and Tables contour areas. FAA Action: Approved. 13 & 15. 7 ...... It is recommended that a voluntary purchase program be implemented for the acquisition of all 52 existing Pgs. 49±52; single-family residential units in The Cascades, depending upon the extent of neighborhood disruption, and Exhibit 13; 17 existing predominantly mobile homes located near the eastern terminus of Sullivan Road. This would and Tables remove these residences from high noise contour areas. FAA Action: Approved as a voluntary measure. 13 & 15. 8 ...... Acquisition is recommended for three parcels of undeveloped land located almost entirely within the 65dB Pgs 52±53; contour: west of Capitol Circle S.W., south of Jackson Bluff Road, and north of Lake Cascade that has the Exhibit 13; potential for residential development. This will provide positive control over land use within high noise con- and Tables tour areas or land available for potential residential development. FAA Action: Approved. This measure is 13 & 15. subject to a determination at the time of implementation that the purchase is necessary to prevent new noncompatible development because noncompatible development on the vacant land is highly likely and local land use controls will not prevent such development. 9 ...... It is recommended that as a final option, owners of noise impacted property who either opt not to participate Pgs. 53±54; in the voluntary purchase program, or whose dwellings are not technologically or financially feasible to un- Exhibit 13; dergo soundproofing will be offered the opportunity to sell an avigation easement to the airport. The and Tables avigation easement purchase offer will be made only after the completion of the voluntary purchase pro- 13 & 15. gram and the residential soundproofing program is completed. This will provide protection to the airport from litigation and will provide notification to future residents of noise exposure. FAA Action: Approved. 10 ...... It is recommended that soundproofing should be offered as an option to owners of permanent residential Pgs. 54±55; structures located within the DNL 65dB voluntary purchase areas, if in doing so, it is both technologically Exhibit 13; feasible and cost efficient. The soundproofing option would not commence until completion of the voluntary and Tables acquisition program. Mobile homes would not be eligible. This would address impacts on existing resi- 13 & 15. dences and result in notification of future residents of noise impacts. In exchange for the soundproofing, the residents will be required to dedicate an easement and nonsuite covenant to the airport. FAA Action: Approved. 11 ...... It is recommended that the City of Tallahassee and Leon County should continue practicing environmental Pg. 46 and Ta- land use controls during their development review process. This supports the prohibition of residential land bles 13 & use within noise impacted portions of the study area. FAA Action: Approved. 15.

These determinations are set forth in SUMMARY: The FAA proposes to rule and previously provided to the City of La detail in a Record of Approval endorsed invites public comment on the Crosse under § 158.23 of part 158. by the Administrator on December 20, application to impose and use the FOR FURTHER INFORMATION CONTACT: 1996. The Record of Approval, as well revenue from a PFC at La Crosse as other evaluation materials and the Municipal Airport under the provisions Sandra E. DePottey, Program Manager, documents comprising the submittal, of the Aviation Safety and Capacity Minneapolis Airports District Office, are available for review at the FAA Expansion Act of 1990 (Title IX of the 6020 28th Avenue South, room 102, office listed above and at the Omnibus Budget Reconciliation Act of Minneapolis, MN 55450, 612–713–4363. administrative office of the City of 1990) (Pub. L. 101–508) and part 158 of The application may be reviewed in Tallahassee, Florida. the Federal Aviation Regulations (14 person at this same location. Issued in Orlando, Florida on February 4, CFR part 158). SUPPLEMENTARY INFORMATION: The FAA 1997. DATES: Comments must be received on proposes to rule and invites public Charles E. Blair, or before March 24, 1997. comment on the application to impose Manager, Orlando Airports District Office. ADDRESSES: Comments on this and use the revenue from a PFC at La [FR Doc. 97–4204 Filed 2–19–97; 8:45 am] application may be mailed or delivered Crosse Municipal Airport under the BILLING CODE 4910±13±M in triplicate to the FAA at the following provisions of the Aviation Safety and address: Minneapolis Airports District Capacity Expansion Act of 1990 (Title Office, 6020 28th Avenue South, Room IX of the Omnibus Budget Notice of Intent to Rule on Application 102, Minneapolis, Minnesota 55450. Reconciliation Act of 1990) (Pub. L. to Impose and Use the Revenue from In addition, one copy of any 101–508) and part 158 of the Federal a Passenger Facility Charge (PFC) at comments submitted to the FAA must Aviation Regulations (14 CFR part 158). La Crosse Municipal Airport, La be mailed or delivered to Eldon L. On February 5, 1997, the FAA Crosse, Wisconsin Steele, Airport Manager of the La Crosse determined that the application to AGENCY: Federal Aviation Municipal Airport at the following impose and use the revenue from a PFC Administration (FAA), DOT. address: La Crosse Municipal Airport, submitted by City of La Crosse was 2850 Airport Road, La Crosse, WI 54603. substantially complete within the ACTION: Notice of Intent to Rule on Air carriers and foreign air carriers requirements of § 158.25 of part 158. Application. may submit copies of written comments The FAA will approve or disapprove the Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Notices 7819 application, in whole or in part, no later with potential to achieve dramatic 24 percent reduction from the 22,720 than May 22, 1997. declines in alcohol-impaired driving alcohol-related fatalities reported in The following is a brief overview of fatalities are needed to reach this 1985 (52 percent of the total). the application. national goal. This cooperative From 1985 to 1995 intoxication rates PFC application number: 97–03–00– agreement program is to support the decreased for drivers of all age groups LSE. development of innovative projects or involved in fatal crashes, with the Level of the proposed PFC: $3.00. new approaches that have potential to youngest and oldest drivers Proposed charge effective date: June substantially reduce alcohol-related experiencing the largest decreases. For 1, 1997. fatalities, injuries and crashes. drivers 65 and older, intoxication rates Proposed charge expiration date: NHTSA anticipates funding several dropped from 7.6 percent in 1985 to 5.0 August 1, 1998. innovative demonstration projects for a percent in 1985 (a decline of 34 Total estimated PFC revenue: period of two years under this percent); for drivers 16 to 20 years of $315,000. announcement. age, intoxication rates dropped by 47 Brief description of proposed This notice solicits pre-applications percent (from 23.9 percent in 1985 to project(s): Acquire snow removal from public and private, non-profit and 12.7 percent in 1995). equipment (two snow plow trucks); for-profit organizations, state and local The highest intoxication rates in fatal Pavement evaluation and management governments and their agencies. crashes in 1995 were recorded for system study; Airport Layout Plan Interested applicants must submit a pre- drivers 21–24 years old (27.8 percent), update; PFC administration. application package as further described followed by ages 25–34 (26.8 percent Class or classes of air carriers which in the Pre-Application Procedures and 35–44 (22.8 percent). These three the public agency has requested not be section of this notice. The pre- age groups have also shown the smallest required to collect PFCs: no request to applications will be evaluated to reductions since 1985 (21.3 percent, exclude carriers. identify those that warrant further 17.3 percent and 6.0 percent, Any person may inspect the development. Only selected pre- respectively. application in person at the FAA office applicants will be invited to submit a Safety belts were used by only about listed above under FOR FURTHER full application. 17.5 percent of the fatally injured INFORMATION CONTACT. DATES: Pre-applications must be intoxicated drivers (blood alcohol In addition, any person may, upon received at the office designated below concentration (BAC) of 0.10 g/dl or request, inspect the application, notice on or before 3:00 pm April 1, 1997. greater), compared to 29.1 percent of and other documents germane to the ADDRESSES: Pre-applications must be fatally injured impaired drivers (BAC application in person at the City of La submitted to the National Highway between 0.01 g/dl and 0.09 g/dl) and Crosse. Traffic Safety Administration, Office of 44.6 percent of fatally injured sober Issued in Des Plaines, IL, on February 12, Contracts and Procurement (NAD–30), drivers (no alcohol). 1997. ATTN: Rose Watson, 400 7th Street, Innovations in enforcement, Benito De Leon, S.W., Room 5301, Washington, D.C. alternative sanctions, public education, alcohol screening and treatment, Manager, Planning and Programming Branch, 20590. All applications submitted must Airports Division, Great Lakes Region. include a reference to NHTSA prevention, technology and the passage of tougher legislation have all [FR Doc. 97–4207 Filed 2–19–97; 8:45 am] Cooperative Agreement Program No. DTNH22–97–H–05072. contributed to this decline. While it is BILLING CODE 4910±13±M clear that the nation has made progress FOR FURTHER INFORMATION CONTACT: in reducing alcohol-related fatalities, General administrative questions may more needs to be done in order to National Highway Traffic Safety be directed to Rose Watson, Office of continue making significant gains. It Administration Contracts and Procurement at (202–366– will take new ideas, creative 9557). Programmatic questions relating approaches, innovative programs, new Discretionary Cooperative Agreements to this cooperative agreement program partners, and new or improved to Support the Demonstration and should be directed to Valerie Gompf, technologies to significantly lower the Evaluation of Innovative Alcohol- Impaired Driving Division, NHTSA, 400 number of alcohol-related deaths. The Impaired Driving Projects 7th Street, SW (NTS–11), Washington, national goal will not be met without DC 20590 by e-mail at AGENCY: National Highway Traffic expanding beyond the current state-of- [email protected] or by phone Safety Administration, DOT. the-art in these areas. (202–366–2702). Interested applicants ACTION: Announcement of discretionary are advised that no separate pre- Partners in Progress cooperative agreement program to application package exists beyond the support the demonstration and To explore how to achieve this contents of this announcement. evaluation of Innovative Alcohol- national goal, NHTSA convened a group Impaired Driving Projects. SUPPLEMENTARY INFORMATION: of over 100 people for the Partners in Progress meeting in February 1995. The Background SUMMARY: The National Highway Traffic group developed over 100 strategies to Safety Administration (NHTSA) The goal of NHTSA’s Impaired address the goal. In January 1996, announces a discretionary cooperative Driving program is to reduce alcohol- NHTSA convened an Implementation agreement program to demonstrate and related fatalities to 11,000 by the year Group to develop an action plan to evaluate innovative projects aimed at 2005. Progress has been made in make quantum leaps toward this goal. reducing alcohol-impaired fatalities. reducing alcohol-related fatalities in the The Implementation Group met several The goal of NHTSA’s Impaired last ten years. The proportion of traffic times over the course of a year and Driving program is to reduce alcohol- fatalities involving alcohol has dropped drafted an ‘‘Impaired Driving Guide for related fatalities to 11,000 by the year to 41 percent in 1995, from 52 percent Action,’’ which included the following 2005. While progress has been made in in 1985. The 17,274 alcohol-related seven countermeasure areas: reducing alcohol-related fatalities in the fatalities in 1995 (41 percent of total (1) public education; last ten years, more innovative programs traffic fatalities for the year) represent a (2) individual responsibility; 7820 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Notices

(3) legislation; recommended for achieving a more 3. Promote designated drivers and the (4) enforcement/adjudication; appropriate balance in media messages. use of other alternative transportation. (5) technology; a. Increase the relevance and reach of (3) Legislation—Promote passage of (6) health care and medical pro-health and safety messages through effective legislation and sustain existing community; and increased availability and public service effective laws such as Minimum (7) business/employers. announcements, counter-advertising Drinking Age 21, Administrative This innovative cooperative and media literacy; License Revocation, Zero Tolerance for agreement program will be based on the b. Decrease the advertising and Youth and .08 illegal per se for adults. seven areas identified in the Partners in promotional messages that glamorize or Encourage adoption and evaluation of Progress An Impaired Driving Guide for trivialize drinking and driving; and promising legislation such as graduated Action. The information contained in c. Enlist the expertise of the alcohol licensing for youth and vehicle this notice from the Partners in Progress and advertising industries in reaching sanctions for repeat offenders. is still in draft form. The final document high risk populations, especially those 3.1 Support, promote strengthen, and is expected to be printed in June of age 21–34 and underage youth with pro- pass legislation that reflects the public 1997. health and safety messages. sentiment. The majority of the nation’s (2) Individual Responsibility— Purpose citizens believe that alcohol impaired Promote a social norm where driving is socially unacceptable. Listed The purpose of this cooperative individuals do not drive while impaired below are legislative initiatives that agreement program is to encourage and actively intervene to prevent should be addressed in each state. innovation in solving the impaired behaviors by others that contribute to a. Administrative License Revocation driving problem by funding projects that driving while impaired. (Laws which automatically and apply original or creative methods or 2.1 Develop and implement immediately suspend or revoke licenses technologies; or that use existing community programs that train all of drivers who operate a vehicle with a methods or technologies in original or citizens to follow a prescribed set of blood alcohol level at or above the creative ways. The objective is to behaviors: state’s defined legal limit.) identify creative or novel approaches/ a. Serve as appropriate role models b. Safety Belts and Child Car Seats technologies with the greatest potential especially regarding their drinking and (Laws that make non-use of safety belts to reduce alcohol involved crashes, driving behavior. by drivers and passengers a traffic fatalities and injuries. b. Intervene in the behavior of others offense, thus allowing police to stop and when they are likely to drive while Project Eligibility ticket any occupant not wearing a safety impaired. belt or using a proper child restraint). Applications may be submitted by c. Assist alcohol dependent c. Comprehensive Screening and public and private, non-profit and for- individuals to seek and participate in Multi-tiered Treatment Programs (Laws profit organizations, and state and local treatment and recovery. requiring all drivers convicted of DWI/ d. Exhibit appropriate social hosting governments and their agencies or a DUI undergo an alcohol assessment practices. consortium of the these groups above. program to determine if they have an e. Patronize establishments that Thus, universities, colleges, research alcohol abuse problem and require institutions, hospitals, other public and exhibit responsible serving practices. f. Support and comply with laws appropriate sanction and treatment.) private (non- or not-for-profit) d. .08 BAC Per Se (Laws lowering the regulating the purchase, possession, organizations, and State and local illegal blood alcohol concentration to consumption of or provision of alcohol governments are eligible to apply. .08 BAC per se for all drivers over the to underage persons as well as underage Interested applicants are advised that no age of 21.) persons falsifying identification in order fee or profit will be allowed under this e. Vehicle Confiscation, to purchase. cooperative agreement program. g. Educate family, friends and co- Immobilization, Impoundment (Laws Eligible projects will also be limited workers about the dangers of drinking requiring that convicted repeat DUI/ to those that fall within the seven and driving. DWI offenders lose their vehicle or use categories of the draft Partners in h. Intensify the social contract: ‘‘Do of their vehicle for a prescribed period Progress: Impaired Driving Guide for you mind if I drive after drinking?’’ of time or have devices placed on the Action outlined below: I. Participate in the development of vehicle that would prevent the driver (1) Public Education—Create public alternative activity programs for youth from driving if they had consumed any concern and outrage by developing and that: alcohol.) implementing a comprehensive national 1. Encourage parents and others to be f. Valid Drivers License Required for and/or local public information and role models for children. Vehicle Purchase or Registration (Laws education campaign that promotes 2. Encourage children to query their that prevent persons without a valid health norms and reawakens the public parents, ‘‘If you’re drinking, who’s drivers license from purchasing or awareness of the scope, impact and cost driving?’’ registering a vehicle.) of the impaired driving problem, and 3. Incorporate impaired driving and g. Zero Tolerance (Laws that prevent develops public support for legislative other traffic safety messages into school drivers under the age of 21 to operate a and enforcement efforts. curricula. vehicle with any measurable amount of 1.1 Recreate public concern and 4. Support alcohol-free parties for alcohol in their system.) outrage about senseless deaths and youth celebrations. h. Graduated Licensing (Laws that injuries caused by impaired driving. j. Show support for the enactment and require new drivers to demonstrate 1.2 Develop campaigns and enforcement of policies, laws, and responsible driving behavior during messages with appeal to high-risk target ordinances that: restricted hours of operation over an populations, e.g. 21–34 year olds, high 1. Strengthen the prevention and extended period of time before BAC offenders and under age 21. deterrence of impaired driving. obtaining full license privilege.) 1.3 Improve the balance of media 2. Provide for accessible/affordable i. 21 Minimum Drinking Age (Laws messages related to alcohol-impaired treatment for alcohol dependent that make it illegal for persons under 21 driving. Three specific actions are persons. to purchase, attempt to purchase, use Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Notices 7821 false identification to purchase, possess sentencing and monitoring of impaired hospitality practices when hosting and/or consume alcoholic beverages. drivers. events for employees, clients, or These laws also prohibit an adult from (6) Health and Medical—Encourage business associates. purchasing alcohol for a minor or the health care and medical community Additional Resources selling to a minor.) to address alcohol use and impaired j. Enhanced Penalties for Higher BACs driving in patient consultations. Involve The following is a list of resources for (Laws that provide more severe health care providers as champions for information on highway safety programs penalties for drivers with very high public education efforts and advocates on impaired driving. blood alcohol levels.) for policy changes. (1) Compendium of Traffic Safety k. Dram Shop Laws (Laws that 6.1 Advocate for health care policies Research Projects, DOT HS 808 379 provide criminal and administrative that provide for adequate coverage for April 1996. This is an annotated penalties for serving and selling alcohol assessment, intervention, and treatment bibliography of NHTSA’s behavioral to intoxicated or underage patrons.) of alcohol problems. research over the last 10 years, and l. Immunity for Hospital BAC 6.2 Show concern and take action includes alcohol-impaired driving Reporting (Laws that grant immunity to about potential impaired driving by research. This is available on NHTSA’s hospitals that conduct and report BAC patients as an integral part of preventive world wide web home page (http:// tests of drivers in case of death or medicine. This action should include: www.nhtsa.dot.gov:80/people/injury/ serious injury.) a. Questions about drinking, impaired research/COMPEND.HTM). (4) Enforcement/Adjudication— driving and occupant protection in (2) Traffic Safety Digest. This is a Implement uniform, visible and highly patient interviews. quarterly publication of NHTSA which publicized traffic safety and alcohol b. Information about drinking, contains innovative traffic safety regulatory enforcement efforts impaired driving and occupant projects that have been or are currently throughout the nation and ensure protection in written and verbal patient being conducted in states and effective and consistent prosecution and education. communities. This is available on adjudication of offenders to guarantee c. Aggressive assessment and referral NHTSA’s world wide web home page that impaired driving is treated as a for alcohol problems. (http://www.nhtsa.dot.gov:80/people/ serious crime. 6.3 Involve health care professionals outreach/safedige). 4.1 Hold law enforcement as advocates for prevention, legislation (3) Each state has a Governor’s administrators accountable for impaired and enforcement initiatives in the areas Highway Safety Office that can provide driving deaths and injuries in their of impaired driving and occupant information on state legislation, jurisdictions. protection. programs and activities related to 4.2 Train, support and motivate law 6.4 Strengthen training for health impaired driving. enforcement officers, prosecutors and care professionals in issues related to Pre-application Procedures judges to consistently enforce all laws alcohol and impaired driving. This pertaining to DWI/DUI and alcohol training should occur both initially in Each applicant must submit one regulatory control. medical school and in continuing original and two copies of the pre- 4.3 Publicize the fact that traffic medical education programs. application package to: NHTSA, Office enforcement not only reduces fatalities (7) Business and Employers— of Contracts and Procurement (NAD– and injuries, but also crime in general. Convince/inspire businesses and 30), ATTN: Rose Watson, 400 7th Street, 4.4 Improve the quality and employers to implement policies as well SW., Room 5301, Washington, DC accessibility of traffic records related to as engage in responsible hospitality 20590. An additional three copies will alcohol traffic offenses: arrests, practices whenever alcoholic beverages facilitate the review process, but are not convictions, sanctions, compliance with are sold or served. Encourage businesses required. Pre-Applications shall be judicial directives and outcomes. to support community activities related limited to the completed Cover Page of 4.5 Enforce laws pertaining to legal to reducing the human and economic the Application for Federal Assistant sale, purchase and provision of alcohol costs of traffic crashes. (standard form 424—revised 4–88); a 4- to underage and intoxicated persons. 7.1 Develop and implement page project description; and a 1-page 4.6 Increase the efficiency of the impaired driving policies, programs and staffing and budget summary. The cover arrest process to reduce the time and enforcement actions by businesses and page form 424 can be found in paperwork requirements associated with employers that influence employee and Appendix A. In block 11 of the cover DUI arrests. customer behaviors: page form 424, the applicant should also 4.7 Increase the availability and use a. Employee assistance programs. state which of the seven Partners in of creative alternative sentences for DUI b. Policies regarding on-the-job Progress areas the project addresses. The offenders such as: community service, drinking and impaired driving. pre-application may be single spaced, electronic monitoring, ignition c. Education to employees and must be typed on one side of the page interlocks, and intensive probation. customers regarding responsible only, and must include a reference to (5) Technology—Identify and apply hosting/party planning. NHTSA Cooperative Agreement No. technological solutions to the impaired 7.2 Increase participation of DTNH22–97–H–05072. Please note driving problem that affect the roadway, businesses and employers in addressing applicants interested in submitting more the vehicle and the driver. traffic safety issues within their than one innovative project must 5.1 Establish a strong safety presence communities. prepare a separate pre-application to influence the development and 7.3 Adopt responsible hospitality package for each project. application of safety technologies practices by those licensed to sell Only complete packages received on within the Intelligent Transportation alcoholic beverages including: strict age or before 3:00 p.m., April 1, 1997 will be Systems (ITS) and highway construction identification, staff training, promotion considered. communities. of alternative beverages, availability of 5.2 Develop/use innovative food and control of intoxication. Project Review Procedures and Criteria technological devices to support the 7.4 Patronize responsible Upon receipt of the pre-applications, detection, arrest, prosecution, establishments or adopt responsible they will be screened to ensure that they 7822 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Notices meet the eligibility requirements. Pre- further development will also be owners or collectors of the data to: applications meeting the requirements notified in writing and a date for identify/create and test appropriate will be reviewed by a panel using the submitting full applications will be set. instruments; and collect and criteria outlined below. In preparing the Upon receipt of the full application appropriately analyze quantitative and pre-application package, applicants proposal by NHTSA, they will be qualitative data for measuring the should organize the package to follow reviewed by panel members who were effectiveness of the innovative project. the outline provided by the review involved in the review of the pre- (4) Project Management and Staffing criteria. applications using the following criteria. (20 percent). The proposed staff are Pre-application Review Criteria Full Application Criteria clearly described, appropriately assigned, and have adequate skills and The project package must concisely The following criteria will be used to experiences. The applicant has the address the following review criteria: evaluate the full application: capacity and facilities to design, 1. Description of what the (1) Innovation (30 percent). The implement, and evaluate the proposed organization proposes to accomplish description clearly identifies the one project, The applicant provided details area for consideration (must be one of which: regarding the level of effort and (a) clearly identifies the one area for the seven areas outlined from Partners allocation of time of each staff position. consideration (must be one of the seven in Progress), and explains the The applicant furnished an areas outlined from Partners in innovative and creative features of the organizational chart and resumes of Progress); states the goals and objectives project. If building on an old idea, what each proposed staff. The resumes of the project; and explains the are the innovative or new approaches demonstrate an appropriate staffing mix, innovative and creative features of the that make this project different from experience and technical skills for the project being demonstrated. If building what has been tried in the past? The successful completion of project on an old idea, what are the innovative applicant has thought through some of objectives. Sufficient staff with the or new approaches that make this the barriers to developing and evaluation expertise have been allocated project different from what has been implementing this new idea. The to carry out the submitted evaluation tied in the past? innovative project involves new non- (b) clearly articulates the project’s traditional highway safety partners. The plan. The applicant’s staffing plan is potential to make a significant project is adaptable to other reasonable for accomplishing the contribution to national efforts to jurisdictions at a reasonable cost. The objectives of the project within the achieve the 2005 impaired driving project idea will be publicly supported established time frame. The financial fatality goal. A rationale for the and/or is suitable for public budget is sufficiently detailed to allow estimated impact must be included. (45 participation. NHTSA to determine that the estimated percent) (2) Goals, Objectives and Workplan costs are reasonable and necessary to 2. Briefly outline a specific, sound, (30 percent). The applicant’s goals are perform the proposed effort. Financial and feasible work plan, including the clearly articulated and the objectives are or in-kind commitment of resources by plan to evaluate the effectiveness of the time-phased, specific, measurable, and the applicant organization or other proposed project in reducing impaired achievable. The workplan will achieve supporting organizations to support the driving fatalities. This outline should an outcome-oriented result that will project has been clearly identified. identify the specific tasks required to reduce impaired driving fatalities and Availability of Funds and Period of accomplish the goals and objectives of injuries. The workplan addresses what Support the project. The feasibility of the project the applicant proposes to develop and will be evaluated in light of resources, implement; how this will be Contingent on the availability of realism, and ability to achieve the accomplished; and includes the major funds and satisfactory performance, desired outcome. (25 percent) tasks/milestones necessary to complete cooperative agreements will be awarded 3. Description of the project’s the project. This involves identification for a project period of two years. A total adaptability to other jurisdictions at a and solution of potential technical of $1.6 million in cooperative reasonable cost. (15 percent) problems and critical issues related to agreements is anticipated to be awarded. 4. Briefly outline the project’s staffing successful completion of the project. It is anticipated that individual award and budget. Include staffing titles and a The work plan will be evaluated with amounts, based upon demonstrated 1-2 sentence description of the position respect to its feasibility, realism, and need, may range between $200,000 and duties. The budget should segregate ability to achieve the desired outcomes. $400,000. This stated range does not project demonstration costs from project (3) Evaluation Plan (20 percent). The establish a minimum or maximum evaluation costs and for each of these evaluation plan clearly articulates the funding levels. activities should identify costs by direct project’s potential to make a significant Ideally, one cooperative agreement labor with a break down of costs by contribution to national efforts to would be awarded in each of the seven proposed staffing; direct materials/ achieve the 2005 impaired driving areas, but NHTSA reserves the right to equipment with a break down of major fatality goal. A rationale for the award to applicants whose proposals cost items; total travel costs with an estimated impact is included. The have the greatest potential regardless of explanation of the relationship to the applicant describes the proposed program area. Thus more than one project; evaluation costs; and overhead. evaluation design and the methods for cooperative agreement could be Clearly identify any financial or in-kind measuring the outcomes of the proposed awarded in each area and some areas commitment of resources by the interventions (countermeasures). The may have no projects funded. applicant organization or other evaluation plan will measure the In each project, some portion of the supporting organizations to support the effectiveness of the innovative program funding requested must be dedicated to project. (15 percent) idea. The applicant provides sufficient evaluation activities. Given the amount Those applicants whose pre- evidence of community cooperation and of funds available for this effort, application are not selected will be commitment, if needed. There are applicants are strongly encouraged to informed in writing. Those applicants sufficient data sources identified and seek other funding opportunities to whose pre-applications are selected for access is ensured from appropriate supplement the federal funds. Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Notices 7823

Preference will be given to applicants A. Quarterly Progress Reports should PowerPoint was used for charts and with cost-sharing proposals. include a summary of the previous yet another was used for photographs, quarter’s activities and etc.). Each of these component parts NHTSA Involvement accomplishments, as well as the should be available on disk, properly NHTSA will be involved in all proposed activities for the upcoming labeled with the program format and activities undertaken as part of the quarter. Any decisions and actions the file names. For example cooperative-agreement program and required in the upcoming quarter PowerPoint files should be clearly will: should be included in the report. The identified by both a descriptive name 1. Provide a Contracting Officer’s grantee shall supply the progress report and file name (e.g., 1994 Fatalities— Technical Representative (COTR) to to the Contracting Officer’s Technical chart1.ppt.) participate in the planning and Representative (COTR) every ninety (90) —A complete version of the assembled management of this Cooperative days following date of award. document in portable document Agreement and to coordinate activities B. Program Implementation and format (PDF) for placement of the between the Grantee and NHTSA. Evaluation Plan: The grantee shall report on the world wide web 2. Provide information and technical submit a revised program (WWW). This will be a file usually implementation and evaluation plan, assistance from government sources created with the Adobe Exchange incorporating comments received from within available resources and as program of the complete assembled the NHTSA COTR, no more than 1 determined appropriate by the COTR. document in the PDF format that will month after award of this agreement. 3. Serve as a liaison between NHTSA actually be placed on the WWW. The The NHTSA COTR will review and document would be completely Headquarters, Regional Offices and comment, if necessary. others (Federal, state and local) assembled with all colors, charts, side C. Draft Final Report: The grantee bars, photographs, and graphics. This interested in innovative alcohol grant shall prepare a Draft Final Report that program and the activities of the grantee can be delivered to NHTSA on a includes a description of the innovative standard 1.44 floppy diskette (for as appropriate. project, partners, intervention strategies, 4. Stimulate the transfer of small documents) or on any program implementation, evaluation appropriate archival media (for larger information among cooperative methodology and findings from the agreement recipients and others engaged documents) such as an CD ROM, TR– program evaluation. In terms of 1 Mini cartridge, Syquest disk, etc. in innovative alcohol program activities. information transfer, it is important to —Four additional hard copies of the know what worked and did not work, Special Award Selection Factors final document under what circumstances, and what While not a requirement of this can be done to avoid potential problems E. A Briefing to NHTSA and a announcement, applicants are strongly in future projects. The grantee shall presentation to at least one national urged to seek funds from other federal, submit the Draft Final Report to the meeting (e.g., Lifesavers * * *). State, local and private sources to COTR 60 days prior to the end of the F. Preparation and submission of a augment those available under this performance period. The COTR will paper for publication in a professional announcement. For those applications review the draft report and provide journal. that are evaluated as meritorious for comments to the grantee within 30 days Items (E) and (F) above will be consideration for award, preference may of receipt of the document. submitted to NHTSA initially in draft be given to those that have proposed D. Final Report: The grantee shall format and will be circulated for review cost-sharing strategies and/or have other revise the Draft Final Report to reflect and comment to NHTSA and others, as proposed funding sources in addition to the COTR’s comments. The revised final appropriate. those in this announcement. report shall be delivered to the COTR 15 3. During the effective performance days before the end of the performance Terms and Conditions of Award period of cooperative agreements period. The grantee shall supply the awarded as a result of this 1. Prior to award, each grantee must COTR: announcement, the agreement as comply with the certification —A camera ready version of the applicable to the grantee, shall be requirements of 49 CFR part 20, document as printed. subject to the National Highway Traffic Department of Transportation New —A copy, on appropriate media Safety Administration’s General Restrictions on Lobbying, and 49 CFR (diskette, Syquest disk, etc.), of the Provisions for Assistance Agreements, part 29, Department of Transportation document in the original program dated July 1995. government-wide Debarment and format that was used for the printing Issued on: February 14, 1997. Suspension (Non-procurement) and process. Government-wide Requirements for —Some documents require several James Hedlund, Drug Free Workplace (Grants). different original program languages Associate Administrator for Traffic Safety 2. Reporting Requirements and (e.g., PageMaker was the program for Programs. Deliverables: the general layout and design and BILLING CODE 4910±59±M 7824 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Notices

Appendix A—Application for Federal Assistance Cover Page, Standard Form 424 (rev 4–88).

BILLING CODE 4910±59±C Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Notices 7825

INSTRUCTIONS FOR THE SF 424 multiple program funding, use totals and Beryl Gordon, (202) 927–5660. [TDD for This is a standard form used by applicants show breakdown using same categories as the hearing impaired: (202) 927–5721.] item 15. as a required facesheet for preapplications SUPPLEMENTARY INFORMATION: and applications submitted for Federal 16. Applicants should contact the State Single Point of Contact (SPOC) for Federal Additional information is contained in assistance. It will be used by Federal agencies the Board’s decision. To purchase a to obtain applicant certification that States Executive Order 12372 to determine whether which have established a review and the application is subject to the State copy of the full decision, write to, call, comment procedure in response to Executive intergovernmental review process. or pick up in person from: DC News & Order 12372 and have selected the program 17. This question applies to the applicant Data, Inc., Room 2229, 1201 to be included in their process, have been organization, not the person who signs as the Constitution Avenue, N.W., given an opportunity to review the authorized representative. Categories of debt Washington, DC 20423. Telephone: applicant’s submission. include delinquent audit disallowances, (202) 289–4357/4359. [Assistance for loans and taxes. the hearing impaired is available Item and Entry 18. To be signed by the authorized 1. Self-explanatory. representative of the applicant. A copy of the through TDD services (202) 927–5721.] 2. Date application submitted to Federal governing body’s authorization for you to Decided: February 13, 1997. agency (or State if applicable) & applicant’s sign this application as official representative By the Board, Chairman Morgan and Vice control number (if applicable). must be on file in the applicant’s office. Chairman Owen. 3. State use only (if applicable). (Certain Federal agencies may require that Vernon A. Williams, 4. If this application is to continue or this authorization be submitted as part of the revise and existing award, enter present application.) Secretary. Federal identifier number. If for a new [FR Doc. 97–4179 Filed 2–19–97; 8:45 am] [FR Doc. 97–4203 Filed 2–19–97; 8:45 am] project, leave blank. BILLING CODE 4915±00±P 5. Legal name of applicant, name of BILLING CODE 4910±59±M primary organizational unit which will undertake the assistance activity, complete address of the applicant, and name and Surface Transportation Board DEPARTMENT OF THE TREASURY telephone number of the person to contact on matters related to this application. [STB Docket No. AB±55 (Sub-No. 536X)] Financial Management Service 6. Enter Employer Identification Number (EIN) as assigned by the Internal Revenue CSX Transportation, Inc.Ð Privacy Act of 1974; Computer Service. Abandonment ExemptionÐin Vigo Matching Program 7. Enter the appropriate letter in the space County, IN provided. AGENCY: Financial Management Service, 8. Check appropriate box and enter AGENCY: Surface Transportation Board. Treasury. appropriate letter(s) in the space(s) provided: ACTION: Notice of exemption. ACTION: Notice. —‘‘New’’ means a new assistance award. SUMMARY: —‘‘Continuation’’ means an extension for an The Board, pursuant to 49 SUMMARY: Pursuant to 5 U.S.C. 552a, the additional funding/budget period for a U.S.C. 10502, exempts CSX Privacy Act of 1974, as amended, and project with a projected completion date. Transportation, Inc. (CSXT), from the the Office of Management and Budget —‘‘Revision’’ means any change in the prior approval requirements of 49 U.S.C. (OMB) Guidelines on the Conduct of Federal Government’s financial obligation 10903 to permit CSXT to abandon a 2.6- Matching Programs dated June 19, 1989, or contingent liability from an existing mile portion of its Chicago Service Lane, notice is hereby given of the conduct of obligation. CE&D Subdivision, known at the Saxton a Financial Management Service (FMS) 9. Name of Federal agency from which Branch, between milepost ZY–0.00, at matching activity. assistance is being requested with this Dewey, IN (near Terre Haute), and EFFECTIVE DATE: March 24, 1997. application. milepost ZY–2.6, at the end of the track, 10. Use the Catalog of Federal Domestic ADDRESS: Comments or inquiries may be Assistance number and title of the program in Vigo County, IN, subject to an submitted to the Debt Management under which assistance is requested. environmental condition and standard Services, Financial Management 11. Enter a brief descriptive title of the employee protective conditions. Service, 401 14th Street, SW, Room 151, project, if more than one program is DATES: Provided no formal expression of Washington, DC 20227. involved, you should append an explanation intent to file an offer of financial FOR FURTHER INFORMATION CONTACT: on a separate sheet. If appropriate (e.g., assistance (OFA) has been received, this Gerry Isenberg, Financial Program construction or real property projects), attach exemption will be effective on March a map showing project location. For Specialist, Debt Management Services, preapplications use a separate sheet to 24, 1997. Formal expressions of intent (202) 874–6660. provide a summary description of this to file an OFA under 49 CFR SUPPLEMENTARY INFORMATION: FMS is the project. 1152.27(c)(2) must be filed by March 3, central disbursing source for the Federal 12. List only the largest political entities 1997, petitions to stay must be filed by Government and currently receives affected (e.g., State, counties, cities). March 7, 1997, requests for a public use recurring and non-recurring payment 13. Self-explanatory. condition conforming to 49 CFR 14. List the applicant’s Congressional certification records from departments 1152.28(a)(2) must be filed by March 12, and agencies of the Government. FMS District and any District(s) affected by the 1997, and petitions to reopen must be program or project. has a ‘‘system of records’’ (as defined in 15. Amount requested or to be contributed filed by March 17, 1997. the Privacy Act of 1974) for during the first funding/budget period by ADDRESSES: Send pleadings, referring to nonrecurring payments entitled each contributor. Value of in-kind STB Docket No. AB–55 (Sub-No. 536X) ‘‘Payment Records for Other than contributions should be included on to: (1) Surface Transportation Board, Regular Recurring Benefit Payments’’ appropriate lines as applicable. If the action Office of the Secretary, Case Control identified as Treasury/FMS .016. will result in a dollar change to an existing Branch, 1201 Constitution Avenue, FMS is also the lead agency in the award, indicate only the amount of the N.W., Washington, DC 20423; and (2) change. For decreases, enclose the amounts Federal Government for debt collection, in parentheses. If both basic and Charles M. Rosenberger, 500 Water and collects non-tax debts owed to the supplemental amounts are included, show Street—J150, Jacksonville, FL 32202. Federal Government. FMS has a breakdown on an attached sheet. For FOR FURTHER INFORMATION CONTACT: ‘‘system of records’’ for debt collection 7826 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Notices entitled ‘‘Debt Collection Operations Government, and to offset such Extension of Time to File U.S. System’’ identified as Treasury/FMS payments where appropriate to satisfy Individual Income Tax Return. .014. those debts. DATES: Written comments should be The Debt Collection Improvement Act AUTHORITY: received on or before April 21, 1997, to of 1996 (‘‘DCIA’’) amended the be assured of consideration. Authority for this program of administrative offset statute, 31 U.S.C. ADDRESSES: Direct all written comments 3716, by statutorily providing for computer matches is granted under 31 U.S.C. 3716. to Garrick R. Shear, Internal Revenue centralized administrative offset by Service, room 5571, 1111 Constitution disbursing officials of the United States. CATEGORIES OF INDIVIDUALS COVERED: Avenue NW., Washington, DC 20224. This statutory provision takes advantage Individuals receiving payments, FOR FURTHER INFORMATION CONTACT: of FMS’ role as the primary disbursing which are not recurring benefit Requests for additional information or agency for the Federal Government. payments, from the Federal Government copies of the form and instructions This match of records contained in the which are disbursed by the Financial should be directed to Martha R. Brinson, two systems of records identified above Management Service; and individuals (202) 622–3869, Internal Revenue is intended to help implement who are indebted to the United States Service, room 5571, 1111 Constitution disbursing official offset within the and whose debts may be collected by Avenue NW., Washington, DC 20224. Department of the Treasury. As a match offset in accordance with 31 U.S.C. of two Treasury systems of records, the 3716. SUPPLEMENTARY INFORMATION: intended match may be an internal Title: Application for Additional CATEGORIES OF RECORDS COVERED: match which is not subject to the Extension of Time to File U.S. requirements of the Computer Matching Included in this program of computer Individual Income Tax Return. and Privacy Protection Act of 1988 (see matches is information concerning the OMB Number: 1545–0066. 5 U.S.C. 552a(a)(8)(B)(v)(II)). The debtor contained in the Debt Collection Form Number: 2688. preparation of this Notice and any other Operations System (Treasury/FMS .014) Abstract: Internal Revenue Code documents which would be required for including name, taxpayer identification section 6081 permits the Service to a matching program is intended to number, the amount of the grant a reasonable extension of time to assure compliance with the Computer indebtedness, the name and address of file a return. Form 2688 allows Matching and Privacy Protection Act of the agency who is principally individuals who need additional time to 1988, if judicial interpretation would responsible for collecting the debt, and file their U.S. income tax return to deem this computerized comparison a the name, phone number and address of request an extension of time to file after ‘‘matching program.’’ This notice should an agency contact. Information the automatic 4-month extension period not be construed as a determination or contained in Payment Records for Other ends. admission by the agency that this match than Regular Recurring Benefit Current Actions: There are no changes is a ‘‘matching program.’’ Payments (Treasury/FMS .016) which being made to the form at this time. The DCIA provides authority for shall be included in this program of Type of Review: Extension of a Treasury to waive subsections (o) and computer matches shall include name, currently approved collection. (p) of 5 U.S.C. 552a (relating to taxpayer identification number, mailing Affected Public: Individuals or computer matching agreements, and address, and the amount of payment. households. post-offset notification and verification) Dated: February 10, 1997. Estimated Number of Respondents: upon written certification by the head of Alex Rodriguez, 1,453,000. a State or an executive, judicial, or Estimated Time Per Respondent: 37 Deputy Assistant Secretary (Administration). legislative agency seeking to collect the min. claim that the requirements of [FR Doc. 97–4107 Filed 2–19–97; 8:45 am] Estimated Total Annual Burden subsection (a) of 31 U.S.C. 3716 have BILLING CODE: 4810±35±F Hours: 900,860. been met. Such waiver will be in effect The following paragraph applies to all prior to the commencement of the of the collections of information covered computer matching program. Interested Internal Revenue Service by this notice: parties may obtain documents An agency may not conduct or concerning the waiver from the contact Proposed Collection; Comment sponsor, and a person is not required to listed above. Request for Form 2688 respond to, a collection of information NAME OF SOURCE AGENCY: AGENCY: Internal Revenue Service (IRS), unless the collection of information displays a valid OMB control number. Financial Management Service Treasury. ACTION: Notice and request for Books or records relating to a collection NAME OF RECIPIENT AGENCY: comments. of information must be retained as long Financial Management Service as their contents may become material SUMMARY: The Department of the in the administration of any internal BEGINNING AND COMPLETION DATES: Treasury, as part of its continuing effort revenue law. Generally, tax returns and This program of computer matches to reduce paperwork and respondent tax return information are confidential, will commence not earlier than the burden, invites the general public and as required by 26 U.S.C. 6103. thirtieth day after this notice appears in other Federal agencies to take this Request for Comments: Comments the Federal Register. The matching opportunity to comment on proposed submitted in response to this notice will activity will continue indefinitely. and/or continuing information be summarized and/or included in the collections, as required by the request for OMB approval. All PURPOSE: Paperwork Reduction Act of 1995, comments will become a matter of The purpose of this program of Public Law 104–13 (44 U.S.C. public record. Comments are invited on: computer matches is to identify 3506(c)(2)(A)). Currently, the IRS is (a) Whether the collection of payments made to individuals who owe soliciting comments concerning Form information is necessary for the proper delinquent debts to the Federal 2688, Application for Additional performance of the functions of the Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Notices 7827 agency, including whether the declaration in conjunction with the ACTION: Notice and request for information shall have practical utility; electronic or magnetic media filing of a comments. (b) the accuracy of the agency’s estimate partnership return (Form 1065). Form of the burden of the collection of 8453–P, together with the electronic or SUMMARY: The Department of the information; (c) ways to enhance the magnetic media transmission, will Treasury, as part of its continuing effort quality, utility, and clarity of the comprise the partnership’s return. to reduce paperwork and respondent information to be collected; (d) ways to Current Actions: There are no changes burden, invites the general public and minimize the burden of the collection of being made to the form at this time. other Federal agencies to take this information on respondents, including Type of Review: Extension of a opportunity to comment on proposed through the use of automated collection currently approved collection. and/or continuing information techniques or other forms of information Affected Public: Business or other for- collections, as required by the technology; and (e) estimates of capital profit organizations. Paperwork Reduction Act of 1995, or start-up costs and costs of operation, Estimated Number of Respondents: Public Law 104–13 (44 U.S.C. maintenance, and purchase of services 500. 3506(c)(2)(A)). Currently, the IRS is to provide information. Estimated Time Per Respondent: 49 soliciting comments concerning Form min. 8453–F, U.S. Estate or Trust Income Tax Approved: February 13, 1997. Estimated Total Annual Burden Declaration and Signature for Electronic Garrick R. Shear, Hours: 405. and Magnetic Media Filing. IRS Reports Clearance Officer. The following paragraph applies to all DATES: Written comments should be of the collections of information covered [FR Doc. 97–4185 Filed 2–19–97; 8:45 am] received on or before April 21, 1997 to BILLING CODE 4830±01±U by this notice: An agency may not conduct or be assured of consideration. sponsor, and a person is not required to ADDRESSES: Direct all written comments Proposed Collection; Comment respond to, a collection of information to Garrick R. Shear, Internal Revenue Request for Form 8453±P unless the collection of information Service, Room 5571, 1111 Constitution displays a valid OMB control number. Avenue NW., Washington, DC 20224. AGENCY: Internal Revenue Service (IRS), Books or records relating to a collection FOR FURTHER INFORMATION CONTACT: Treasury. of information must be retained as long Requests for additional information or ACTION: Notice and request for as their contents may become material copies of the form and instructions comments. in the administration of any internal should be directed to Martha R. Brinson, revenue law. Generally, tax returns and (202) 622–3869, Internal Revenue SUMMARY: The Department of the tax return information are confidential, Service, Room 5571, 1111 Constitution Treasury, as part of its continuing effort as required by 26 U.S.C. 6103. Avenue NW., Washington, DC 20224. to reduce paperwork and respondent Request for Comments: Comments SUPPLEMENTARY INFORMATION: burden, invites the general public and submitted in response to this notice will other Federal agencies to take this be summarized and/or included in the Title: U.S. Estate or Trust Income Tax opportunity to comment on proposed request for OMB approval. All Declaration and Signature for Electronic and/or continuing information comments will become a matter of and Magnetic Media Filing collections, as required by the public record. Comments are invited on: OMB Number: 1545–0967. Paperwork Reduction Act of 1995, (a) Whether the collection of Form Number: 8453–F. Public Law 104–13 (44 U.S.C. information is necessary for the proper Abstract: This form is used to secure 3506(c)(2)(A)). Currently, the IRS is performance of the functions of the taxpayer signatures and declarations in soliciting comments concerning Form agency, including whether the conjunction with electronic or magnetic 8453–P, U.S. Partnership Declaration information shall have practical utility; media filing of trust and fiduciary and Signature for Electronic and (b) the accuracy of the agency’s estimate income tax returns. Form 8453–F, Magnetic Media Filing. of the burden of the collection of together with the electronic or magnetic DATES: Written comments should be information; (c) ways to enhance the media transmission, will comprise the received on or before April 21, 1997, to quality, utility, and clarity of the taxpayer’s income tax return (Form be assured of consideration. information to be collected; (d) ways to 1041). ADDRESSES: Direct all written comments minimize the burden of the collection of Current Actions: There are no changes to Garrick R. Shear, Internal Revenue information on respondents, including being made to the form at this time. Service, room 5571, 1111 Constitution through the use of automated collection Type of Review: Extension of a Avenue NW., Washington, DC 20224. techniques or other forms of information currently approved collection. FOR FURTHER INFORMATION CONTACT: technology; and (e) estimates of capital Affected Public: Business or other for- Requests for additional information or or start-up costs and costs of operation, profit organizations and individuals or copies of the form and instructions maintenance, and purchase of services households. should be directed to Martha R. Brinson, to provide information. Estimated Number of Respondents: (202) 622–3869, Internal Revenue Approved: February 11, 1997. 1,000. Service, room 5571, 1111 Constitution Garrick R. Shear, Estimated Time Per Respondent: 49 min. Avenue NW., Washington, DC 20224. IRS Reports Clearance Officer. Estimated Total Annual Burden SUPPLEMENTARY INFORMATION: [FR Doc. 97–4186 Filed 2–19–97; 8:45 am] Hours: 810. Title: U.S. Partnership Declaration BILLING CODE 4830±01±U The following paragraph applies to all and Signature for Electronic and of the collections of information covered Magnetic Media Filing. Proposed Collection; Comment by this notice: OMB Number: 1545–0970. Request for Form 8453±F An agency may not conduct or Form Number: 8453–P. sponsor, and a person is not required to Abstract: This form is used to secure AGENCY: Internal Revenue Service (IRS), respond to, a collection of information the general partners’ signature and Treasury. unless the collection of information 7828 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Notices displays a valid OMB control number. Service, Room 5571, 1111 Constitution minimize the burden of the collection of Books or records relating to a collection Avenue NW., Washington, DC 20224. information on respondents, including of information must be retained as long FOR FURTHER INFORMATION CONTACT: through the use of automated collection as their contents may become material Requests for additional information or techniques or other forms of information in the administration of any internal copies of the information collection technology; and (e) estimates of capital revenue law. Generally, tax returns and should be directed to Carol Savage, or start-up costs and costs of operation, tax return information are confidential, (202) 622–3945, Internal Revenue maintenance, and purchase of services as required by 26 U.S.C. 6103. Service, Room 5569, 1111 Constitution to provide information. Request for Comments: Comments Avenue NW., Washington, DC 20224. Approved: February 14, 1997. submitted in response to this notice will be summarized and/or included in the SUPPLEMENTARY INFORMATION: Garrick R. Shear, request for OMB approval. All Title: Hedging Transactions. IRS Reports Clearance Officer. comments will become a matter of OMB Number: 1545–1403. [FR Doc. 97–4188 Filed 2–19–97; 8:45 am] public record. Comments are invited on: Regulation Project Number: FI–46–93. BILLING CODE 4830±01±U (a) Whether the collection of Abstract: This regulation clarifies the information is necessary for the proper character of gain or loss from the sale or [INTL±372±88; INTL±401±88] performance of the functions of the exchange of property that is part of a agency, including whether the business hedge. A taxpayer must Proposed Collection; Comment information shall have practical utility; identify the hedging transaction on its Request for Regulation Project (b) the accuracy of the agency’s estimate books and records before the close of the of the burden of the collection of day on which the taxpayer enters into AGENCY: Internal Revenue Service (IRS), information; (c) ways to enhance the it and must also identify the item, items, Treasury. quality, utility, and clarity of the or aggregate risk being hedged. The ACTION: Notice and request for information to be collected; (d) ways to information will be used to verify that comments. minimize the burden of the collection of a taxpayer is properly reporting its SUMMARY: The Department of the information on respondents, including business hedging transactions. Current Actions: There is no change to Treasury, as part of its continuing effort through the use of automated collection to reduce paperwork and respondent techniques or other forms of information this existing regulation. Type of Review: Extension of OMB burden, invites the general public and technology; and (e) estimates of capital other Federal agencies to take this or start-up costs and costs of operation, approval. Affected Public: Business or other for- opportunity to comment on proposed maintenance, and purchase of services and/or continuing information to provide information. profit organizations. Estimated Number of Respondents: collections, as required by the Approved: February 13, 1997. 110,000. Paperwork Reduction Act of 1995, Garrick R. Shear, Estimated Time Per Respondent: 52 Public Law 104–13 (44 U.S.C. IRS Reports Clearance Officer. minutes. 3506(c)(2)(A)). [FR Doc. 97–4187 Filed 2–19–97; 8:45 am] Estimated Total Annual Burden Currently, the IRS is soliciting BILLING CODE 4830±01±U Hours: 95,000. comments concerning existing final The following paragraph applies to all regulations, INTL–372–88 (TD 8632), of the collections of information covered Section 482 Cost Sharing Regulations [FI±46±93] by this notice: (§ 1.482–7); INTL–401–88 (TD 8552), Intercompany Transfer Pricing Proposed Collection; Comment An agency may not conduct or Regulations Under Section 482 Request for Regulation Project sponsor, and a person is not required to respond to, a collection of information (§§ 1.482–1, 1.482–4). AGENCY: Internal Revenue Service (IRS), unless the collection of information DATES: Written comments should be Treasury. displays a valid OMB control number. received on or before April 21, 1997 to ACTION: Notice and request for Books or records relating to a collection be assured of consideration. comments. of information must be retained as long ADDRESSES: Direct all written comments as their contents may become material to Garrick R. Shear, Internal Revenue SUMMARY: The Department of the in the administration of any internal Service, room 5571, 1111 Constitution Treasury, as part of its continuing effort revenue law. Generally, tax returns and Avenue NW., Washington, DC 20224. to reduce paperwork and respondent tax return information are confidential, FOR FURTHER INFORMATION CONTACT: burden, invites the general public and as required by 26 U.S.C. 6103. other Federal agencies to take this Requests for additional information or Request for Comments: Comments copies of the information collection opportunity to comment on proposed submitted in response to this notice will and/or continuing information should be directed to Carol Savage, be summarized and/or included in the (202) 622–3945, Internal Revenue collections, as required by the request for OMB approval. All Paperwork Reduction Act of 1995, Service, room 5569, 1111 Constitution comments will become a matter of Avenue NW., Washington, DC 20224. Public Law 104–13 (44 U.S.C. public record. Comments are invited on: 3506(c)(2)(A)). Currently, the IRS is (a) Whether the collection of SUPPLEMENTARY INFORMATION: soliciting comments concerning an information is necessary for the proper Title: (INTL–372–88) Section 482 Cost existing final regulation, FI–46–93 (TD performance of the functions of the Sharing Regulations; (INTL–401–88) 8555), Hedging Transactions (§ 1.1221– agency, including whether the Intercompany Transfer Pricing 2). information shall have practical utility; Regulations Under 482. DATES: Written comments should be (b) the accuracy of the agency’s estimate OMB Number: 1545–1364. received on or before April 21, 1997 to of the burden of the collection of Regulation Project Number: INTL– be assured of consideration. information; (c) ways to enhance the 372–88; INTL–401–88. ADDRESSES: Direct all written comments quality, utility, and clarity of the Abstract: The information collections to Garrick R. Shear, Internal Revenue information to be collected; (d) ways to in INTL–372–88 are necessary to Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Notices 7829 determine whether an entity is an UNITED STATES INFORMATION this announcement should refer to the eligible participant of a qualified cost AGENCY above title and reference number E/ sharing arrangement and whether each ASX–97–02. eligible participant is sharing the costs Fulbright Teacher Exchange Program DEADLINE FOR PROPOSALS: All copies and benefits of intangible development Orientation must be received at the U.S. Information on an arm’s length basis. INTL–401–88 ACTION: Notice—Request for Proposals. Agency by 5 p.m. Washington, DC time relates to the pricing of transfers of on Thursday, April 3, 1997. Faxed tangible property, intangible property, The Office of Academic Programs of documents will not be accepted, nor or services between related parties to the United States Information Agency’s will documents postmarked April 3, ensure that taxpayers clearly reflect Bureau of Educational and Cultural 1997, but received at a later date. It is income and to prevent the avoidance of Affairs announces an open competition the responsibility of each applicant to taxes with respect to such transactions. for an assistance award. Public and ensure that proposals are received by Affected Public: Business or other for- private non-profit organizations, with a the above deadline. Grants should begin profit organizations. minimum of four years of experience in on or above May 15, 1997 and run successfully administering orientation through April 30, 1998. Estimated Number of Respondents: programs, and meeting the provisions 1,000. FOR FURTHER INFORMATION CONTACT: Ms. described in IRS regulation 26 CFR Ilo-Mai Harding, Teacher Exchange Estimated Time Per Respondent: 7 1.501(c) may apply to develop and Branch, E/ASX, room 349, 301 4th hours, 51 minutes. administer August 1997 orientation Street, SW., Washington, DC 20547, Estimated Total Annual Burden activities in Washington DC. for telephone: (202) 619–4556, fax: (202) Hours: 7,850. approximately 500 foreign and U.S. 401–1433, Internet: IHARDING@USIA. The following paragraph applies to all teachers and dependents participating GOV to request a Solicitation Package of the collections of information covered in the Fulbright Teacher Exchange containing more detailed award criteria, by this notice: Program. The activities prepare required application forms, and participants in the program to teach in standard guidelines for preparing An agency may not conduct or the educational system of another proposals, including specific criteria for sponsor, and a person is not required to country. The programming specifically preparation of the proposal budget. respond to, a collection of information strives: (a) To provide the U.S. teachers TO DOWNLOAD A SOLICITATION PACKAGE unless the collection of information with opportunities to meet face to face VIA INTERNET: The entire Solicitation displays a valid OMB control number. with their foreign exchange partners to Package may be downloaded from Books or records relating to a discuss the details of their individual USIA’s website at http;//www.usia.gov collection of information must be exchange assignments; (b) to provide or from the Internet Gopher at gopher:/ retained as long as their contents may participants with an understanding of /gopher.usia.gov. Under the heading become material in the administration the educational systems in which they ‘‘International Exchanges/Training,’’ of any internal revenue law. Generally, will be teaching; and (c) to provide select ‘‘Request for Proposals (RFPs).’’ tax returns and tax return information teachers with practical guidance on Please read ‘‘About the Following RFPs’’ are confidential, as required by 26 living in their countries of destination, before downloading. U.S.C. 6103. with particular references to cross- Please specify USIA Program Officer Request for Comments: Comments cultural differences. Ilo-Mai Harding on all inquiries and submitted in response to this notice will Overall grant making authority for correspondences. Interested applicants be summarized and/or included in the this program is contained in the Mutual should read the complete Federal request for OMB approval. All Educational and Cultural Exchange Act Register announcement before sending comments will become a matter of of 1961, Public Law 87–256, as inquiries or submitting proposals. Once public record. Comments are invited on: amended, also known as the Fulbright- the RFP deadline has passed, Agency (a) Whether the collection of Hays Act. The purpose of the Act is ‘‘to staff may not discuss this competition in information is necessary for the proper enable the Government of the United any way with applicants until the performance of the functions of the States to increase mutual understanding Bureau proposal review process has agency, including whether the between the people of the United States been completed. information shall have practical utility; and the people of other countries * * *; SUBMISSIONS: Applicants must follow all (b) the accuracy of the agency’s estimate to strengthen the ties which unite us instructions given in the Solicitation of the burden of the collection of with other nations by demonstrating the Package. The original and 10 copies of information; (c) ways to enhance the educational and cultural interests, the application should be sent to: U.S. quality, utility, and clarity of the developments, and achievements of the Information Agency, Ref.: E/ASX–02, information to be collected; (d) ways to people of the United States and other Office of Grants Management, E/XE, minimize the burden of the collection of nations * * * and thus to assist in the Room 326, 301 4th Street, SW., information on respondents, including development of friendly, sympathetic Washington, DC, 20547. and peaceful relations between the through the use of automated collection Diversity Guidelines techniques or other forms of information United States and other countries of the technology; and (e) estimates of capital world.’’ (The funding authority for the Pursuant to the Bureau’s authorizing or start-up costs and costs of operation, program cited above is provided legislation, programs must maintain a maintenance, and purchase of services through the Fulbright-Hays Act.) non-political character and should be Programs and projects must conform to provide information. balanced and representative of the with Agency requirements and diversity of American political, social, Approved: February 13, 1997. guildlines outlined in the Solicitation and cultural life. ‘‘Diversity’’ should be Garrick R. Shear, Package. USIA projects and programs interpreted in the broadest sense and IRS Reports Clearance Officer. are subject to the availability of funds. encompass differences including, but [FR Doc. 97–4189 Filed 2–19–97; 8:45 am] ANNOUNCEMENT TITLE AND NUMBER: All not limited to ethnicity, race, gender, BILLING CODE 4830±01±U communications with USIA concerning religion, geographic location, socio- 7830 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Notices economic status, and physical partners and their families, to discuss its ability and willingness to draw on its challenges. Applicants are strongly their individual exchanges one-on-one. own resources to identify such encouraged to adhere to the Sessions for foreign teachers and individuals, as will as other resources advancement of this principle both in spouses should include: beyond the organization. This includes program administration and in program (1) Overview of the U.S. education universities in the area, consulting content. Please refer to the review system, highlighting contemporary groups, embassy personnel or other criteria under the ‘Support for Diversity’ issues affecting U.S. education; experts. Speakers may include USIA section for specific suggestions on (2) In-depth briefings on specialists, staff from foreign incorporating diversity into the total administrative procedures and counterpart agencies, university faculty, proposal. instructional practices of the U.S. international and intercultural education system, by subject and level; specialists, foreign consular and SUPPLEMENTARY INFORMATION: (3) Briefings, with information and embassy officials, recent former Overview: August Orientation materials, on techniques of teaching exchange teachers, foreign teachers Workshop modern foreign languages and English currently on exchange in the United as a second language for the foreign States, and others. USIA must approve Approximately 500 U.S. and foreign teachers assigned such classes in the speaker/panelist selections. During the exchange teachers and their dependents United States; sessions set aside for administrative from approximately 25 countries will (4) Information and materials on matters, USIA staff will specifically attend an orientation workshop in living in different regions of the United designate Agency specialists and staff Washington, DC, from August 4 to 8. States, including educational practices, from foreign counterpart agencies to Names and numbers of participants will local laws, customs and culture; serve as resource people and speakers. be provided in May/June after (5) Discussion about cultural and The cooperating institution may also be completion of the educator matching ethnic diversity within the U.S. and asked to call on these people to assist process. (There will be approximately cross-cultural issues relative to living with other orientation sessions. 135 U.S. teachers, 165 foreign teachers and working here; and 200 family members.) (6) Presentations by a wide variety of Services Participating countries arrange for individuals who represent diverse In addition to developing the agenda non-U.S. teachers to arrive at the U.S. backgrounds and life experiences; and securing speakers, the cooperating orientation site. Flights carrying non- (7) Administrative matters. institution will provide the following U.S. teachers and their families should Sessions for U.S. teachers and spouses services in consultation with USIA arrive on August 4, 1997 in the should include: program officers: Washington, DC area. Arrangements (1) In-depth discussions by country, (1) Arrange economical on-site should be made by the recipient and in some cases by level, on housing preferably in University institution for the U.S. teachers and education in participating countries, as dormitories for teachers and their their families to arrive at the orientation appropriate; dependents; dependents will range from on August 5, which is a rest day by (2) Briefing, with information and infants to adults. (USIA program officers foreign teachers. (The recipient materials, on techniques of teaching will provide specific information as to institution must require U.S. teachers to English as a foreign language and other the numbers, sex and age of orientation make their own travel arrangements to relevant subjects for U.S. teachers participants); the orientation site, on a reimbursable assigned such classes abroad; (2) Arrange for on-site housing, as basis). The workshop itself will take (3) Tips on living abroad, by country; needed, for U.S. Government personnel, place August 6–7. Departure will be (4) Discussion about cross-cultural selected panelists, speakers, and staff of scheduled for August 8. issues relative to living and working USIA’s foreign counterpart agencies; abroad; (3) Arrange for three meals per day Purpose: The purpose of the August (5) Administrative matters. on-site for participants; orientation workshop is to provide U.S. (4) Arrange on-site day care and and foreign teachers and their spouses Additional Activities educational and recreational activities and dependents with a wide range of In developing the program agenda, for spouses and children during time briefings and discussions to assist them cooperating institution may wish to when exchange teachers are in sessions; in preparing to function effectively in provide additional activities designed to arrange supervised care for children six host schools and communities here and strengthen teachers’ and dependents’ months to eighteen years to permit abroad. Partners meet face to face and abilities to function in a foreign setting. teachers and their spouses to attend share important information about their Time constraints should be considered. jointly scheduled activities; (in order to workplace and other particulars Sessions must not interfere with the cut costs, child care should not be concerning their individual exchanges. counterpart (one-on-one) discussions provided during optional activities and The workshop should focus on the between partners. Possibilities might all meals); teachers’ need to understand education include sessions on cross-cultural (5) Reimburse U.S. teachers for one- in the host country, the professional and communication and understanding, and way transportation, (air/bus/train/car/ personal aspects of the exchange, and visits to embassies, consulates, and airport transfer), on an as-needed basis, the many aspects of adjustment to living cultural gatherings. It may also be from their homes to the orientation; the abroad, including cross-cultural possible to schedule sessions on August Agency estimates these costs will orientation. The workshop should also 6 when all foreign teachers are present average $250 per teacher; (if a round trip address the anticipated needs and and most U.S. teachers will have arrived super saver is less expensive than an concerns of spouses and children so that by the afternoon. economy one-way fare, the teacher may they are able to optimally benefit from be reimbursed the former); the exchange year abroad. Speakers (6) Reimburse selected speakers, Agenda: An equivalent of one day Cooperating institution is to identity panelists and others for travel costs and should be set aside for the U.S. teachers and invite speakers and panelists to pay honoraria, where required, up to and their families, as well as exchange cover all sessions, but must demonstrate $300; Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Notices 7831

(7) Arrange for transportation for U.S. to U.S. and foreign exchange teachers at 2. Program planning: Detailed agenda and foreign teachers, spouses and the orientation. and relevant work plan should dependents to any activities or Note: USIA may also request that demonstrate substantive undertakings programming off-site; cooperating institution arrange additional and logistical capacity. Agenda and plan (8) Arrange for transportation for: orientation and/or training, or workshop should adhere to the program overview (a) Foreign teachers (and their briefings for program participants and and guidelines described above. baggage) arriving on group or individual administrators, resource people, and 3. Ability to achieve program flights to the orientation site on the organizers during the award period. objectives: Objectives should be designated official arrival day and up to Cooperating institution may also be asked to reasonable, feasible, and flexible. three days before this date; provide programming and other services to Proposals should clearly demonstrate (b) All U.S. and foreign teachers and USIA including, but not limited to, peer committee chairpersons workshops, how the institution will meet the resources (and their baggage) departing predeparture orientation activities, foreign program’s objectives and plan. from the orientation site to major metro- and U.S. teacher debriefings, materials 4. Support of Diversity: Proposals area plane, bus or rail departure points purchase and distribution, and the should demonstrate substantive support on the designated official departure day development of new program information, of the Bureau’s policy on diversity. only; including materials and videos. Achievable and relevant features should (9) Prepare name tags for all Proposed Budget: The contracted be cited in both program administration orientation participants, using a color- organization must submit a and program content (orientation coded badge system designating comprehensive line-item budget based sessions, resource materials, and choice exchange teachers by country as well as on the specific guidance in the of resources). speakers, university personnel, and Solicitation Package. There must be a 5. Institutional Capacity: Proposed USIA staff; summary budget as well as a break- personnel and institutional resources (10) Prepare signs/posters to guide down reflecting both the administrative should be adequate and appropriate to participants to their on-site destinations. budget and the program budget. For achieve the program or project’s goals. Reports better understanding or further 6. Institution’s Record/Ability: clarification, applicants may provide Proposals should demonstrate an The institution will be expected to separate sub-budgets for each program institutional record of successful design and distribute an evaluation for component, phase, location, or activity exchange programs, including the August orientation to be completed in order to facilitate USIA decisions on responsible fiscal management and full by the teachers. Such a form will cover funding. Administrative costs should be compliance with all reporting program content, including meeting kept low; this will be an important requirements for past Agency grants as sessions, as well as logistical factor in grant competition. Also, the determined by USIA’s Office of arrangements such as housing, food, and ability to achieve cost-effectiveness Contracts. The Agency will consider the general meeting facilities. The form will within budget guidelines through cost- past performance of prior recipients and be cleared by USIA prior to its use. sharing will enhance competitive the demonstrated potential of new Participants’ evaluations should be proposals. applicants. tabulated and sent to USIA no later than Please refer to the Solicitation 7. Project Evaluation: Proposals four weeks after the orientation. The Package for complete budget guidelines should include a plan to evaluate the institution should also provide the and formatting instructions. activity’s success, both as the activities Agency with a substantive written unfold and at the end of the program. A Review Process analysis of the orientation, with draft survey questionnaire or other recommendations for improving future USIA will acknowledge receipt of all technique plus description of a orientations (no later than ten weeks proposals and will review them for methodology to use to link outcomes to after the orientation). The Agency technical eligibility. Proposals will be original project objectives is reserves the right to conduct an deemed ineligible if they do not fully recommended. independent evaluation of the program. adhere to the guidelines stated herein 8. Cost-effectiveness: The overhead The institution is also required to and in the Solicitation Package. Eligible and administrative components of the provide a breakdown of actual cost proposals will be forwarded to panels of proposal, including salaries and figures for the orientation no later than USIA officers for advisory review. All honoraria, should be kept as low as ten weeks after the completion of the eligible proposals will be reviewed by possible. All other items should be orientation. the program office, as well as other necessary and appropriate. Special note: The cooperating USIA Offices, where appropriate. 9. Cost-sharing: Proposals should institution will survey the literature of Proposals may also be reviewed by the maximize cost-sharing through other appropriate subject fields to determine Office of the General Counsel. Funding private sector support as well as materials of greatest potential value to decisions are at the discretion of the institutional direct funding teachers. If approved by USIA, recipient USIA Associate Director for Educational contributions. institution will purchase materials (up and Cultural Affairs. Final technical to $30 per teacher). The institution will authority for assistance awards (grants Notice also compile other materials as directed or cooperative agreements) resides with The terms and conditions published by USIA. These may include materials the USIA Grants Officer. Technically in this RFP are binding and may not be on U.S. education, including current eligible applications will be modified by any USIA representative. trends and initiatives, materials on competitively reviewed according to the Explanatory information provided by education in selected foreign countries, criteria stated below. These criteria are the Agency that contradicts published materials on cross-cultural adjustment not rank ordered and all carry equal language will not be binding. Issuance and understanding, materials that weight in the proposal evaluation: of the RFP does not constitute an award provide guidance on living abroad, and 1. Quality of the program idea: commitment on the part of the other materials which the institution Proposals should exhibit originality, Government. The Agency reserves the and USIA staff consider useful. The substance, precision, and relevance to right to reduce, revise, or increase institution will provide these materials Agency mission. proposal budgets in accordance with the 7832 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Notices needs of the program and the availability of funds. Awards made will be subject to periodic reporting and evaluation requirements. Notification Final awards cannot be made until funds have been appropriated by Congress, allocated and committed through internal USIA procedures. Dated: February 13, 1997. Dell Pendergrast, Deputy Associate Director for Educational and Cultural Affairs. [FR Doc. 97–4104 Filed 2–19–97; 8:45 am] BILLING CODE 8230±01±M federal register February 20,1997 Thursday Rule for ResidentialAppliances;Proposed Products; andCertificationRequirements Certification RequirementsforPlumbing Consumer Products;TestProceduresand Energy ConservationProgramfor 10 CFRPart430 Renewable Energy Office ofEnergyEfficiencyand Energy Department of Part II 7833 7834 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules

DEPARTMENT OF ENERGY Standards, Mail Stop EE–43, Room 1J– A. Statutory Plumbing Requirements 018, Forrestal Building, 1000 1. Test Procedures Office of Energy Efficiency and Independence Avenue, SW, (a) Faucets and showerheads Renewable Energy Washington, DC 20585–0121. (b) Water closets and urinals Telephone: (202) 586–7140; Fax: (202) 2. Water Conservation Standards 10 CFR Part 430 586–4617. (a) Faucets The hearing will begin at 9:30 a.m., on (b) Showerheads [Docket No. EE±RM/TP±97±600] (c) Water closets and urinals March 31, 1997, and will be held in RIN 1904±AA71 3. Definitions Room 1E–245 at the U.S. Department of B. Supplementary Plumbing Requirements Energy Conservation Program for Energy, Forrestal Building, 1000 1. Metric Equivalents Consumer Products: Test Procedures Independence Avenue, SW, 2. Definitions of Basic Model and Certification Requirements for Washington, DC. (a) Faucets and showerheads Copies of the transcript of the public Plumbing Products; and Certification (b) Water closets and urinals hearing and public comments received Requirements for Residential 3. Statistical Sampling Plans for may be read in the Freedom of Certification Testing Appliances Information Reading Room (Room No. (a) Sampling plan for water closets and AGENCY: Office of Energy Efficiency and 1E–190) at the U.S. Department of urinals utilizing one-sided confidence Renewable Energy, Department of Energy, Forrestal Building, 1000 limits Energy. Independence Avenue, SW, (b) Sampling plan for faucets and showerheads utilizing one-sided ACTION: Notice of proposed rule and Washington, DC between the hours of 9:00 a.m. and 4:00 p.m., Monday confidence limits public hearing. 4. Modifications to Existing Language to through Friday, except Federal holidays. include Plumbing Products in the Code SUMMARY: The Energy Policy and The proposed rule would incorporate of Federal Regulations. Conservation Act, as amended (EPCA), by reference ASME/ANSI standards 5. Definition for ‘‘Electromechanical requires the Department of Energy (DOE (which are documents that contain both Hydraulic Toilet’’ or the Department) to administer an test procedures and water usage 6. Certification Reporting Requirements for energy and water conservation program standards) as follows: American Society Plumbing Products for certain major household appliances of Mechanical Engineers/American (a) Types of information and commercial equipment, including National Standards Institute Standard (b) Precision level of reported test results certain plumbing products. This A112.19.6–1990, ‘‘Hydraulic (c) Mathematical rounding procedures proposed rule would codify water Requirements for Water Closets and (d) Effective date for initial compliance conservation standards and test Urinals;’’ and American Society of certification submissions Mechanical Engineers/American 7. Faucet Standards on Multiple-User procedures established in EPCA for Sprayheads plumbing products, incorporate by National Standards Institute Standard (a) Sprayheads as covered products reference water conservation standard A112.18.1M–1994, ‘‘Plumbing Fixture (b) Application of faucet standards to and test procedures for faucets and test Fittings.’’ sprayheads with independently- procedures for showerheads revised by Copies of these standards may be controlled orifices the American Society of Mechanical viewed at the Department of Energy’s (c) Application of faucet standards to Engineers/American National Standards Freedom of Information Reading Room sprayheads with collectively-controlled Institute (ASME/ANSI), and provide for at the address stated above. Copies of orifices certification of compliance with the ASME/ANSI Standards may also be 8. Enforcement plumbing product standards. This obtained by request from the American C. Clarification of Certification Reporting proposed rule would also clarify the Society of Mechanical Engineers, 345 Requirements for Residential Appliances III. Procedural Requirements certification requirements applicable to East 47th Street, New York, N.Y. 10017, A. Review Under the National all residential appliances. or the American National Standards Institute, 1430 Broadway, New York, Environmental Policy Act of 1969 DATES: The Department will accept B. Review Under Executive Order 12866, comments, data, and information N.Y. 10018. For more information ‘‘Regulatory Planning and Review’’ regarding the proposed issues of this concerning public participation in this C. Review Under the Regulatory Flexibility notice no later than May 6, 1997. rulemaking proceeding, see section IV, Act The public hearing will be held on ‘‘Public Comment,’’ of this notice. D. Review Under Executive Order 12612, March 31, 1997 in Washington, DC. FOR FURTHER INFORMATION CONTACT: ‘‘Federalism’’ Requests to speak at the hearing must be William W. Hui, U.S. Department of E. Review Under Executive Order 12630, received by the Department no later Energy, Office of Energy Efficiency and ‘‘Governmental Actions and Interference Renewable Energy, Mail Stop EE–43, with Constitutionally Protected Property than 4:00 p.m., March 21, 1997. Ten (10) Rights’’ copies of statements to be given at the Forrestal Building, 1000 Independence Avenue, SW, Washington, DC 20585– F. Review Under the Paperwork Reduction public hearing must be received by the Act Department no later than 4:00 p.m., 0121, (202) 586–9145. G. Review Under Executive Order 12988, March 21, 1997. Eugene Margolis, U.S. Department of ‘‘Civil Justice Reform’’ Energy, Office of General Counsel, Mail ADDRESSES: Written comments and H. Review Under Section 32 of the Federal Stop GC–72, Forrestal Building, 1000 requests to speak at the public hearing Energy Administration Act of 1974 Independence Avenue, SW, should be labeled ‘‘Test Procedures and I. Review Under Unfunded Mandates Washington, DC 20585–0103, (202) 586– Requirements for Plumbing Products; Reform Act of 1995 9507. IV. Public Comment and Certification Requirements for A. Written Comment Procedures Residential Appliances, Docket No. EE– SUPPLEMENTARY INFORMATION: B. Public Hearing RM/TP–97–600’’ and submitted or I. Introduction 1. Procedures for submitting requests to hand-delivered to: U.S. Department of A. Authority speak Energy, Office of Energy Efficiency and B. Background 2. Conduct of hearing Renewable Energy, Office of Codes and II. Discussion C. Issues Requested for Comment Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules 7835

I. Introduction 1990 are amended to improve the faucets and showerheads, and standard efficiency of water use, the Secretary for faucets contained in ASME/ANSI A. Authority shall publish a final rule establishing an Standard A112.18.1M–1994; (b) an Part B of Title III of the Energy Policy amended uniform national standard effective date to allow manufacturers to and Conservation Act of 1975, Pub. L. unless the Secretary determines that test and make initial compliance 94–163, as amended, (EPCA), by the adoption of such a standard at the level certification submissions after such National Energy Conservation Policy specified is not (i) technologically requirements are published in a final Act of 1978 (NECPA), Pub. L. 95–619, feasible and economically justified, (ii) rule; and (c) a uniform mathematical the National Appliance Energy consistent with the maintenance of rounding method and how it is to be Conservation Act (NAECA) of 1987, public health and safety; or (iii) used to convert test data into final Pub. L. 100–12, the National Appliance consistent with the purposes of this Act. results for the purpose of determining Energy Conservation Amendments of EPCA, § 325(j) and 325(k), 42 U.S.C. compliance. Four comments (Eljer 1988 (NAECA 1988), Pub. L. 100–357, § 6295(j) and § 6295(k). Industries (Eljer), Mr. R. Michael and the Energy Policy Act of 1992 B. Background Martin, and two from PMI) were (EPAct), Pub. L. 102–486, created the received subsequent to the second Energy Conservation Program for EPCA requires that DOE amend the public meeting. Consumer Products other than plumbing products test procedures and Automobiles (Program). The products standards established by statute to II. Discussion covered under this program include conform with revisions to standards by A. Statutory Plumbing Requirements faucets, showerheads, water closets, and ASME/ANSI if certain requirements are urinals—the subjects of today’s notice of met. The applicable faucet standard and DOE is proposing to codify into the proposed rulemaking. the test procedures for faucets and Code of Federal Regulations statutory This Program consists essentially of showerheads, as prescribed by EPCA, requirements with respect to plumbing three parts: testing, labeling, and energy were in ASME/ANSI Standard products—including test procedures, and water conservation standards. In the A112.18.1M–1989. On September 15, water conservation standards, and case of faucets, showerheads, water 1994, ASME/ANSI Standard definitions. EPCA also requires that if closets, and urinals, the test procedures A112.18.1M—1994 was issued and DOE specified ASME or ASME/ANSI measure water use or estimated annual initiated a review as required. standards or test procedures are operating cost of these covered products The Department held a public amended, DOE must amend the during a representative average use workshop with representatives from the regulatory requirements to conform with cycle or period of use, as determined by Plumbing Manufacturers Institute (PMI), the revisions if certain requirements are the Secretary, and shall not be unduly its manufacturer members, Federal and met. burdensome to conduct. EPCA, state agencies, and water conservation Comment is invited on those § 323(b)(3), 42 U.S.C. § 6293(b)(3). organizations in Washington, DC on provisions of the proposed water Effective 180 days after a test June 15, 1995. The following issues conservation standards and test procedure applicable to a covered were discussed: (a) definitions of ‘‘basic procedures that differ from the current product is prescribed or established, no model’’ for faucets, showerheads, water statutory standards. Comments on manufacturer may make a closets, and urinals; (b) statistical standards or test procedures established representation with respect to water sampling plans for certification testing; by statute will not be considered. usage of such products unless such (c) certification reporting requirements 1. Test Procedures products have been tested in accordance for plumbing products; and (d) whether with such test procedures and such multiple-user ‘‘sprayheads’’ are The Department proposes to add the representation fairly discloses the considered covered products, and if so, following descriptors as measures of results of such testing. EPCA, how the faucet standards are to be water usage for faucets, showerheads, § 323(c)(2), 42 U.S.C. § 6293(c)(2). applied. Subsequently, various water closets, and urinals: maximum However, the 180-day period may be attendees at the workshop filed permissible water use (in gallons and extended for an additional 180 days if comments. Several comments covered liters per minute or cycle, and gallons the Secretary determines that this the issue of enforcement which will be and liters per flush), at 10 CFR sections requirement would impose an undue addressed in section (II)(B)(8). 430.23(s)–430.23(v), respectively. The burden. EPCA, § 323(c)(3), 42 U.S.C. Four letters from the industry (W/C test procedures for measuring water § 6293(c)(3). Technology Corporation, July 14, 1993; usage are discussed below. EPCA states that the procedures for Plumbing Manufacturers Institute, (a) Faucets and showerheads. EPCA testing and measuring the water use of February 7, 1994; and Bradley states that test procedures for faucets and showerheads, and water Corporation, February 9, 1994, and showerheads and faucets shall be the closets and urinals shall be ASME/ANSI August 12, 1994) concerning issues test procedures specified in ASME Standards A112.18.1M–1989, and relating to today’s notice (e.g., definition A112.18.1M–1989 for such products but A112.19.6–1990, respectively, but that if for ‘‘electromechanical hydraulic if ANSI revises these requirements, the ASME/ANSI revises these requirements, toilet,’’ and multiple-user sprayheads) Secretary shall adopt such revisions if the Secretary shall adopt such revisions were submitted to DOE prior to the June they conform to the basic statutory if they conform to the basic statutory 15, 1995, public workshop. The requirements for test procedures. EPCA, requirements for test procedures. EPCA, Department will consider these as part § 323(b)(7), 42 U.S.C. § 6293 (b)(7). § 323(b)(7) and 323(b)(8), 42 U.S.C. of the public comment received. The test procedure requirements for § 6293(b)(7) and § 6293(b)(8). The Department held a second public faucets and showerheads in ASME/ EPCA prescribes water conservation meeting in Washington, DC on February ANSI Standard A112.18.1M–1989 were standards for faucets, showerheads, 28, 1996, to further discuss the revised and issued as ASME/ANSI water closets and urinals. It further statistical sampling plans that would be Standard A112.18.1M–1994 on provides that if the requirements of used to certify compliance, and new September 15, 1994. These revised test ASME/ANSI Standard A112.18.1M– issues concerning: (a) incorporation of procedures appear to be reasonably 1989 or ASME Standard A112.19.6– the test procedure requirements for designed to produce test results which 7836 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules measure water use or estimated annual measured at a flowing water pressure of Standard A112.18.1M–1994 at 10 CFR operating cost of a covered product 80 pounds per square inch (psig). EPCA, § 430.32(o) in today’s rulemaking. during a representative average use § 325(j)(2), 42 U.S.C. § 6295(j)(2). On (b) Showerheads. EPCA specifies that cycle and appear not to be unduly September 15, 1994, the water the maximum water use allowed for any burdensome to conduct. See EPCA, conservation standard for faucets was showerhead manufactured after January § 323(b)(3), 42 U.S.C. § 6293(b)(3). amended to 2.2 gpm at 60 psig in 1, 1994, is 2.5 gpm when measured at Therefore, the Department proposes to ASME/ANSI Standard A112.18.1M– a flowing water pressure of 80 psig. incorporate by reference, section 6.5, 1994. EPCA also requires that such ‘‘Flow Capacity Test in ASME/ANSI At the second workshop held on showerheads meet the requirement of Standard A112.18.1M–1994, for testing February 28, 1996, the issue of whether ASME/ANSI Standard A112.18.1M– faucets and showerheads at Appendix S to incorporate the revised ASME/ANSI 1989, 7.4.3(a). EPCA, § 325(j)(1), 42 of Title 10 CFR Part 430, Subpart B. Standard A112.18.1M–1994 was U.S.C. § 6295(j)(1). This requirement (b) Water closets and urinals. EPCA discussed. PMI claimed that all specifies that if a flow control insert is states that the test procedures for water manufacturers are currently designing used as a component part of a closets and urinals shall be the test and manufacturing faucets to be in showerhead, then it must be procedures specified in ASME conformity with this revised standard manufactured such that a pushing or A112.19.6–1990 but if ANSI revises and therefore, requested that it be pulling force of 8 lb or more is required these requirements, the Secretary shall incorporated. This position was to remove the insert. Note that section adopt such revisions if they conform to supported by the workshop participants, 7.4.3(a) in ASME/ANSI Standard the basic statutory requirements for test including, Mr. R. Michael Martin, the A112.18.1M–1989 was redesignated as procedures. EPCA, § 323(b)(8), 42 U.S.C. American Water Works Association section 7.4.4(a) in ASME/ANSI § 6293(b)(8). The test procedure (AWWA), Delta Faucet Company Standard A112.18.1M–1994. requirements for water closets and (Delta), Kohler Company (Kohler), The standard for showerheads in urinals in ASME/ANSI Standard American Standard Inc., and Sloan ASME/ANSI Standard A112.18.1M– 1994 are at the level prescribed in A112.19.6–1990 have not been revised. Valve. Four additional comments EPCA. The proposed rule would codify DOE proposes to incorporate by submitted following the public meeting this standard, 2.5 gpm at 80 psig, in the reference all applicable sections in reiterated support for incorporation of Code of Federal Regulations and ASME/ANSI Standard A112.19.6–1990 the 1994 ASME/ANSI standard. (PMI, incorporate by reference, section 7.4.4(a) for testing water closets and urinals at No. 1 at 1; PMI, No. 2 at 2; Eljer, No. in ASME/ANSI Standard A112.18.1M– Appendix T of Title 10 CFR Part 430, 3 at 1; and R. Michael Martin, No. 4 at 1994 at 10 CFR 430.32(p). Codification Subpart B. 1). The test procedures for testing water of this statutory standard does not closets include section 7.1.2, ‘‘Test DOE does not believe the revised invoke the requirements specified in Apparatus and General Instructions;’’ standard for faucets constitutes an section 325(j)(3) of EPCA, 42 U.S.C. and subsections 7.1.2.1, 7.1.2.2, 7.1.2.3, improvement in water efficiency and § 6295(j)(3). and 7.1.6, ‘‘Water Consumption and therefore incorporation of the revised (c) Water closets and urinals. EPCA Hydraulic Characteristics.’’ standard would not be necessary. The specifies that the maximum water use The test procedures for urinals revised standard (2.2 gpm at 60 psig) is allowed for gravity tank-type toilets, include sections 8.2, ‘‘Test Apparatus equivalent theoretically to the statutory flushometer tank toilets, and and General Instructions;’’ and requirement (2.5 gpm at 80 psig) per electromechanical hydraulic toilets, is subsections 8.2.1, 8.2.2, 8.2.3, and Bernoulli’s equation of fluid mechanics 1.6 gallons per flush (gpf), and for section 8.5, ‘‘Water Consumption.’’ which states that the ratio of water flow blowout toilets and commercial gravity through a fixed orifice at different tank-type 2-piece toilets is 3.5 gpf, if 2. Water Conservation Standards pressures is equivalent to the square manufactured after January 1, 1994. For EPCA prescribed statutory water root of the ratio of the pressures. commercial gravity tank-type 2-piece, conservation standards for faucets, However, the Department believes the maximum water use of 3.5 gpf is showerheads, water closets and urinals that there might be a burden on the applicable until January 1, 1997, after and specified that if specified ASME or industry if DOE does not incorporate the which the standard is 1.6 gpf. For ASME/ANSI standards are amended to standard for faucets contained in flushometer valve toilets, other than improve the efficiency of water use, the ASME/ANSI Standard A112.18.1M– blowout toilets, the maximum water use Secretary shall publish a final rule 1994. Comments indicated that industry is 1.6 gpf, if manufactured after January establishing an amended uniform is presently designing and 1, 1997. The maximum water use national standard unless the Secretary manufacturing fixture fittings that meet allowed for any urinal manufactured determines that adoption of such a the flow capacity requirements after January 1, 1994, is 1.0 gpf. EPCA, standard at the level specified is not (i) contained in EPCA and in ASME/ANSI § 325(k)(1) and 325(k)(2), 42 U.S.C. technologically feasible and Standard A112.18.1M–1994 and the § 6295(k)(1) and § 6295(k)(2). economically justified, (ii) consistent coexistence of both standards would The standards for water closets and with the maintenance of public health cause confusion in the market place if urinals in ASME/ANSI Standard and safety; or (iii) consistent with the not brought into conformity. In A112.19.6–1990 have not been revised. purposes of this Act. EPCA, § 325(j) and addition, Mexico and Canada are Accordingly, the proposed rule would § 325(k), 42 U.S.C. § 6295(j) and planning to adopt faucet standards codify the statutory water conservation § 6295(k). equivalent to those in ASME/ANSI standards for water closets and urinals (a) Faucets. EPCA specifies that after Standard A112.18.1M–1994 so U.S. in 10 CFR §§ 430.32(q) and 430.32(r), January 1, 1994, it would be unlawful to adoption of that standard would be respectively. manufacture lavatory or kitchen faucets, consistent with the policy of promoting or lavatory or kitchen replacement harmonization in North America. 3. Definitions aerators that exceed 2.5 gallons per Therefore, the Department proposes to EPCA prescribes statutory definitions minute (gpm); or metering faucets that incorporate the revised applicable for terms applicable to the exceed 0.25 gallons per cycle, when faucet standard in ASME/ANSI administration of plumbing products. Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules 7837

DOE believes it would be more for plumbing products. It is common for believes it unnecessary to add convenient for the readers if these a single plumbing product manufacturer explanatory language as requested by definitions were incorporated in the to make numerous models of faucets, Mr. Martin. Code of Federal Regulations. Therefore, showerheads, water closets, and urinals The Department believes that the the proposed rule would incorporate the covered by EPCA and each model is ‘‘basic model’’ definition for faucets and amended statutory definitions for the potentially required to be tested. Often, showerheads proposed by PMI and terms ‘‘consumer product,’’ ‘‘energy however, several models of faucets, for American Standard Inc. is practical and conservation standard,’’ and ‘‘estimated example, are essentially the same faucet promotes the objective in Section annual operating cost’’ in EPCA, except for refinements that do not 323(b)(3) of EPCA, 42 U.S.C. § 321(1), § 321(6) and § 321(7), 42 U.S.C. significantly affect the water § 6293(b)(3). Therefore, the Department § 6291(1), § 6291(6) and § 6291(7); and consumption of the faucet. One way to proposes to amend the existing the new statutory definitions for the meet EPCA’s mandate that test definition of ‘‘basic model’’ to add terms ‘‘ANSI,’’ ‘‘ASME,’’ ‘‘blowout,’’ procedures ‘‘not be unduly burdensome language for fixture fittings based on the ‘‘faucet,’’ ‘‘flushometer tank,’’ to conduct,’’ is to establish ‘‘basic proposal submitted by PMI and ‘‘flushometer valve,’’ ‘‘low models’’ for plumbing products. American Standard Inc. in 10 CFR consumption,’’ ‘‘showerhead,’’ ‘‘urinal,’’ ‘‘Basic model’’ is a term generally § 430.2. ‘‘water closet,’’ and ‘‘water use’’ in used by DOE to describe products or (b) Water closets and urinals. PMI and EPCA, § 321(31)(A)–§ 321(31)(H), 42 items of equipment with performance, American Standard Inc. also jointly U.S.C. § 6291(31)(A)–§ 6291(31)(H), in design, hydraulic, and functional proposed that ‘‘basic model’’ for water 10 CFR § 430.2. characteristics that are essentially the closets be defined as ‘‘those fixtures same. For plumbing products, the which have the largest volume of water B. Supplementary Plumbing models that exhibit essentially identical within the well of the water closet as Requirements hydraulic characteristics would be flushed by one of the following four The proposed provisions to categorized into a family. Such a family types: (a) gravity closed-coupled; (b) supplement the statutory requirements would constitute a ‘‘basic model’’ of that gravity one-piece; (c) flushometer tank; to facilitate the monitoring and particular covered product and only or (d) flushometer valves and other administration of compliance for representative samples within the pressurized flushing device;’’ and ‘‘basic plumbing products are discussed below. family need be tested. Components of model’’ for urinals as ‘‘those fixtures which have the largest volume of water 1. Metric Equivalents similar design may be substituted in a basic model without requiring within the well of the urinal.’’ (PMI, No. Section 205b of the Metric Conversion additional compliance certification if 3, at 1–2; American Standard Inc., No. Act, 15 U.S.C. 205b, states that the the represented measures of water 4, at 1–2). metric measurement system is the consumption continue to satisfy Two comments raised concern about preferred system of weights and applicable water usage standards. defining ‘‘basic model’’ based on the measures in the United States. It also (a) Faucets and showerheads. PMI largest volume within the well. Mr. requires Federal agencies to use the and American Standard Inc. jointly Martin stated, ‘‘Each different size and metric system of measurement in all proposed that ‘‘basic model’’ be defined shape should be a different basic procurements, grants, and other by either (a) the flow control mechanism model.’’ (R. Michael Martin, No. 9, at 6). business-related activities, except to the which is attached or installed within the The National Institute of Standards and extent that such use is impractical or is fixture fitting, or (b) the models that Technology (NIST) stated, likely to cause significant inefficiencies have identical water-passage design ‘‘Manufacturer design, selection and or loss of markets to United States firms. features that use the same path of water installation of components for control of These requirements are also expressed in the highest-flow mode. (PMI, No. 3, refill and/or overflow, can differ and in Executive Order 12770 of July 25, at 1). may result in higher consumption, 1991. 56 FR 35801 (July 29, 1991). R. Michael Martin submitted a rather than lesser, even for a bowl EPCA specifies that the required comment stating that the proposal by volume that is not the largest.’’ (NIST, labeling for water usage rates of covered PMI and American Standard Inc. is No. 6, at 2). plumbing products be expressed in adequate for faucets but believes The Department agrees with the view terms of gallons. Metric units are used additional words are necessary to expressed by Mr. Martin and NIST that in the ASME/ANSI Standard explain how flow restrictors for the proposed definition of ‘‘basic A112.18.1M–1994 for testing faucets showerheads are to be held for testing, model’’ for water closets and urinals by and showerheads, and are prescribed in because some flow restrictor could be PMI and American Standard Inc. are ASME/ANSI Standard A112.19.6–1990 merely a plastic disc with a single hole. inadequate because they do not ensure for testing water closets and urinals. In (R. Michael Martin, No. 9, at 6). that all water closets and urinals of a addition, they are also required on The Department disagrees with Mr. particular basic model will have less submissions to the Federal Trade Martin’s comment on the need for water usage than the unit(s) with the Commission (FTC) concerning labeling. additional language for showerheads. A greatest water volume in the well. For To maintain consistency in testing flow control restrictor for showerheads, instance, the flush mechanism of a with the ASME/ANSI standards, Section such as a plastic disc with a single hole, small fixture may permit greater water 205(b) of the Metric Conversion Act, is not considered to be a separately volume in the well than a large fixture and Executive Order 12770, the supplied accessory to be tested by itself. of the same design with a different flush Department proposes to require the Such a flow control mechanism is mechanism. submission of metric equivalents on all internally installed as an integral Therefore, DOE proposes a definition plumbing products certified with DOE component and tested within an of ‘‘basic model’’ for water closets and for compliance purposes. assembled showerhead.1 Thus, DOE urinals to mean all units of a given type 2. Definitions of Basic Model of covered product (or class thereof) that 1 Telephonic conversations between Bill Hui, The Department is proposing to Department of Energy, and Shahin Moinian, Moen Company; and Ken Hair, Price Pfister Incorporated; establish definitions of ‘‘basic model’’ Incorporated; Sally Remedios, Delta Faucet October 19, 1995. 7838 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules are manufactured by one manufacturer procedures require sampling plans samples if either of the two samples and ‘‘which have hydraulic based on a one-sided confidence limit exceeds the maximum water characteristics that are essentially approach. This approach is designed to consumption. The average of all eight of identical, and which do not have any minimize the manufacturers’ testing the samples shall not exceed the differing physical or functional burden while ensuring accurate requirements of EPCA. (PMI, No. 3, at 2; characteristics that affect water determination of compliance within a American Standard Inc., No. 4, at 2–3). consumption.’’ specified level of confidence. AWWA, New York State Department Such statistical sampling plans are of Environmental Conservation 3. Statistical Sampling Plans for specified in section 430.24. The one- (NYSDEC), NIST, and Mr. R. Michael Certification Testing sided confidence limit method places Martin claimed that the results of a The Department is proposing to either an upper limit or lower limit on sampling plan based on a sample size of establish statistical sampling plans for the range or interval in which the true two units may not be statistically plumbing products in today’s notice. In mean performance is likely to be found. accurate and therefore opposed the the case of plumbing products, This method offers added flexibility by above proposal. (AWWA, No. 2, at 1; compliance with water usage standards allowing for the testing of fewer units NYSDEC, No. 5, at 4; NIST, No. 6, at 2; will be assured in part by having each and thereby reducing testing costs than and R. Michael Martin, No. 9, at 5). manufacturer certify that its covered would the testing of a fixed number of The Department agrees with the views products comply with the applicable units. expressed by AWWA, NYSDEC, NIST, water usage standard. The sampling plans utilizing one- and Mr. Martin that the two-unit In promulgating test procedures sided confidence limits require different sampling plan is statistically unreliable. applicable to certification, one of the statements for the two types of measures For this reason and to maintain major goals is to provide a statistically of energy consumption. One type of consistency with the existing DOE valid approach so that there is a high measure includes estimated annual statistical sampling plans, the probability that products which have operating cost, energy consumption and Department is proposing to utilize the been tested and certified as being in other measures of energy consumption one-sided confidence limit approach. compliance with the applicable usage for which consumers would favor lower (a) Sampling plan for water closets standards actually comply with those values. The other type of measure and urinals utilizing one-sided standards. Each DOE test procedure includes characteristics such as confidence limits. AWWA and NYSDEC incorporates a sampling plan, and that efficiency, energy factor, and other supported use of DOE’s approach. sampling plan is designed to give energy consumption factors for which AWWA stated there exists a ‘‘high reasonable assurance that the true mean consumers would favor higher values. variability in the manufacture of performance of the product being In regard to water usage of plumbing porcelain toilets and urinals’’ while manufactured and sold meets or products, consumers would favor lower NYSDEC stated that ‘‘variation of conforms to the DOE water usage values. manufacture of vitreous china’’ warrants standard. To determine the measure of water recognition. Therefore, they proposed a DOE recognizes that units of usage to be reported to DOE for one-sided confidence limit statistical plumbing products may vary in water compliance certification, the one-sided sampling plan for fixtures at 90%. usage for a number of valid reasons, confidence-limit approach requires that (AWWA, No. 2, at 1; and NYSDEC, No. including differences in component the higher value from either (i) the mean 5, at 4). parts, production and testing. The risk of the sample units or (ii) the upper X PMI stated that if DOE’s approach of to the public of purchasing a non- percent confidence limit of the true utilizing a one-sided confidence limit is complying product, the risk to mean divided by Y, be selected. The to be used, the industry would support manufacturers of selling such a product, variable X refers to a confidence limit a confidence limit of 90% only if a and the burdens of performing that ranges from 90–99 percent, and the corresponding divisor of 1.10 is representative testing, are reduced variable Y refers to a divisor that ranges allowed. (PMI, No. 2, at 1). To support through the application of a statistically from 1.01–1.10. The confidence limits its proposal, PMI submitted data meaningful sampling plan and basing would be calculated using generally indicating that testing at such level the certification decision on the mean accepted methods found in statistics (90% at 1.10) would allow water usage performance of the sampled textbooks, based on the sample mean manufacturers to certify compliance units. and sample standard deviation. DOE with no more than four units whereas There are several critical elements of views the latter calculation as being a five units would be required if a more a sampling plan. One is the selection of one-sided confidence interval using t- stringent level (90% at 1.05) was units for testing. Units must be statistics, with the divisor constituting a imposed instead. representative of the product, and be ‘‘derating’’ factor. The derating factor DOE agrees with AWWA and selected randomly from a batch or was included to take into account NYSDEC that there is high variability in production lot. Sample size is also a variability in the performance or the manufacturing of virtreous china critical element of a sampling plan. The efficiency of products due to many that would justify a confidence limit at result yielded by water usage factors, including manufacturing 90%. DOE also agrees with PMI that a performance testing of a product, variability and variations in the divisor lower than 1.10 would cause consisting of tests conducted on a material. Furthermore, this format manufacturers additional expense while sample of units, will be increasingly (confidence limits divided by a derating providing no additional assurances that more reliable as the size of the test factor) is similar to the format required the products tested are meeting the sample increases. This, however, for other appliance products for which requirement of the law. PMI’s proposal increases the testing burden on the DOE requires testing. would minimize manufacturers’’ test manufacturers. Also, when the PMI and American Standard Inc. burden while at the same time provide variability in performance is greater proposed an alternate sampling plan for an adequate level of confidence that among individually tested units of a testing fixture fittings and fixtures based products certified to be in compliance product, the reliability of the test results on testing two samples selected at are actually in compliance with is less. As a result, DOE’s test random first, and then eight additional applicable water conservation Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules 7839 standards. Therefore, the Department 4. Modifications to Existing Language The Department presently requires proposes to adopt in a statistical To Include Plumbing Products in the similar types of information for sampling plan for fixtures utilizing one- Code of Federal Regulations certification from manufacturers of sided confidence limits based on the Sections 430.27, 430.31–430.33, residential products and thus believes following statistical parameter (90% 430.40, 430.41, 430.47, 430.49, 430.50, such types of information from plumbing manufacturers would be confidence limits with a 1.10 divisor) at 430.60, 430.61, 430.63, 430.70(a)(1), and reasonable and appropriate. Therefore, 10 CFR §§ 430.24(u) and (v). 430.73 of Title 10 of the CFR currently DOE proposes to include in proposed 10 (b) Sampling plan for faucets and do not address the monitoring and CFR § 430.62(a)(4) language requiring showerheads utilizing one-sided administration of plumbing products in that the certification report for each confidence limits. AWWA and NYSDEC the DOE Appliance Standards Program. basic model shall include the product claimed that faucets and showerheads The Department proposes to amend type, product class, manufacturer’s can be manufactured to tighter these sections in the Code of Federal name, private labeler name(s) if Regulations to extend coverage to tolerances than vitreous china and applicable, the manufacturer’s model plumbing products covered by EPCA. proposed a statistical sampling plan that number(s), and the water usage. utilized a higher one-sided confidence 5. Definition for ‘‘Electromechanical (b) Precision level of reported test limits and corresponding divisor. Hydraulic Toilet’’ results. PMI raised an issue at the (AWWA, No. 2, at 1: and NYSDEC, No. February 28, 1996, public meeting 5, at 4). EPCA specifies the water conservation regarding the level of precision (number standard for ‘‘electromechanical DOE recognizes that fixture fittings of digits after the decimal place) hydraulic toilets’’ at 1.6 gallon per flush. are typically metal-based (e.g., chrome required on final results for certifying EPCA, § 325(k)(1)(A), 42 U.S.C. and brass), which means that they can compliance and requested that DOE § 6295(k)(1)(A). However, the term be machined to much greater precision provide such clarification in today’s ‘‘electromechanical hydraulic toilets’’ is and tolerances, and which in turn, rulemaking. undefined. The Department proposes to DOE stated that Sections 325(j) and warrants a higher confidence limits and establish a definition for this term. PMI corresponding derating factor as 325(k) of EPCA, 42 U.S.C. § 6295(j) and proposed that ‘‘electromechanical § 6295(k), specified maximum standard suggested by AWWA. Although DOE hydraulic toilets’’ be defined as ‘‘any agrees that fixture fittings warrant a levels for faucets, showerheads, water water closet that utilizes electrically closets, and urinals in terms of tenth of higher confidence limit and operated devices, such as, but not corresponding divisor than vitreous a gallon, or in the case of metering limited to, air compressors, pumps, faucets, hundredth of a gallon. Thus, the china, the Department believes that a solenoids, motors, or macerators in statistical sampling plan at the apex Department believes that those levels place of, or, to aid gravity in evacuating should be observed in certifying level (99% confidence limits, 1.01 waste from the toilet [bowl].’’ (PMI, No. divisor (i.e., ±1 percent tolerance))—the compliance. 15, at 1). (c) Mathematical rounding level typically employed for products The definition proposed by PMI that demonstrate low manufacturing procedures. PMI raised a second issue provides an acceptable description of regarding mathematical rounding variability—may result in a testing the term ‘‘electromechanical hydraulic procedures, and how such procedures burden. The Department believes a toilet.’’ Therefore, the Department are to be used to convert test data into statistical sampling plan at the proposes to include this definition for final results for the purpose of following parameter (95% confidence ‘‘electromechanical hydraulic toilets’’ in determining compliance. PMI stated limits, 1.05 divisor (±5 percent 10 CFR § 430.2. that the industry subscribes to the tolerance)) may be more appropriate and rounding rules contained in ASME reasonable for manufacturers to meet. In 6. Certification Reporting Requirements Guide SI–1, ASME Orientation and written comments following the for Plumbing Products Guide for use of SI (metric) units (9th February 28, 1996 public meeting, PMI (a) Types of information. Section Edition, 1982), and recommended that stated that industry would support this 430.62(a)(2) of Title 10 of CFR currently DOE adopt these rounding rules. NIST statistical sampling plan for fixture requires manufacturers of covered raised a concern that the ASME rules fittings (faucets and showerheads). residential products to submit, for each would allow a number to be rounded (PMI, No. 2, at 1). Moreover, Moen basic model, certain types of data and such that it may potentially exceed a Incorporated submitted data indicating information in their certification reports fixed statutory standard. (PMI, that testing at such level would allow it to the Department. Plumbing products transcript, at 35; NIST, transcript, at 35– to certify compliance with no more than were added as covered products under 36) two units. EPCA, but presently certification The Department agrees that, based on Based on the above considerations, requirements do not exist for plumbing the concern identified by NIST, it would the Department proposes to adopt in a products. The Department proposes to be inappropriate to adopt the ASME statistical sampling plan for fixture establish certification reporting rounding rules as requested to be used fittings utilizing one-sided confidence requirements for faucets, showerheads, to convert test data into final results for limits at the following statistical water closets, and urinals. the purpose of determining compliance. parameter (95% confidence limits with PMI proposed to produce a product Instead, DOE proposes the following a 1.05 divisor) at 10 CFR §§ 430.24(s) directory for submission to DOE which basic rounding rules: Five and above and (t). DOE believes this sampling plan would include the following round up, and less than five, round will minimize test burden on information: (a) product category, (b) down. Such rounding rules are to be manufacturers while at the same time model number of product, (c) water use applied after the final result is provide an adequate level of confidence level, (d) name and address of calculated. that products certified to be in manufacturer, (e) name and phone R. Michael Martin and Kohler compliance are actually in compliance number of contact at manufacturer, and supported DOE’s view that the basic with applicable water conservation (f) compliance statement. (PMI, No. 3, at rounding rules should be used to standards. 2). determine compliance with the EPCA’s 7840 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules water use standards. (R. Michael Martin, be able to meet the certification R. Michael Martin stated that the term transcript, at 40; Kohler, transcript, at requirements. American Standard Inc. ‘‘faucet’’ is defined in Section 321(31)(E) 41). PMI stated that the industry would recommended that DOE postpone for of EPCA, 42 U.S.C. § 6291(31)(E), and support DOE’s proposed mathematical one year the effective date for the initial that the term ‘‘lavatory faucet,’’ although rounding rules. (PMI, No 2, at 1). compliance certification submissions, not defined in the statute, the The Department believes the which was also supported by Kohler regulations, or ASME A112.18.1, is proposed basic rounding rules are and PMI . (American Standard Inc., defined in the California regulations as practical and appropriate because they transcript, at 62; Kohler, transcript, at a ‘‘plumbing fitting designed to are consistent with conventional 66; PMI, No. 2, at 2). discharge into a lavatory.’’ Mr. Martin rounding methods. In addition, DOE DOE agrees with American Standard also stated that numerous complying believes the proposed approach in Inc. that certain manufacturers may be sprayhead-installed washfountains are applying the basic rounding rules is overly burdened by the task of testing to currently listed in the California appropriate to ensure that consistency is meet the compliance certification database. For these reasons, Mr. Martin maintained in converting test data into requirements once such requirements believes that sprayheads are not exempt, final results for the purpose of are promulgated. The Department and considers them to be a form of determining compliance. believes that a delay of the effective date lavatory faucet and therefore a covered (d) Effective date for initial for one year, as recommended by product. (R. Michael Martin, No. 9, at 7). compliance certification submissions. manufacturers, would allow a The Department has considered Section 430.62(a) states, ‘‘Each reasonable amount of time for plumbing Bradley’s recommendation, but does not manufacturer or private labeler before manufacturers to complete required have the authority to amend the distributing in commerce any basic testing and submit the initial statutory definition for faucet in Section model of a covered product subject to compliance certification reports. 321(31)(E) of EPCA, 42 U.S.C. the applicable energy conservation Therefore, the Department would § 6291(31)(E). Moreover, DOE agrees standard set forth in Subpart C of this require, in proposed 10 CFR with Mr. Martin’s view that sprayheads part shall certify by means of a § 430.62(a)(2), the initial certification are a form of lavatory faucet and thus statement of compliance and submissions for plumbing products not can be considered a covered product. certification report that each basic later than one year following the DOE believes that any faucet or model meets the requirement of that publication of a final rule. replacement aerator used in a kitchen or standard,’’ and section 430.62(b) adds, lavatory capacity, or any faucet, when ‘‘all data required by paragraph 7. Faucet Standards on Multiple-User turned on, that gradually shuts itself off 430.62(a) of this section shall be Sprayheads. after a programmed period (metered), submitted on or before the effective date A manufacturer asked whether regardless of physical shape or design of the applicable energy conservation sprayheads are covered products under features, shall constitute a covered standard as prescribed in Section 325 of EPCA. Sprayheads are fixture fittings ‘‘faucet’’ subject to the water the Act.’’ The Department’s regulations that are installed in lavatories (known as performance requirements of Section authorize imposition of penalties, washfountains or wash sinks) for 325(j) of EPCA, 42 U.S.C. § 6295(j). consistent with EPCA, for failure to multiple users. They have multiple (b) Application of faucet standards to make reports or provide information orifices that can independently or sprayheads with independently- required to be supplied by the Act or collectively actuate (by pneumatic hand controlled orifices. The Department is Title 10 CFR Part 430. 10 CFR or foot control, mechanical metering or proposing that sprayheads be § 430.61(a)(1) and (b). Any person who infrared metering control) and may be considered a covered product and that knowingly violates the compliance considered a type of ‘‘faucet’’ subject to they be subject to the applicable faucet certification requirements may be the applicable water conservation standards. Sprayheads with multiple subject to assessment of a civil penalty standard. EPCA defines the term orifices can be independently actuated of no more than $100 for each violation, ‘‘faucet’’ to mean ‘‘a lavatory faucet, by manual on/off or metering controls. and each day of noncompliance shall kitchen faucet, metering faucet, or EPCA prescribes a water use standard at constitute a separate violation. 10 CFR replacement aerator for a lavatory or 2.5 gpm at 80 psig for lavatory faucets § 430.61(b). kitchen faucet.’’ EPCA, § 321(31)(E), 42 and 0.25 gallons per cycle at 80 psig for Such submissions as described are U.S.C. § 6291(31)(E). However, EPCA metering faucets. EPCA, § 325(j)(2), 42 required only after certification does not further define lavatory faucets, U.S.C. § 6295(j)(2). The Department reporting requirements are promulgated kitchen faucets, metering faucets, believes that each independent orifice for a covered product. DOE is proposing lavatory replacement aerators, and that manually turns on or off constitutes certification reporting requirements (see kitchen replacement aerators. a separate ‘‘lavatory faucet’’ by itself discussion in (a) of this subsection) in DOE proposes to clarify whether subject to the applicable water usage today’s notice that when promulgated, sprayheads are covered product, and if standard for lavatory faucets. Moreover, would subject plumbing products, for so, how the faucet standards are to DOE believes that each independent which standards became effective apply to ‘‘sprayheads.’’ orifice of a sprayhead that actuates to January 1, 1994, to the requirements (a) Sprayheads as covered products. deliver a pre-set volume of water before specified in sections 430.62(a)–(b). Bradley Corporation (Bradley) gradually shutting itself off constitute a American Standard Inc. raised a recommended that the definition for separate ‘‘metering faucet’’ by itself concern at the public meeting on ‘‘faucet’’ in Section 321(31)(E) of EPCA, subject to the applicable water usage February 28, 1996, that manufacturers 42 U.S.C. § 6291(31)(E), be amended to standard for metering faucets. who produce larger inventories have mean ‘‘a lavatory faucet, kitchen faucet, Therefore, DOE proposes to include more models to test, that testing of metering faucet, or replacement aerator clarifying language to the lavatory and certain products such as water closets for a lavatory or kitchen faucet, except metering faucet standards, in 10 CFR are extremely labor-intensive and time- that such term does not include § 430.32(o), to the effect that each consuming, and therefore it would be multiple-user type fixtures.’’ (Bradley, orifice, depending on its mode of unreasonable to expect manufacturers to No.1, at 1–2). actuation, shall not exceed the Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules 7841 maximum flow rate for a lavatory or applicable for all lavatories. Based on 430.70–430.75 and Appendix B of Title metering faucet. the considerations of all plumbing 10 CFR Part 430, Subpart F which the (c) Application of faucet standards to codes, the Department believes the Department is proposing to amend, sprayheads with collectively-controlled capacity criterion defined in Section where appropriate, to include plumbing orifices. Sprayheads can be also P.1217.1 of the 1993 National Plumbing products. DOE may use these centrally controlled such that all Code, and Section 417.1 of the 1995 procedures to assess civil penalties available orifices collectively actuate International Plumbing Code for wash under Section 333 of EPCA, 42 U.S.C. upon demand. The total water flow of sinks (i.e., every 20 inches (508 mm) of 6303. In actions involving small a collectively-actuated sprayhead is rim space shall be considered as one businesses, DOE will be guided by the dependent on the number of users at the lavatory) would be more versatile to small entity enforcement policy it is lavatory in which the sprayhead is lavatories of various physical required to adopt by Section 223 of the installed. This number is determined by configurations and temperature Small Business Regulatory Enforcement the number of component lavatories requirements. Fairness Act of 1996 (Pub. L. 104–121, that, based on the capacity criterion of Therefore, DOE proposes to include Title II, § 223). a plumbing code, make up a single clarifying language with the lavatory DOE believes that its existing lavatory. DOE believes the maximum and metering faucet standards, in 10 enforcement procedures—which flow rate of such a sprayhead should be CFR § 430.32(o), to the effect that: (1) encourage industry policing, prescribe prorated by the number of users or the maximum flow rate of a collectively enforcement testing, and provide for component lavatories. actuated multiple-orifice sprayhead that civil penalties for all covered consumer However, a lavatory may be defined to manually turns on or off shall be the products (which include imports) that be equivalent to a different number of product of (a) the maximum flow rate violate the Federal standards—are component lavatories depending on the for a lavatory faucet and, (b) the number adequate for deterring would-be following plumbing codes: (a) the of component lavatories (rim space of 2 violators. The Department believes that Standard Plumbing Code, (b) the the lavatory in inches (millimeters) it is not necessary for it to adopt a Uniform Plumbing Code,3 (c) the divided by 20 inches (508 millimeters)) 4 product certification and listing to National Standard Plumbing Code, (d) and, (2) the maximum flow rate of a improve EPCA compliance. PMI is the National Plumbing Code,5 and (e) collectively actuated multiple-orifice 6 planning to produce a product directory the International Plumbing Code. sprayhead that delivers a pre-set volume which will list manufacturers and The 1991 Standard Plumbing Code, of water before gradually shutting itself plumbing products conforming to Section 916.1, states, ‘‘Each 18 inches of off shall be the product of (a) the EPCA. Such a product directory, wash sink circumference (circular type) maximum flow rate for a metering shall be equivalent to one lavatory.’’ The maintained by PMI and supported by faucet and, (b) the number of industry, would be valuable to assist 1991 Uniform Plumbing Code, component lavatories (rim space of the Appendix C (No. 8), states, ‘‘Twenty- consumers and others in identifying lavatory in inches (millimeters) divided plumbing products that comply or do four (24) lineal inches (609.6 mm) of by 20 inches (508 millimeters)). wash sink or eighteen (18) inches (457.2 not comply with EPCA. 8. Enforcement mm) of a circular basin, when provided C. Clarification of Certification with water outlets for such space, shall Several commenters raised the issue Reporting Requirements for Residential be considered equivalent to one (1) of enforcement of plumbing products Appliances lavatory.’’ The 1993 National Standard regulations. AWWA recommended that Plumbing Code, Section 7.18, states, DOE establish: (a) a protocol for DOE proposes to redesignate, revise ‘‘Each eighteen inch unit of usable verifying industry compliance with existing language, and add new length of a rim of a multiple use EPCA; (b) a non-compliance warning language and paragraphs as necessary in lavatory shall be considered equivalent system that gives violators of EPCA an the CFR sections dealing with to one lavatory as it affects the drainage opportunity for corrective actions to certification and enforcement and water supply piping sizes and avoid enforcement sanctions; and (c) a requirements for all residential fixture usage requirements, provided product certification and listing appliances. hot and cold or tempered water is program to improve EPCA compliance The amendments and revisions available for each eighteen inch and minimize the need for future proposed for Part 430 of Title 10 of the interval.’’ The 1993 National Plumbing enforcement actions against the CFR are as follows: Code, Section P.1217.1, and the 1995 plumbing industry. (AWWA, No. 8, at 1. Section 430.62(a) is redesignated as International Plumbing Code, Section 24). 430.62(a)(1), and revised to include the 417.1, both state, ‘‘Every 20 inches (508 Seattle Water Department requested DOE address to be used for compliance mm) of rim space shall be considered as rules for enforcement of the national certification reporting. one lavatory.’’ standards (particularly for imported 2. Section 430.62(a), ‘‘Compliance DOE believes it is necessary to products) and penalties for manufacture Certification’’ is added as a new section establish a single capacity criterion to be of non-conforming products. It believes heading. the retail marketplace is currently full of 3. Section 430.62(a)(1) is redesignated 2 Southern Building Codes Congress International, nonconforming plumbing products as 430.62(a)(3). Inc., 900 Montclair Road, Birmingham, AL 35213– which is unfair to complying 4. Section 430.62(a)(2) is redesignated 1206. manufacturers while robbing consumers as 430.62(a)(4) and revised by: 3 International Association of Plumbing and Mechanical Officials, 20001 Walnut Drive South, and the nation of much needed long (a) rearranging, alphabetically, the Walnut, CA 91789–2825. term water and energy savings. (Seattle certification reporting requirements for 4 National Association of Plumbing-Heating Water Department, No. 7, at 4). refrigerators, refrigerator-freezers and Cooling Contractors, P.O. Box 6808, Falls Church, The Department agrees enforcement freezers, water heaters, room air VA 22046. of the standards is necessary to ensure conditioners, central air conditioners 5 Building Officials and Codes Administrators International, Inc., 4051 W. Flossmoor Road, compliance of all covered products. The and central air conditioning heat Country Club Hills, IL 60478–5795. Department currently has an pumps, pool heaters, furnaces, direct 6 ibid. enforcement procedure at sections heating equipment, general service 7842 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules fluorescent lamps and incandescent officially acting as representative of the any small entities would be required to reflector lamps; manufacturer; and to include, as an comply with this proposed rule. 61 FR (b) amending the certification report attachment, a uniform format for 3280 (to be codified at 13 CFR part 121). to add, alphabetically, absent reporting certification reports on new basic The size standards are listed by requirements for kitchen ranges, ovens models of a covered products. Standard Industrial Classification (SIC) and microwave ovens, dishwashers, 16. Appendix B to Subpart F, Title 10 code and industry description. clothes washers and clothes dryers; and CFR Part 430 is amended to correct Plumbing fixtures (water closets and (c) adding, alphabetically, new typographical errors and add urinals) manufacturing is listed under certification reporting requirements for appropriate language to include the following SIC codes: (1) SIC 3088 faucets, showerheads, water closets, and plumbing products. (plastic plumbing fixtures), (2) SIC 3261 urinals. [see discussion in section The Department believes these (vitreous china plumbing fixtures), and II(B)(6)(a)] proposed amendments and additions (3) SIC 3431 (enameled iron, cast iron, 5. A new section, 430.62(a)(2), is are necessary and appropriate and will and pressed metal plumbing fixtures). added to provide a one-year delay of the clarify the certification and enforcement Plumbing fixture fittings (faucets and effective date for compliance requirements for all residential showerheads) manufacturing is SIC certification by manufacturers of products. 3432. To be considered a small faucets, showerheads, water closets, and business, a manufacturer of plastic urinals. [see discussion in section III. Procedural Requirements plumbing fixtures, vitreous china II(B)(6)(d)] A. Review Under the National plumbing fixtures, enameled iron, cast 6. Section 430.62(a)(3) is redesignated Environmental Policy Act of 1969 iron, and pressed metal plumbing as 430.62(a)(5), and referenced fixtures, or plumbing fixture fittings and paragraph ‘‘(a)(2)’’ within the new In this rule, the Department proposes its affiliates may employ a maximum of section is redesignated as paragraph provisions to implement statutorily 500, 750, 750, or 500 employees, ‘‘(a)(4).’’ mandated water conservation standards respectively. 7. Section 430.62(b), ‘‘Initial and test procedures for faucets, The Department estimates there are Reporting Requirements,’’ is deleted. showerheads, water closets, and urinals. approximately 32 domestic firms and 38 8. Section 430.62(c), ‘‘New Models,’’ Implementation of this rule would not foreign firms which manufacture either is redesignated as 430.62(b), and result in environmental impacts. The plastic, vitreous china, or enameled amended by redesignating the Department has therefore determined iron, cast iron, and pressed metal referenced paragraph ‘‘(a)(2)’’ as that this rule is covered under the plumbing fixtures, or a combination of paragraph ‘‘(a)(4),’’ and adding Categorical Exclusion found at the three various types of plumbing appropriate language to include paragraph A.6 of appendix A to subpart fixtures. DOE also estimates there are 57 plumbing products, and a mailing D, 10 CFR Part 1021, which applies to domestic firms and 30 foreign firms address to be used for submitting new the establishment of procedural which manufacture plumbing fixture model information. rulemakings. Accordingly, neither an fittings covered under EPCA.7 Some 9. A new section, 430.62(c), environmental assessment nor an domestic manufacturers of plumbing ‘‘Discontinued Models,’’ is added to environmental impact statement is fixtures also manufacture plumbing specify the information required to be required. fixture fittings. Moreover, many submitted to DOE when models are B. Review Under Executive Order 12866, domestic manufacturers of plumbing discontinued. ‘‘Regulatory Planning and Review’’ fixtures and fixture fittings are affiliated 10. Section 430.62(d), ‘‘Maintenance with larger U.S. firms. The sizes of of Records,’’ is amended by adding This regulatory action is not a plumbing fixtures manufacturing appropriate language to include significant regulatory action under companies and their affiliates in the plumbing products. Executive Order 12866, ‘‘Regulatory U.S. range from 50 employees to 54,298 11. Section 430.62(e), ‘‘Third Party Planning and Review,’’ October 4, 1993. employees, and for plumbing fixture Representation,’’ is amended by Accordingly, this action was not subject fittings manufacturing companies and redesignating the referenced paragraph to review under the Executive Order by their affiliates, they range from 50 ‘‘(a)’’ to ‘‘(a)(4)’’, and adding language the Office of Information and Regulatory employees to 51,300 employees. The allowing third party representatives to Affairs. Department estimates there are five to submit discontinued model information C. Review Under the Regulatory seven firms in the United States that on behalf of an authorizing Flexibility Act both manufacture plumbing fixtures manufacturer. covered by EPCA, and have, together The Regulatory Flexibility Act, 5 12. A new section, 430.62(f), with their affiliates, 750 or fewer U.S.C. § 603, requires the preparation of ‘‘Amendment of Information,’’ is added employees. DOE estimates that there are an initial regulatory flexibility analysis to expressly require manufacturers to approximately 7 firms in the United for every rule which by law must be submit revised compliance certification States that both manufacture plumbing proposed for public comment, unless if any information contained in the prior fixture fittings covered by EPCA, and the agency certifies that the rule, if submission has changed. have, together with their affiliates, 500 promulgated, will not have a significant 13. Section 430.70(a)(3), ‘‘Sampling,’’ or fewer employees. economic impact on a substantial is amended by adding appropriate EPCA prescribes water conservation number of small entities. A regulatory language to include plumbing products. standards for faucets, showerheads, flexibility analysis examines the impact 14. Section 430.70(a)(6)(i), ‘‘Testing at water closets, and urinals. The statutory of the rule on small entities and Manufacturer’s Option,’’ is amended by water conservation standards are considers alternative ways of reducing adding appropriate language to include incorporated in the proposed rule, negative impacts. plumbing products. although the standards do not depend 15. Appendix A to Subpart F, Title 10 The Department used the small CFR Part 430, is amended by adding business size standards published on 7 America’s Corporate Families and International language to include plumbing products; January 31, 1996 by the Small Business Affiliates, Volume I—III, Dun & Bradstreet, Inc., to identify the third party organization Administration to determine whether 1996 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules 7843 on rulemaking for their implementation. requirements are based on E. Review Under Executive Order 12630, The Act also requires DOE to prescribe recommendations from PMI and are ‘‘Governmental Actions and test procedures for measuring water consistent with the requirements for Interference with Constitutionally consumption, and it further requires the consumer appliance products at 10 CFR Protected Property Rights’’ use of the test procedures in ASME/ § 430.62. It has been determined pursuant to ANSI Standards A112.18.1M–1989 (for DOE recognizes that some Executive Order 12630, ‘‘Governmental faucets and showerheads) and Actions and Interference with A112.19.6–1990 (for water closets and manufacturers may not be able to certify Constitutionally Protected Property urinals). If the water conservation compliance immediately following Rights,’’ 52 FR 8859 (March 18, 1988), standards or the test procedures for publication of the DOE final rule. Such that this regulation would not result in water consumption are amended by submissions generally are required any takings which might require ASME and approved by ANSI, DOE is before a basic model is allowed to be compensation under the Fifth required to amend its standards or test distributed in commerce. 10 CFR Amendment to the United States procedures accordingly unless to do so § 430.62(a). The proposed rule eases the Constitution. would not meet certain statutory criteria burden of compliance for manufacturers for standards or test procedures. The of faucets, showerheads, water closets, F. Review Under the Paperwork standard for faucets and test procedures and urinals, including small Reduction Act for faucets and showerheads were manufacturers, by providing that the Today’s Notice of Proposed amended on September 15, 1994 in certification reporting requirements for Rulemaking would revise compliance ASME/ANSI Standard A112.18.1M– initial submissions would not take effect certification requirements applicable to 1994, and DOE is now proposing to until 12 months after the publication of manufacturers of covered consumer incorporate in the CFR ASME/ANSI the final rule. products that were previously approved Standard A112.18.1M–1994. DOE believes that complying with the The Department invites public by the Office of Management and proposed rule (excluding the cost of comment on its conclusion that the Budget (OMB). These proposed compliance with the water conservation costs of complying with the proposed collections of information have been standards and test procedures directly rule would neither affect a substantial submitted to the Office of Management imposed by EPCA) would not impose number of small businesses, nor impose and Budget for review and approval significant economic costs on a a significant economic impact on such under the Paper Reduction Act, 44 substantial number of small businesses. U.S.C. 3501, et seq. manufacturers. The test procedure Appendix A to Subpart F of Part 430, mandated by EPCA (in ASME/ANSI D. Review Under Executive Order ‘‘Compliance Statement,’’ was Standard A112.19.6–1990) and that 12612, ‘‘Federalism’’ previously approved by OMB and which is proposed to be incorporated by assigned OMB Control No. 1910–1400. Executive Order 12612, ‘‘Federalism,’’ The proposed rule would revise this DOE (in ASME/ANSI Standard 52 FR 41685 (October 30, 1987), A112.18.1M–1994) are test procedures form to cover certification of plumbing requires that regulations, rules, already in general use in the industry. products; facilitate use of the form by legislation, and any other policy actions Manufacturers contacted by the third party representatives of covered Department stated that they currently be reviewed for any substantial direct product manufacturers; and, in an test faucets and showerheads in effect on States, on the relationship attachment, specify the format of the accordance with ASME/ANSI Standard between the National Government and certification report that manufacturers A112.18.1M–1994, and water closets States, or in the distribution of power currently are required to submit to DOE and urinals in accordance with ASME/ and responsibilities among various by 10 CFR part 430.62(a)(2). The ANSI Standard A112.19.6–1990. levels of government. If there are revisions to appendix A to subpart F The proposed rule has been drafted to substantial effects, then the Executive will make the compliance certifications minimize the burden of testing for all Order requires preparation of a more uniform and easier to complete. manufacturers, and DOE has relied federalism assessment to be used in all DOE estimates there will be no heavily on recommendations that have decisions involved in promulgating and additional burden associated with these been provided by the plumbing implementing a policy action. changes to the certification statement products trade association, their and certification report requirements in The proposed rules published today member companies and other water Part 430. conservation organizations. The would not regulate the States. They The proposed rule would require proposed statistical sampling primarily would affect the manner in manufacturers of plumbing products to procedures are based on statistical which DOE promulgates residential and maintain records concerning their sampling procedures established for commercial products, water determinations of the water consumer appliance products at 10 CFR conservation standards, test procedures, consumption of faucets, showerheads, § 430.24, and recommendations and certification of compliance by water closets and urinals. DOE has submitted by the Plumbing manufacturers, prescribed under the concluded that this recordkeeping Manufacturers Institute (PMI), American Energy Conservation and Policy Act. requirement is necessary for Water Works Association (AWWA), and State regulation in this area is largely implementing and monitoring New York State Department of preempted by the Energy Policy and compliance with the water conservation Environmental Conservation (NYSDEC). Conservation Act. The proposed rules standards, testing and certification The sampling procedures are designed published today would not alter the requirements for residential and to keep the testing burden on distribution of authority and commercial faucets, showerheads, water manufacturers as low as possible, while responsibility to regulate in this area. closets and urinals mandated by EPCA. still providing confidence that the test Accordingly, DOE has determined that The proposed rule also requires results of units tested can be applied to preparation of a federalism assessment manufacturers to submit initial units of the same basic model. The is unnecessary. certification reports for basic models of proposed compliance reporting covered faucets, showerheads, water 7844 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules closets and urinals within 12 months DOE invites public comments Authorization Act (FEAA), as amended after the publication of a final rule in concerning the accuracy of the by Section 9 of the Federal Energy the Federal Register. The initial estimated paperwork reporting burden. Administration Authorization Act of certification reports would be a one- Send comments regarding the 1977 (Pub. L. 95–70). Section 32 time submission stating that the recordkeeping and reporting burden provides in essence that, where a manufacturer has determined by estimate, or any other aspect of this proposed rule contains or involves use employing actual testing that the basic collection of information, to the of commercial standards, the notice of model of faucet, showerhead, water Department in accordance with the proposed rulemaking must inform the closet or urinal meets the applicable instructions in the ADDRESSES section of public of the use and background of water conservation standard. After the today’s notice, section IV, and to the such standards. first year, manufacturers of plumbing Office of Information and Regulatory The rule proposed in this notice products would have to submit a Affairs, Office of Management and adopts one commercial standard, certification report for each new basic Budget, Washington, DC 20503, marked ASME/ANSI Standard A112.19.6–1990, model, or to certify compliance with a ‘‘Attention: Desk Officer for DOE.’’ and incorporates another, ASME/ANSI new or amended standard, before the A112.18.1M–1994. In regard to ASME/ G. Review Under Executive Order model would be allowed to be ANSI Standard A112.19.6–1990, the Act 12988, ‘‘Civil Justice Reform’’ distributed in commerce. directs adoption of this commercial DOE estimates the number of covered With respect to the review of existing standard, which provides the manufacturing firms of plumbing regulations and the promulgation of procedures required for measuring the fixtures to be approximately 70. DOE new regulations, Section 3(a) of water consumption of water closets and estimates the number of hours required Executive Order 12988, ‘‘Civil Justice urinals. Because Congress has directed to comply with the reporting and Reform,’’ 61 FR 4729 (February 7, 1996), the use of the standard, Section 32 of recordkeeping requirements in the imposes on executive agencies the the FEAA has no application to it. In proposed rule, after the initial year of general duty to adhere to the following regard to ASME/ANSI Standard compliance, to be approximately 4 to 16 requirements: (1) eliminate drafting A112.18.1M–1994, which provides the hours per year per firm. The total errors and ambiguity; (2) write procedures required for measuring the annual reporting and recordkeeping regulations to minimize litigation; and water consumption of faucets and burden on manufacturers of plumbing (3) provide a clear legal standard for showerheads, the Department has fixtures to comply with the proposed affected conduct rather than a general evaluated this Standard and is unable to rule is expected to be from 280 to 1120 standard and promote simplification conclude whether it was developed in a hours (70×4¥16 hours per year). DOE and burden reduction. With regard to manner which fully provides for public estimates the number of covered the review required by Section 3(a), participation, comment, and review. manufacturing firms of plumbing fixture Section 3(b) of the Executive Order However, Congress has, by statute, fittings to be approximately 87, and the specifically requires that Executive mandated use of the ASME/ANSI number of hours required to comply agencies make every reasonable effort to Standard unless specific findings are with the reporting and recordkeeping ensure that the regulation: (1) clearly made. requirements in the proposed rule to be specifies the preemptive effect, if any; As required by Section 32(c) of the approximately 4 to 8 hours per year per (2) clearly specifies any effect on Federal Energy Administration Act, the firm. The total annual reporting and existing Federal law or regulation; (3) Department will consult with the recordkeeping burden on manufacturers provide a clear legal standard for Attorney General and the Chairman of of plumbing fixture fittings to comply affected conduct while promoting the Federal Trade Commission with the proposed rule is expected to be simplification and burden reduction; (4) concerning the impact of this standard from 348 to 696 hours (87×4¥8 hours specifies the retroactive effect, if any; (5) on competition, prior to prescribing a per year). These estimates include time adequately defines key terms; and (6) final rule. addresses other important issues for reviewing instructions, searching I. Review Under Unfunded Mandates affecting clarity and general existing data sources, gathering and Reform Act of 1995 maintaining the data needed, and draftsmanship under any guidelines completing the collection of issued by the Attorney General. Section Section 202 of the Unfunded information. 3(c) of the Executive Order requires Mandates Reform Act of 1995 The collections of information Executive agencies to review regulations (‘‘Unfunded Mandates Act’’) requires contained in this proposed rule are in light of applicable standards Section that the Department prepare a budgetary considered the least burdensome for 3(a) and Section 3(b) to determine impact statement before promulgating a meeting the legal requirements and whether they are met or it is rule that includes a Federal mandate achieving the program objectives of the unreasonable to meet one or more of that may result in expenditure by state, DOE compliance certification program them. DOE reviewed today’s proposed local, and tribal governments, in the for faucets, showerheads, water closets rulemaking under the standards of aggregate, or by the private sector, of and urinals. In estimating the Section 3 of the Executive Order and $100 million or more in any one year. paperwork and recordkeeping burden, determined that, to the extent permitted The budgetary impact statement must DOE considered that many by law, they meet the requirements of include: (i) identification of the Federal manufacturers already submit this type those standards. law under which the rule is of information to voluntary plumbing promulgated; (ii) a qualitative and product listing services, such as the H. Review Under Section 32 of the quantitative assessment of anticipated International Association of Plumbing & Federal Energy Administration Act of costs and benefits of the Federal Mechanical Officials’ (IAPMO’s) Annual 1974 mandate and an analysis of the extent to Directory of Listed Plumbing Products. Pursuant to Section 301 of the which such costs to state, local, and These manufacturers should be able to Department of Energy Organization Act tribal governments may be paid with comply with the certification required (Pub. L. 95–91), the Department of Federal financial assistance; (iii) if by the proposed rule without much Energy is required to comply with feasible, estimates of the future additional burden. Section 32 of the Federal Energy compliance costs and of any Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules 7845 disproportionate budgetary effects the within the industry; (3) whether the respective presentations, and to mandate has on particular regions, information is generally known by or establish the procedures governing the communities, non-Federal units of available from other sources; (4) conduct of the hearing. The length of government, or sectors of the economy; whether the information has previously each presentation is limited to 20 (iv) if feasible, estimates of the effect on been made available to others without minutes. the national economy; and (v) a obligation concerning its A DOE official will be designated to description of the Department’s prior confidentiality; (5) an explanation of the preside at the hearing. The hearing will consultation with elected competitive injury to the submitting not be a judicial or an evidentiary-type representatives of state, local, and tribal person which would result from public hearing, but will be conducted in governments and a summary and disclosure; (6) an indication as to when accordance with 5 U.S.C. 553 and evaluation of the comments and such information might lose its Section 336 of the Act. At the concerns presented. confidential character due to the conclusion of all initial oral statements The Department has determined that passage of time; and (7) why disclosure at each day of the hearing, each person the action proposed today does not of the information would be contrary to who has made an oral statement will be include a Federal mandate that may the public interest. given the opportunity to make a rebuttal result in estimated costs of $100 million statement, subject to time limitations. B. Public Hearing or more to state, local or to tribal The rebuttal statements will be given in governments in the aggregate or to the 1. Procedures for Submitting Requests to the order in which the initial statements private sector. Therefore, the Speak were made. The official conducting the hearing will accept additional requirements of Sections 203 and 204 of The time and place of the public comments or questions from those the Unfunded Mandates Act do not hearing are indicated at the beginning of apply to this action. attending, as time permits. this notice of proposed rulemaking. The Any further procedural rules needed IV. Public Comment. Department invites any person who has for the proper conduct of the hearing an interest in today’s notice of proposed A. Written Comment Procedures will be announced by the presiding rulemaking, or who is a representative official. Interested persons are invited to of a group or class of persons that has A transcript of the hearing will be participate in the proposed rulemaking an interest in these proposed issues, to made, and the entire record of this by submitting data, comments, or make a request for an opportunity to rulemaking, including the transcript, information with respect to the make an oral presentation. Such will be retained by the Department of proposed issues set forth in sections requests should be directed to the Energy and made available for (II)(A)(1)(a), (II)(A)(2)(a), (II)(B), and address or telephone number indicated inspection in the Freedom of (II)(C) of this notice to the address at the beginning of this notice. Requests Information Reading Room, (Room No: indicated at the beginning of the notice. may be hand delivered to such address 1E–190), at the U.S. Department of Comments should be identified both between the hours of 8:00 a.m. and 4:00 Energy, Forrestal Building, 1000 on the envelope and on the documents p.m., Monday through Friday, except Independence Avenue, SW, as ‘‘Test Procedures and Certification Federal holidays. Requests should be Washington, DC 20585–0121, (202) 586– Requirements for Plumbing Products; labeled ‘‘Test Procedures and 6020, between the hours of 9:00 a.m. and Certification Requirements for Certification Requirements for Plumbing and 4:00 p.m., Monday through Friday, Residential Appliances, Docket No. EE– Products; and Certification except Federal holidays. Any person RM/TP–97–600.’’ Ten (10) copies are Requirements for Residential may purchase a copy of the transcript requested to be submitted. In addition, Appliances, Docket No. EE–RM/TP–97– from the transcribing reporter. the Department requests that an 600,’’ both on the document and on the electronic copy (31⁄2′′ diskette) of the envelope. C. Issues Requested for Comment comments on WordPerfectTM 6.1 be The person making the request should The Department of Energy is provided. All submittals received by the briefly describe the interest concerned interested in receiving comments and/or date specified at the beginning of this and state why he or she, either data concerning the feasibility, notice will be considered by the individually or as a representative of a workability and appropriateness of the Department in developing the final rule. group or class of persons that has such preceding issues proposed in today’s Pursuant to the provisions of Title 10 an interest, is an appropriate proposed rulemaking. Also, DOE CFR 1004.11, any person submitting spokesperson, and give a telephone welcomes discussion on improvements information which he or she believes to number where he or she may be or alternatives to these approaches. In be confidential and exempt by law from contacted. particular, the Department is interested public disclosure should submit one Each person selected to be heard is in gathering comments on the following: complete copy of the document and ten requested to submit an advance copy of • Incorporation by reference of the (10) copies, if possible, from which the his or her statement prior to the hearing test procedure requirements for faucets information believed to be confidential as indicated at the beginning of this and showerheads, and the water has been deleted. The Department of notice. In the event any persons wishing conservation standard for faucets, in Energy will make its own determination to testify cannot meet this requirement, ASME/ANSI Standard A112.18.1M– with regard to the confidential status of that person may make alternative 1994. the information and treat it according to arrangements with the Office of • Requirements to submit metric its determination. Hearings and Dockets in advance by so equivalents. Factors of interest to the Department indicating in the letter requesting to • Definitions of ‘‘basic model’’ for when evaluating requests to treat as make an oral presentation. faucets, showerheads, water closets, and confidential information that has been urinals. submitted include: (1) a description of 2. Conduct of Hearing • Statistical sampling plan the items; (2) an indication as to The Department of Energy reserves requirements for water closets and whether and why such items are the right to select the persons to be urinals utilizing one-sided confidence customarily treated as confidential heard at the hearing, to schedule the limits at 90% with a 1.10 divisor, and 7846 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules for faucets and showerheads, at 95% definition of ‘‘basic model,’’ and adding general service fluorescent lamps, with a 1.05 divisor. new definitions for ‘‘ANSI,’’ ‘‘ASME,’’ incandescent reflector lamps, • Appropriateness of proposed ‘‘blowout,’’ ‘‘electromechanical showerheads, faucets, water closets, and modifications to existing language in the hydraulic toilet,’’ ‘‘estimated annual urinals distributed in commerce for CFR and the adoption of enforcement operating cost,’’ ‘‘faucet,’’ ‘‘flushometer personal or commercial use or provisions for plumbing products. tank,’’ ‘‘flushometer valve,’’ ‘‘low consumption. • The definition for consumption,’’ ‘‘showerhead,’’ ‘‘urinal,’’ * * * * * ‘‘electromechanical hydraulic toilet.’’ ‘‘water closet,’’ and ‘‘water use’’ in • Electromechanical hydraulic toilet The types of information, precision alphabetical order, to read as follows: means any water closet that utilizes of reported results, mathematical electrically operated devices, such as, Subpart AÐGeneral Provisions rounding procedures and the approach but not limited to, air compressors, to apply such procedures for certifying § 430.2 Definitions. pumps, solenoids, motors, or macerators compliance. • * * * * * in place of or to aid gravity in The effective date for certification evacuating waste from the toilet bowl. submissions. ANSI means the American National Energy conservation standard means: • Inclusion of sprayheads as covered Standards Institute. products, and application of faucet ASME means the American Society of (1) A performance standard which standards on independently actuating Mechanical Engineers. prescribes a minimum level of energy multiple-orifice sprayheads. * * * * * efficiency or a maximum quantity of • The establishment of a single Basic model *** energy use, or, in the case of capacity criterion based on the 1993 (17) With respect to faucets, which showerheads, faucets, water closets, and National Plumbing and 1995 have the identical flow control urinals, water use, for a covered International Plumbing Code, to be used mechanism attached to or installed product, determined in accordance with in defining maximum flow rate of within the fixture fittings, or the test procedures prescribed under collectively-actuating sprayheads. identical water-passage design features Section 323 (42 U.S.C. 6293); or • Amendments to the existing that use the same path of water in the (2) A design requirement for the certification reporting requirements for highest-flow mode. products specified in paragraphs (6), (7), all residential appliances. (18) With respect to showerheads, (8), (10), (15), (16), (17), and (19) of • The likelihood that today’s which have the identical flow control Section 322(a) (42 U.S.C. 6292(a)); and proposed rule would cause significant mechanism attached to or installed (3) includes any other requirements economic impact on a substantial within the fixture fittings, or the which the Secretary may prescribe number of small entities under the identical water-passage design features under Section 325(r) (42 U.S.C. 6295(r)). Regulatory Flexibility Act of 1980. that use the same path of water in the Estimated annual operating cost • The information collection and highest-flow mode. means the aggregate retail cost of the recordkeeping burden on the industry of (19) With respect to water closets, energy which is likely to be consumed this proposed rule. which have hydraulic characteristics annually, and in the case of showerheads, faucets, water closets, and List of Subjects in 10 CFR Part 430 that are essentially identical, and which do not have any differing physical or urinals, the aggregate retail cost of water Administrative practice and functional characteristics that affect and wastewater treatment services likely procedure, Confidential business water consumption. to be incurred annually, in information, Energy conservation, (20) With respect to urinals, which representative use of a consumer Household appliances, Imports, have hydraulic characteristics that are product, determined in accordance with Incorporation by reference, essentially identical, and which do not Section 323 (42 U.S.C. 6293). Intergovernmental relations, Reporting have any differing physical or * * * * * and recordkeeping requirements, Small functional characteristics that affect Faucet means a lavatory faucet, businesses. water consumption. kitchen faucet, metering faucet, or Issued in Washington, DC, January 22, * * * * * replacement aerator for a lavatory or 1997. Blowout has the meaning given such kitchen faucet. Brian T. Castelli, a term in ASME A112.19.2M–1990. (see * * * * * Chief of Staff Energy Efficiency and § 430.22) Flushometer tank means a device Renewable Energy. * * * * * whose function is defined in For the reasons set forth in the Consumer product means any article flushometer valve, but integrated within preamble, Part 430 of Chapter II of Title (other than an automobile, as defined in an accumulator vessel affixed and 10, Code of Federal Regulations, is Section 501(1) of the Motor Vehicle adjacent to the fixture inlet so as to proposed to be amended as follows. Information and Cost Savings Act (15 cause an effective enlargement of the U.S.C. 2001(1)) of a type which in supply line immediately before the unit. PART 430ÐENERGY CONSERVATION operation consumes, or is designed to Flushometer valve means a valve PROGRAM FOR CONSUMER consume, energy or, with respect to attached to a pressurized water supply PRODUCTS showerheads, faucets, water closets, and pipe and so designed that when 1. The authority citation for Part 430 urinals, water; and which, to any actuated, it opens the line for direct continues to read as follows: significant extent, is distributed in flow into the fixture at a rate and commerce for personal use or quantity to properly operate the fixture, Authority: 42 U.S.C. 6291–6309. consumption by individuals; without and then gradually closes to provide 2. Section 430.2 of Subpart A is regard to whether such article of such trap reseal in the fixture in order to amended by revising the definitions for type is in fact distributed in commerce avoid water hammer. The pipe to which ‘‘consumer product,’’ and ‘‘energy for personal use or consumption by an this device is connected is in itself of conservation standard,’’ adding new individual, except that such item sufficient size, that when open, will paragraphs (17) through (20) in the includes fluorescent lamp ballasts, allow the device to deliver water at a Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules 7847 sufficient rate of flow for flushing replacement aerators, expressed in water consumption of a basic model for purposes. gallons and liters per minute (gpm and which consumers favor lower values * * * * * L/min), shall be measured in accordance shall be no less than the higher of the Low consumption has the meaning to section 2(a) of Appendix S of this mean of the sample or the upper 90 given such a term in ASME subpart. The maximum permissible percent confidence limit of the true A112.19.2M–1990. (see § 430.22) water use allowed for metering faucets, mean divided by 1.1. expressed in gallons and liters per cycle * * * * * § 430.27 [Amended] Showerhead means any showerhead (gal/cycle and L/cycle), shall be (including a handheld showerhead), measured in accordance to section 2(a) 6. Section 430.27 of subpart B is except a safety shower showerhead. of Appendix S of this subpart. amended by: (t) Showerheads. The maximum * * * * * permissible water use allowed for a. Adding the words ‘‘or water’’ Urinal means a plumbing fixture showerheads, expressed in gallons and between the words ‘‘energy’’ and which receives only liquid body waste liters per minute (gpm and L/min), shall ‘‘consumption’’ in paragraphs: (a)(1), and, on demand, conveys the waste be measured in accordance to section (b)(1)(iii), and (l) (first sentence); and through a trap seal into a gravity 2(b) of Appendix S of this subpart. b. Revising the existing referenced drainage system. However, this term (u) Water closets. The maximum section ‘‘§ 430.22’’ in paragraph (a)(1) to does not include fixtures designed for permissible water use allowed for water read as ‘‘§ 430.23’’. installations in prisons. closets, expressed in gallons and liters 7. Subpart B of Part 430 is amended * * * * * per flush (gpf and Lpf), shall be by adding Appendix S and Appendix T, Water closet means a plumbing measured in accordance to section 3(a) to read as follows: fixture that has a water-containing of Appendix T of this subpart. receptor which receives liquid and solid (v) Urinals. The maximum Appendix S to Subpart B of Part 430— body waste, and upon actuation, permissible water use allowed for Uniform Test Method for Measuring the conveys the waste through an exposed urinals, expressed in gallons and liters Water Consumption of Faucets and integral trap seal into a gravity drainage per flush (gpf and Lpf), shall be Showerheads system. However, this term does not measured in accordance to section 3(b) include fixtures designed for of Appendix T of this subpart. 1. Scope: This Appendix covers the test installation in prisons. 5. Section 430.24 of subpart B is requirements used to measure the hydraulic performance of faucets and showerheads. * * * * * amended by adding new paragraphs (s), (t), (u), and (v), to read as follows: 2. Flow Capacity Requirements: Water use means the quantity of water a. Faucets—The test procedures to measure flowing through a showerhead, faucet, § 430.24 Units to be tested. the water flow rate for faucets, expressed in water closet, or urinal at point of use, gallons per minute (gpm) and liters per determined in accordance with test * * * * * (s) For each basic model of faucet, 1 a minute (L/min), or gallons per cycle (gal/ procedures under Section 323 (42 U.S.C. sample of sufficient size shall be tested cycle) and liters per cycle (L/cycle), shall be 6293). to ensure that any represented value of conducted in accordance with the test * * * * * water consumption of a basic model for requirements specified in section 6.5, Flow 3. Section 430.22 of subpart B is which consumers favor lower values Capacity Test, of the ASME/ANSI Standard amended by adding paragraph (a)(3)(iv) shall be no less than the higher of the A112.18.1M–1994. (see § 430.22) and adding item numbers 13 and 14 to mean of the sample or the upper 95 b. Showerheads—The test conditions to paragraph (a)(4), to read as follows: percent confidence limit of the true measure the water flow rate for showerheads, expressed in gallons per minute (gpm) and mean divided by 1.05. Subpart BÐTest Procedures liters per minute (L/min), shall be conducted (t) For each basic model 1 of in accordance with the test requirements showerhead, a sample of sufficient size § 430.22 Reference Sources. specified in section 6.5, Flow Capacity Test, shall be tested to ensure that any (a) * * * of the ASME/ANSI Standard A112.18.1M– represented value of water consumption (3) * * * 1994. (see § 430.22) (iv) American Society of Mechanical of a basic model for which consumers Engineers, 345 East 47th Street, New favor lower values shall be no less than Appendix T to Subpart B of Part 430— York, NY 10017. the higher of the mean of the sample or Uniform Test Method for Measuring the (4) * * * the upper 95 percent confidence limit of Water Consumption of Water Closets the true mean divided by 1.05. and Urinals 13. ASME/ANSI Standard A112.18.1M– (u) For each basic model 1 of water 1994, ‘‘Plumbing Fixture Fittings.’’ closet, a sample of sufficient size shall 1. Scope: This Appendix covers the test 14. ASME/ANSI Standard A112.19.6–1990, requirements used to measure the hydraulic be tested to ensure that any represented ‘‘Hydraulic Requirements for Water Closets performances of water closets and urinals. value of water consumption of a basic and Urinals.’’ 2. Test Apparatus and General model for which consumers favor lower * * * * * Instructions: 4. Section 430.23 of subpart B is values shall be no less than the higher a. The test apparatus and instructions for amended by revising the section of the mean of the sample or the upper testing water closets shall conform to the heading and adding new paragraphs (s), 90 percent confidence limit of the true requirements specified in section 7.1.2, Test mean divided by 1.1. Apparatus and General Requirements, (t), (u), and (v), to read as follows: 1 (v) For each basic model of urinal, a subsections 7.1.2.1, 7.1.2.2, and 7.1.2.3 of the § 430.23 Test procedures for measures of sample of sufficient size shall be tested ASME/ANSI Standard A112.19.6–1990. (see energy and water consumption. to ensure that any represented value of § 430.22) * * * * * b. The test apparatus and instructions for (s) Faucets. The maximum 1 Components of similar design may be testing urinals shall conform to the substituted without requiring additional testing if permissible water use allowed for the represented measures of energy or water requirements specified in section 8.2, Test lavatory faucets, lavatory replacement consumption continue to satisfy the applicable Apparatus and General Requirements, aerators, kitchen faucets, and kitchen sampling provision. subsections 8.2.1, 8.2.2, and 8.2.3 of the 7848 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules

ASME/ANSI Standard A112.19.6–1990. (see Maximum flow rate January 1, 1997, shall be 1.6 gallons per § 430.22) Faucet type (gpm (L/min)) or (gal/ flush (6.0 liters per flush). 3. Test Measurement: cycle (L/cycle)) (r) Urinals. The maximum water use a. Water closets—The measurement of the allowed for any urinals manufactured water flush volume for water closets, Lavatory faucets ...... 2.2 gpm (8.3 L/ after January 1, 1994, shall be 1.0 expressed in gallons per flush (gpf) and liters min).(1)(i)(2)(i) per flush (Lpf), shall be conducted in Lavatory replacement 2.2 gpm (8.3 L/min). gallons per flush (3.8 liters per flush). accordance with the test requirements aerators. 11. Section 430.33 of subpart C is specified in section 7.1.6, Water Kitchen faucets ...... 2.2 gpm (8.3 L/min). revised to read as follows: Consumption and Hydraulic Characteristics, Kitchen replacement 2.2 gpm (8.3 L/min). § 430.33 Preemption of state regulations. of the ASME/ANSI Standard A112.19.6– aerators. 1990. (see § 430.22) Metering faucets ...... 0.25 gal/cycle (0.95 Any state regulation providing for any b. Urinals—The measurement of water L/cycle).(1)(ii)(2)(ii) energy or water conservation standard, flush volume for urinals, expressed in gallons or other requirement with respect to the Note: per flush (gpf) and liters per flush (Lpf), shall (1) Sprayheads with independently-con- energy efficiency, energy use, or water be conducted in accordance with the test trolled orifices. use of a covered product that is not requirements specified in section 8.5, Water (i) The maximum flow rate of each orifice identical to a Federal standard in effect Consumption, of the ASME/ANSI Standard that manually turns on or off shall not exceed under this subpart is preempted by that A112.19.6–1990. (see § 430.22) the maximum flow rate for a lavatory faucet. (ii) The maximum flow rate of each orifice standard, except as provided for in 8. The subpart heading for Subpart C that delivers a pre-set volume of water before sections 327 (b) and (c) of the Act. is revised to read as follows: gradually shutting itself off shall not exceed the maximum flow rate for a metering faucet. Subpart DÐPetitions To Exempt State Subpart CÐEnergy and Water Note: Regulation From Preemption; Petitions (2) Sprayheads with collectively-controlled Conservation Standards orifices. To Withdraw Exemption of State (i) The maximum flow rate of a sprayhead Regulation 9. Section 430.31 is revised to read as that manually turns on or off shall be the prod- follows: uct of (a) the maximum flow rate for a lavatory 12. Section 430.40 of subpart D is faucet and (b) the number of component lava- revised to read as follow: § 430.31 Purpose and scope. tories (rim space of the lavatory in inches (mil- limeters) divided by 20 inches (508 millime- § 430.40 Purpose and scope. This subpart contains energy and ters)). (a) This subpart prescribes the water conservation standards for classes (ii) The maximum flow rate of a sprayhead of covered products that are required to that delivers a pre-set volume of water before procedures to be followed in connection be administered by the Department of gradually shutting itself off shall be the product with petitions requesting a rule that a of (a) the maximum flow rate for a metering Energy pursuant to the Energy State regulation prescribing an energy or faucet and (b) the number of component lava- water conservation standard or other Conservation Program for Consumer tories (rim space of the lavatory in inches (mil- Products Other Than Automobiles limeters) divided by 20 inches (508 millime- requirement respecting energy under the Energy Policy and ters)). efficiency, energy use, or water use of a Conservation Act, as amended (42 (p) Showerheads. The maximum type (or class) of covered product not be U.S.C.6291 et seq.). Basic models of water use allowed for any showerheads preempted. (b) This subpart also prescribes the covered products manufactured before manufactured after January 1, 1994, procedures to be followed in connection the date on which an amended energy shall be 2.5 gallons per minute (9.5 with petitions to withdraw a rule or water conservation standard becomes liters per minute) when measured at a exempting a State regulation prescribing effective, (or revisions of such models flowing pressure of 80 pounds per an energy or water conservation that are manufactured after such date square inch (552 kilopascals). Any such standard or other requirement and have the same energy efficiency, showerhead shall also meet the respecting energy efficiency, energy use, energy use or water use characteristics), requirements of ASME/ANSI Standard or water use of a type (or class) of that comply with the energy or water A112.18.1M–1994, 7.4.4(a). covered product. conservation standard applicable to (q) Water closets. (1) The maximum 13. Section 430.41 of subpart D is such covered products on the day before water use allowed in gallons per flush revised to read as follows: such date shall be deemed to comply for any of the following water closets with the amended energy or water manufactured after January 1, 1994, § 430.41 Prescriptions of a rule. conservation standard. shall be as follows: (a) Criteria for exemption from 10. Section 430.32 of subpart C is preemption. Upon petition by a State amended by revising the section Maximum Water closet type flush rate which has prescribed an energy or water heading, revising the introductory (gpf (Lpf)) conservation standard or other paragraph, and adding paragraphs (o), requirement for a type or class of (p), (q), and (r), to read as follows: Gravity tank-type toilets ...... 1 1.6 (6.0) covered equipment for which a Federal Flushometer tank toilets ...... 1.6 (6.0) energy or water conservation standard is § 430.32 Energy and water conservation Electromechanical hydraulic standards and effective dates. applicable, the Secretary shall prescribe toilets ...... 1.6 (6.0) a rule that such standard not be Blowout toilets ...... 3.5 (13.2) The energy and water conservation preempted if he determines that the standards for the covered product 1 The maximum water use allowed for any State has established by a classes are: gravity tank-type white two-piece toilet which preponderance of evidence that such * * * * * bears an adhesive label, conspicuous upon in- stallation, with the words ``Commercial Use requirement is needed to meet unusual (o) Faucets. The maximum water use Only'' manufactured after January 1, 1994, and compelling State or local energy or allowed for any of the following faucets and before January 1, 1997, shall be 3.5 gal- water interests. For the purposes of this manufactured after January 1, 1994, lons per flush (13.2 liters per flush). section, the term ‘‘unusual and when measured at a flowing water (2) The maximum water use allowed compelling State or local energy or pressure of 60 pounds per square inch for flushometer valve toilets, other than water interests’’ means interests which (414 kilopascals), shall be as follows: blowout toilets, manufactured after are substantially different in nature or Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules 7849 magnitude than those prevailing in the (1) Requirements of petition for in paragraphs (b)(1)(i) through (b)(1)(iv) U.S. generally, and are such that when exemption from preemption. A petition of this section, and shall be available for evaluated within the context of the from a State for a rule for exemption public review except for confidential or State’s energy or water plan and from preemption shall include the proprietary information submitted in forecast, the costs, benefits, burdens, information listed in paragraphs (a)(1)(i) accordance with the Department of and reliability of energy or water through (a)(1)(vi) of this section. A Energy’s Freedom of Information savings resulting from the State petition for a rule and correspondence Regulations set forth in 10 CFR Part regulation make such regulation relating to such petition shall be 1004: preferable or necessary when measured available for public review except for (i) A description of the energy or against the costs, benefits, burdens, and confidential or proprietary information water emergency condition which exists reliability of alternative approaches to submitted in accordance with the within the State, including causes and energy or water savings or production, Department of Energy’s Freedom of impacts. including reliance on reasonably Information Regulations set forth in 10 (ii) A description of emergency predictable market-induced CFR Part 1004: response actions taken by the State and improvements in efficiency of all (i) The name, address, and telephone utilities within the State to alleviate the equipment subject to the State number of the petitioner; emergency condition; regulation. The Secretary may not (ii) A copy of the State standard for (iii) An analysis of why the prescribe such a rule if he finds that which a rule exempting such standard emergency condition cannot be interested persons have established, by is sought; alleviated substantially by importation (iii) A copy of the State’s energy or a preponderance of the evidence, that of energy or water or the use of water plan and forecast; the State’s regulation will significantly interconnection agreements; and (iv) Specification of each type or class (iv) An analysis of how the State burden manufacturing, marketing, of covered product for which a rule standard can alleviate substantially such distribution, sale or servicing of the exempting a standard is sought; emergency condition. covered equipment on a national basis. (v) Other information, if any, believed (2) [Reserved] In determining whether to make such a to be pertinent by the petitioner; and (c) Criteria for withdrawal of a rule finding, the Secretary shall evaluate all (vi) Such other information as the exempting a State standard. Any person relevant factors including: the extent to Secretary may require. subject to a State standard which, by which the State regulation will increase (2) [Reserved] rule, has been exempted from Federal manufacturing or distribution costs of (b) Criteria for exemption from preemption and which prescribes an manufacturers, distributors, and others; preemption when energy or water energy or water conservation standard the extent to which the State regulation emergency conditions exist within State. or other requirement for a type or class will disadvantage smaller Upon petition by a State which has of a covered product, when the Federal manufacturers, distributors, or dealers prescribed an energy or water energy or water conservation standard or lessen competition in the sale of the conservation standard or other for such product subsequently is covered product in the State; the extent requirement for a type or class of amended, may petition the Secretary to which the State regulation would covered product for which a Federal requesting that the exemption rule be cause a burden to manufacturers to energy or water conservation standard is withdrawn. The Secretary shall consider redesign and produce the covered applicable, the Secretary may prescribe such petition in accordance with the product type (or class), taking into a rule, effective upon publication in the requirements of paragraph (a) of this consideration the extent to which the Federal Register, that such State section, except that the burden shall be regulation would result in a reduction regulation not be preempted if he on the petitioner to demonstrate that the in the current models, or in the determines that in addition to meeting exemption rule received by the State projected availability of models, that the requirements of paragraph (a) of this should be withdrawn as a result of the could be shipped on the effective date section the State has established that: an amendment to the Federal standard. The of the regulation to the State and within energy or water emergency condition Secretary shall withdraw such rule if he the U.S., or in the current or projected exists within the State that imperils the determines that the petitioner has sales volume of the covered product health, safety, and welfare of its shown the rule should be withdrawn. type (or class) in the State and the U.S.; residents because of the inability of the (1) Requirements of petition to and the extent to which the State State or utilities within the State to withdraw a rule exempting a State regulation is likely to contribute provide adequate quantities of gas, standard. A petition for a rule to significantly to a proliferation of State electric energy, or water to its residents withdraw a rule exempting a State appliance efficiency requirements and at less than prohibitive costs; and standard shall include the information the cumulative impact such cannot be substantially alleviated by the prescribed in paragraphs (c)(1)(i) requirements would have. The Secretary importation of energy or water or the through (c)(1)(vii) of this section, and may not prescribe such a rule if he finds use of interconnection agreements; and shall be available for public review, that such a rule will result in the the State regulation is necessary to except for confidential or proprietary unavailability in the State of any alleviate substantially such condition. information submitted in accordance covered product (or class) of (1) Requirements of petition for with the Department of Energy’s performance characteristics (including exemption from preemption when Freedom of Information Regulations set reliability), features, sizes, capacities, energy or water emergency conditions forth in 10 CFR Part 1004: and volumes that are substantially the exist within a State. A petition from a (i) The name, address and telephone same as those generally available in the State for a rule for exemption from number of the petitioner; State at the time of the Secretary’s preemption when energy or water (ii) A statement of the interest of the finding. The failure of some classes (or emergency conditions exist within a petitioner for which a rule withdrawing types) to meet this criterion shall not State shall include the information an exemption is sought; affect the Secretary’s determination of listed in paragraphs (a)(1)(i) through (iii) A copy of the State standard for whether to prescribe a rule for other (a)(1)(vi) of this section. A petition shall which a rule withdrawing an exemption classes (or types). also include the information prescribed is sought; 7850 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules

(iv) Specification of each type or class and water conservation standard set (vii) Faucets, for each faucet, the of covered product for which a rule forth in Subpart C of this part shall maximum water use in gpm (L/min) withdrawing an exemption is sought; certify by means of a statement of rounded to one decimal place or gal/ (v) A discussion of the factors compliance and certification report that cycle (L/cycle) rounded to two decimal contained in paragraph (a) of this each basic model meets the places, or for each flow control section; requirements of that standard. Each mechanism, the maximum water use in (vi) Such other information, if any, manufacturer or his representative shall gpm (L/min) rounded to one decimal believed to be pertinent by the send a compliance certification place or gal/cycle (L/cycle) rounded to petitioner; and statement and report, by certified mail, two decimal places, with a listing of (vii) Such other information as the to: Department of Energy, Office of accompanied faucets by manufacturer’s Secretary may require. Energy Efficiency and Renewable model numbers. (2) [Reserved] Energy, Office of Codes and Standards, (viii) Furnaces, the annual fuel § 430.47 [Amended] Forrestal Building, 1000 Independence utilization efficiency in percent. Avenue, SW, Washington, DC 20585– (ix) General service fluorescent lamps, 14. Section 430.47 of subpart D is 0121. the laboratory’s National Voluntary amended in paragraph (a)(1), by revising (2) The compliance certification Laboratory Accreditation Program the words ‘‘energy emergency requirements of paragraph (a)(1) of this (NVLAP) identification number or other condition’’ to read ‘‘energy or water section shall apply to manufacturers of NVLAP-approved accreditation emergency condition’’. faucets, showerheads, water closets, and identification, production date codes § 430.49 [Amended] urinals on [one year after publication of (and accompanying decoding scheme), 15. Section 430.49 of subpart D is the Final Rule]. the 12-month average lamp efficacy in amended in paragraph (a), by adding the (3) The compliance statement, in the lumens per watt, lamp wattage, and the words ‘‘or water’’ after ‘‘energy’’ in the format set forth in appendix A of this 12-month average Color Rendering first sentence. subpart, shall certify that: Index. (i) The basic model complies with the (x) Incandescent reflector lamps, the Subpart EÐSmall Business applicable energy or water conservation laboratory’s National Voluntary Exemptions standards; Accreditation Program (NVLAP) (ii) All required testing, on which identification number or other NVLAP- § 430.50 [Amended] certification reports are based, is approved accreditation identification, 16. Section 430.50 of subpart E is conducted in conformance with the production date codes (and amended by adding the words ‘‘and applicable test requirements prescribed accompanying decoding scheme), the water’’ after ‘‘energy’’ in paragraphs (a) in subpart B of this part, and all test data 12-month average lamp efficacy in and (b). are reported in accordance with this lumens per watt, and lamp wattage. subpart; (xi) Kitchen ranges, ovens, and Subpart FÐCertification and (iii) All information reported in microwave ovens, the annual energy use Enforcement certification reports is true, accurate, in Btu/hour. 17. Section 430.60 of subpart F is and complete; and (xii) Pool heaters, the thermal revised to read as follows: (iv) The manufacturer is aware of the efficiency in percent. penalties associated with violations of (xiii) Refrigerators, refrigerator- § 430.60 Purpose and scope. the Act and the regulations thereunder, freezers, and freezers, the annual energy This subpart sets forth the procedures and 18 U.S.C. 1001 which prohibits use in kWh/yr and total adjusted to be followed for certification and knowingly making false statements to volume in ft3. enforcement testing to determine the Federal Government. (xiv) Room air conditioners, the whether a basic model of a covered (4) For each basic model of a covered energy efficiency ratio and capacity in product complies with the applicable product, a certification report, the Btu/hour. energy or water conservation standard format for which is set forth in appendix (xv) Showerheads, the maximum set forth in Subpart C of this part. A of this subpart, shall be submitted to water use in gpm (L/min) rounded to Energy and water conservation DOE. The certification report shall one decimal place, or for each flow standards include minimum levels of include the product type, product class control mechanism, the maximum water efficiency and maximum levels of (as denoted in § 430.32), manufacturer’s use in gpm (L/min) rounded to one consumption (also referred to as name, private labeler name(s), if decimal place with a listing of performance standards), and applicable, the manufacturer’s model accompanied showerheads by prescriptive energy design requirements number(s), and for: manufacturer’s model numbers. (also referred to as design standards). (i) Central air conditioners, the (xvi) Urinals, the maximum water use seasonal energy efficiency ratio. in gpf (Lpf) rounded to one decimal § 430.61 [Amended] (ii) Central air conditioning heat place. 18. Section 430.61 of subpart F is pumps, the seasonal energy efficiency (xvii) Water closets, the maximum amended in paragraph (a)(4), by adding ratio and heating seasonal performance water use in gpf (Lpf) rounded to one the words ‘‘or water conservation’’ after factor. decimal place. the words ‘‘energy efficiency’’ in the (iii) Clothes washers, the energy factor (xviii) Water heaters, the energy factor first sentence. in ft3/kWh/cycle and capacity in ft3. and rated storage volume in gallons. 19. Section 430.62 of subpart F is (iv) Clothes dryers, the energy factor (5) Copies of reports to the Federal revised as follows: in lbs/kWh, capacity in ft3, and voltage. Trade Commission which include the (v) Direct heating equipment, the information in paragraph (a)(4) of this § 430.62 Submission of data. annual fuel utilization efficiency in section meet the requirements of this (a) Compliance certification. (1) Each percent and capacity in Btu/hour. paragraph (a). manufacturer before distributing in (vi) Dishwashers, the energy factor in (b) New models. All information commerce any basic model of a covered cycles/kWh and exterior width in required by paragraph (a)(4) of this product subject to the applicable energy inches. section must be submitted for new Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules 7851 models prior to or concurrent with any specified in paragraph (a)(3) of this § 430.73 [Amended] distribution of such models. Any change section. A third party representative 22. Section 430.73 of subpart F is to a basic model which affects energy or may also submit discontinued model amended by adding the words ‘‘or water consumption may constitute the information on behalf of an authorizing water’’ after ‘‘energy’’ in the addition of a new basic model subject to manufacturer. introductory paragraph. the requirements of § 430.61. If such (f) Amendment of information. If any 23. Appendix A to subpart F of part change does not alter compliance with compliance certification information on 430 is revised to read as follows: the applicable energy or water a statement or report previously Appendix A to Subpart F of Part 430— conservation standard for the basic submitted to DOE has changed, the Compliance Certification model, the new model shall be manufacturer or his representative must considered certified and not warrant submit the revised information, by Statement of Compliance With Energy or additional testing. However, all certified mail, to: Department of Energy, Water Conservation Standards for information required by paragraph (a)(4) Office of Energy Efficiency and Appliances of this section for the new model must Renewable Energy, Office of Codes and Product: llllllllllllllll be submitted, by certified mail, to: Standards, Forrestal Building, 1000 Manufacturer’s Name and Address Department of Energy, Office of Energy Independence Avenue, SW, lllllllllllllllllllll Efficiency and Renewable Energy, Office Washington, DC 20585–0121. lllllllllllllllllllll of Codes and Standards, Forrestal lllllllllllllllllllll § 430.63 [Amended] Building, 1000 Independence Avenue, This compliance statement and the SW, Washington, DC 20585–0121. 20. Section 430.63 of subpart F is attached certification report are submitted (c) Discontinued models. A basic amended in paragraph (a), by adding the pursuant to 10 CFR part 430 (Energy or Water model is considered discontinued when words ‘‘or water’’ after ‘‘energy,’’ and Conservation Program for Consumer its production has ceased. Such models revising ‘‘§ 430.23’’ to read ‘‘§ 430.24’’. Products) and Part C of the Energy Policy and shall be reported, by certified mail, to: 21. Section 430.70 of subpart F is Conservation Act (Pub. L. 94–163), and Department of Energy, Office of Energy amended by revising paragraphs (a)(1) amendments thereto. It is signed by a Efficiency and Renewable Energy, Office responsible official of the above named introductory text, (a)(3) and (a)(6)(i), to company. The basic models listed in the of Codes and Standards, Forrestal read as follows: attached certification report comply with the Building, 1000 Independence Avenue, applicable energy or water conservation § 430.70 Enforcement. SW, Washington, DC 20585–0121 standard. All testing on which the attached within six months of being (a) Performance standard—(1) Test certification report is based was conducted in discontinued. For each basic model, this notice. Upon receiving information in conformance with applicable test report shall include: product type, writing concerning the energy or water requirements prescribed in subpart B of 10 product class, the manufacturer’s name, performance of a particular covered CFR part 430. All information reported in the the private labeler name(s), if product sold by a particular attached certification report is true, accurate, applicable, and the manufacturer’s manufacturer or private labeler which and complete. The company is aware of the penalties associated with violations of the model number. If the reporting of indicates that the covered product may Act and the regulations thereunder, and is discontinued models coincides with the not be in compliance with the also aware of the provisions contained in 18 submittal of a certification report, such applicable energy or water performance U.S.C. 1001, which prohibits knowingly models can be included in the standard, the Secretary may conduct making false statement to the Federal certification report. testing of that covered product under Government. (d) Maintenance of records. The this subpart by means of a test notice Signature of Company Official: llllll manufacturer of any covered product addressed to the manufacturer in Name: lllllllllllllllll subject to any of the energy and water accordance with the following Title: llllllllllllllllll performance standards or procedures requirements: Firm or Organization: llllllllll prescribed in this part shall establish, * * * * * Date: llllllllllllllllll maintain, and retain the records of the (3) Sampling. The determination that Name of Person to Contact for Further underlying test data for all certification a manufacturer’s basic model complies Information: testing. Such records shall be organized with the applicable energy or water Name: lllllllllllllllll and indexed in a fashion which makes performance standard shall be based on llllllllllllllll them readily accessible for review by Address: the testing conducted in accordance lllllllllll DOE upon request. The records shall Telephone Number: with the statistical sampling procedures Facsimile Number: llllllllllll include the supporting test data set forth in appendix B of this subpart associated with tests performed on any Third Party Representative: and the test procedures set forth in test units to satisfy the requirements of If any part of this Compliance Certification, Subpart B of this part. this subpart. The records shall be including the attached certification report, retained by the manufacturer for a * * * * * was prepared by a third party organization (6) Testing at manufacturer’s option. under the provisions of § 430.62 of 10 CFR period of two years from the date that 430, provide the following information for production of the applicable model has (i) If a manufacturer’s basic model is determined to be in noncompliance the company official who authorized third ceased. party representations: (e) Third party representation. A with the applicable energy or water lllllllllllllllll performance standard at the conclusion Name: manufacturer may elect to use a third llllllllllllllllll of DOE testing in accordance with the Title: party to submit the certification report llllllllllllllll to DOE (for example a trade association double sampling plan specified in Address: lllllllllll or other authorized representative). appendix B of this subpart, the Telephone Number: Such certification reports shall include manufacturer may request that DOE Facsimile Number: llllllllllll all the information specified in conduct additional testing of the model The third party organization officially paragraph (a)(4) of this section. The according to procedures set forth in acting as representative: certification report must be submitted appendix B of this subpart. Third Party Organization: llllllll with a compliance statement as * * * * * Name: lllllllllllllllll 7852 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules

llllllllllllllll Address: Step 4. Compute the standard error ()s of the Where s1 and t have the values used in Steps x1 Telephone Number: lllllllllll 4 and 5, respectively. The term ‘‘0.05 measured energy or water performance of the n EPS’’ is the difference between the Facsimile Number: llllllllllll 1 units in the first sample as follows: applicable energy efficiency standard The third party organization officially and 95 percent of the standard, where 95 acting as representative: percent of the standard is taken as the Third Party Organization: llllllll lower control limit. This procedure yields a sufficient combined sample size Name: lllllllllllllllll (n1+n2) to give an estimated 97.5 percent s1 Address: llllllllllllllll s = probability of obtaining a determination x1 Telephone Number: lllllllllll n1 of compliance when the true mean efficiency is equal to the applicable llllllllllll Step 5. Compute the upper control limit Facsimile Number: standard. Given the solution value of n , (UCL ) and lower control limit (LCL ) for the 2 Submit Compliance Certification in writing 1 1 determine one of the following: mean of the first sample using the applicable or on a computer diskette, by Certified Mail (1) If the value of n2 is less than or equal to: Department of Energy, Office of Energy DOE energy or water performance standard to zero and if the mean energy efficiency of (EPS) as the desired mean and a probability Efficiency and Renewable Energy, Office of the first sample (x¯ 1) is either equal to or level of 95 percent (two-tailed test) as Codes and Standards, Forrestal Building, greater than the lower control limit (LCL1) or follows: 1000 Independence Avenue, SW, equal to or greater than 95 percent of the applicable energy efficiency standard (EES), Washington, DC 20585–0121. LCL= EPS − ts ≤ ≥ 1 x1 whichever is greater, i.e., if n2 0 and (x¯ 1) max (LCL , 0.95 EES), the basic model is in Certification Report for Basic Models UCL= EPS + ts 1 1 x1 compliance and testing is at an end. (Attachment to Statement of Compliance (2) If the value of n is less than or equal Where t is a statistic based on a 95 percent 2 With Energy or Water Conservation to zero and the mean energy efficiency of the two-tailed probability level and a sample size Standards for Appliances) first sample (x¯ 1) is less than the lower control of n1. Date: llllllllllllllllll limit (LCL1) or less than 95 percent of the Step 6a. For an Energy Efficiency Standard, applicable energy efficiency standard (EES), Signature of Company Official or Third Party compare the mean of the first sample (x¯ 1) whichever is greater, i.e., if n2 ≤ 0 and (x¯ 1) Representative: lllllllllllll with the upper and lower control limits < max (LCL1, 0.95 EES), the basic model is Product Type: llllllllllllll (UCL1 and LCL1) to determine one of the in noncompliance and testing is at an end. Product Class: llllllllllllll following: (3) If the value of n2 is greater than zero, llllllllllllll (1) If the mean of the first sample is below then value of the second sample size is Manufacturer: the lower control limit, then the basic model determined to be the smallest integer equal llllll Private Labeler (if applicable): is in noncompliance and testing is at an end. to or greater than the solution value of n2 for For New or Amended Models 1: (Do not go on to any of the steps below.) equation (6a). If the value of n2 so calculated For Discontinued Models 2: (2) If the mean of the first sample is equal is greater than 20–n1, set n2 equal to 20–n. to or greater than the upper control limit, Step 7(b). For an Energy or Water 24. Appendix B to Subpart F of Part then the basic model is in compliance and Consumption Standard, determine the 430 is revised to read as follows: testing is at an end. (Do not go on to any of second sample size (n2) as follows: Appendix B to Subpart F of Part 430— the steps below.) (3) If the sample mean is equal to or greater 2 Sampling Plan for Enoforcement   than the lower control limit but less than the = ts1 − n2 n1 Testing upper control limit, then no determination of  0. 05 EPS compliance or noncompliance can be made I. Double Sampling Where s and t have the values used in Steps and a second sample size is determined by 1 4 and 5, respectively. The term ‘‘0.05 Step 1. The first sample size (n1) must be Step 7(a). four or more units. EPS’’ is the difference between the Step 6b. For an Energy or Water applicable energy or water consumption Step 2. Compute the mean (x¯ 1) of the Consumption Standard, compare the mean of standard and 105 percent of the measured energy or water performance of the the first sample (x¯ 1) with the upper and lower standard, where 105 percent of the n units in the first sample as follows: 1 control limits (UCL1 and LCL1) to determine standard is taken as the upper control one of the following: limit. This procedure yields a sufficient  n1  1 (1) If the mean of the first sample is above combined sample size (n1 + n2) to give x = ∑ x  the upper control limit, then the basic model 1  i  an estimated 97.5 percent probability of n1 i=1 is in noncompliance and testing is at an end. obtaining a determination of compliance (Do not go on to any of the steps below.) Where (x ) is the measured energy efficiency, when the true mean consumption is i (2) If the mean of the first sample is equal equal to the applicable standard. energy or water consumption of unit i. to or less than the lower control limit, then Given the solution value of n2, determine Step 3. Compute the standard deviation (s1) the basic model is in compliance and testing one of the following: of the measured energy or water performance is at an end. (Do not go on to any of the steps (1) If the value of n2 is less than or equal of the (n1) units in the first sample as follows: below.) to zero and if the mean energy or water (3) If the sample mean is equal to or less consumption of the first sample (x¯ 1) is either n1 than the upper control limit but greater than equal to or less than the upper control limit ∑()x− x 2 the lower control limit, then no (UCL1) or equal to or less than 105 percent i 1 determination of compliance or of the applicable energy or water i=1 s = noncompliance can be made and a second performance standard (EPS), whichever is 1 − ≤ ≤ n1 1 sample size is determined by Step 7(b). less, i.e., if n2 0 and (x¯ 1) min (UCL1, 1.05 Step 7a. For an Energy Efficiency Standard, EPS), the basic model is in compliance and testing is at an end. determine the second sample size (n2) as follows: (2) If the value of n2 is less than or equal 1 Provide specific product information including, to zero and the mean energy or water for each basic model, the manufacturer’s model 2 consumption of the first sample (x¯ 1) is greater numbers and the information required in  ts  than the upper control limit (UCL ) or more n =  1  − n 1 § 430.62(a)(4)(i)–§ 430.62(a)(4)(xviii). 2  0. 05 EPS 1 than 105 percent of the applicable energy or 2 Provide manufacturer’s model number. water performance standard (EPS), Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules 7853

whichever is less, i.e., if n2 ≤ 0 and x¯ 1 > min (EPS) as the desired mean and a one-tailed Step A. The manufacturer requests that an (LCL1, 1.05 EPS), the basic model is in probability level of 102.5 percent (equivalent additional number, n3, of units be tested, noncompliance and testing is at an end. to the two-tailed probability level of 95 with n3 chosen such that n1+n2+n3 does not (3) If the value of n2 is greater than zero, percent used in Step 5) as follows: exceed 20. then the value of the second sample size is Step B. Compute the mean energy or water determined to be the smallest integer equal UCL= EPS + ts 2 x2 performance, standard error, and lower or to or greater than the solution value of n2 for upper control limit of the new combined Where the t-statistic has the value obtained equation (6b). If the value of n2 so calculated sample in accordance with the procedures in Step 5. is greater than 20–n1, set n2 equal to 20–n1. prescribed in Steps 8, 9, and 10, above. Step 8. Compute the combined mean (x¯ 2) Step 11(a). For an Energy Efficiency Step C. Compare the mean performance of of the measured energy or water performance Standard, compare the combined sample the new combined sample to the revised of the n and n units of the combined first 1 2 mean (x¯ 2) to the lower control limit (LCL2) to lower or upper control limit to determine one and second samples as follows: find one of the following: of the following: (1) If the mean of the combined sample (x¯ 2) + a.1. For an Energy Efficiency Standard, if  n1 n 2  is less than the lower control limit (LCL ) or 1 2 the new combined sample mean is equal to = 95 percent of the applicable energy efficiency x2  ∑ xi  or greater than the lower control limit or 95 n+ n   standard (EES), whichever is greater, i.e., if 1 2 i=1 percent of the applicable energy efficiency (x¯ ) < max (LCL , 0.95 EES), the basic model 2 2 standard, whichever is greater, the basic is in noncompliance and testing is at an end. (2) If the mean of the combined sample (x¯ ) model is in compliance and testing is at an 2 end. Step 9. Compute the standard error () s of the is equal to or greater than the lower control x2 a.2. For an Energy or Water Consumption limit (LCL2) or 95 percent of the applicable Standard, if the new combined sample mean measured energy or water performance of the n1 energy efficiency standard (EES), whichever ≥ is equal to or less than the upper control and n2 units in the combined first and second is greater, i.e., if (x¯ 2) max (LCL2, 0.95 EES), the basic model is in compliance and testing limit or 105 percent of the applicable energy samples as follows: is at an end. or water consumption standard, whichever is Step 11(b). For an Energy or Water less, the basic model is in compliance and Consumption Standard, compare the testing is at an end. combined sample mean (x¯ 2) to the upper b.1. For an Energy Efficiency Standard, if the new combined sample mean is less than s control limit (UCL2) to find one of the s = 1 following: the lower control limit or 95 percent of the x2 + n1 n 2 (1) If the mean of the combined sample (x¯ 2) applicable energy efficiency standard, is greater than the upper control limit (UCL2) whichever, is greater, and the value of Where s1 is the value obtained in Step 3. Step 10(a). For an Energy Efficiency or 105 percent of the applicable energy or n1+n2+n3 is less than 20, the manufacturer Standard, compute the lower control limit water performance standard (EPS), may request that additional units be tested. The total of all units tested may not exceed (LCL2) for the mean of the combined first and whichever is less, i.e., if x¯ 2 > min (UCL2, 1.05 second samples using the DOE energy EPS), the basic model is in noncompliance 20. Steps A, B, and C are then repeated. efficiency standard (EES) as the desired mean and testing is at an end. b.2. For an Energy or Water Consumption and a one-tailed probability level of 97.5 (2) If the mean of the combined sample (x¯ 2) Standard, if the new combined sample mean percent (equivalent to the two-tailed is equal to or less than the upper control is greater than the upper control limit or 105 probability level of 95 percent used in Step limit (UCL2) or 105 percent of the applicable percent of the applicable energy or water 5) as follows: energy or water performance standard (EPS), consumption standard, whichever is less, whichever is less, i.e., if (x¯ 2) ≤ min (UCL2, and the value of n1+n2+n3 is less than 20, the = − LCL2 EES tsx 1.05 EPS), the basic model is in compliance manufacturer may request that additional 2 and testing is at an end. units be tested. The total of all units tested Where the t-statistic has the value obtained may not exceed 20. Steps A, B, and C are II. Manufacturer-Option Testing in step 5. then repeated. Step 10(b). For an Energy or Water If a determination of non-compliance is c. Otherwise, the basic model is Consumption Standard, compute the upper made in Steps 6, 7 or 11, the manufacturer determined to be in noncompliance. control limit (UCL2) for the mean of the may request that additional testing be combined first and second samples using the conducted, in accordance with the following [FR Doc. 97–3173 Filed 2–19–97; 8:45 am] DOE energy or water performance standard procedures. BILLING CODE 6450±01±P federal register February 20,1997 Thursday Recruitment Program;Notice Development, TeacherTrainingand The NativeHawaiianCurriculum Education Department of Part III 7855 7856 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Notices

DEPARTMENT OF EDUCATION Deadline for Transmittal of CFR 75.210 to evaluate applications Applications: April 7, 1997. under this competition. The maximum [CFDA No.: 84.297A] Deadline for Intergovernmental score for all of the selection criteria is Review: June 7, 1997. 100 points. The maximum score for The Native Hawaiian Curriculum Available Funds: $500,000. each criterion is as follows: Development, Teacher Training and Estimated Number of Awards: 1. (a) Meeting the purposes of the Recruitment Program; Notice Inviting Estimated Size of Awards: $500,000. Note: These estimates are projections for authorizing statute—20 points. Applications for New Awards for Fiscal the guidance of potential applicants. The (b) Extent of need for the project—20 Year (FY) 1997 Department is not bound by any estimates in points. this notice. Purpose of Program: To award grants (c) Plan of operation—20 points. to Native Hawaiian educational Project Period: Up to 36 months. (d) Quality of key personnel—10 organizations or educational entities Applicable Regulations: The points. with experience in developing or Education Department General (e) Budget and cost effectiveness—10 operating Native Hawaiian programs or Administrative Regulations (EDGAR) in points. programs of instruction conducted in 34 CFR Parts 74, 75, 77, 79, 81, 82, and (f) Evaluation plan—15 points. the Native Hawaiian language for (1) the 85. Supplementary Information: The (g) Adequacy of resources—5 points. development of curricula to address the Native Hawaiian Curriculum For Applications or Information needs of Native Hawaiian elementary Development, Teacher Training and Contact: Beth Baggett, U.S. Department and secondary students, which may Recruitment Program supports, among of Education, 600 Independence include programs of instruction other things, the development of Avenue, S.W., Portals 4500, conducted in the Native Hawaiian mathematics and science curricula Washington, D.C. 20202–6140. language and mathematics and science incorporating the relevant application of Telephone (202) 260–2502. Individuals curricula incorporating the relevant Native Hawaiian culture and traditions. who use a telecommunications device application of Native Hawaiian culture One field of study that is particularly for the deaf (TDD) may call the Federal and traditions; (2) preteacher training to suited to this program is aquaculture. Information Relay Service (FIRS) at 1– ensure that student teachers within the Aquaculture, the science of the 800–877–8339 between 8 a.m. and 8 State, particularly those who are likely cultivation of marine life, is rooted in p.m., Eastern time, Monday through to be employed in schools with a high Hawaiian culture. A comprehensive Friday. concentration of Native Hawaiian aquaculture program would assist Information about the Department’s students, are prepared to better address Native Hawaiian students in reaching funding opportunities, including copies the unique needs of Native Hawaiian challenging standards in science and of application notices for discretionary students within the context of Native mathematics in an intellectually grant competitions, can be viewed on Hawaiian culture, language and stimulating environment and give them the Department’s electronic bulletin traditions; (3) inservice teacher training a greater understanding and board (ED Board), telephone (202) 260– to ensure that teachers, particularly appreciation of their Native Hawaiian 9950; on the Internet Gopher Server at those who are likely to be employed in culture. GOPHER.ED.GOV (under schools with a high concentration of Invitational Priority: Under 34 CFR Announcements, Bulletins, and Press Native Hawaiian students, are prepared 75.105(c)(1), the Secretary invites Releases); or on the World Wide Web (at to better address the unique needs of applications from eligible organizations http://www.ed.gov/money.html). Native Hawaiian students within the or entities that would develop and However, the official application notice context of Native Hawaiian culture, implement a comprehensive for a discretionary grant competition is language and traditions; and (4) the aquaculture program that would be the notice published in the Federal development and implementation of conducted in remote or rural areas of Register. teacher recruitment programs. the Hawaiian Islands. While the Program Authority: 20 U.S.C. 7909. Eligible Applicants: Native Hawaiian Secretary is particularly interested in educational organizations or applications that meet this priority, Dated: February 13, 1997. educational entities with experience in these applications will not receive Gerald N. Tirozzi, developing or operating Native preference over applications that fail to Assistant Secretary for Elementary and Hawaiian programs or programs of meet the priority. Secondary Education. instruction conducted in the Native Selection Criteria: The Secretary will [FR Doc. 97–4184 Filed 2–19–97; 8:45 am] Hawaiian language. use the following selection criteria in 34 BILLING CODE 4000±01±P federal register February 20,1997 Thursday Proposed Rule Anchorages andAnchorageSystems; Child RestraintSystems;Tether Federal MotorVehicleSafetyStandards; 49 CFRPart571 Administration National HighwayTrafficSafety Transportation Department of Part IV 7857 7858 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules

DEPARTMENT OF TRANSPORTATION The other notable dedicated system is SUPPLEMENTARY INFORMATION: one supported by European members of Table of Contents National Highway Traffic Safety the ISO Working Group. This Administration alternative, which is completing I. Statement of the Problem II. Improved Anchorage System development, uses a two-prong 49 CFR Part 571 a. Standardized System nonflexible item of hardware on the b. Competing Concepts [Docket No. 96±095; Notice 3] child restraint to mate with two fixed III. Public Workshop anchorages at the bottom of the back of a. Summary of Presentations RIN 2127±AG50 the vehicle seat without the use of any 1. ISOFIX 4-point Rigid System belt webbing. Under today’s proposal, 2. CANFIX 2-Point Rigid System Federal Motor Vehicle Safety 3. UCRA Soft Anchor System Standards; Child Restraint Systems; either of these systems could meet the 4. European Industry Hybrid System Tether Anchorages for Child Restraint proposed requirement for a dedicated 5. Car Seat Only System Systems; Child Restraint Anchorage lower anchorage system, but b. Clinics System manufacturers installing the fixed c. Cost anchorage system would also have to d. Tether AGENCY: National Highway Traffic ensure that the system is compatible e. Agreement on Differences f. Future Work Safety Administration (NHTSA), with the UCRA system, so that UCRA- Department of Transportation. IV. Subsequent Developments type child restraints can be used in all a. Albuquerque, N.M. ACTION: Notice of proposed rulemaking vehicles equipped with either anchorage b. Additional Information (NPRM); request for comment. system. c. Petition on Scheme D (Hybrid System) V. Evaluation of Concepts SUMMARY: This document proposes to To the extent possible, this proposal a. Top Tether require that motor vehicles and add-on also harmonizes with the actions of b. Lower Anchorage Points child restraints be equipped with a other regulatory agencies around the 1. Improve Compatibility means independent of vehicle safety world. This proposal seeks to harmonize 2. Safety Performance belts for securing the child restraints to with Canadian and Australian 3. Consumer Acceptability vehicle seats. The adoption of the regulations by requiring an upper tether 4. Costs and Burdens proposal would avoid problems of 5. Harmonization anchorage and with prospective 6. Leadtime and Availability incompatibility between child restraints European regulations by allowing a non- 7. Proposed System and vehicle safety belts and increase the UCRA anchorage system. c. Discussion of Alternatives correct installation of child restraints. This proposal pertains to the 1. SAE Recommended Practice J1819 This proposal would reduce allowable 2. Lockability compatibility of child restraints with head excursion, which would have the 3. Car Seat Only System effect of requiring child restraints to be motor vehicle seats, and not that of VI. Proposal for New Vehicle Standard equipped with an upper tether strap, child restraints with aircraft seats. The a. Highlights of Proposal and would require vehicles to have two Federal Aviation Administration and b. Applicability NHTSA are developing possible c. Seating Positions factory-installed, user-ready anchor d. Construction points for attaching the tether. It would requirements and procedures for improving the compatibility of child 1. Lower anchorages also require vehicles to have two rear 2. Upper anchorages vehicle seating positions equipped with restraints in aircraft. If the agencies e. Performance a specialized lower anchorage system, decide that rulemaking is warranted on f. Instructions and require child restraints to be that issue, such rulemaking will be VII. Proposal for Amendments to Child Seat equipped with means of attaching to commenced as a separate action. Standard a. Applicability that system. DATES: Comments on this notice must be The proposal for the lower anchorages b. Required Components received by the agency no later than c. Dynamic Performance is based on two of the systems discussed May 21, 1997. d. Instructions and Labeling at an October 1996 NHTSA public VIII. Proposed Effective Date workshop concerning alternative ADDRESSES: Comments should refer to IX. Rulemaking Analyses and Notices systems for providing dedicated means the docket number and notice number a. Executive Order 12866 (Regulatory for attaching child restraints to vehicle and be submitted in writing to NHTSA’s Planning and Review) and DOT seats. Almost all of the different systems Docket Section at the following address: Regulatory Policies and Procedures evaluated and discussed at the Until March 10, 1997: Room 6130, After b. Regulatory Flexibility Act workshop appeared comparable in March 10, 1997: Room 5109, 400 c. Executive Order 12612 (Federalism) terms of demonstrated safety and public d. Unfunded Mandates Reform Act Seventh Street, S.W., Washington, D.C., e. National Environmental Policy Act acceptance. However, one system 20590. Telephone: (202) 366–5267. f. Executive Order 12778 (Civil Justice appeared to be less expensive and have Docket hours are 9:30 a.m. to 4:00 p.m. Reform) the advantage of using hardware Monday through Friday. X. Comments familiar to consumers. This system is the ‘‘uniform child restraint anchorages FOR FURTHER INFORMATION CONTACT: At I. Statement of the Problem (UCRA) system,’’ referred to as such by NHTSA, for nonlegal issues: Dr. George The effective use of child restraints is a consortium of manufacturing groups Mouchahoir, Office of Vehicle Safety important because of the number of in a June 28, 1996 petition for Standards (telephone 202–366–4919). children killed and injured in vehicle rulemaking to the agency. The For legal issues: Deirdre Fujita, Office of accidents. Annually, about 600 children International Standards Organization the Chief Counsel (202–366–2992). Both less than five years of age are killed and (ISO) Working Group on child restraint can be reached at the National Highway over 70,000 are injured as occupants in systems recognized in a November 1996 Traffic Safety Administration, 400 motor vehicle crashes. Data from the meeting the need for this system to Seventh St., S.W., Washington, D.C., National Center for Health Statistics (for permit improvements in the short term. 20590. 1991) indicates that motor vehicle Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules 7859 occupant fatalities were the third vehicle belts cannot initially provide using the systems. (‘‘Patterns of Misuse leading cause of death for this age group any resistance to the forward, of Child Safety Seats,’’ DOT HS 808 440, (NCHS, 1993). longitudinal motion of a child seat January 1996.) Observed misuse due to While child seats are highly effective reacting to a decelerating crash pulse. a locking clip being incorrectly used or in reducing the likelihood of death or The child restraint moves forward until not used when necessary was 72 serious injury in motor vehicle crashes, it is sufficiently far forward of the belt percent, and misuse due to the vehicle the degree of their effectiveness depends anchorages that the belt finally can safety belt incorrectly used with a child on how they are installed. NHTSA resist the forward, longitudinal motion seat (unbuckled, disconnected, estimates that the potential effectiveness of the child seat. This forward misrouted, or untightened) or used with of child seats, when correctly used, is 71 movement of the child restraint can a child too small to fit the belts was 17 percent. However, it is estimated that result in excessive forward movement of percent. imperfect securing of children in the the child’s head, and a greater child seats and/or of the child seats in likelihood of head impact. II. Improved Anchorage System vehicles reduce that effectiveness from Child restraint effectiveness is also a. Standardized System the potential 71 percent to an actual 59 reduced by incorrect securing of The difficulty with using vehicle percent. That is, as a group, child seats children and child restraints due to the safety belts to attach child restraints (those that were used correctly together complexities of adapting vehicle belts to with those that were misused) have an those purposes and due to failure to arises from the fact that those belts are actual effectiveness of 59 percent. follow instructions. To properly install primarily designed to restrain and Child restraint effectiveness is child restraints, devices such as protect larger and older vehicle reduced by limitations imposed by lockable retractors, locking clips, and occupants. Given the inability to change vehicle belt design, and by belt supplemental belts must be used in vehicle belt design and anchorage anchorage locations. Child seats are many cases. Unfortunately, it appears location because of this purpose, the generally designed to attach to a vehicle that many people installing a child seat agency is seeking a means of securing a by means of the vehicle’s lap belt are either unfamiliar with the use of child restraint that is independent of the system. While child seats provide high these devices (which generally are not safety belt. For a number of years, levels of safety when correctly attached used or needed except in conjunction industry groups and governmental to a standard vehicle seat assembly with with a child restraint), not able to bodies have explored improving the only a lap belt, in most vehicles understand or unwilling to read securement of a child seat on a vehicle different types of seat belt systems exist instructions concerning their proper seat. The child seat and motor vehicle in addition to or in lieu of a lap belt. use, or unable to surmise from their industry is unanimous that the means of Among the different types are belt design how to use them correctly. attaching child restraints to the vehicle systems with a locking latchplate, a People generally are frustrated about the interior should be easier, more efficient non-locking (sliding) latchplate, a difficulty in installing child seats and without incompatibility problems. reversible lockable retractor, an correctly in vehicle seats. Recent user Further, all agree that there should be a emergency-locking retractor, or an trials conducted in the U.S.1 and universal and independent means of automatic seat belt. Some of these belt Canada 2 found that virtually all the attaching child restraints. That is, there systems, such as those equipped with a people surveyed in the studies should be means that are either locking retractor, are able to hold a child expressed high levels of dissatisfaction identical or at least compatible, seat without use of attachment with conventional means of attaching regardless of vehicle make or model, accessories, but a parent must correctly child restraints in vehicles. NHTSA and that are dedicated solely for use in manipulate the system, such as by receives an average of about 50 calls a securing child restraints. The pulling the belt completely out of the day to its Consumer Complaint Hotline importance of universality across retractor and then feeding excess slack from people asking for step-by-step vehicle make or model also compels a back into it after buckling in the child guidance in installing their child seats. universal requirement for the anchorage seat. Some belt systems can be used to When an article appears in the media system, and would mitigate against secure a child seat only when used with about incompatibility problems between having the system be available on an an accessory item that impedes child restraints and vehicle seats, those optional basis. movement of the belt or child seat in a calls typically increase to over 500 a The concept of a universal and crash, such as a locking clip or day. All of these callers express independent anchorage system was supplemental strap. Some belt systems, frustration at the difficulty of installing embraced by the ‘‘Blue Ribbon Panel on such as an automatic seat belt, may not a child seat securely, and all urge Child Restraint and Vehicle be compatible with a child seat at all. NHTSA to make the installation easier. Compatibility,’’ which NHTSA The agency recognizes the difficulty NHTSA understands that child restraint Administrator Ricardo Martinez, M.D., of designing vehicle seat belts to restrain manufacturers also receive a large formed in February 1995 to improve the both child restraint systems and a wide number of similar calls and asks that use and attachment of child safety range of weights and sizes of commenters verify this. seats.3 In its May 30, 1995 report individuals. Some vehicle seats have the A four-state study done for NHTSA in recommending ways to improve the seat belt anchorage positioned far 1996 examined people who use child compatibility between child restraints forward of the vehicle ‘‘seat bight’’ (the restraint systems and found that intersection of the seat cushion and the approximately 80 percent of the persons 3 The Blue Ribbon Panel included child safety seat back). Forward-mounted anchor made at least one significant error in advocates and representatives of the motor vehicle, child safety seat and seat belt industries, including points may better protect an adult using representatives from Ford, Chrysler, General the vehicle seat belt system by drawing 1 ‘‘An Evaluation of the Usability of Two Types Motors, Mercedes Benz, Volkswagen, BMW, Volvo, the vehicle belt low across the pelvis of Universal Child Restraint Seat Attachment Nissan, Toyota, Honda, Century, Gerry, Fisher- where the body can best tolerate the Systems,’’ General Motors Corporation, 1996. Price, Cosco, Evenflo, Kolcraft, Riley Hospital, 2 ‘‘The ICBC Child Restraint User Trials,’’ Rona DANA Foundation, American Academy of forces in a crash. However, when used Kinetics and Associates Ltd. Report R96–04, Pediatrics, University of Michigan, TRW, and with a child seat, the belt anchor is so prepared for the Insurance Corporation of British Takata, and advocates Stephanie Tombrello and far forward of the seat bight that the Columbia, December 1996. Annemarie Shelness. 7860 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules and vehicle seating positions, the panel (UCRA)’’ system consisting of two lower belt for child seats, at or rear of the recommended that there be an entirely anchorages near the bight line and an vehicle seat bight. Cosco calls its system separate anchorage system for child upper tether anchorage. The lower the ‘‘Car Seat Only (CSO)’’ system. restraint installation, given the complex anchorages have small latches that are Cosco envisions that the CSO system variables affecting the proper compatible with easy-to-use buckles (as would require no changes in the design installation of child restraints using well as tether hooks) that would be and manufacture of child restraints. existing vehicle safety belts. installed on the child seat. The top III. Public Workshop While there is universal agreement on tether anchorage would have a buckle or the need to improve the ease with tether hook that is compatible with a The relative merit of each of the which child seats can be properly tether and latch or hook on the child systems was discussed at a public secured to vehicle seats and seat. workshop NHTSA held on October 16 concurrence with the merits of a GM joined with thirteen other vehicle and 17, 1996 in Washington, D.C. separate anchorage system, there is and child restraint manufacturers in Attending were about 100 persons from disagreement on which system is best. petitioning NHTSA to require the UCRA the U.S., Canada, Europe, Japan and It is assumed that a ‘‘universal’’ system on vehicles and componentry Australia, representing governments and anchorage system must standardize the compatible with the anchor system on manufacturers of motor vehicles and means of attachment, so that it and it child seats. The joint petitioners are: the child restraints, as well child safety alone would be required for all affected American Automobile Manufacturers advocates.4 vehicles, and it alone would be the Association (AAMA), which includes NHTSA held this two-day meeting to system with which child seats would be General Motors, Chrysler, and Ford; five discuss the various alternatives of required to be compatible. This is companies of the Association of universal child restraint anchorage needed to ensure universal International Automobile Manufacturers systems that are being considered by the compatibility between child seats and (AIAM) (Honda, Isuzu, Nissan, Subaru, agency, safety advocates, and vehicles. and Toyota); the Juvenile Products automotive and child safety Manufacturer’s Association (JPMA), organizations, such as the Society of b. Competing Concepts which includes child restraint Automotive Engineers (SAE) and the In 1990, the ISO began work on a manufacturers Century, Evenflo, Fisher- ISO. The five options described above universal child seat anchorage system Price, Gerry and Kolcraft; and Indiana were presented and discussed as to (‘‘ISOFIX’’). The ISOFIX concept Mills and Manufacturing, a supplier of design characteristics, safety originated as a 4-point rigid system, belt systems and hardware. performance, public acceptance and where four sturdy braces are mounted As another alternative to the ISOFIX economic considerations. The meeting on the bottom of a child restraint. Each 4-point rigid system, several European focused on bringing to discussion the brace has a latch at its end. Two of the ISO manufacturer members are characteristics of the various latches connect, through holes at the currently developing a hybrid system. alternatives and not necessarily on vehicle seat bight, to a metal bar in the The system consists of two lower reaching a consensus on a system. seat frame. The other two latches, at the anchorage points located in the seat Participants had the opportunity to bottom braces, connect to a bar below bight and an upper tether anchorage experiment with the UCRA and hybrid the vehicle seat cushion. The ISOFIX point located behind the vehicle seat systems in actual vehicles that were system is supported by Volvo, as well as back. A child restraint system could be provided by their respective others. attached to the two lower anchorage manufacturers. Other concepts for universal points by means of either a buckle (such anchorage systems have developed as as the UCRA buckle) or the ISOFIX a. Summary of Presentations alternatives to the 4-point ISO system, connector. The object of this option is The following discussion summarizes many in response to perceived problems to achieve worldwide compatibility the remarks of each presenter. with the ISOFIX system, such as ISOFIX between the UCRA and ISOFIX types of 1. ISOFIX 4-point Rigid Systems being too rigid, too susceptible to false connectors. latching, too bulky, unreasonably The four systems described above are Thomas Turbell (Sweden), presenting expensive, and too heavy. the four options, known as ‘‘Schemes’’ on Scheme A (ISOFIX), reviewed the Transport Canada developed the A through D, that the ISO has been ISO work of the last six years on the 4- CANFIX system, which consists of two considering for the past year. The four- point system. He said that the first ideas rigid rear anchorages at the seat bight point rigid anchor system (ISOFIX) is on an anchorage system envisioned a (rather than the four points of ISOFIX), known as Scheme A; the two-point rigid fixation point in the vehicle where plus an upper tether. This system anchor and rigid attachment, plus forward-facing child seats and rear- envisions all vehicles to be equipped tether, is Scheme B; the two-point facing seats could be installed. The with upper tether anchorage locations. flexible anchor and flexible attachment, ISOFIX type 1 system (two rigid points), CANFIX is supported by Australia, plus tether, is Scheme C; and the two- the ISOFIX Type 2 system which refers to the system as CAUSFIX. point rigid or semi-rigid anchor and (‘‘DELTAFIX,’’ two rigid points and one At this time, neither Canada nor flexible attachment is Scheme D. point in the front) were compared in an Australia requires the CANFIX or Another approach for a universal early user trial with the conventional CAUSFIX but both are interested in anchorage system was advanced by Swedish child restraint system pursuing such a requirement in the Cosco, a child restraint manufacturer. (installation by the seatbelt and by two near-term. It is noted, however, that Cosco suggested in a July 1, 1996 lower tethers attached to the seat frame). Transport Canada has stated that in lieu petition for rulemaking to NHTSA that Eighty percent of the users installed the of rigid lower anchorage points, it could vehicle manufacturers alone should be support soft anchorages such as those of responsible for improving compatibility 4 A transcript of the meeting has been placed in the ‘‘UCRA’’ system described below, in between child seats and vehicle seats NHTSA Docket No. 96–095, Notice 01, and is available from Neal R. Gross, Court Reporters and addition to an upper tether. and the ease of installation of child Transcribers, 1323 Rhode Island Avenue, N.W., General Motors (GM) helped develop seats. Cosco believed that vehicles Washington, D.C., 20005 (telephone 202–234– a ‘‘uniform child restraint anchorage should provide a dedicated Type I lap 4433). Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules 7861

ISOFIX type 1 system correctly the first from the four-point ISOFIX system (lacking receptors for the rigid points), time, 60 percent the DELTAFIX, and because of Canada’s high regard for the prongs would go in between the seat only 30 percent the conventional tethers on child seats and tether cushion and seat back, so that the seat system. Eighty-nine percent of the anchorages in vehicles. Canada requires belt could still be used to attach the subjects indicated that they wanted the anchorages in passenger cars, and will child seat. new ISOFIX type 1 system. Ninety soon introduce a regulation extending Canada is in the process of testing the percent were willing to pay a 50 percent the requirement to trucks, multipurpose CANFIX and several conventional increase over a normal price of a child passenger vehicles, and sport utility restraints to make sure that the tether seat at that time. vehicles. will provide additional protection, not Work on the system continued in Ms. Legault stated that CANFIX has just when it is properly used but also subsequent meetings of the ISO group in one flexible top tether anchored to the when it is used with varying amounts of Stockholm in 1993, and Munich, where body of the vehicle, and two lower rigid slack. Canada will be testing high- a list of features considered essential for points based on the ISOFIX system. mounted tethers and low-mounted the system was developed. For example, CANFIX has the possibility to include tethers. Early test results show that a ‘‘misuse should be almost impossible, improved tether installation with better tether improves performance in head the cushion of the car seat should have adjustability, e.g., in a reel or ratchet and chest acceleration and head no influence on the system, and * ** mechanism. It also has the possibility of excursion, even if the tether is loose. A the performance should be better than a tether interlock, which would prevent tether also reduces neck forces and the present systems.’’ A ‘‘UNIFIX’’ the entire system from being installed if moments. proposed by the UK was later changed one of the points is not attached, and Canada conducted surveys to to the UNIFIX–2 four-point, and in 1993 the possibility of an air bag switch-off. determine the use rate of tethers. In a in San Antonio, the ISO group decided She said that before CANFIX was 1992 survey of owners of vehicles that that this was the system to develop. In presented to the ISO group in 1995, provided no tether anchorage, about 25 1993, the group had its first draft ISO Canada conducted sled testing and percent installed the anchorage and standard on the system, and in 1994 it found that performance of the system used it. Of vehicles that had standard had a sixth draft completed. was slightly improved over a anchorages, tether use doubled. In In London in 1995, the ISO group conventional type of child restraint addition, new data from the Province of split the draft standard into three parts system. In that work, Canada also was Quebec show that its tether use because there were problems with able to design and build a device to test increased from 47 percent to 65 percent certain aspects of it. The Blue Ribbon anchorages in a vehicle by pulling on after vehicles became equipped with a Panel indicated a positive regard for the them. tether anchor, even when motorists had ISOFIX system, and the group received Canada’s position on a universal child to take the extra step of installing the a resolution from the European restraint anchorage system is that while tether anchorage hardware. Parliament pushing them to introduce it has sponsored the two-point rigid 3. UCRA Soft Anchor System the ISOFIX as soon as possible. system, Canada is also open to the idea In San Diego in 1995, General Motors of soft anchors at the bottom David Campbell (Century Products), presented its ideas on the UCRA and the ‘‘depending on usability and cost. Kazuhiko Miyadara (Toyota), and Jack Blue Ribbon Panel modified its earlier ** *’’ However, Canada definitely Havelin (GM), presented Scheme C support for ISOFIX. In subsequent supports a tether. Ms. Legault indicated (UCRA) and the petition for rulemaking meetings in Cologne and London in that Canada will retain its head on the UCRA. Mr. Campbell stated that 1996, GM presented its findings on its excursion and chest acceleration the key objectives of its work on a user clinic, and the Hybrid system was criteria, which have the effect of uniform child restraint anchorage presented. Since then, a consumer clinic requiring a tether, because of the system are ‘‘to find a single world-wide has been conducted on the different ISO perceived safety benefits of a tether. system, to address the issue of schemes and a working group meeting Canada will be improving its tether compatibility and misuse, while has been held in Albuquerque. regulation to require factory installation improving dynamic performance of After reviewing the history of the of the actual hardware for the current restraints.’’ He stated that the development of the ISOFIX, Mr. Turbell anchorage. Currently, Canada requires system should be independent of the noted concerns to consider. He believed only a hole or a threaded hole, and the adult seat belt system so that that the anchorage system should be consumer has to obtain and install the manufacturers can have the flexibility to unrestricted by design patents. bolt and latchplate. optimize the performance of the ‘‘[Patents] will probably stop [an Canada believes harmonization is an anchorage system for child restraints internationally] standardized system.’’ important consideration in developing a and allow the adult seat belt system to He noted a concern about small cars universal child restraint anchorage be optimized for the other occupants in being able to fit anchorage systems in a system. Cost is important, and well as the vehicle. Mr. Campbell stated that small rear seat, stating ‘‘[W]e can’t let useability. Ms. Legault said that a child restraint manufacturers believe the available space in the smallest rear positive engagement feature (e.g., a click that the UCRA system is the best system seat decide the size of the child or other indication on an engaged because the buckle and latch plate restraints.’’ He also stated his belief that attachment) would be important for system is intuitive: rigid systems might have an advantage usability. She is concerned about a They are the type of systems that are over other systems with regard to the ‘‘transition period,’’ where new and old currently available in vehicles * * *. ease with which an air bag switch-off vehicles and child seats could be Secondly, it will minimize misuse. You device can be incorporated. intermixed. New child restraints won’t have the routing issues that we have equipped with components for an through current child restraints today with 2. CANFIX 2-Point Rigid System anchorage system must be capable of the vehicle lap belts because they are France Legault (Transport Canada), use with older vehicles lacking a attached and you know how to use it. presenting Scheme B (CANFIX) (the system. Ms. Legault said that testing The UCRA also is designed so that system is also known as CAUSFIX in with a CANFIX prototype showed that, current child restraints can be easily Australia), explained that Canada varied in about 85 percent of its vehicles adapted to use it. This could be done by 7862 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules means of a special belt provided by potential ‘‘loose fit’’ of a child restraint focused on which ones are valid and restraint manufacturers. The belt would on a vehicle anchorage system. which ones are not.’’ have buckles on both ends to use with A study of vehicle and child seat cost Mr. Havelin said that GM believes the UCRA latchplates, and would route impacts indicated that a two-point soft consumers prefer the UCRA system through the current belt path used system should be much more acceptable because the dual straps on the child today. to the customer. seats use familiar anchorage hardware, Mr. Campbell said that the Mr. Miyadara discussed current work and provide an intuitive, secure manufacturing costs of the UCRA are on addressing the ‘‘loose fit’’ issue. installation. Also, the tether is obvious lower than those for some of the other Toyota has been jointly developing a and provides a secure anchorage. All systems. There also is less added device that could be used with a soft three of the strap anchors give a positive weight. He agreed with most of system to avoid the problem of indication when correctly attached. He NHTSA’s estimates about the weight consumers installing a child seat so that said that other reasons the UCRA is increases of the various systems, but its fit is too loose. Toyota is evaluating preferred is that the child seat would be believed the UCRA would add only a strap type device with belt adjuster, light and compact, and without any about 1 to 1.6 pounds (lb), rather than strap type with A-lock, lever-type and threatening surfaces (e.g., rigid prongs) NHTSA’s estimate of 4.5 lb. He stated ratchet type. Toyota believes that it can associated with it. GM believes that the that it would take less leadtime to begin work out the loose fit issue for a soft UCRA is within the acceptable cost implementing a UCRA requirement as system in the near future. range for consumers. opposed to the alternative systems, Toyota’s future work includes a The presenter also highlighted other perceived benefits of the UCRA, such as because the UCRA uses ‘‘existing customer preference clinic on the that it need not be tethered to meet technology—known systems, known Schemes A through C systems, and Standard 213’s performance belts, known buckles, known latch dynamic testing. requirements, can be retrofitted into plates.’’ Expanding on the cost issue, the Mr. Miyadara concluded by stating existing vehicles, incorporates what GM presenter stated that current child that Toyota’s goals in joining in the considers to be ‘‘fully developed and restraints cost and sell at retail between AAMA et al. petition is to achieve field-proven hardware, and can be $35.00 and $90.00 in the U.S.: international harmonization and implemented faster than the other Our market price is very sensitive, and one provide increased safety to children by attachment systems.’’ of the objectives we have is to increase the eliminating or decreasing misuse and usage rate and not have a negative effect on improving crash performance, at a cost 4. European Industry Hybrid System the current usage rate. Soft anchors are acceptable to the consumer. Further, to Klaus Werkmeister (Germany), predicted to add something in the order of address the problems of incompatibility presenting Scheme D, provided some magnitude of $20.00 to the cost of a child as soon as possible, the system should historical background on the restraint. The Canadian CANFIX, the be implemented quickly. Mr. Miyadara development of a universal child estimates were about $55.00 at retail, and for said Toyota does not believe there is any the ISOFIX it was $95.00. * * * Car seat restraint anchorage system. He believed loaner programs could be affected by this. reason to select the two-point rigid that interest in a worldwide universal system over the two-point soft system. system started in the late 1980’s to Mr. Campbell also stated that the He also suggested that NHTSA consider address a high rate of severe accidents UCRA systems meets Standard 213’s conducting a customer preference clinic where children were killed or injured. performance criteria without attaching of its own. Experts determined that the real the tether. Tethered, it meets Canada’s Mr. Havelin addressed what he problem with those accidents was not requirements. He stated that use of the believed to be confusion about GM’s the severity of the crash, but the tether does significantly reduce head position on a universal anchorage considerable misuse rate of child seats and knee excursions, but there is some system. He said that GM supports an due to the wrong adaptation of seat trade off in chest accelerations and HIC internationally harmonized belts. values, and the use of the tether in a requirement. Mr. Havelin stated that GM In preparing for an April 1996 higher position can help reduce that believes that an anchorage system meeting in Cologne of the ISO Working HIC. should, foremost, increase child Group of Child Restraint Systems, Mr. Miyadara discussed past and restraint use rates (citing the statistic German vehicle manufacturers met to current work evaluating usability, safety that three out of four of the fatally identify criteria they believed were and cost issues for a two-point rigid injured children in the U.S. under the important for an anchorage system. system, a two-point soft system and age of five are not using a child They developed a list of 12 properties. current child restraint systems. restraint), and secondly, reduce the First, there should be no top tether, due A past study evaluated usability in a potential for misuse and improve crash to concerns about its non-use. Second, customer preference clinic of current, protection. GM suggested that NHTSA the system must have two lower past and future users. No significant ‘‘establish the template’’ for symmetrical anchorage points, because difference was found between the two- international harmonization by issuing unacceptable performance may result point hard and the two-point soft an NPRM based on three principles. from an unsymmetrical configuration. system. Safety was assessed in dynamic ‘‘First, what does our common customer Third, due to the configuration and testing. Some differences in HIC and want, that is, the child seat dimensions of interior vehicle chest G values were found, but the manufacturer’s customer as well as the compartments, especially of smaller actual effect that those differences could vehicle manufacturer’s customer. We cars, there must be a 250 mm to 280 mm have on a child occupant were think the results of customer clinics lateral spacing between the latch points. unknown. The presenter expected, need to be tempered to some degree by Fourth, the latch points must have a though, that safety could be somewhat sound benefit/cost analysis * * * And degree of stability to ensure that improved with regard to chest Gs. The finally, that template should be based excursion limits are not exceeded. Fifth, presenter said that one of Toyota’s on valid science. * * * [S]ome the child restraint must be able to attach biggest concerns with both a two-point [consumer clinics and cost analyses] are through a one-hand operation, to ensure rigid and a two-point soft system is with better than others and we need to be that the restraint can be easily installed. Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules 7863

Sixth, there must be a means to prevent systems. First, Cosco looked at dramatically. She indicated that the attaching the child restraint on one side performance and determined that a average price of a convertible restraint is only. Seventh, the user must be able to system must not reduce the safety $63, but about one quarter of the car tension the child restraint with one performance of existing child restraints. seats purchased cost $50 or less; less hand. Eighth, there must be no Second, Cosco looked at than 5 percent cost $100 or more. She reduction of seat comfort for adult ‘‘implementation,’’ or the transition believes that perhaps 10 percent of passengers. Ninth, the locking device phase between the existing and new persons purchasing car seats would be that attaches the child seat to the systems, the primary problem being the unable to purchase a seat if prices vehicle system must be attached to the mix of new car seats with old cars, and increase dramatically. She emphasized a child restraint, not the vehicle, to limit old car seats with new cars. Third, concern about the impacts of cost overall cost impacts. Tenth, to avoid Cosco looked at how the systems could increases on loaner programs. design restrictions, the locking device affect the cost of child restraints, and in Ms. Dingledy estimated that a 10 need not be required to be a pushpad turn, overall use rates. Mr. Reynolds percent decrease in child seat use rates buckle. Eleventh, to ensure that a child stated that after evaluating the systems would result in approximately 40 restraint does not have excessive under these criteria, Cosco decided to additional child fatalities annually. She webbing or ratcheting devices, the develop its CSO system. Cosco believed also said that about three million car length of the adjustment system used to that because the system is a simple lap seats are sold each year to retail stores tension the system should not exceed belt, it would have the least negative and loan programs. The presenter 200 mm. Lastly, the dimensions of the impact in terms of implementation and cautioned that a 10 percent reduction in latch points on the vehicle should be as transition. Further, the CSO system the number of seats sold means 300,000 specified in Scheme A. would have the lowest cost to the car children per year riding without a new The presenter said that dynamic seat user, since the cost to the restraint car seat, which translates into 1.2 testing of the four-point rigid and the manufacturer is virtually none. million additional children riding soft anchor system showed a reduction Ms. Dingledy elaborated on Cosco’s unrestrained. in safety performance when the systems concerns with implementation time and Ms. Dingledy stated that questions are not properly tightened. Also, a non- cost. She said that adopting a system arising about the CSO system symmetrical configuration resulted in other than the CSO will require concerning the possibility that adults very high head acceleration. considerable research on the part of may mistakenly use the CSO belts are Mr. Werkmeister said that the Scheme child seat manufacturers to determine if unwarranted. She said that an adult D system incorporates ideas from both seats comply. She said that, given the would prefer a lap/shoulder belt to a lap rigid and soft anchor systems. The variety of car seats that must be tested only belt due to the superior system calls for defining a field around (e.g., infant-only, convertible, forward- performance and comfort of a Type II the ISOFIX fixture, which might include and rear-facing) and the different types belt. She also said that the CSO belt an area behind the seat bight (where of vehicle seats, just researching a new could be installed at a location that hard anchors could be located), or an system prior to rulemaking will take at makes it inaccessible for use with an area in front of the seat bight (where least many months, if not a year or so. adult, and could be prominently labeled semi-rigid anchors could be). A She also indicated that research is or color contrasted to distinguish it from connector would be used to attach the needed to determine whether a rigid an adult belt system. child seat to the anchorage on the system might place excessive forces on At the conclusion of her remarks, Ms. vehicle. At the option of the child a child’s neck, particularly a young Dingledy introduced Frank Rumpleton restraint manufacturer, the connector child who has less developed neck (appearing on behalf of the Juvenile could be attached to a piece of webbing muscles. She was also concerned that Products Manufacturers Association) (such as in the UCRA system), or could the actual implementation of competing (‘‘JPMA’’), who presented the views of be built into the child seat (as in the systems would require long leadtimes to the North American car seat ISOFIX rigid systems). The presenter implement (possibly two to five years manufacturers. He said that the number estimates that the cost of the connector development time, plus 10 years one priority of these manufacturers is to system would be about $12 for the production time), as well as a great deal increase the usage and more importantly vehicle and $9 to $15 for the child seat. of public education. The presenter the proper use of child restraint The presenter expressed concerns stated that this is in contrast to the CSO, systems. In addition, they wish to about use rates for a top tether, believing which can be implemented much more ensure that the changes made to child that use rates will be far less than quickly and which requires little seats are simple, intuitive and easy for Canada’s 65 percent. He also discussed education. Ms. Dingledy said that the caregivers to use. They also support concerns about the width between international harmonization of an worldwide harmonization. Underlying anchorage points and a symmetrical anchorage system does not appear to be all these priorities, however, is the configuration of the child restraint. He realistic in the near term. belief that initiatives must be cost emphasized the need for design The presenter discussed cost concerns effective, because of a direct correlation flexibility in an anchorage system. He at length. She said that a system that between cost and use rates. He said that believed manufacturers should be significantly increases the price of car every dollar of cost at least doubles at provided maximum design flexibility to seats will decrease the number of new the retail shelf. He suggested that the meet performance requirements and seats purchased at retail, possibly cost of an anchorage system could be market demands, and believed that resulting in (1) more used child seats better absorbed on the vehicle side than Scheme D best provides this. being purchased or (2) more children on the child restraint side. being incorrectly restrained in seats they The presenter said that JPMA 5. Car Seat Only System have outgrown or by adult belts when categorically rejects the four-point John Reynolds and Carol Dingledy they are too small for the belts. She ISOFIX system and the two-point (Cosco), presented the ‘‘Car Seat Only believes consumers in the U.S. will CANFIX or CAUSFIX rigid system, (CSO)’’ system. Mr. Reynolds stated that resist purchasing car seats that retail because of cost. He said that JPMA Cosco looked at three critical issues between $100 and $200, and that even supports soft anchor systems, which when evaluating universal anchorage a $20 increase would slash sales includes the UCRA, CSO and Scheme D. 7864 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules

JPMA hoped that all parties attending d. Tether U.S. sell for less than $60. Consumers in the workshop would focus on the soft Other discussions addressed specific this country are unwilling to pay the systems as a starting point and focus on issues pertinent to the development of $300 it costs on average for a child seat the similarities and the positive aspects universal child restraint anchorage in Sweden. • The European manufacturers of each of these proposals, to develop a systems. One major issue that was generally still prefer a rigid system, solution that maximizes the potential discussed pertained to the upper tether. while U.S. manufacturers oppose it. use of child restraints and minimizes A representative from the Insurance Canada has indicated a willingness to the cost to the ultimate consumer. Institute for Highway Safety presented move from a rigid two-point plus tether an overview of the experiences and b. Clinics (Scheme B) to a soft two-point plus possible reasons for non-use of the Separate presentations were made on tether system. upper tether in the US during the 1980s. • Scheme D (the Hybrid system) has the public acceptance and support of On the other hand, a participant from the development of a universal potential in accommodating both rigid Australia reported that the use of the and soft systems. It would provide the anchorage system. The Insurance upper tether in Australia is about 98%. Corporation of British Columbia (ICBC) greatest design flexibility, in that it Transport Canada also reported would specify minimum elements of the along with Rona Kinetics reported on substantial increases in use of the tether the findings of its clinic on usability of vehicle anchor (e.g., a 6 mm bar) and a in Canada. These experiences seem to location that could connect to a child various alternatives. The study surveyed indicate that the high usage of upper 76 subjects in Vancouver, Canada seat either in front of or behind the tether stems from the fact that the tether vehicle seat bight. It would provide representing a cross section of age, sex, anchor points are provided on the and experienced/unexperienced groups. vehicle manufacturers the option of vehicle and are visible to and easily supporting the anchor rigidly or semi- General Motors presented the findings accessible for use by consumers. There of a February 1996, clinic that was rigidly. Child restraint manufacturers appeared to be an agreement among could choose any means to attach to the conducted in Troy, Michigan with a participants that a child restraint with sample of about 400 subjects. Toyota anchor. A child seat could have a an upper tether provides better telescopic or a rigid device, or a soft also presented a customer preference protection to the child during a crash. study on various types of soft and rigid attachment (piece of webbing), so long as the child seat can attach to the anchor systems that was conducted in e. Agreement on Differences anchor. Japan on rigid and soft systems. Finally, In the interactive exchange among • Each system has strengths but also a study was recently initiated in the UK attendees during the course of the possible weaknesses. Questions were and a progress report on its findings of workshop, several important points raised about the cost, weight and an initial small number of subjects relating to development of a universal development time needed for a rigid surveyed was presented. child seat anchorage system emerged. system, the slack that could be Generally, the findings of these clinics The following key views were introduced into the belts of a soft system were in agreement on two major issues: expressed: and the suitability of a soft system with • 1) all subjects surveyed seem to prefer User clinics indicate that fold-over seats, the need for anchors to a universal anchorage system over the consumers are overwhelmingly be visible to consumers in a Hybrid current child restraints and 2) no unhappy with the manner with which system, the possibility of slack and significant difference in consumer current child seats are attached to misrouted belts with the CSO system, acceptance was detectable when vehicle seats and wish to see and the actual use of a top tether in comparing between a rigid and soft improvement. tethered systems. anchorage system. • The various systems evaluated in • The various systems under consumer trials (ISOFIX, schemes A c. Cost consideration are unencumbered by through C) do not differ much in terms patents of any kind. Britax (a European The participants agreed that the cost of safety performance (assuming proper child restraint manufacturer), when of the rigid options is much higher than installation) and public acceptance. asked about a certain patent application, the soft anchorage system, with added • Schemes B, C and D (CANFIX, expressly declared that it holds no costs to the child restraint system of UCRA and the Hybrid) are virtually patents or applications for patent or about $100 for the 4-point ISOFIX, $60 variations of the same system, except for other claims that would hinder third for the CANFIX and $20 for the UCRA the hardware used to connect the child parties from making ISOFIX equipped soft anchorage system. Cosco, whose seat to the vehicle. CANFIX has vehicles or child restraints using rigid or alternative does not incur additional specified a rigid anchor and rigid semi-rigid anchorages. costs to current child restraints, raised connectors on the child seat. UCRA important concerns regarding the specifies a buckle and latchplate system; f. Future Work potential negative effects of high the buckle would be on a piece of Manufacturers of motor vehicles and increases to the retail price of current webbing attached to the child restraint child restraints extensively explored the child restraints. Concerns over families and the latchplate would be on a semi- differences between the UCRA and not being able to afford the increase and rigid stalk at the vehicle seat bight. The European hybrid systems with an over loaner programs with fixed budgets Hybrid system would specify a 6 mm agreement to further develop this option for purchasing and providing free child bar (e.g., a D ring) that could connect to to harmonize between the European seats to low income families were a child seat either in front of or behind vehicle manufacturers and Britax and discussed. The issue of cost increases the vehicle seat bight. The UCRA system the US and Japanese child restraint/ was in conflict with European countries differs from the Hybrid system only vehicle manufacturers. These expectations, according to the with regard to the connector piece that participants expressed that future efforts attendants from Sweden who indicated fastens the child restraint to the vehicle. would be made to elaborate on progress that these added costs do not have such • Purchasers of child restraints in the of this development at a November 7 implications as expected in the U.S. U.S. are very sensitive to price. Sixty- and 8, 1996, ISO Working Group on market. four percent of the car seats sold in the child safety meeting in Albuquerque, Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules 7865

New Mexico and future meetings of the of the ISO Working Group meeting in V. Evaluation of Concepts Group. Albuquerque. (A December 13, 1996 During the course of the agency’s IV. Subsequent Developments memorandum describing this meeting deliberations on a universal child and attaching the handouts is entry restraint anchorage system and as a a. Albuquerque, New Mexico number 16 in Docket 96–95, Notice 1.) result of the discussions at the October During the November 7 and 8, 1996 The petitioners emphasized that the 1996 workshop and other information, meeting of the ISO Working Group on North American child restraint the agency has tentatively determined Child Restraint Systems (ISO/TC 22/SC manufacturers strongly favor the UCRA that child seats can be better secured to 12/WG 1), the Group voted on a system with an upper tether and have a vehicle (thereby reducing proposition containing two resolutions doubts that a determination can be incompatibility problems and increasing on the specifications for the anchorage made at this time that the rigid system safety) by providing three anchorage of a universal child restraint anchorage would be a long term solution. They points between the restraint and a system. The first resolution recognized also presented the findings of an vehicle seat. One point is at the top the need to allow two anchorage evaluation that Indiana Mills performed center of the restraint (attachment of a systems: one based on two-prong in response to a NHTSA call for child restraint to a vehicle would be nonflexible hardware (a system that is harmonization during the public accomplished at that point through a under development), and another based workshop. (The agency had requested top tether), and the other two are at the on flexible UCRA-type hardware (a that hardware manufacturers explore vehicle seat bight. system that is available today). A second the feasibility of an anchorage system a. Top Tether resolution opposed an upper tether that would accommodate buckles, snap anchor in motor vehicles. hooks and ISO-type connectors with a ISO Schemes B and C (CANFIX/ Following the Albuquerque meeting, flat latch or round link, for CAUSFIX and UCRA) include the Secretariat of the ISO Working consideration at the Albuquerque ISO provisions for a top tether. Cosco Group opposed the proposition—which meeting.) Indiana Mills described the indicated it would support a tether requirement, although the manufacturer was intended to advise different advantages and disadvantages of the is concerned whether tethers will be governments on how to treat the use of various types of hardware and its ISOFIX with and without a top tether— used in this country. The European reasons for supporting the existing on the basis that it goes beyond the systems do not call for tethers. technology of a flat latch plate/buckle mandate of the Working Group. A re- As a result of the agency’s system. Lear Corporation presented cost voting of an amended resolution was deliberations on this rulemaking,5 the conducted by correspondence with the data for rigid and soft attachments to agency reevaluated its view of a top delegations of country members, and various types of vehicle seating systems. tether on child restraints. NHTSA was due back to the Secretariat on It stated that the vehicle added cost data currently does not require a tether or a December 6, 1996. The voting on this should be considered as a complement tether anchorage on vehicles. The resolution was to select between: i) to the NHTSA study cost figures. agency does not prohibit a tether, but specifying a top tether anchorage in Specifically, it included cost figures on generally requires child restraints to vehicles; ii) not specifying the tether; or, items, such as covers and trim of rigid meet Standard 213’s 30 mph dynamic iii) either of these options. It was also anchors, that were not included in the testing requirements without attaching a agreed that two reports—one for the costing of the NHTSA study. The data tether to reflect the historically low use rigid and one for the rigid/semi rigid showed that the costs of the soft rate of tethers in this country. options—will be prepared by members anchorage system per seat on the NHTSA tentatively concludes that a of the Working Group to describe and vehicle range from about $4 to $10, as top tether should be provided to better specify these systems. compared to about $13 to $30 for the secure a child restraint. By restraining The result of the re-voting was a rigid anchorage points system. the top portion of a child seat, a tether resolution to produce two draft would supplement the vehicle belt standards for universal child restraint c. Petition on Scheme D (Hybrid System) system in limiting forward movement of attachment interfaces. One draft On December 18, 1996, BMW, the child restraint in a crash. With less standard would cover an attachment Chrysler, Ford, Land Rover, Mercedes- forward movement, head excursion can system comprising the UCRA-type Benz, Volkswagen, and the University of be reduced. attachments on the lower points. The Michigan Child Passenger Protection This document proposes a other standard would cover the rigid Research Program, petitioned NHTSA to performance requirement that would anchorage system. The standards would consider an approach based on Scheme have the practical effect of requiring a not include specifications for an upper tether on child seats. A new head D and modify the suggestions made in tether anchorage. (The results of the re- excursion requirement for forward- the UCRA petition. These petitioners voting and copies of the rough drafts of facing seats would be added to limit supported a system incorporating two the two reports were placed on excursion to 720 mm (28.35 inches) ‘‘latch plates’’ formed of 6 mm diameter December 13, 1996 in Docket No. 96– forward of the Z-point on the test seat 095, Notice 01 for the readers’ review.) elements for the vehicle, ‘‘coupled with assembly when a child seat is attached the alternatives for the [child restraint b. Additional Information system], namely, tether hooks or buckles 5 On November 15, 1996, the American Academy On November 21, 1996, some of the on belts with tilt-lock adjusters for of Pediatrics (AAP) petitioned NHTSA to amend UCRA petitioners provided the agency tension release, or the rigid ISOFIX Standard 213 to require child restraint with additional information supporting connectors on a sliding element.’’ The manufacturers to supply tether straps on all child petitioners believe that this system will seats and require vehicle manufacturers to provide their petition. NHTSA representatives tether anchors at all rear seating positions. AAP also met with representatives from General offer vehicle and child restraint requested that child restraint manufacturers be Motors, Century Products, Indiana Mills manufacturers the greatest design required to make tether straps for existing car seats and the Lear Corporation, at the request flexibility, and will further international available to consumers by mail order and at retail of the latter, to discuss the resolutions harmonization at an early date. outlets. NHTSA granted this petition on January 14, 1997. 7866 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules to the standard seat assembly in chest clip measurements were reduced also encouraged by information from the accordance with the manufacturer’s to 503 and 42.2 g’s, respectively. Canadian Province of Quebec indicating instructions. To meet this requirement, In her comments at the October public a 65 percent tether use rate in vehicles manufacturers will likely have to workshop, Ms. Legault of Transport required to have just a tether anchorage, provide a top tether, which would be Canada reported that on-going testing of and not the tether hardware. ‘‘This in attached in the test for this new tethered, untethered and loosely- spite of the fact, that vehicle owners requirement. NHTSA believes that the tethered restraints indicate improved must install the tether anchorage head excursion limit of 720 mm is head acceleration, head excursion and hardware themselves or return to their practicable with a tether because it is chest acceleration with a tether strap, dealer to have it installed.’’ the same as the Canadian requirement even when the strap is loose. In an effort to increase tether use in and because most, if not all, child Additionally, upper neck forces and Canada, Transport Canada is proposing restraint manufacturers currently moments were also improved with a to require vehicles to have a factory- produce child restraints for sale in tether. (Transcript of October 17, 1996, installed, user-ready tether anchorage, Canada and thus already meet the pp. 32–34.) (However, Indiana Mills with hardware included. Transport requirement for those products. The 720 tests showed increased HIC and chest Canada believes that tether use will mm requirement would promote g’s for a child seat with a dual strap increase if an anchorage equipped with harmonization with Canadian anchorage with a tether, compared to all needed parts for consumer use is requirements. Further, the European one without a tether. Comments are provided at the factory. NHTSA child restraint manufacturers believe requested explaining these increases.) tentatively believes that this information that a 720 mm limit could be achieved However, nonuse of the tether has from petitioners AAMA et al. and from with the rigid anchorage system with been a problem in the U.S. In an effort Transport Canada provides a basis for two lower anchorages and no upper to boost use rates, NHTSA once concluding that tethers would be used tether. proposed requiring all vehicles under if child seats are equipped with a tether Test data strongly support the safety 10,000 lb GVWR to have tether and vehicles are equipped with a anchorages at all rearmost seating value of a tether. AAMA et al. submitted factory-installed, easy- and ready-to-use positions, to make it possible for test results in support of a requirement tether anchorage. Accordingly, in view motorists to easily attach the tether for a tether anchorage, stating: of the potential added safety value of a straps on their child restraints to the tether, the agency proposes requiring Test results clearly demonstrate that a vehicle. 45 FR 81625; December 11, installation of a ready-to-use tether fastened tether can significantly reduce 1980. At the time of the proposal, tether anchorage at the two seating positions dummy head excursion measurements which use was about 50 percent. NHTSA most developers and evaluators use as the that would be required to have the terminated rulemaking on this proposal primary predicator [sic] of a CRS’s lower anchorages dedicated for after determining that (a) since the performance in field accidents * * * . attaching a child restraint system. (See An Australian report cites forward-facing proposal, there was a continual shift toward untethered seats, so that most infra, section VI.c.) For purposes of CRS test results, indicating that ‘‘as well as harmonization, the proposed reducing head excursion, a top tether, with seats did not need a tether to meet the right high mounted geometry, Standard 213’s requirements; (b) motor requirements for the tether anchorages significantly reduces head acceleration and vehicle manufacturers had increasingly are essentially identical to those neck loads in frontal impacts’’ [footnote been voluntarily providing provisions, proposed by Transport Canada. excluded] * * * . Recent computer such as indentations to identify However, because NHTSA does not simulations and tests of the recommended anchorage points and pre-drilled or know the extent to which tethers will be UCRA concept suggest that * * * a fastened used in this country, the agency believes tether significantly reduces dummy head threaded holes, in their vehicles to facilitate the attachment of tether straps; the standard should also retain the excursion during high severity frontal present head excursion requirement, impacts. and (c) the most effective way to promote child safety would be to amend which limits excursion to 813 mm (32 Computer simulations conducted by Standard 213 to require all child inches) without use of a tether strap. petitioners AAMA et al. showed a restraints to meet Standard 213’s Retaining the requirement would ensure reduction in force levels experienced by requirements without attachment of the a minimum level of safety performance a restrained dummy’s head, neck and tether. July 5, 1985; 50 FR 27632. when the tether strap is not used. chest when a tether was used as Petitioners AAMA et al. believe that Further, NHTSA proposes that child compared to no tether, and a reduction a tether will be used. GM’s consumer restraints dynamically tested on a child in head and knee excursions. Actual focus group testing indicates a positive restraint anchorage system with UCRA testing of child restraint systems with response toward a tether, particularly if anchorages should be subject to the 813 and without a tether showed that with the tether anchorage is equipped with mm (32 inches) head excursion the tether attached, there generally were all the components needed for use with requirement without attaching the reductions in head injury criterion (HIC) the child restraint. The petitioners state, tether. This accords with the AAMA et values and chest g’s, and in head and ‘‘Australian field experience shows very al. petition, which suggests not knee excursions. high tether use rates are obtainable attaching the tether. Comments are These findings are consistent with when factory installed tether anchorages requested on this issue. Comments are NHTSA’s limited testing of tethers. In are provided.’’ (Emphasis in text.) also requested on the potential of using two tests of an Evenflo Scout forward- Indeed, top tether use is reported in tethers in aircraft. facing convertible seat with the inboard excess of 95 percent in Australia, b. Lower Anchorage Points anchor of the lap belt restraining the primarily due to requirements for child restraint to the test seat assembly installation of the anchorages and to Improving the lower anchorage points positioned four inches forward of the early and continuous public education of a child seat to the vehicle would seat bight, the HIC and 3 ms chest on the use of tethers. ‘‘Options for a make it easier for parents to correctly acceleration clip were 631 and 59.6 g’s Universal Child Restraint Attachment attach a child seat to the vehicle. respectively. When the child restraint System,’’ M. Lumley, June 14, 1996, NHTSA stated in the Federal Register was tethered on its top, these HIC and revised October 10, 1996. Petitioners are notice announcing the workshop that an Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules 7867 anchorage system should accomplish comparable in terms of a user’s ability be fastened around all types of child the following: to correctly install them. Users are able restraints, including restraints for • Improve the compatibility between to install child restraints correctly in children with special needs. A common child restraint systems and vehicle seats those systems. Scheme D and the CSO complaint with current child seats is the and belt systems, thereby decreasing the were not evaluated. difficulty of routing the belts through potential that a child restraint was The degree to which an anchorage the system and pulling the belt tight. It improperly installed; system will be correctly used outside appears that the CSO system might not • Ensure an adequate level of the context of a clinic is unknown at alleviate those problems in all restraints. protection during crashes; this time, but design differences Further, there is the potential that the • Ensure correct child restraint between the systems could affect such CSO belt would be inadvertently used system use by ensuring that the child use. Attendees at the public workshop by an adult occupant as a restraint, restraint systems are convenient to expressed concern with potential particularly in a seating position install and use; misuse problems that could arise by equipped with a lap belt, even if the • Ensure that the child restraint virtue of the design of each system. A CSO belt were labeled. systems and anchorages are cost type of misuse that could occur with a It may be possible to attach child seats effective; and rigid system (ISOFIX four-point or with either a rigid anchor (ISOFIX four- • Achieve international compatibility CANFIX) is if the user does not fully point rigid, CANFIX) or a soft anchor of child restraint performance attach all points of the system. Test data (UCRA) system design to a vehicle seat requirements for uniform anchorage indicate that performance of the child in the same way that current child seats points. restraint is severely degraded if one or are attached, using the occupant belt In remarking on the various ISO more points are not attached. Some system (and meet minimum schemes and in other presentations, attendees believed that users must be performance criteria). Thus, it may be participants in NHTSA’s workshop able to see clearly where to insert the possible to use them in a vehicle that concurred with and elaborated on these child seat connector to the vehicle lacks an anchorage system. The ability considerations. system, and that a guide of some sort is to attach a child seat in a conventional 1. Improve Compatibility needed if the attachment point is behind manner, i.e., using the vehicle belt, is an the seat bight. Some believed that an essential feature addressing the use of All of the anchorage systems appear education campaign is needed to teach new child seats with old vehicles, and to improve compatibility between child people how to use the system since a vice versa (old child seats with new restraint systems and vehicle belt rigid bar anchorage is unfamiliar in this vehicles). Ms. Legault of Transport systems. Consumers comparing ISO country. Canada said that testing with a CANFIX Schemes A, B and C systems against Proponents of the UCRA system prototype showed that, in about 85 conventional child restraints indicated believe that the soft anchor system is percent of its vehicles (lacking receptors that the new methods of attachment are superior to a rigid system in that the for the rigid points), the prongs could be easier than current methods. Cosco’s connectors are buckles and latches that inserted between the seat cushion and CSO system was not evaluated in these are consumer-familiar in design to the seat back, so the seat belt could still be studies, but to the extent that the CSO seat belt hardware on vehicles. used to attach the child seat. All child does not depend on a locking clip or Proponents believe that users will know seats with UCRA-designed anchorages other means to adapt the belt to a child ‘‘intuitively’’ how to use the connector can be attached to a vehicle by use of restraint, an improvement over existing and will recognize the sound and feel of the existing vehicle safety belt, because belt systems, at least concerning that the click that indicates a positive the UCRA design is based on a simple aspect of design, can be assumed. The attachment. Several participants addition of buckles to current models of CSO belt would still have to be routed expressed concern about a possible child seats. The CSO design would also correctly through the child restraint. All misuse problem arising due to the result in all child seats being able to be anchorage systems would improve presence of webbing on the connectors, attached in a conventional manner. It is compatibility between child restraint i.e., that slack in the webbing will unknown whether the four-point systems and forward-mounted anchors. negate a tight fit of a child seat on the ISOFIX seat could be attached with an Views were expressed at the October system. Toyota indicated it is existing vehicle belt and perform 1996 workshop that Schemes A, B and developing a means of addressing this satisfactorily. C systems would improve compatibility potential problem. The various systems differ in their between child restraints and contoured Cosco believes the CSO system ‘‘is the ability to allow child seats and vehicles vehicle seats. A rigid anchor system most intuitive system suggested because to be retrofitted with features of the may suspend the child restraint above people have been using this type of anchorage system. The ability to retrofit the contoured seat, and a UCRA would system for years.’’ NHTSA believes that is desirable, since it would increase the provide some resistance to the side-to- while users might be familiar with the number of seats that provide improved side motion of a child seat on a humped system, the CSO system poses some of protection. Retrofitting seats and contoured seat. The CSO might not be the same problems as the lap belt vehicles would provide all children the as effective on humped seats in limiting currently used to attach child restraints. benefits of the improved technology. It side-to-side motion of a child restraint. The belt would have to be correctly does not appear that the four-point routed through the child restraint, ISOFIX or the two-point CANFIX allows 2. Safety Performance which is a problem occurring with for retrofitting either the child restraint ISO Schemes A, B and C systems have present seats. Slack in the belt would or the vehicle. These rigid anchorage performed satisfactorily in dynamic negate a secure fit of the child seat, so systems necessitate an elaborate tests. The CSO system has not been an adjuster of some sort would be redesign of existing child seats. The tested, but it simulates the standard seat needed, and it would have to be anchorage pins on the vehicle seat assembly used in Standard 213 positioned on the belt where a user would have to be precisely aligned with compliance tests. could maneuver around the child seat to the prongs on the child seat to ensure Consumer clinics indicate that ISO tighten the belt. The seat belt would that the system performs properly. Scheme A, B and C systems are have to be long enough to permit it to Alignments of this nature are generally 7868 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules not believed to be feasible in the specify only the features of the vehicle components (particularly the crucial aftermarket. system, and not of the child seat. Design connector pieces—buckles and Proponents of the UCRA system state flexibility allows manufacturers latitude latchplates—that attach a child seat to that existing seats can be installed using in meeting market demands and the vehicle system) is a definite the UCRA system if the system is developing new technology, yet would advantage over the other systems. Also, supplemented by a special belt with be a trade-off in standardization of the the UCRA system is not as bulky or buckles at each end that are compatible anchorage system. heavy as the other systems, which with the UCRA latchplates on the 5. Harmonization increases its usability. vehicle. The belt would be provided to In addition, NHTSA believes that the the owner of the old (pre-standard) Harmonization was one of the major soft anchor system has a potential for child seat to route through the existing goals of the agency’s October 1996 use in restraining child seats in aircraft. belt route path on the child seat. public workshop. NHTSA stressed the The Federal Aviation Administration Further, proponents of the UCRA importance of international (FAA) stated in a submission to system believe that vehicles can be harmonization during the workshop and NHTSA’s docket for the October 1996 retrofitted with the UCRA system. The urged ISO member country member public workshop on a universal anchor CSO system calls for no change in the delegates to agree on a unique child system that ‘‘preliminary review and design of a child seat, so old child seats restraint anchorage system. evaluation of the proposed ISOFIX could be used with a CSO system in a The UCRA system would harmonize systems under consideration by vehicle. Cosco did not indicate whether with Canada, Australia, New Zealand [NHTSA] suggest that the UCRA vehicles can readily be retrofitted with and Japan in specifying a top tether. concept presents the best solution in the the CSO belt system, although it appears With the top tether proposal, the aircraft environment.’’ 96–95–N01–008. as feasible as retrofitting them with the proposed rule would harmonize with FAA is concerned that the rigid prongs UCRA system. Transport Canada’s current head of an ISOFIX-type child seat may not be excursion threshold and with its 3. Consumer Acceptability compatible with aircraft seat cushions planned new regulation proposing to or suited for narrow aircraft seats. Consumer clinics indicate that ISO require manufacturers to provide While NHTSA has decided to propose Scheme A (rigid four-point), B anchors for tethers in motor vehicles. the UCRA system due to its advantages (CANFIX) and C (UCRA) systems are The rigid anchor system is endorsed by in cost, usability, potential for use in comparable in terms of consumer European members of the ISO Working aircraft, and the fact that it is proven acceptance. Participants in GM’s clinic Group. technology available today, the agency indicated a preference for UCRA. 6. Leadtime and Availability is still interested in the possibility of Scheme D and the CSO were not achieving harmonization on a universal evaluated in the clinics. Participants in The different systems are at varying anchorage system. To that end, NHTSA all the clinics indicated a desire to see stages of development in design is proposing to permit vehicle an improvement in the way child concept. Final design of the four-point manufacturers to substitute the two restraints are attached to vehicles. With ISOFIX system and the two-point rigid lower rigid points of ISO Scheme D (the regard to bulk and added weight to a CANFIX have not been completed, Hybrid system) in place of the UCRA child restraint, the CSO adds no weight, although proponents of those systems anchors, provided that the vehicle is and the UCRA appears to have an believe that completion is imminent. also equipped with adapters that enable advantage over a rigid system and the Design of the UCRA system is the lower rigid points to accommodate CANFIX. The rigid prongs and completed. UCRA-type child restraint systems. The view was expressed at the supporting structure on a rigid system The European manufacturer members October 1996 workshop that the add much more weight than the buckles of the ISO Working Group on Child leadtime needed to implement a of a UCRA and also protrude from the Restraints Systems believe that their requirement for a rigid system would be child restraint. countries will require the two rigid much longer than that needed to anchorage points in the future.6 4. Costs and Burdens implement the UCRA system. This is Accommodating both hardware systems Cost is an area where the systems because the UCRA uses ‘‘existing would be consistent with the agency’s differ greatly. The cost of the rigid technology—known systems, known goal of solving the problem of options is much higher than the soft belts, known buckles, known latch incompatibility between child restraints anchorage system, with added costs to plates’’ (quoting David Campbell). Cosco and motor vehicles as expeditiously as the child restraint system of about $100 argues that its CSO system would be the possible, while promoting for the four-point ISOFIX, $60 for the fastest to implement. CANFIX and $14 for the UCRA soft harmonization. The UCRA system, anchorage system. The agency is 7. Proposed System being a well developed and familiar concerned that the $60 to $100 added The agency has decided to base a current technology, is currently costs of the rigid systems could proposal for a universal child restraint available. The non-flexible system engender public dissatisfaction with anchorage system primarily on the would be given the opportunity to be child restraints, reduce child restraint UCRA system. The four-point and two- developed, tested and evaluated in the use rates and significantly reduce the point rigid and the UCRA appear market place to prove what its number of seats available through car comparable in terms of safety proponents believe to be its superiority seat loaner programs. The CSO system performance and public acceptance, but as the child restraint anchorage does not incur additional costs to the UCRA appears to have advantages technology of the future. current child restraints. over the others with respect to its cost NHTSA tentatively concludes that the Schemes A, B and C systems are fairly impact, near-term availability and two proposed systems can coexist in the design restrictive, in specifying the ability to address intermix and retrofit 6 It should be noted that the work thus far by the geometry and location of assorted issues. Further, the UCRA system has ISO has been at the Working Group level. Any ISO components on the vehicle and child advantages in terms of its usability. The standard on this matter has still to go to higher seat. Scheme D (Hybrid) and the CSO agency believes the familiarity of its committee before it becomes a standard. Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules 7869 short term. The UCRA system will not manufacturers to ‘‘identify seating through the child restraint, which may hinder any development of the non- positions where it’s probable that child not be an easy task in all cases. Further, flexible hardware system. The proposed restraints will not work well because of the lockability requirement does not rule allows vehicle manufacturers to seat contour.’’ He also stated address incompatibility problems install a 6 mm pin to attach a child I doubt that we will agree to simply design arising from forward-mounted seat belt restraint that is equipped with jaw-type our seating positions so that they’re all as flat anchors. Excessive forward movement non-flexible hardware. The proposed as the seats in a pick-up truck used to be, for of a child seat can still occur, even if the rule would not prevent manufacturers of example. There is an appeal to a shaped seat, feature is engaged and the belt is child restraints from developing a an appeal to the users. (Transcript of October ‘‘locked.’’ Comments are requested on restraint with non-flexible hardware, 18, pp. 8–9.) this issue. NHTSA is considering and would facilitate a transition to At the same workshop, Mr. David deleting the lockability requirement as future technology. However, in the Campbell said that a child restraint unnecessary if requirements for a child interest of eradicating incompatibility anchorage system— restraint anchorage system are adopted. problems henceforth, child restraints A lockability requirement may not be with non-flexible hardware would be should be independent of the adult seat belt needed for a seating system with a required to have components (e.g., system so that manufacturers can have the universal anchorage system since the flexibility to optimize the performance of the buckles), permanently attached to the anchorage system for child restraints and vehicle’s belt would no longer be used child restraints, that are compatible allow the adult seat belt system to be for attaching a child restraint. However, with the UCRA anchorages. This optimized for the other occupants in the lockability might be needed to attach proposal considers the UCRA system to vehicle. (Transcript of October 12, p. 40.) child seats that are not equipped for a be paramount, and a rigid system would universal anchorage system, even if the NHTSA tentatively agrees with this be allowed as long as the UCRA system vehicle seat has such a system. statement. Further, NHTSA recognizes is universal for all vehicles and child that it is very difficult for a single 3. Cosco’s CSO system restraint systems. system to optimize the safety protection Cosco’s CSO system is appealing in its c. Discussion of Alternatives for adults of all ranges and child simplicity and low cost, but the CSO A number of other approaches have restraints of different types. system is essentially no different from been suggested to minimize or eliminate Nonetheless, the agency requests the current lap belt means of attaching incompatibility between child seats and comments discussing possible design child restraints to vehicle seats. NHTSA vehicle seats. This section addresses alternatives to a universal child restraint is concerned that the CSO system might these alternatives to the approach anchorage system. not make attaching a child seat proposed today. 2. Lockability significantly easier than it is today. As noted previously, the CSO belt would 1. SAE Recommended Practice J1819 In 1993, NHTSA amended its have to be correctly routed through the In 1994, the Society of Automotive occupant crash protection standard child restraint, which manufacturers Engineers (SAE) published its (Standard 208) to adopt a ‘‘lockability’’ believe many consumers find difficult to Recommended Practice SAE J1819, requirement effective September 1, do. In addition, from photographs of the ‘‘Securing Child Restraint Systems in 1995. The rule requires vehicle lap belts CSO system, it might be difficult to Motor Vehicle Rear Seats,’’ to promote or the lap belt portion of lap/shoulder tighten the belt. Consumers have compatibility between child seats and belts to be capable of being used to expressed concern about their child seat vehicle rear seats and seat belts. J1819 tightly secure child safety seats, without not being secure on the vehicle seat provides voluntary design guidelines to the need to attach a locking clip or any because of the lateral side-to-side vehicle manufacturers for certain other device to the vehicle’s seat belt motion of the child restraint that occurs characteristics of rear seats and seat webbing, retractor or any other part of no matter how tightly the lap belt is belts, such as seat cushion shape and the vehicle. 58 FR 52922, October 13, adjusted. On a contoured, humped, seat, stiffness, and seat belt anchorage 1993. The requirement applies to there is even more lateral ‘‘play.’’ The location, belt length, buckle and seating positions other than the driver’s CSO system might not be able to address latchplate size, and lockability. In position on vehicles with a gross vehicle these concerns. Cosco provided no data addition, J1819 provides design weight rating of 10,000 pounds or less. on these issues assessing the viability of guidelines to child seat manufacturers The rule requires the lap belt to be this approach. Another concern relates for child seat features that correspond to lockable and specifies test procedures to the potential that the CSO belt would the vehicle features. demonstrating compliance with the be inadvertently used by an adult J1819 specifies a ‘‘Child Restraint lockability requirement. The rule does occupant as a restraint, even if the CSO System Accommodation Fixture’’ to not specify how the vehicle belt is to be belt were labeled. It is also unknown represent a child seat, so that designers locked, except to prohibit locking by how consumers will accept the addition of both the vehicle and child seat can ‘‘inverting, twisting or otherwise of more seat belt systems in the rear evaluate each product for compatibility. deforming’’ the belt webbing. An seat, in addition to the Type I and II NHTSA tentatively concludes that example of a permitted means of locking belts already provided in the rear seat. J1819 alone does not fully solve a belt is extending the belt all the way, The agency requests data or comment incompatibility problems. It is a tool for then feeding in the slack. on any research that has been done on evaluating incompatibility, not a NHTSA tentatively concludes that the the CSO system evaluating its requirement that vehicle seats and child lockability requirement is insufficient acceptability by consumers, its restraints must be compatible. alone in addressing incompatibility performance with child restraints, the In the October 1996 workshop, Mr. problems. While the requirement potential for correct use with child Howard Willson (who chairs the ostensibly makes a locking clip obsolete, restraints and for misuse by adult Children’s Restraint Systems Standards it still depends on the user knowing passengers. Focus group testing Committee of the SAE) stated that J1819 enough and making the effort to comparing the CSO system to the UCRA might be amended to add ‘‘a test for seat manipulate the belt system. Also, the and other standardized systems would contour.’’ The test would enable vehicle vehicle belt must be routed correctly be especially helpful. 7870 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules

VI. Proposal for New Vehicle Standard when attached to the vehicle system. were found to fail the proposed The standard seat assembly specified in requirements, an issue could arise as to a. Highlights of Proposal the standard to test add-on child seats whether the failure was with the vehicle The most significant requirements would be revised to incorporate the system, or with the child seat attached proposed by this document are upper and lower anchorages of a child to the vehicle system. To avoid this highlighted below. restraint anchorage system. It would complication, the compliance tests must (1) A new safety standard would have both UCRA anchorages (Scheme C) be as controlled as possible to remove require all passenger cars and light and rigid anchors (Scheme D). A head unknown influences on the performance trucks and vans to be equipped with a excursion limit of 813 mm (32 inches) of regulated parts. child seat anchorage system, defined in would have to be met without attaching While the actual vehicle-to-child seat the standard, at two rear seating the top tether. attachment would not be tested, NHTSA positions. If an air bag cutoff switch is (7) A child seat equipped with believes that the performance obtained provided that deactivates the air bag for features enabling it to be attached to an in the compliance test will reflect the the front passenger position, one system anchorage system would also have to real-world performance of the anchorage would have to be provided in that meet the present 813 mm head system and the child restraint. This is position, and another in a rear seating excursion requirement of Standard 213 because the geometry of the belts and position. If there is no rear seat and no when tested with just a lap belt. This is latchplates primarily responsible for the air bag cutoff switch, an anchorage to ensure a minimum level of safety vehicle-to-child seat interface would be system would be disallowed in the front performance when the child seat is used precisely specified by this proposal. passenger seat. A built-in child seat may in a vehicle that does not have an These components would have to be be substituted for one of the systems, anchorage system. provided on vehicles and child seats but not both, since rear-facing built-in (8) In addition, each child restraint precisely as specified in the standards. systems are currently unavailable. would have to meet a 720 mm (28 In turn, these components, in the same (2) The system would consist of two inches) head excursion requirement geometry as that specified in the lower anchorages at the vehicle seat when tested according to the standards, would be used in the bight (the intersection of the seat manufacturer’s instructions. A tether compliance tests. Thus, the vehicle-to- cushion and the seat back) and a top provided with the child restraint may be child seat interface should be tether anchorage. The lower anchorages attached in this test. adequately tested. could consist of either UCRA-type (9) Instructions for using the latchplates or rigid anchorages (ISO anchorage system would have to be b. Applicability Scheme D), provided that connectors are provided with each child restraint and The requirement for a child restraint provided with the Scheme D anchorages in the vehicle owner’s manual. anchorage system would apply to that enables a child seat with UCRA As discussed above, this proposal is passenger cars and trucks and buckles to be used with the rigid based on the premise that a child multipurpose passenger vehicles anchorages. The child restraint system restraint anchorage system would make (MPVs) under 10,000 pounds (lb) gross standard (Standard 213) would be child seats compatible with motor vehicle weight rating (GVWR) (hereafter amended, in effect, to require child seats vehicles, and thus increase the safety referred to as ‘‘LTVs’’), except as noted to be equipped with a top tether, and value of restraints. The approach taken below. with attachment components (e.g., by this proposal would be to rectify the Petitioners AAMA et al. suggested, buckles) that are compatible with the vehicle-to-child restraint with respect to trucks and MPVs, that UCRA latchplates on the vehicle. incompatibility problem along two the requirement be limited to those with (3) The proposed requirements would lines: vehicles would be required to a GVWR of 8,500 lb or less and an specify the construction of the child have a child restraint anchorage system unloaded vehicle weight of 5,500 lb or restraint anchorage system, the location with components ‘‘ready’’ to attach a less. AAMA stated: of the anchorages, and the geometry of child seat, and child restraints would be The GVWR range suggested was related components, such as the required to have components ‘‘ready’’ to attach to the vehicle system. By having incorporated using the identical GVWR range hardware that attaches to a child seat. currently required to meet the dynamic (4) A new safety standard would a dedicated anchorage system for child performance requirements of FMVSS 208 for specify performance and location restraint systems, manufacturers can occupant protection. The relatively small requirements for the tether anchorages. optimize the designs of their vehicle number of vehicles larger than those within The standard would apply to all tether belt and child restraint systems to this range, the physical dynamics of these anchorages installed in a vehicle, provide higher safety protection to both size vehicles and the unexpected use of CRSs regardless of whether the anchorage is adults and children. [child restraint systems] in them, support required by a safety standard or A potential but seemingly necessary maintaining this GVWR range for this proposal. voluntarily installed by the limitation in the proposed compliance manufacturer. The agency tentatively tests is that the vehicle system is NHTSA agrees that vehicles with believes that all anchorages should be statically tested by devices that replicate GVWRs of more than 10,000 lb are subject to the proposed performance the loads imposed by a child seat, and much less frequently used to carry and location requirements to ensure that a child restraint is dynamically tested young children (as compared to vehicles any anchorage used in the vehicle on a seat assembly simulating a vehicle with GVWRs of less than 10,000 lb) and performs properly. seat. That is, an actual vehicle thus should be excluded from a (5) To prevent the anchorages from anchorage system would not be tested requirement to provide a child restraint failing in a crash, the vehicle with an actual child restraint, and vice anchorage system. However, child anchorages, including structural versa. This is to avoid possibly restraint systems could be used in components of the assembly, would complicating enforcement efforts if an vehicles with a GVWR between 8,500 have to withstand specified loads in a apparent failure arises in a compliance and 10,000 lb, such as in vehicles used static pull test. test. If vehicles were tested with actual for transportation to child care (6) Child restraint systems would be child seats, and vice versa, and if a programs. In the interest of best dynamically tested under Standard 213 vehicle anchorage system, for example, ensuring that a child restraint anchorage Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules 7871 system would be available when needed restraint can nonetheless probably fit a B, based on the Hybrid system (Scheme and to minimize incompatibility forward-facing seat. If the vehicle lacks D). problems between child restraints and a rear seat and does not have an air bag Option A (UCRA System) vehicle seats to the extent possible, cutoff switch, an anchorage system NHTSA proposes to apply this rule to would be disallowed in the front For vehicles incorporating the UCRA trucks, buses and multipurpose passenger seat. A built-in child seat may system, the standard would specify that passenger vehicles with a GVWR of be substituted for one of the anchorage lower anchorages are located 280 mm 10,000 lb or less. Comments are systems, but not both, since built-in apart, measured to the centerline of each requested on this issue. seats currently cannot accommodate a latchplate when fully extended in a AAMA et al. suggested excluding rear-facing restraint. plane parallel to the vehicle’s walk-in van-type vehicles and vehicles There was no consensus among the longitudinal axis. When fully extended, manufactured to be sold exclusively to petitioners as to the number of child the tip of each latchplate must not the U.S. Postal Service. The agency restraint anchorage systems that should extend more than 50 mm forward of the agrees that these vehicles are unlikely to be required and where in the rear they seat bight. The 50 mm value was be used for transporting children in should be. Many believe that the system suggested to ensure accessibility of the child safety seats. NHTSA made the should be installed at each of the lower anchorages. The petitioners and determination in the rulemaking outermost designated seating positions the ISO ad hoc group specified this adopting the lockability requirement, figure in a November 15, 1996 draft ISO/ of the second row (and a tether 7 supra, that these vehicles are not likely anchorage in the rear lap-belt center WD13216–1i report. NHTSA to be used to carry children in child position). The Japanese vehicle tentatively believes the value is seats. Accordingly, NHTSA proposes to manufacturers believe that only one rear reasonable to ensure that the lower latchplates are not so rearward that they exclude these vehicles from today’s seat position should be required to have may be buried in the seat bight, yet are proposed vehicle standard. the system. Fisher-Price, a child not so forward that excessive forward The AAMA petitioners suggested that restraint manufacturer, believes that the the standard should not apply to a movement of a child seat could result. rear center seating position is vehicle that ‘‘the manufacturer The standard would also specify the recognized as the safest and that the designates as not intended for CRS use.’’ geometry of related components, such as system should therefore be required The petitioner further suggested that webbing and latchplates (tongues) of the there. ‘‘[v]ehicles not intended for CRS use lower anchorage points. NHTSA is shall include this information in the NHTSA has tentatively determined proposing the latchplate geometry that vehicle’s owner’s manual’’ and on a that each vehicle with a rear seat should was suggested in the petition by AAMA label in the vehicle. The agency has have at least two rear seating positions et al. The agency is proposing to specify tentatively decided against this that can properly hold a child restraint the geometry of these components as approach. NHTSA does not know, and system. The agency is concerned necessary to ensure the universality of petitioners did not explain, why whether there is a need for an anchorage the anchorage system. 8 It negates the manufacturers should be permitted to system at more than two seating likelihood that a used child restraint exclude a vehicle from the proposed positions. NHTSA requests information with particular attachment components requirements, given that such a on this issue, such as demographic data would be ‘‘handed down’’ or sold to a provision could substantially reduce the on the number of children in child person owning a vehicle with an number of vehicles that are equipped restraints typically transported in a incompatible anchorage system. with an anchorage system. Reducing the family vehicle. It is noted that nothing Further, since a simple, effective way of universe of vehicles equipped with the in the proposed standard would testing anchorage systems with varying anchorage system would eviscerate the prohibit a vehicle manufacturer from components has not been devised, ‘‘universality’’ of the system, which voluntarily providing child restraint specifying the geometry is the best could result in many consumers not anchorage systems in rear seats at more means of ensuring that anchorage having an improved means of attaching than the required seating positions, if a systems will securely attach a child a child restraint in their vehicle. purchaser wants additional systems. restraint, and provide an adequate level This proposal does not specify that of child protection. c. Seating Positions both anchorage systems would have to The lower anchorages would be This proposal would require the child be provided at an outboard position. In equipped with specialized latchplates seat anchorage system (i.e., a top tether some vehicles with large interiors, it that would attach to buckles on a child anchorage and lower anchorages) in two may be possible to install one of the seat. The geometry of the components is rear seating positions. NHTSA proposes required systems in a center seating such that the webbing, buckles and requiring the system to be placed in a position. latchplates are similar in design to rear seating position because available components found on current adult d. Construction data indicate that the rear seating occupant belt systems. This is to ensure positions are the safest positions in Requirements are proposed for the that the components and their operation which to install a child restraint system. construction of the child restraint are familiar to persons installing a child Vehicles that lack a rear seating position anchorage system. The system would seat. The geometry of the components is capable of fitting a rear-facing child seat consist of two child restraint anchorages such that they are smaller in size than would be required to provide a system at the vehicle seat bight and a tether in the front seat if the vehicle has a anchorage. 7 This figure is consistent with the ISO/WD cutoff switch that deactivates the air bag 13216–1i report that are in the December 13, 1996 1. Lower anchorages submittal to Docket No. 96–095, Notice 1. installed at the right front passenger 8 While the geometry of the vehicle latchplates position in the vehicle. However, a The proposed rule would permit would be mandated, child restraint systems would child restraint anchorage system would manufacturers to conform lower not have designs specified, other than that to have also have to be installed in the rear seat anchorages to either option A, ‘‘components permanently attached to the system that securely fasten to the [vehicle’s] latchplates’’ of these vehicles, because a rear seat consisting of requirements based on the (proposed S5.9(a)). However, the agency anticipates that is too small to fit a rear-facing child UCRA system (ISO Scheme C), or option the use of UCRA buckles. 7872 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules like components on the adult occupant Road Vehicles-Child Restraint Systems- that today’s NPRM proposes to require belt systems. This is to reduce the Standardized Universal Attachment to on child restraints. likelihood that the person installing a Vehicle (ISOFIX)—Part 1: Dimensions e. Performance child restraint might confuse the belts and General Requirements,’’ (November and buckles of the child seat anchorage 15, 1996). The rule would require the The main performance requirement system with the adult occupant belt lower anchorages to be 6 mm diameter for the anchorage system would specify systems. transverse horizontal round bars with a strength criteria for the lower and upper Several participants at the October minimum effective length of 25 mm. anchorages and related hardware. In 1996 workshop expressed concerns or The spacing between the bars would be addition, the standard would require the suggestions about aspects of the UCRA’s 280 mm apart, center-to-center. This system to meet Standard 209’s belt and belt systems. Klaus Werkmeister value is harmonized with ISO to be buckle requirements, such as those expressed concern that the UCRA agreeable with manufacturers of relating to abrasion, resistance to light, system’s lower anchorages could be lost European, Japanese and U.S. motor corrosion resistance and temperature in the seat bight of a foldover seat after vehicles. 9 Other specifications for the resistance. Comments are requested on the seat is flattened to make room for location of the lower anchorage bars whether Standard 213’s buckle release cargo and then reinstalled as a seat. On would also be set forth in the standard. requirements (S5.4.3.5) should also be the other hand, John Gane said that the The anchorage location zone would be met. Among other things, those ICBC clinic had folding rear seats and determined using a child restraint requirements specify that a buckle must that these didn’t interfere with either apparatus (see Figures 1, 2 and 3 of the not release when subjected to a force of the hard or soft anchor systems. proposed standard). less than 40 N, and shall release when Transcript, October 17, 1996, page 228– a force of not more than 62 N is applied. 230. Comments are requested on this Vehicle manufacturers incorporating issue. the Scheme D system would also be The proposed strength criteria are to Mr. Gane also suggested that the ICBC required to provide connectors that prevent the anchorages from failing in a clinic indicated that the side straps for would enable the system to be used crash. The anchorages, including the UCRA should be distinguished from with a UCRA-type child seat. The structural components of the assembly, the straps comprising the harness for the connector would have a component on would have to withstand specified loads child. He said that when the straps were one end that latches onto the 6 mm bar, in a static pull test. not distinguished, ‘‘we had a huge and a UCRA latchplate on the other for attaching a UCRA child seat to the The performance criteria for the lower failure rate of people to understand how anchorages would require that, in a the seat was intended to work.’’ Id., p. anchorage system. Comments are requested on the degree to which the static test of the anchorages: (a) no 220. (Some clinic participants attached portion of the latchplate for each the vehicle anchor belt to the child geometry of the connector should be specified. A connector would have to be anchorage shall move more than 125 restraint’s internal harness.) ICBC later mm forward of the seat bight when modified the UCRA child restraint to provided for each Scheme D lower anchorage point. NHTSA believes that a subjected to a forward force of 5,300 N color code the belts. Comments are and, (b) there shall be no complete requested on whether the straps of the connector should be provided to ensure that parents having a UCRA-type child separation of any anchorage component UCRA should be distinguished, and if of the assembly (including webbing, so, what measures should be required to restraint can use the restraint in any vehicle. This aspect of the proposal was straps, latchplates, adjustment and distinguish them (e.g., color coding and/ anchorage hardware and retractors). or labeling). not included in the petition from BMW Howard Willson stated that the et al. Those petitioners suggested that a The static pull test would specify that webbing-supported anchorages of the connector from a child restraint to the each lower anchorage is tested to UCRA should be required to have a vehicle anchorages should be provided withstand the application of a 5,300 N specific stiffness so that users can use on the child restraint, by the child forward load. In the test, a force of 5,300 one hand to attach the child seat restraint manufacturer. Comments are N would be applied to each anchorage connector to the anchorage. The AAMA requested on this issue. in the forward direction parallel to the vehicle’s longitudinal vertical plane. et al. petitioners also suggested that the 2. Upper Anchorage latchplates should not displace The force would be applied by means of rearward more than 25 mm under a 50 The tether anchorage would be a belt strap that is of sufficient length to N rearward load. Comments are harmonized with Canadian and extend not less than 250 mm forward requested on the need for such a Australian requirements. Canada is from the vertical plane intersecting the requirement, the level at which a preparing to require vehicles to have a seat bight. The belt would be fitted at requirement should be set, the means of factory-installed, user-ready tether one end with hardware for applying the testing a requirement, and limiting side- anchorage. While AAMA et al. force, and at the other end with to-side deflection of the latchplates originally petitioned to require a hardware for attachment to the which may degrade the ability to attach specialized buckle that would be anchorage latchplate. The 5,300 N force the child seat with just one hand. compatible with a latchplate on a child is attained within 30 seconds, with an Comments are also requested on any seat tether, petitioners have indicated a onset force rate not exceeding 135,000 N other performance that should be desire to harmonize with Canada and per second, and is maintained at the required of the UCRA system to ensure Australia. Thus, a simple anchor (such 5,300 N level for ten seconds. The test that it will be effective. as a ring) on the vehicle would be procedure and force level were selected to harmonize with the proposed Option B (Scheme D) sufficient, although a more sophisticated anchor could be provided Canadian regulations on the upper For vehicles incorporating the ISO if it is compatible with the tether hook tether, as well as with the suggested Scheme D system, the standard would force level of the UCRA petition. The specify anchorage dimensional and 9 This figure is consistent with the ISO/WD same test is proposed for the rigid marking requirements developed in 13216–1i report that are in the December 13, 1996 anchor system with the adapter attached draft by the ISO in ‘‘ISO/WD 13216–1i submittal to Docket No. 96–095, Notice 1. to each anchor point. Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules 7873

A static pull test would also be between a vehicle seat or its seat belts test add-on child seats would be revised specified in a new standard 10 for the and belt-positioning seats. Also, because to incorporate a child restraint upper tether anchorage, in accordance a Type II belt system is placed around anchorage system meeting the proposed with Canada’s proposed tether the child occupant who is seated on a specifications. A child restraint would anchorage requirement. The force level belt-positioning seat, there would be a be attached to the system using the and application rate would harmonize minimal amount of forward movement appropriate buckles and other with the proposed Canadian regulations of the child and child seat before components of the child restraint. Injury on the upper tether. The standard would forward movement is restrained by the criteria and other performance specify that each structural component Type II belts. requirements specified in Standard 213 would have to be met when the child of the anchorage shall withstand a force b. Required Components of not less than 5,300 N, and that there seat is attached to the anchorage system. shall be no complete separation or Requirements would be established Forward-facing restraints would be failure of any anchorage component. for the components of the child seat that required to meet a head excursion limit Comments are requested on whether attach to the vehicle system. A child of 720 mm (28.35 inches) when tested more specificity is needed for these restraint would be permitted to have in accordance with its manufacturer’s strength requirements, and on whether components that attach to rigid or semi- instructions. To meet this requirement, other performance requirements should rigid Scheme D anchorages (Hybrid most manufacturers would likely have be included in the standard. system), but the restraint must to provide a top tether, which would be Each tether anchorage would be tested nonetheless have the UCRA attachments attached in the test for this new separately. However, more than one permanently attached to it. This would requirement. Restraints would also be tether anchorage installed on a row of ensure that persons owning any type of required to meet a head excursion limit seats would be tested simultaneously. child seat can use the restraint in any of 813 mm (32 inches) when the tether vehicle (i.e., all vehicles would be able is not attached, to ensure that a f. Instructions to attach a UCRA-type seat, either minimum level of safety is provided in The standard would require that attached to a UCRA system, or by way a misuse situation. Each child seat instructions about attaching a child of UCRA connectors to Hybrid would also have to meet the 720 mm restraint to the vehicle anchorage anchorages). The agency requests (tethered) and 813 mm (untethered) system be provided in the vehicle comments on whether child restraints head excursion limits when attached by owner’s manual. The instructions would intended to be used with systems that a lap belt. This test would be to ensure have to indicate the seating positions have Hybrid anchorages should be a minimum level of safety performance equipped with a child restraint required to provide an adapter, rather when the child seat is used in a vehicle anchorage system, and include than the UCRA components. that does not have a UCRA or rigid instructions that provide a step-by-step By way of reduced allowances on anchor system. procedure, including diagrams, for head excursion, each child seat would NHTSA believes that Standard 209’s properly attaching a child restraint be required to have a tether that attaches belt and buckle requirements relating to system to a vehicle anchorage system to the vehicle. To minimize the chances abrasion, resistance to light, corrosion equipped with UCRA-type anchorages. of incompatibility between the seat and resistance and temperature resistance, In addition, for a vehicle equipped with the vehicle, the standard would specify should apply to the webbing and a rigid anchorage system, instructions the exact geometry of the tether hook. hardware installed on a child seat to would also have to be provided for The regulatory text for this proposal connect to a vehicle system as required properly attaching a child restraint to does not include a provision that the by the existing provisions of S5.4 of the rigid system. child seat components attaching to the Standard 213. The agency tentatively lower anchorages of the vehicle system concludes that these belt and buckle VII. Proposal for Amendments to Child have retractors to take up excessive requirements of Standard 209 should Seat Standard slack in the belts. NHTSA requests apply to ensure the safe performance of a. Applicability comments on whether a retractor is the belts and associated hardware. needed or is manual adjustment enough d. Instructions and Labeling Standard 213 would be amended to to ensure that the child seat will be snug require all child seats, other than belt against the vehicle seat back. Excessive Standard 213 would be amended to positioning seats, to be equipped with slack in the connecting belts could require that instructions about attaching components that are compatible with result in excessive head and knee a child restraint to the vehicle the UCRA anchorages on the vehicle excursions for the child occupant, and anchorage system be provided in the system. Belt-positioning seats, which a greater likelihood of head impact. printed instructions accompanying each are a type of booster seat designed for In the October 1996 workshop, restraint. The instructions would have older children, are designed to use a Kazuhiko Miyadara, Jocelyn Pedder of to provide a step-by-step procedure, vehicle’s lap and shoulder (Type II) belt Transport Canada, and others indicated including diagrams, for properly system to restrain the child occupant. that a soft anchor system should have a attaching a child restraint system to a Because a vehicle’s belt system is not means of taking up slack in the belts. vehicle anchorage system equipped necessarily directly routed around or Comments are requested on what type with UCRA-type anchorages, and if the through a belt-positioning seat to secure of retractor, if any, should be specified child restraint is intended for a vehicle it to a vehicle, and because upper torso for the UCRA. equipped with a rigid or Hybrid protection is provided by the shoulder anchorage system, instructions for portion of the Type II belt, there does c. Dynamic Performance properly attaching to such a system. not appear to be any incompatibility The dynamic test specified in NHTSA also proposes amending Standard 213 would be used to evaluate Standard 213’s labeling requirements, to 10 Assuming a final rule on this subject is issued, the performance of the child seat when either add a new provision or amend an the requirements set forth in the proposed tether standard could be incorporated into the standard on attached to the universal vehicle existing one such as S5.5.2(g), to the child restraint system anchorage system, rather anchorage system. The standard seat instruct owners to secure the child than in a separate standard. assembly specified in the standard to restraint system with either a vehicle 7874 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules belt or components attaching to a attaching system envisioned by the restraints manufactured in a particular vehicle’s child restraint anchorage petitioners is adopted, and (b) a final ‘‘model year,’’ which apparently system. rule is issued by January 1, 1997. assumes the September 1 to August 31 S5.5.2(j) of Standard 213 would The petitioners suggest that vehicle cycle traditionally used to designate already require a label instructing manufacturers be permitted two vehicle model years. Under the first owners to secure the top tether strap of alternatives in phasing in complying alternative, 5 percent of the child seats the child restraint. That section states vehicles, beginning September 1, 1998. manufactured in the first ‘‘model year’’ that in the case of each child restraint Under the first alternative, 10 percent of after September 1, 1998 would be system equipped with an anchorage the vehicles manufactured in the first required to have the components strap, the following must be model year after September 1, 1998, enabling the child restraint to attach to permanently labeled: would be required to have the child the universal vehicle system (model SECURE THE TOP ANCHORAGE restraint anchorage system year ending August 31, 1999), 15 STRAP PROVIDED WITH THIS CHILD (manufactured on or after September 1, percent of the child restraints RESTRAINT AS SPECIFIED IN THE 1998, through August 31, 1999), 30 manufactured in the second model year MANUFACTURER’S INSTRUCTIONS. percent of the vehicles manufactured in (ending August 31, 2000), 25 percent in Comments are requested on what the second model year (ending August the third model year (ending August 31, changes, if any, should be made to this 31, 2000), 50 percent in the third model 2001), and 100 percent in the fourth labeling requirement to increase the year (ending August 31, 2001), and 100 year (ending August 31, 2002). Under percent in the fourth year (ending likelihood that parents will attach the the second alternative, no child restraint August 31, 2002). Under the second top tether strap. need comply with the proposed alternative, no vehicle need comply amendments to Standard 213 before VIII. Proposed Effective Date with the proposed standard before September 1, 2000, but 50 percent of a In their petition, AAMA et al September 1, 2000, but 75 percent of a manufacturer’s restraints produced on recommended a schedule for phasing in manufacturer’s vehicles produced on or or after September 1, 2000 through the suggested requirements, should after September 1, 2000 through August August 31, 2001 (model year 2001) those requirements be adopted. The 31, 2001 (model year 2001) would have would have to comply with the petitioners requested different to comply with the requirements, and requirements, and 100 percent of its schedules for vehicle manufacturers, 100 percent of its vehicles manufactured child seats manufactured on or after child restraint manufacturers, and final- on or after September 1, 2001 would stage vehicle manufacturers and have to comply. September 1, 2001 would have to alterers. The latter group of The requested schedule for child seat comply. manufacturers are typically small manufacturers also includes two The petitioners provided the businesses. (See table 2, below.) The alternatives for phasing in complying following table showing the requested schedules suggested by AAMA et al. are child seats, beginning September 1, phase-in schedules for vehicle and child based on the assumptions that (a) the 1998. The petition refers to child seat manufacturers:

PETITIONERS REQUESTED PHASE-IN ALTERNATIVES (PERCENT OF PRODUCTS REQUIRED TO COMPLY)

Vehicle manu- Vehicle manu- Child seat man- Child seat man- Model year facturers alter- facturers alter- ufacturers alter- ufacturers alter- native #1 (per- # native #1 (per- # cent) native 2 cent) native 2

1999 ...... 10 0 5 0 2000 ...... 30 0 15 0 2001 ...... 50 75 25 50 2002 ...... 100 100 100 100

The requested schedule for final-stage anchor (Canada has required a tether September 1, 2000 effective date for its manufacturers and alterers would anchorage in passenger cars since 1989), tether hardware requirement for LTVs. provide these manufacturers the option so it appears that a user-ready anchorage With regard to child restraints, of using the phase-in schedule for can be provided in the near future. restraints manufactured in the U.S. and vehicle manufacturers, described above, Canada is proposing an effective date of sold in Canada already are equipped or the alternative of having the September 1, 1999 for its tether with a tether to meet Canadian requirements become mandatory on hardware requirement for passenger requirements. NHTSA believes that September 1, 2001 for 100 percent of a cars. NHTSA proposes that its tether most U.S. manufacturers produce child manufacturer’s vehicles, and not before. anchorage requirement for passenger restraints for sale in Canada. NHTSA is NHTSA has made the following cars be the same as the Canadian considering an effective date of tentative decisions about leadtime. The proposal. September 1, 1999 for its proposal to agency believes that the proposed For LTVs, Canada has also proposed effectively require tethers by way of reducing Standard 213’s head excursion requirement that vehicles provide a that its tether anchor (hole) requirement requirement. user-ready tether anchorage and that be effective September 1, 1999, and its child seats provide a tether can be made tether hardware requirement effective a As to a requirement for the lower effective at a much earlier date than a year later. In view of these dates and anchorages, the petitioners did not requirement for the lower anchorages of that anchorages (holes) are apparently explain why a phase-in is needed, or a child restraint anchorage system. not as currently available on LTVs as on why more than four years would be Passenger cars, in particular, generally passenger cars, NHTSA proposes a needed to implement the requirement. are already equipped with a tether The agency is determined to remedy the Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules 7875 problem of incompatibility of child and significant within the meaning of with calls from parents asking for help restraints and motor vehicles as the Department of Transportation’s in installing seats correctly. Would this promptly as possible and requests regulatory policies and procedures. interest in child safety motivate a comments on the feasibility of having NHTSA has prepared a Preliminary sufficiently large number of people to full implementation (100 percent of Economic Assessment (PEA) for this pay $14 for changes to a child restraint affected vehicles) in a shorter period, notice which discusses issues relating to that would make a restraint easier to e.g., two years after the publication of a the potential costs, benefits and other install and more secure on a vehicle final rule. GM indicated in the UCRA impacts of this regulatory action. seat? NHTSA is especially interested in petition that if allowed, it would begin A copy of this analysis has been comments from consumers on these installing the UCRA system on vehicles placed in the docket for this rulemaking questions. before completion of this rulemaking on action. Interested persons may obtain Consumers have essentially four UCRAs. (NHTSA replied in an August copies of this document by writing to choices: buy a car seat despite the 27, 1996 letter that manufacturers are the docket section at the address higher price, buy a used seat, seek a permitted to voluntarily install the provided at the beginning of this notice. giveaway or loaner program, or forego system before completion of a final To briefly summarize the analysis, the seat altogether. If a 28 percent price rule.) Given that the UCRA technology NHTSA estimates that the cost of a rule increase were to result in a 10 percent is developed and available, and capable requiring the UCRA system would be decrease in new sales and thus a of being installed in today’s vehicles, approximately $160 million. The cost of corresponding decline in usage the agency believes the system could be the rule related to the vehicle would (assuming options two and three are not implemented within two years. The range, per vehicle, from $3.88 (one available), then the estimated benefits of same issue arises with regard to the UCRA in front seat only) to $7.76 (for the rule (24 to 32 fatalities prevented effective date for requiring child one UCRA in front seat and one in back per year) could be offset by an estimated restraints to be equipped with buckles seat or two UCRAs in rear seats). 24 fatalities from reductions in the and other components compatible with NHTSA estimates that 15 million number of seats in use. Consumers the UCRA system. Comments are vehicles would be affected: 9 million turning to the used car seat market requested on why a phase-in is needed, passenger cars and light trucks with would receive no benefit from the and on whether a shorter compliance ‘‘adequate’’ rear seats, 3 million vehicles proposed rule. The offsetting effects date is possible.11 with no rear seat, and 3 million vehicles would be reduced if there is a NHTSA recognizes that the rigid that can only accommodate a forward- corresponding increase in giveaway and attachment system may need longer facing child seat in the rear seat (not a loaner programs, but by virtue of the time to implement, especially on rear-facing infant seat). The cost of the price increase these programs would vehicles that may need to redesign their rule for vehicles is estimated to be about have to find new or additional funding. vehicle seats and/or floor pans. This $105 million. The cost of the UCRA The agency does not know how many was acknowledged by the international attachments on the child seat is programs exist and requests information safety community in the December 6, estimated to be about $55 million (3.9 on this issue. A cost increase could 1996 ISO resolution that the rigid million child restraints (excluding belt- result in fewer seats being purchased by system is a hardware alternative that positioning boosters) at $14 per seat). the program for loan or giveaway. On needs some time for development, as The benefits of the rule are estimated the other hand, persons responsible for compared to the flexible hardware to be 24 to 32 lives saved per year, and some State loaner/giveaway programs option. (See section IV.a., supra.) The 2,187 to 3,615 injuries prevented. informed the agency that if the new agency’s proposal would allow the long As discussed in the PEA for this seats cost more, they would be able to term rigid anchors solution to coexist proposal, in view of the cost of the find the funding to keep up with with the UCRA approach that is UCRA attachments on a child restraint, demand. They also said that the time available today. Even though the estimated to be about $14 per restraint, saved installing child seats in each proposed lead time of 24 months may NHTSA requests information on the vehicle and making adjustments would not be sufficient for the rigid anchorage price elasticity of child restraints. be worth the difference in price. hardware technology, the proposed rule NHTSA is concerned about the potential Unfortunately, NHTSA has not provides vehicle manufacturers with the effects of this rule on the purchase located any data or estimates of the option of implementing the rigid system behavior of consumers. As one actual sensitivity of new child restraint (with connectors) once it is developed, participant in the October 1996 sales to price changes. For the sake of while providing a UCRA-type system in workshop pointed out, if consumer comparison, a large proportion of the short term. demand is sufficiently sensitive to new consumer goods exhibit greater car seat prices, the resulting changes in sensitivity to price than that described IX. Rulemaking Analyses and Notices car seat usage could partially or totally in the hypothetical example above, even a. Executive Order 12866 (Federal offset the benefits of the proposed rule. in the short run. If new child restraint Regulation) and DOT Regulatory NHTSA has estimated that the proposed purchases in fact exhibit the same Policies and Procedures rule will raise the price of the average magnitude of price sensitivity as many car seat by $14. For a $50 car seat, this NHTSA has examined the impact of other consumer goods, the proposed represents a 28 percent increase in this rulemaking action and determined rule could increase rather than reduce price. On the other hand, each of the that it is economically significant within the overall risks to the Nation’s States and the District of Columbia the meaning of Executive Order 12866 children. require the use of child restraints in For these reasons, NHTSA strongly 11 A phase-in of an amendment to an equipment motor vehicles. To what extent, if at all, encourages data, analyses, and comment standard is uncommon. It should be noted that to would an increase in the price of a child on this issue. The agency also requests implement a phase-in requirement, the agency restraint lead to a decrease in demand comments on ways to mitigate these would require manufacturers to provide for the product, notwithstanding child effects, such as ways to minimize effects information on the total annual sales of their seats, so that the agency can determine whether the restraint use laws mandated by each on price. For example, the $14 cost requisite number of seats complied with the new State? Also, NHTSA and child restraint increase includes the cost of two requirements. manufacturers have been inundated buckles that attach to latchplates of the 7876 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules

UCRA system on the vehicle. Would information that would assist NHTSA in for adults of all ranges and child costs be reduced if the latchplates were further analyzing those impacts. As restraints of different types. The current part of the child restraint and the discussed in the IRFA, the incremental ‘‘lockability’’ requirement does not buckles part of the vehicle system? This cost increase of $14 to the current price appear sufficient alone in addressing assumes that the buckle hardware is of of a child restraint would significantly incompatibility, because it still depends higher cost than the latchplates. Should raise the price of child restraints, which on the user knowing enough and NHTSA conclude that both (1) the could have a significant economic making the effort to manipulate and combination of expected child restraint impact on a substantial number of small correctly route the belt system. Also, the price changes and consumer sensitivity businesses. NHTSA does not know the lockability requirement does not to those price changes is sufficiently elasticity of demand for child restraints. address incompatibility problems large and (2) there are no cost-effective While child restraint use is mandated by arising from forward-mounted seat belt ways to mitigate these effects such that each State, there is significant nonuse of anchors. The ‘‘Car Seat Only (CSO)’’ the final rule will result in a net restraints. An increase in the price of a system suggested by Cosco probably increase in child safety, NHTSA would child restraint could lead to a decrease would not make attaching a child seat need to reconsider the proposal. in demand for the product, significantly easier than it is today. The notwithstanding the restraint use laws. CSO belt would have to be correctly b. Regulatory Flexibility Act According to information from Cosco routed through the child restraint, The Regulatory Flexibility Act of 1980 (see summary, above, of NHTSA’s which is a problem occurring with (Public Law 96–354), as amended, October 1996 public workshop), the present seats, and appears hard to requires agencies to evaluate the average purchase price of a convertible tighten. Also, Cosco provided no potential effects of their proposed and car seat today is $63. About 25 percent information showing that the CSO belt final rules on small businesses, small of the car seats purchased cost $50 or would improve the securement of a organizations and small governmental less; less than five percent cost $100 or child restraint on contoured (especially jurisdictions. Section 603 of the Act more. Cosco estimated that at least 10 humped) seats. Another concern relates requires agencies to prepare and make percent of the people would not be able to the potential for inadvertent use by available for public comment an initial to purchase a car seat if prices increased an adult occupant. regulatory flexibility analysis (IRFA) significantly. Comments are requested on possible describing the impact of proposed rules Comments are requested on the effect alternatives to the proposal which on small entities. NHTSA has included that raising child restraint prices by $14 mitigate any significant economic an IRFA in the PEA for this proposal. (UCRA attachments) to possibly $100 impact of the proposed rule on small NHTSA tentatively believes that the (hard anchor system) would have on entities, while accomplishing the proposed rule could have a significant small businesses that manufacture child objectives of 49 U.S.C. § 30101 et seq. impact on a substantial number of small restraints. Would an across-the-board entities. The proposed rule would affect increase in price reduce small business c. Executive Order 12612 motor vehicle manufacturers, almost all sales? What is the magnitude of the This proposed rule has been analyzed of which would not qualify as small impact? in accordance with the principles and businesses, and portable child restraint As discussed above in section IX.a., a criteria contained in Executive Order manufacturers. NHTSA estimates there loaner program could have fewer seats 12612, and the agency has determined to be about 10 manufacturers of portable available. Assuming that would be the that this proposal does not have child restraints, four or five of which case, NHTSA seeks information on the sufficient federalism implications to could be small businesses. extent to which the number of seats a warrant the preparation of a Federalism Business entities are generally defined program makes available impacts on the Assessment. as small businesses by Standard organization itself. For example, do d. Unfunded Mandates Reform Act Industrial Classification (SIC) code, for proceeds from loaner or giveaway the purposes of receiving Small programs (where a nominal fee might be The Unfunded Mandates Reform Act Business Administration assistance. charged) support the not-for-profit of 1995 (Pub. L. 104–4) requires One of the criteria for determining size, organization’s activities? agencies to prepare a written assessment as stated in 13 CFR 121.601, is the NHTSA tentatively believes that there of the costs, benefits and other effects of number of employees in the firm. There are no alternatives to the proposal proposed or final rules that include a is no separate SIC code for child which would accomplish the stated Federal mandate likely to result in the restraints, or even a category that they objectives of 49 U.S.C. § 30101 et seq. expenditure by State, local or tribal fit into well. However, there are and which would minimize any governments, in the aggregate, or by the categories that could be appropriate. To significant economic impact of the private sector, of more than $100 qualify as a small business in the Motor proposed rule on small entities. As million annually. NHTSA has included Vehicle Parts and Accessories category discussed above in section V.c., an evaluation in the PEA for this (SIC 3714), the firm must have fewer ‘‘Discussion of Alternatives,’’ NHTSA proposal. The costs and benefits of the than 750 employees. The agency has considered a number of other proposal are discussed above and considered the small business impacts approaches to minimize or eliminate throughout the PEA. (As explained of this proposed rule based on this incompatibility between child seats and above, the cost would be approximately criterion. On the other hand, to qualify vehicle seats. SAE Recommended $105 million for vehicles, and $55 as a small business in the category Practice J1819, ‘‘Securing Child million for child restraints. The benefits including manufacturers of baby Restraint Systems in Motor Vehicle Rear would be saving approximately 24 to 32 furniture, the firm must have fewer than Seats,’’ does not appear sufficient alone children’s lives per year, and preventing 500 employees. Comments are requested to solve incompatibility problems. It is 2,187 to 3,615 injuries. An independent on which Standard Industrial a tool for evaluating incompatibility, not means of attaching child restraints Classification code would best represent a requirement that vehicle seats and would also enable vehicle child restraint manufacturers. child restraints must be compatible. manufacturers to optimize the design of The IRFA discusses the possible Further, it is very difficult for a single vehicle belt systems for adult impacts on small entities and requests system to optimize the safety protection occupants.) Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules 7877

Participants in a NHTSA public If a commenter wishes to submit restraints are properly secured in motor meeting held in March 1995 at the certain information under a claim of vehicles. Lifesavers National Conference on confidentiality, three copies of the S2. Application. This standard Highway Safety Priorities, who typically complete submission, including applies to passenger cars, and to work in State highway traffic safety purportedly confidential business multipurpose passenger vehicles, trucks agencies, community traffic safety information, should be submitted to the and buses with a GVWR of 10,000 programs and State or local law Chief Counsel, NHTSA, at the street pounds or less, except walk-in van-type enforcement agencies, expressed strong address given above, and seven copies vehicles and vehicles manufactured to support for a requirement for a universal from which the purportedly confidential be sold exclusively to the U.S. Postal child restraint anchorage system, such information has been deleted should be Service. as that proposed in this NPRM. Support submitted to the Docket Section. A S3. Definitions. for a universal child restraint anchorage request for confidentiality should be Child restraint anchorage means any system, such as that proposed in the accompanied by a cover letter setting component involved in transferring NPRM, was also expressed at NHTSA’s forth the information specified in the child restraint loads to the vehicle October 1996 public workshop on agency’s confidential business structure, including but not limited to, various types of anchorage systems. As information regulation. 49 CFR Part 512. the attachment hardware on the vehicle discussed above in sections V.c. and All comments received before the structure, webbing and straps attached IX.b., and in the PEA, the agency does close of business on the comment to the vehicle and hardware attached not believe that there are feasible closing date indicated above for the thereto, the seat frames, seat pedestals, alternatives to the proposal, including proposal will be considered, and will be and the vehicle structure itself. SAE Recommended Practice J1819, the available for examination in the docket Child restraint anchorage system lockability requirement or Cosco’s CSO at the above address both before and means a system that is designed for system. after that date. To the extent possible, attaching a child restraint to a vehicle at a particular designated seating position e. National Environmental Policy Act comments filed after the closing date will also be considered. Comments and for transferring child restraint loads NHTSA has analyzed this rulemaking received too late for consideration in to the vehicle structure and that consists action for the purposes of the National regard to the final rule will be of— Environmental Policy Act. The agency considered as suggestions for further (1) Two lower child restraint has determined that implementation of rulemaking action. Comments on the anchorages at the seat bight; and (2) A tether anchorage for attaching a this action would not have any proposal will be available for inspection top tether strap of a child restraint significant impact on the quality of the in the docket. The NHTSA will continue system. human environment. to file relevant information as it Child restraint apparatus means the becomes available in the docket after the f. Executive Order 12778 (Civil Justice fixture depicted in Figures 1, 2 and 3 of closing date, and it is recommended that Reform) this standard which simulates the interested persons continue to examine This proposed rule does not have any dimensions of a child restraint, and the docket for new material. retroactive effect. Under section 49 which is used to determine the space U.S.C. 30103, whenever a Federal motor Those persons desiring to be notified required by the child restraint and the vehicle safety standard is in effect, a upon receipt of their comments in the location and access to the lower state may not adopt or maintain a safety rules docket should enclose a self- anchorages. standard applicable to the same aspect addressed, stamped postcard in the Seat bight means the intersection of of performance which is not identical to envelope with their comments. Upon the vertical plane tangent to the forward the Federal standard, except to the receiving the comments, the docket most point of the seat back and the extent that the state requirement supervisor will return the postcard by horizontal plane tangent to the imposes a higher level of performance mail. uppermost point of the seat cushion. and applies only to vehicles procured List of Subjects 49 CFR Part 571 Tether anchorage is defined in 49 for the State’s use. 49 U.S.C. 30161 sets CFR 571.210b, ‘‘Tether anchorages for forth a procedure for judicial review of Imports, Motor vehicle safety, Motor child restraint systems.’’ final rules establishing, amending or vehicles. S4. Requirements. Each motor vehicle revoking Federal motor vehicle safety shall meet the requirements in this PART 571Ð[AMENDED] standards. That section does not require section when, as specified, tested in submission of a petition for In consideration of the foregoing, accordance with S5 and this paragraph. reconsideration or other administrative NHTSA proposes to amend 49 CFR Part S4.1 Type. proceedings before parties may file suit 571 as set forth below. (a) Except as provided in S4.1(b) through (d) of this section, each vehicle in court. 1. The authority citation for Part 571 shall be equipped with a child restraint would continue to read as follows: X. Comments on the Proposal anchorage system for at least two rear Interested persons are invited to Authority: 49 U.S.C. 322, 30111, 30115, designated seating positions. submit comments on the proposal. It is 30117 and 30166; delegation of authority at (b) A vehicle may be equipped with requested, but not required, that 10 49 CFR 1.50. a built-in child restraint system copies be submitted. 2. Section 571.210a would be added conforming to the requirements of All comments must not exceed 15 to read as follows: Standard No. 213 (49 CFR 571.213) in pages in length. (49 CFR 553.21). lieu of one of the child restraint Necessary attachments may be § 571.210a Standard No. 210a; Child anchorage systems required by S4.1(a) appended to these submissions without restraint anchorage system. of this section. regard to the 15-page limit. This S1. Purpose and scope. This standard (c) A vehicle that meets the limitation is intended to encourage establishes requirements for a system for conditions concerning rear seats in commenters to detail their primary anchoring child restraint systems to either S4.5.4.1(a) or S4.5.4.1(b) of arguments in a concise fashion. increase the likelihood that child Standard No. 208 (49 CFR 571.208) and 7878 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules that has an air bag cutoff switch meeting (b) The lower anchorage bars are (b) Meet the requirements of S4.2(e) the requirements of S4.5.4 of Standard located with respect to the child through (h) of FMVSS No. 209 (49 CFR 208 shall have a child restraint restraint apparatus rearward extensions 571.209). anchorage system installed for a as shown in Figures 2 and 3 of this S4.4.2 Buckles and belt adjustment designated seating position in the front standard, with the child restraint hardware. seat, and for a position in the rear seat apparatus placed on the vehicle seat Each belt buckle and item of belt if the vehicle has a rear seat. cushion and against the vehicle seat adjustment hardware used in a child (d) A vehicle that has no forward- back. Anchorage bars that are rigidly restraint anchorage system shall facing designated seating positions to supported are to be 50 mm rearward of conform to the requirements of S4.3(a) the rear of the front seating positions the rearmost surface of the fixture, while and S4.3(b) of FMVSS No. 209 (49 CFR and no air bag cutoff switch meeting the semi-rigidly supported bars may be 571.209). requirements of S4.5.4 of Standard 208, located from 50 mm rearward to 10 mm S4.5 Marking and Guidance. shall not have a child restraint forward of that surface. The center of For lower anchorages conforming to anchorage system installed for a rigidly supported lower anchorage bars S4.2.2, at least one lower anchorage bar designated seating position in the front shall be at least 120 mm behind the is to be readily visible to the person seat. vehicle seating reference point. installing a child restraint. The vehicle S4.2 Lower anchorages. (c) Rigidly supported lower anchorage seat cushion or seat back shall include The child restraint anchorage system bars must be in a zone from 10 to 20 mm markings or features to assist in the shall have two lower anchorages and above the bottom surface of the child correct lateral positioning of the child shall conform to either S4.2.1, or S4.2.2 restraint apparatus, while semi-rigidly restraint system as it is moved rearward and S4.2.3, at the manufacturer’s option. supported bars must be in a zone from to engage the lower anchorages. S4.2.1 Flexible anchorages. 0 to 20 mm above that surface. S4.6 Instructions. S4.2.1.1 Configuration and S4.2.2.3 Strength. The vehicle owner’s manual shall: Geometry. When tested in accordance with S5 of (a) Indicate the seating positions A child restraint anchorage system this standard, a child restraint equipped with a child restraint shall incorporate two lower anchorages anchorage shall meet the following anchorage system; with latchplates conforming to the requirements: (b) Include instructions that provide a configuration and geometry specified in (a) No portion of any component step-by-step procedure, including Figure 4 of this standard. attaching to the lower anchorage bars diagrams, for properly attaching a child S4.2.1.2 Location. shall move forward more than 125 mm. restraint system to a vehicle anchorage (a) When fully extended in a plane (b) There shall be no complete system equipped with lower anchorages parallel to the vehicle’s longitudinal separation of any anchorage component. conforming to the requirements of axis, the centerlines of the two S4.2.1 (with or without use of a S4.2.3 Connectors. latchplates are 280 mm apart. connector); and, (b) When fully extended in a plane Each vehicle equipped with lower (c) Include instructions for properly parallel to the vehicle’s longitudinal anchorages conforming to S4.2.2 of this installing a child restraint system in a axis, the tip of each latchplate must not standard shall be equipped with vehicle anchorage system equipped extend more than 50 mm forward of the connectors that permit the attachment of with lower anchorages conforming to seat bight. a child restraint that is equipped with the requirements of S4.2.2, if the vehicle components which attach to lower S4.2.1.3 Strength. is equipped with such anchorages. anchorages conforming to S4.2.1. Each When tested in accordance with S5 of S5 Test procedures. connector shall be equipped with a this standard, a child restraint S5.1 Lower anchorages. latchplate conforming to the anchorage system shall meet the Test each lower anchorage separately, configuration and geometry specified in following requirements: with or without connectors provided Figure 4 of this standard. When attached (a) No portion of the latchplate for with the vehicle. Apply a force of 5,300 to a lower anchorage, the tip of each N to each anchorage in the forward each lower anchorage shall pass through latchplate must not extend more than 50 a vertical, transverse plane that is 125 horizontal direction parallel to the mm forward of the seat bight when the vehicle’s longitudinal axis. Apply the mm forward of the seat bight; and connector is fully extended. (b) There shall be no complete force by means of a belt strap that S4.3 Tether anchorage. separation of any anchorage component extends at least 250 mm forward of the component (including webbing, straps, The child restraint anchorage system seat bight. The belt is fitted at one end hooks and buckles, latchplates, shall incorporate a tether anchorage with hardware for applying the force, adjustment and attachment hardware conforming to 49 CFR 571.210b, ‘‘Tether and at the other end with hardware that and retractors). anchorages for child restraint systems.’’ attaches to an anchorage or connector. S4.2.2 Rigid or semi-rigid S4.4 Webbing, buckles and belt Apply force to the belt strap so that the anchorages. adjustment hardware. 5,300 N force is attained within 30 S4.2.2.1 Configuration and S4.4.1 Webbing. seconds, with an onset force rate not geometry. The webbing provided with a child exceeding 135,000 N per second, and is A child seat anchorage system shall restraint anchorage system shall— maintained at the 5,300 N level for at incorporate two lower anchorages that (a) After being subjected to abrasion least 10 seconds. are 6 mm diameter transverse horizontal as specified in S5.1(d) or S5.3(c) of S5.2 Tether anchorage. round bars with a minimum length of 25 FMVSS No. 209 (49 CFR 571.209), have Tether anchorages are tested mm. a breaking strength of not less than 75 according to the procedures specified in S4.2.2.2 Location. percent of the strength of the unabraded 49 CFR 571.210b, ‘‘Tether anchorages (a) The transverse spacing of the bars webbing when tested in accordance for child restraint systems.’ shall be 280 mm, center-to-center. with S5.1(b) of FMVSS 209; and BILLING CODE 4910±59±P Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules 7879

Figure 1—Child Restraint Apparatus-Isometric 7880 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules

Figure 2a—Child Restraint Apparatus Anchorages Front View Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules 7881

Figure 2b—Child Restraint Apparatus Anchorages Side and Plan View 7882 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules 7883 7884 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules

BILLING CODE 4910±59±C Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules 7885

3. Section 571.210b would be added S4.2 Anchorage positioning located outside the shaded zone referred to read as follows: requirements. to in S4.3.2 if a routing device that is of S4.2.1 Passenger cars and sufficient strength to withstand the § 571.210b Standard No. 210b; Tether multipurpose passenger vehicles. The loads referred to in S4.4 is installed anchorages for child restraint systems vertical centerline of each tether within that shaded zone. S1. Purpose and scope. This standard anchorage and each tether anchorage S4.4 Strength. establishes requirements for the strength hardware component shall be located S4.4.1 If a tether anchorage is and location of tether anchorages to within the shaded zone shown in ensure proper anchoring of child installed for only one designated seating Figures 2, 3, 4 and 8 of this standard, position on a seat, the tether anchorage restraint systems. with reference to the shoulder reference S2. Application. This standard with the tether anchorage hardware point of a template described in section installed shall, when tested in applies to tether anchorages installed in 3.1 of SAE Standard J826 (June 1992), passenger cars manufactured on or after accordance with S5, withstand a force of where 5,300 N. There shall be no complete September 1, 1999, and in multipurpose (a) The H-point of the template is passenger vehicles, trucks and buses separation or failure of any anchorage located at the unique Design H-point of component. manufactured on or after September 1, the seat, as defined in section 2.2.11.1 S4.4.2 If a tether anchorage is 2000. of SAE Recommended Practice J1100 installed for more than one designated S3. Definitions. (June 1993), at the full rearward and seating position on a bench seat, each Tether anchorage means any downward position of the seat; tether anchorage with the tether component that transfers loads from (b) The torso line of the template is at anchorage hardware installed shall, tether anchorage hardware to the the same angle from the vertical plane when tested in accordance with S5, vehicle structure. as the seat back with the seat adjusted withstand the simultaneous application Tether anchorage hardware means to its full rearward and full downward of a force of 5,300 N to each assembly any component that transfers tether position and the seat back in its most of tether anchorage and tether anchorage strap loads to a tether anchorage and is upright position; and, hardware. There shall be no complete designed to accept a tether strap hook. (c) The template is positioned in the separation or failure of any anchorage Tether strap means a device that is vertical longitudinal plane that contains component. fitted with a tether strap hook and the H-point of the template. secured to the rigid structure of a child S4.2.2 Trucks and buses. Subject to S5 Test procedure. restraint system and that transfers the S4.3.2.1, the vertical centerline of each With the seat adjusted to its full load from that system to the anchorage tether anchorage and each tether rearward and full downward position hardware. anchorage hardware in a truck or bus and the seat back in its most upright Tether strap hook means a device, shall be located within the shaded zone position, attach a belt strap that extends illustrated in Figure 11 of Standard No. shown in Figures 5, 6, 7, and 8 of this not less than 250 mm forward from the 213 (49 CFR 571.213), used to attach a standard, with reference to the H-point vertical plane intersecting the seat bight tether strap to tether anchorage of a template described in section 3.1 of (the intersection of the surfaces of the hardware. SAE Standard J826 (June 1992), where seat cushion and the seat back). The S4. Requirements. Each tether (a) The H-point of the template is strap is fitted at one end with hardware anchorage shall meet the requirements located at the unique Design H-point of for applying the force and at the other of this section. the seat, as defined in section 2.2.11.1 end with a bracket for attachment to the S4.1 Configuration. of SAE Recommended Practice J1100 tether anchorage hardware and passes S4.1.1 Except as provided by S4.1.2, (June 1993), at the full rearward and over the top of the vehicle seat back as each tether anchorage shall— downward position of the seat; shown in Figure 8 of this standard. (a) Be equipped with tether anchorage (b) The torso line of the template is at Apply a force of 5,300 N to each hardware that is easily accessible and the same angle from the vertical plane anchorage in the forward horizontal that permits the attachment of a tether as the seat back with the seat adjusted direction parallel to the vehicle’s hook meeting the configuration and to its full rearward and full downward longitudinal axis. The 5,300 N force is geometry specified in Figure 11 of position and the seat back in its most attained within 30 seconds, with an Standard No. 213 (49 CFR 571.213) of upright position; and onset force rate not exceeding 135,000 N this section; (c) The template is positioned in the per second, and is maintained at the (b) Be located in accordance with S4.2 vertical longitudinal plane that contains 5,300 N level for one second. of this section; and the H-point of the template. Figure 1—[Reserved] (c) Be sealed to prevent the entry of S4.3.2.1 The centerline of a tether exhaust fumes. anchorage in a truck or bus may be BILLING CODE 4910±59±P 7886 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules

Figure 2—Side View, Tether Anchorage Location for Passenger Cars and Multi-Purpose Passenger Vehicles Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules 7887

Figure 3—Rear View, Tether Anchorage Location for Passenger Cars and Multi-Purpose Passenger Vehicles 7888 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules

Figure 4—Plan View, (R-Point Level), Tether Anchorage Location for Passenger Cars and Multi-Purpose Passenger Vehicles Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules 7889

Figure 5—Side View, Tether Anchorage Location for Trucks 7890 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules

Figure 6—Rear View, Tether Anchorage Location for Trucks Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules 7891

Figure 7—Plan View, (V-Point Level), Tether Anchorage Location for Trucks 7892 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules

Figure 8—Three-Dimensional Schematic View for Tether Anchorage Location for Passenger Cars, Multi-Purpose Passenger Vehicles and Trucks Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules 7893

4. Section 571.213 would be amended dummy’s head shall pass through a restraint system has components for by: vertical, transverse plane that is 813 mm attaching to a child restraint anchorage a. adding to S4, in alphabetical order, forward of point Z on the standard seat system, installation instructions shall be a definition of ‘‘child restraint assembly, measured along the center included that provide a step-by-step anchorage system,’’ ‘‘tether anchorage SORL (as illustrated in figure 1B of this procedure, including diagrams, for hardware,’’ ‘‘tether strap,’’ and ‘‘tether standard), and neither knee pivot point properly attaching a child restraint strap hook’’; shall pass through a vertical, transverse system to a vehicle anchorage system b. revising S5.1.3, S5.1.3.1, S5.3.1, plane that is 915 mm forward of point equipped with lower anchorages S5.3.2 and S5.6.1; Z on the standard seat assembly, conforming to the requirements of c. adding S5.9 and S5.10; measured along the center SORL, when S4.2.1 of Standard No. 210a (49 CFR d. revising S6.1.1(a)(1), S6.1.1(c) and attached to the seat assembly as § 571.210a). In addition, if the child S6.1.2(a)(1)(i); described in S6.1.2(a)(1)(i)(A)(2) or restraint is equipped with components e. adding S6.1.2(d)(1)(iii); and S6.1.2(a)(1)(B). that attach to a vehicle anchorage f. revising Figure 1A and adding (c) In the case of a built-in child system equipped with lower anchorages figures 11 and 12. restraint system, neither knee pivot conforming to the requirements of The revised and added paragraphs point shall, at any time during the S4.2.2 of Standard No. 210a, would read as follows: dynamic test, pass through a vertical, instructions shall be provided for § 571.213 Standard No. 213; Child restraint transverse plane that is 305 mm forward properly installing a child restraint to systems of the initial pre-test position of the such an anchorage system. * * * * * respective knee pivot point, measured * * * * * S4. Definitions. along a horizontal line that passes S5.9 Attachment to child restraint * * * * * through the knee pivot point and is anchorage system. Child restraint anchorage system is parallel to the vertical plane that passes (a) Each add-on child restraint system, defined in S3 of FMVSS No. 210a (49 through the vehicle’s longitudinal other than a belt-positioning seat, shall CFR 571.210a). centerline. have components permanently attached * * * * * * * * * * to the system that securely fasten to the Tether anchorage hardware is defined S5.3 Installation. latchplates conforming to S4.2.1 of in S3 of FMVSS No. 210b (49 CFR S5.3.1 Except for components Standard No. 210a (49 CFR § 571.210a) 571.210b). designed to attach to a child restraint and depicted in Drawing Package ll Tether strap means a device that is anchorage system, each add-on child (consisting of drawings and a bill of fitted with a tether strap hook and restraint system shall have no means materials) with addendum A, revision secured to the rigid structure of a child designed for attaching the system to a dated January 6, 1997, (incorporated by restraint system and that transfers the vehicle seat cushion or vehicle seat back reference; see § 571.5). load from that system to the tether and no component (except belts) that is (b) In addition to the components anchorage hardware. designed to be inserted between the required by S5.9(a), each child restraint Tether strap hook means a device, vehicle seat cushion and vehicle seat system intended for use with lower illustrated in Figure 11 of this standard, back. anchorages conforming to S4.2.2 of used to attach a tether strap to tether S5.3.2 (a) When installed on a Standard No. 210a (49 CFR § 571.210a) anchorage hardware. vehicle seat, each add-on child restraint shall have components of a * * * * * system, other than a belt-positioning configuration depicted in Figure 12 of S5.1.3 Occupant excursion. When seat, shall be capable of being restrained this standard, in a location that enable tested in accordance with S6.1 and the against forward movement solely by the child restraint to securely fasten to requirements specified in this means of: the anchorages. (1) A Type I seat belt assembly paragraph, each child restraint system S5.10 Each tether strap on a child (defined in § 571.209) that meets shall meet the applicable excursion restraint system must be equipped with Standard No. 208 (§ 571.208); limit requirements specified in S5.1.3.1 a tether strap hook that conforms to the (2) A Type I seat belt assembly plus through S5.1.3.3. configuration and geometry specified in a tether anchorage; and, S5.1.3.1 Child restraint systems Figure 11 of this standard. (3) A child restraint anchorage other than rear-facing ones and car * * * * * beds. Each forward-facing child restraint system. S6.1.1 Test conditions. system shall retain the test dummy’s (b) Each belt-positioning seat shall be torso within the system. capable of being restrained against (a) Test devices. (a) In the case of an add-on child forward movement by means of a Type (1) The test device for add-on restraint restraint system, no portion of the test II seat belt assembly (defined in systems is a standard seat assembly dummy’s head shall pass through a § 571.209) that meets Standard No. 208 consisting of a simulated vehicle bench vertical, transverse plane that is 720 mm (§ 571.208). seat, with three seating positions, which forward of point Z on the standard seat * * * * * is described in Drawing Package SAS– assembly, measured along the center S5.6.1 Add-on child restraint 100–1000 with Addendum A Revised SORL (as illustrated in figure 1B of this systems. (consisting of drawings and a bill of l standard), and neither knee pivot point Each add-on child restraint system materials), dated December , 1996 shall pass through a vertical, transverse shall be accompanied by printed (incorporated by reference; see § 571.5). plane that is 915 mm forward of point installation instructions in English that The assembly is mounted on a dynamic Z on the standard seat assembly, provide a step-by-step procedure, test platform so that the center SORL of measured along the center SORL, when including diagrams, for installing the the seat is parallel to the direction of the attached to the seat assembly as system in motor vehicles, securing the test platform travel and so that described in S6.1.2(a)(1)(i)(A)(1). system in the vehicles, positioning a movement between the base of the (b) In the case of an add-on child child in the system, and adjusting the assembly and the platform is prevented. restraint system, no portion of the test system to fit the child. If the child * * * * * 7894 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules

(c)(1) Attached to the seat belt S6.1.2 Dynamic test procedure. (B) A belt-positioning seat is attached anchorage points provided on the (a) Activate the built-in child restraint to either outboard seating position of the standard seat assembly (illustrated in or attach the add-on child restraint to standard seat assembly in accordance Figures 1A and 1B of this standard) are the seat assembly as follows: with the manufacturer’s instructions Type I seat belt assemblies in the case (1)(i) Test configuration I. provided with the system pursuant to of add-on child restraint systems other (A) Except for a belt-positioning seat, S5.6.1 using only the standard vehicle than belt-positioning seats, or Type II an add-on child restraint system is lap and shoulder belt. seat belt assemblies in the case of belt- installed at the center seating position of * * * * * positioning seats. These seat belt the standard seat assembly using either assemblies meet the requirements of the standard lap belt or the child seat (d) * * * Standard No. 209 (§ 571.209) and have anchorage system— (1) * * * webbing with a width of not more than (1) In accordance with the (iii) When attaching a child restraint 50 mm, and are attached to the manufacturer’s instructions provided anchorage points without the use of with the system pursuant to S5.6.1; or system to the child restraint anchorage retractors or reels of any kind. (2) In accordance with the system on the standard seat assembly, manufacturer’s instructions, except that all belt systems used to attach the (2) Attached to the standard seat the add-on restraint is secured to the restraint to the standard seat assembly assembly is a child restraint anchorage standard vehicle seat using only the are tightened to a tension of not less system conforming to Standard No. 210a standard vehicle lap belt (except a child than 53.5 N and not more than 67 N, as (§ 571.210a). The seat assembly is harness, a backless child restraint measured by a load cell used on the equipped with lower anchorages that system with a top anchorage strap, and webbing portion of the belt. conform to S4.2.1 and S4.2.2 of that a restraint designed for use by * * * * * standard. physically handicapped children are not * * * * * * subject to this paragraph. BILLING CODE 4910±59±P Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules 7895 7896 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules

Figure 11—Tether Strap Hook Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules 7897

Figure 12—Rigid Connector-Side View

Issued on February 13, 1997. L. Robert Shelton, Associate Administrator for Safety Performance Standards. [FR Doc. 97–4084 Filed 2–18–97; 8:45 am] BILLING CODE 4910±59±C federal register February 20,1997 Thursday Such Companies;FinalRule Capital ContributionsandAdvancesto Gas-Related Activities;Exemptionof Engaged inCertainEnergy-Relatedand Securities ofNonutilityCompanies Public-Utility HoldingCompaniesof Exemption ofAcquisitionbyRegistered 17 CFRParts250and259 Commission Exchange Securities and Part V 7899 7900 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Rules and Regulations

SECURITIES AND EXCHANGE issued a release proposing rule 58 and The Commission is also adopting COMMISSION the amendments to the existing rules on amendments to rule 45(b) and rule June 20, 1995.1 Subject to certain 52(b), which concern financings by 17 CFR Parts 250 and 259 conditions, rule 58 provides an registered system companies, in each exemption, pursuant to section 9(c)(3) of case to conform the rules to the [Release No. 35±26667; File No. S7±12±95] the Act, from the requirement of prior limitations of rule 58. Rule 45(b) is RIN 3235±AG46 Commission approval under sections amended to qualify the exception that 9(a)(1) and 10, for acquisitions by the rule creates to the requirement of Exemption of Acquisition by registered holding companies and their Commission approval under section Registered Public-Utility Holding subsidiaries of securities of companies 12(b) and rule 45(a) for capital Companies of Securities of Nonutility engaged in activities with which the contributions and open account Companies Engaged in Certain Commission is familiar as a result of its advances without interest to a Energy-Related and Gas-Related administrative experience and which subsidiary company. As amended, the Activities; Exemption of Capital are so closely related to the ordinary exception of rule 45(b) is available if the Contributions and Advances to Such course of the utility business as not to aggregate amount of such financing Companies require case-by-case analysis under transactions on behalf of a subsidiary sections 9(a)(1) and 10. energy-related company conforms to the AGENCY: Securities and Exchange Rule 58 exempts from the requirement limitations of rule 58. Rule 52(b) is Commission. of prior approval the acquisition by a similarly amended to qualify the ACTION: Final rule. registered holding company or its exemption that the rule provides from subsidiary company of any securities of the requirement of prior Commission SUMMARY: The Commission is adopting an energy-related company, subject to approval under sections 6(a) and 7 for new rule 58 and conforming securities issued by energy-related amendments to rules 45(b) and 52(b) certain limitations and reporting requirements. The rule defines an subsidiary companies to associate under the Public Utility Holding companies. Company Act of 1935 (‘‘Holding energy-related company as one that Company Act’’ or ‘‘Act’’). Rule 58 derives, or will derive, substantially all I. Introduction exempts from the requirement of prior of its revenues from one or more This rulemaking arises in the broad Commission approval a direct or activities specifically enumerated in the context of nonutility diversification by indirect acquisition by a registered rule. The exemption provided by the registered gas and electric public-utility holding company or its subsidiary of an rule will be available only if the holding companies. Section 9(a)(1) of interest in an ‘‘energy-related aggregate investment by the registered the Holding Company Act requires prior company,’’ as defined in the rule, holding company and its subsidiaries in Commission approval under the subject to certain limitations and energy-related companies does not standards of section 10 for a direct or reporting requirements; and by a gas exceed the greater of $50 million or 15% indirect acquisition by a registered registered holding company or its of consolidated capitalization. holding company of ‘‘any securities’’ or subsidiary of an interest in a ‘‘gas- Rule 58 also exempts from the ‘‘any interest in any other business,’’ related company,’’ as defined in the requirement of prior approval the i.e., any nonutility interest.2 Section rule, subject to certain reporting acquisition by a gas registered holding 10(c)(1) precludes approval of an requirements. The rule and related rule company or its subsidiary company of acquisition that would be ‘‘detrimental amendments eliminate unnecessary any securities of a gas-related company, to the carrying out of the provisions of regulatory limitations on investments in subject to certain reporting section 11.’’ Section 11, described in the certain businesses that are closely requirements. The rule defines a gas- legislative history of the Act as the related to the core utility business of the related company as one that derives, or ‘‘very heart’’ of the Act,3 requires the registered system while establishing will derive, substantially all of its Commission to confine the nonutility disclosure and reporting requirements revenues from one or more activities interests of such companies to those that that promote the public interest and permitted under the Gas Related are ‘‘reasonably incidental, or serve to protect consumers and Activities Act of 1990 (‘‘GRAA’’). economically necessary or appropriate investors. Rule 58 requires a registered holding to the operations of [an] integrated public-utility system.’’ 4 The EFFECTIVE DATE: March 24, 1997. company that seeks to rely upon the rule to file with this Commission and Commission has interpreted the FOR FURTHER INFORMATION CONTACT: each state commission having Bonnie Wilkinson, Assistant Director, 2 jurisdiction over the retail rates of the The Commission has read the latter phrase to Martha Cathey Baker, Senior Special registered system operating companies a encompass any arrangement that entails the Counsel, Sidney L. Cimmet, Senior acquisition of a substantial interest in a nonutility quarterly report disclosing acquisitions Special Counsel, or Robert P. Wason, business undertaking. See, e.g., Public Service Co. pursuant to the rule and certain other of Oklahoma, 45 S.E.C. 878, 883–4 (1975). Chief Financial Analyst, all at (202) 3 information required by proposed Form S. Rep. No. 621, 74th Cong., 1st Sess. (1935) 942–0545, Office of Public Utility U–9C–3. The reporting requirements are (‘‘Senate Report’’) at 11. Regulation, Division of Investment 4 Section 11(b)(1) of the Act. Section 11(b)(1) intended to enable the Commission and Management, Securities and Exchange further provides that the Commission may so the state and local regulatory authorities characterize a nonutility interest that it finds to be Commission, 450 Fifth Street, NW., to monitor acquisitions pursuant to the ‘‘necessary or appropriate in the public interest or Washington, D.C. 20549. rule, including any transactions with for the protection of investors or consumers and not SUPPLEMENTARY INFORMATION: The detrimental to the proper functioning of such rule 58 companies involving the system. * * *’’ Commission today is adopting rule 58 operating companies in registered The interests of investors and consumers and the and related amendments to rule 45(b) systems. public interest are the protected interests under the and rule 52(b) (17 CFR 250.45(b) and Holding Company Act. The Commission has 250.52(b)) under the Public Utility interpreted the public interest standard of the Act 1 Holding Co. Act Release No. 26313 (June 20, to extend to the interest in a sound gas and electric Holding Company Act of 1935 (15 1995), 60 FR 33642 (June 28, 1995) (‘‘Proposing utility industry. See Eastern Utilities Assocs., U.S.C. 79a et seq.). The Commission Release’’). Holding Co. Act Release No. 26232 (Feb. 15, 1995). Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Rules and Regulations 7901 provisions of section 11 to reflect a that section 9(c)(3) may not be used to Congress has enacted a number of Congressional policy against nonutility circumvent section 11(b)(1)’s important legislative measures to activities that bear no operating or prohibition of the acquisition of an facilitate acquisitions by registered functional relationship to the utility interest in a business unrelated to the holding companies of interests to which operations of the registered system. 5 core utility business. 9 section 11 was perceived to create This interpretation was intended to As noted in the Proposing Release, 10 barriers. In some instances, the focus the attention of the registered registered holding companies have filed legislation treated acquisitions of holding company on the needs of its numerous applications in recent years essentially utility interests as nonutility operating utilities, and thereby protect seeking authorization to engage in acquisitions for purposes of the Act, so consumers and investors against the nonutility activities that the companies as to avoid the integration requirements risks that might be associated with contend complement, or are natural of section 11. 13 In other instances, the unrelated businesses.6 extensions of, the evolving gas and legislation permitted essentially Section 9(c)(3) of the Act provides an electric industries. In considering these nonutility activities that were either exemption from the requirements of applications, the Commission has closely related to core operations or section 9(a)(1) for the acquisition of attempted to balance the need for otherwise deemed appropriate for ‘‘such commercial paper and other regulatory change due to industry participation by registered holding securities, within such limitations as the developments with the need for companies. An example of recent Commission may by rules and continued protection under the Act of legislation relates to nonutility activities regulations or order prescribe as the public interest and the interest of involved in the supply of natural gas. appropriate in the ordinary course of investors and consumers. 11 The concept In 1990, Congress enacted the Gas business of a registered holding of a functional relationship has been Related Activities Act to permit a gas company or subsidiary company thereof expanded in some cases, in a manner registered holding company to engage in and as not detrimental to the public consistent with the purposes and transportation, marketing, storage and interest or the interest of investors or limitations of the Act, and the other nonutility gas-related activities consumers.’’ The Commission has Commission has permitted some that are not functionally related to the previously issued orders under section activities that would benefit the company’s business. 14 The GRAA 9(c)(3) exempting from section 9(a)(1) registered system in ways less tangible provides that an acquisition of an acquisitions of small amounts of and direct than those considered and interest in a company that engages in securities of local industrial approved in orders of previous years. In certain gas-related activities, including development corporations, affordable some cases the Commission approved as storage, transportation and wholesale housing projects, and venture capital part of this development extensive sales, is deemed to meet the concerns, among others. 7 The transactions with nonassociate requirements of section 11(b)(1) of the Commission has also adopted rule companies and declined to limit the Act. The GRAA further provides that an 40(a)(5) under section 9(c)(3) to exempt transactions to the particular service acquisition of an interest in a company such acquisitions from the requirements territory of the registered system that engages in other activities relating of section 9(a)(1), provided that an utilities. To this extent, the Commission to the supply of natural gas is deemed affiliate relationship does not result, and implicitly correlated the functional to meet the requirements of section subject to certain annual dollar relationship test with changes in the 11(b)(1), if the Commission finds that limitations. 8 The Commission has noted industry. 12 the acquisition is in the interest of consumers of the holding company 5 See generally Michigan Consolidated Gas Co., 44 of the securities of economic development system and is not detrimental to those S.E.C. 361, 363–66 (1970), aff’d, 444 F.2d 913 (D.C. companies created under special state laws consumers or to the proper functioning Cir. 1971) (rejecting proposed investment in low promoting economic development, and up to $1 of the registered system. 15 income housing projects). See also CSW Credit, Inc., million annually in local industrial or nonutility Holding Co. Act Release No. 25995 (Mar. 2, 1994) enterprises. In 1992, Congress acted to permit both (rejecting proposed expansion of transactions with 9 Michigan Consolidated Gas Co., 44 S.E.C. at 366. gas and electric registered holding nonassociate companies by subsidiary engaged in 10 60 FR at 33643. companies to acquire interests in factoring of utility accounts receivable). By its 11 The Commission in some instances imposed cogeneration and small power terms, section 11 applies only to registered holding percentage, geographic or other limitations upon production facilities, wherever located, companies. The Commission has never determined transactions on behalf of nonassociate companies. the limits on diversification by exempt holding These limitations were intended to ensure that the companies. particular nonutility interest would continue to generally require little or no further investment by 6 Section 11 was intended ‘‘simply to provide a benefit the integrated system primarily and thereby the holding company; and (3) would permit the mechanism to create conditions under which conform to the functional relationship requirement. amortization of product development expenses with effective Federal and State regulation will be 12 The Commission took a more flexible approach little or no risk (citing Jersey Central Power & Light possible.’’ Senate Report at 11. As an historical to functional relationship in Southern Co., Holding Co., Holding Co. Act Release No. 24348 (Mar. 18, matter, the statute led to the refashioning of the Co. Act Release No. 26211 (Dec. 30, 1994). In that 1987), as approved in CSW Credit, Inc., note 5 structure and the business practices of an entire case, Southern proposed to develop a above). industry. See, e.g., Joel Seligman, The communications system to provide services to both 13 Under the Public Utility Regulatory Policies Transformation of Wall Street: A History of the system companies and nonassociates. While only a Act of 1978 (‘‘PURPA’’), 16 U.S.C. 824a–3, and Securities and Exchange Commission and Modern small additional investment in the system was related legislation, a registered holding company Corporate Finance (rev. ed. 1995). required to facilitate nonassociate transactions, a can acquire an interest in ‘‘qualifying facilities’’ 7 See, e.g., Hope Gas, Inc., Holding Co. Act majority of the revenues from the system could (‘‘QFs’’), as defined in the regulations under Release No. 25739 (Jan. 26, 1993) and Georgia ultimately be derived from these transactions. The PURPA, that are unrelated to its core utility Power Co., Holding Co. Act Release No. 25949 (Dec. Commission approved the proposal, stating that the operations. See also the Energy Policy Act of 1992, 15, 1993) (securities of local venture capital relative investment for associate and nonassociate discussed below. companies); Georgia Power Co., Holding Co. Act purposes is relevant to a determination of a 14 Pub. L. No. 101–572, 104 Stat. 2810 (Nov. 15, Release No. 26220 (Jan. 24, 1995) and East Ohio Gas functional relationship. Alternatively, the 1990), codified as a note to section 11 of the Act. Co., Holding Co. Act Release No. 25046 (Feb. 27, Commission found a functional relationship existed 15 See, e.g., Columbia Gas System, Holding Co. 1990) (securities of affordable housing because the nonutility interest being acquired (1) Act Release No. 25802 (Apr. 22, 1993) (authorizing partnerships); Potomac Edison Co., Holding Co. Act would involve the sale or lease of products or skills subsidiary to engage in marketing of natural gas). Release No. 25312 (May 14, 1991) (shares of for- of some complexity developed by the holding Section 2(b) of the GRAA requires the Commission profit economic development corporation). company at considerable expense for the benefit of to determine whether the proposed activities will 8 Under rule 40(a)(5), a holding company or its utility subsidiaries and not readily available to benefit both the retail and the wholesale utility subsidiary may acquire up to $5 million annually the rest of the public from other sources; (2) would customers of the registered system. 7902 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Rules and Regulations

and to market and broker electric power of these developments, the Finally, after the issuance of the through affiliated exempt wholesale contemporary gas and electric industries Proposing Release, Congress enacted generators (‘‘EWGs’’). 16 In 1992, no longer focus solely upon the legislation amending the Act to permit Congress also enacted legislation to traditional production and distribution registered holding companies, without promote the development of alternative functions of a regulated utility, but are prior Commission approval under powered vehicles as a part of a national instead evolving toward a broadly sections 9(a)(1) and 10, to participate in energy policy to reduce automobile based, competitive, energy services a broad range of telecommunications emissions. The legislation permits gas business. 21 activities through a special purpose registered holding companies to engage As discussed previously, the subsidiary, an ‘‘exempt in activities related to vehicular natural Commission has sought to respond to telecommunications company’’ 17 developments in the industry by gas, as defined. (‘‘ETC’’).24 Once an entity is certified as As a result of Congressional action, expanding its concept of a functional an ETC by the Federal Communications combined with initiatives of the Federal relationship in a manner consistent with Energy Regulatory Commission the purposes and limitations of the Act. Commission, acquisition and retention (‘‘FERC’’) and the state and local In several recent filings, the by a registered holding company of an ratemaking authorities, the pace of Commission has been requested to interest in the entity is exempt from change in the gas and electric utility reconsider some administrative substantive requirements under the industry is accelerating. Today, the gas restrictions employed in the past. In Holding Company Act.25 As a result of industry is largely deregulated and the approving these requests, the this legislation, the provisions of electric industry is undergoing a similar Commission determined, as required by proposed rule 58 concerning process. 18 In addition to increasing the Act, that its action would not be telecommunications activities are no competition at the wholesale level, detrimental to the interests protected longer needed. retail electric competition is developing under the Act. The Commission The Commission believes that the more rapidly than anticipated, due to suggested that various considerations, realities of the contemporary gas and state efforts. 19 Utilities and other including developments in the industry, electric industries, and its experience in suppliers of energy appear poised to the Commission’s familiarity with the the administration of sections 9 and 10 20 compete in retail markets. As a result particular nonutility activities at issue, of the Act, permit a recognition that the absence of significant risks inherent certain activities are an integral part of 16 Energy Policy Act, Pub. L. 102–486, 106 Stat. in the particular venture, the specific the contemporary utility business, and 2776 (1992). These activities of EWGs are limited protections provided for consumers and so may be deemed to be activities ‘‘in primarily to the sale of electric power for resale. the absence of objections by the relevant 17 See Articles IV, V and VI, Energy Policy Act the ordinary course of business’’ of a state regulators, made it unnecessary to of 1992, Pub. L. 102–486, 106 Stat. 2777 (1992) registered holding company within the (codified as a note to section 2). These legislative adhere rigidly to the types of developments are discussed at greater length in the administrative measures discussed meaning of section 9(c)(3) of the Act. Proposing Release. 60 FR at 33644. above.22 Further, a 1995 Commission Rule 58 identifies such activities. The 18 See generally The Regulation of Public-Utility staff report recommended that the rule is variously subject to qualifications Holding Companies, Report of the Division of and limitations that are intended to Investment Management, Securities and Exchange Commission replace the use of bright- Commission (June 1995) (‘‘Report’’), at 19–22, 26– line limitations with a more flexible ensure that acquisitions pursuant to the 27 (surveying recent regulatory and other standard that would take into account rule are appropriate in the ordinary developments in the electric and gas industries). the risks inherent in the particular course of business, as contemplated by Among other things, the Report notes that following the Energy Policy Act, the FERC has engaged in a venture and the specific protections section 9(c)(3), are consistent with prior series of initiatives to encourage the development provided for consumers.23 orders under section 9(a)(1) and 10, and of competitive energy markets. Id. at 23. More are not detrimental to the protected Massachusetts) and, more recently, has authorized recently, on April 24, 1996, the FERC adopted interests.26 Order No. 888, FERC Stats. & Regs. ¿ 31,036, which retail marketing of both electric power and natural gas on a nationwide basis, subject to compliance represents a major step in the effort to increase II. Proposed Rule 58 competition in the generation and transmission with applicable state law. SEI Holdings, Inc., segments of the electric industry. Holding Co. Act Release No. 26581 (Sept. 26, 1996). 21 The Commission acknowledged these Rule 58 is intended to facilitate 19 See, e.g., ‘‘State Regulators Debate Taking a developments in the Proposing Release, 60 FR at Stand on National Retail Wheeling Legislation’’, investments by registered holding 33643, and, again, in a recent order authorizing a Energy Report (March 4, 1996) (describing state companies in energy-related and gas- gas registered holding company to acquire an initiatives and possible support for federal interest in a partnership formed to engage in the related companies. Acquisitions legislation establishing retail wheeling). At the state wholesale brokering and marketing of natural gas, pursuant to the rule are considered to be level, for instance, New Hampshire has adopted a electricity and other fuels. Consolidated Natural pilot program under which each New Hampshire Gas Co., Holding Co. Act Release No. 26512 (Apr. 24 Telecommunications Act of 1996, Pub. L. 104– utility must allow customers representing three 30, 1996). The order noted the growing competition percent of peak load to have access to alternative among various companies, including exempt 104, 110 Stat. 56 (1996) (‘‘Telecommunications suppliers of electricity for two years, beginning on holding companies, as well as stand-alone utilities Act’’), codified as section 34 of the Act. or about May 28, 1996. Order of the New and other companies not subject to the Act, to meet 25 The Telecommunications Act does not provide Hampshire Public Utilities Commission on the increasing customer demand for a full range of that ETCs themselves are exempt from regulation Retail Competition Pilot Program Establishing Final energy options. under the Act. See section 34. However, the law Guidelines and Requiring Compliance Filings 22 See, e.g., Consolidated Natural Gas Co., (Order No. 22,033, dated Feb. 28, 1996). Other contemplates that the role of the Commission will Holding Co. Act Release No. 26512 (approving consist largely of monitoring telecommunications states, such as Massachusetts, Rhode Island and wholesale marketing and brokering of natural gas, investments of registered holding companies. The Illinois, are also implementing or considering electricity and other fuels, without percentage programs to promote retail competition. limitations); Eastern Utilities Assocs., Holding Co. Commission is authorized to require reporting of 20 The Commission has authorized registered Act Release No. 26232 (removing percentage investments in, and activities of, ETCs that are holding companies to engage, through nonutility limitation previously placed upon demand-side likely to have a material impact on the financial or subsidiaries, in the retail marketing of electric management and energy management services operational condition of a registered holding power in specific states that have implemented business of registered holding company); Southern company. See section 34(f). plans and programs for competition in retail electric Co., Holding Co. Act Release No. 26211 26 As noted in the Proposing Release, rule 58 is markets, see, e.g., Eastern Utilities Assocs., Holding (considering, in assessment of a functional intended largely to encompass investments in Co. Act Release No. 26519 (May 23, 1996) relationship, the relative investment for associate (authorizing retail sales of electric power pursuant and nonassociate companies). companies engaged in activities of the same or to pilot programs in New Hampshire and 23 Report at 81–87, 91–92. substantially similar character as those approved in previous orders of the Commission under sections 9(a)(1) and 10. 60 FR at 33648. Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Rules and Regulations 7903

‘‘appropriate in the ordinary course of a more restrictive rule. The comments commercial and industrial heating and business’’ within the meaning of section received on various aspects of the rule lighting; 9(c)(3), and are thus exempt from the are discussed below. The Commission is (5) The brokering and marketing of energy requirement of prior Commission adopting rule 58 and the conforming commodities, including but not limited to electricity or natural or manufactured gas; approval under sections 9(a)(1) and 10. amendments to rules 45 and 52 (6) The production, conversion, and The Commission received comment substantially as proposed, but with a distribution of thermal energy products, such letters from, or on behalf of, eleven number of clarifications. as process steam, heat, hot water, chilled registered holding companies, one water, air conditioning, compressed air and A. Investments in Energy-Related exempt holding company, one industry similar products; alternative fuels; and Companies trade association, and one local renewable energy resources; regulatory authority.27 With the Rule 58(a)(1) exempts from the (7) The sale of technical, operational, exception of the Council of the City of requirement of prior Commission management, and other similar kinds of approval under sections 9(a)(1) and 10, services and expertise, developed in the New Orleans (‘‘New Orleans’’), all course of utility operations in such areas as commenters support adoption of the pursuant to section 9(c)(3), the power plant and transmission system rule 28 and, in many cases, propose acquisition by a registered holding engineering, development, design and additional changes to expand the rule.29 company or its subsidiary company of rehabilitation; construction; maintenance and New Orleans opposes adoption of the securities of an ‘‘energy-related operation; fuel procurement, delivery and rule,30 and requests, in the alternative, company;’’ provided, that aggregate management; environmental licensing, investment (as defined) in such testing and remediation; and other similar 27 The registered holding companies that companies does not exceed the greater areas; submitted comments are Allegheny Power System, of 15% of consolidated capitalization or (8) The ownership or operation of QFs, and Inc. (‘‘Allegheny’’), American Electric Power facilities necessary or incidental thereto, Company, Inc. (‘‘AEP’’), Central and South West $50 million. Investments made prior to including thermal energy utilization facilities Corporation (‘‘CSW’’), Cinergy Corp. (‘‘Cinergy’’), effectiveness of the rule are excluded for purchased or constructed primarily to enable The Columbia Gas System, Inc. (‘‘Columbia’’), purposes of calculating the investment the qualifying facility to satisfy the useful Consolidated Natural Gas Company limitations. thermal output requirements under PURPA; (‘‘Consolidated’’), Eastern Utilities Associates The Proposing Release defines an (9) The ownership or operation of fuel (‘‘EUA’’), Entergy Corporation (‘‘Entergy’’), General procurement, transportation, handling and Public Utilities Corporation (‘‘GPU’’), Northeast ‘‘energy-related company’’ in terms of Utilities (‘‘Northeast’’) and The Southern Company the activities in which it may engage. storage facilities, scrubbers, and resource (‘‘Southern’’). The exempt holding company that Specifically, as proposed, the rule recovery and waste water treatment facilities; submitted comments is Wisconsin Energy (10) The production, transportation, Corporation (‘‘Wisconsin Energy’’), and the industry would define an energy-related distribution or storage of all forms of energy association is the American Gas Association company as one that engages in: (1) One other than electricity and natural or (‘‘AGA’’). The local regulator that submitted or more of various categories of specific manufactured gas; comments is the Council of the City of New activities set forth in the rule, described (11) The development and Orleans. Copies of the comments are available for commercialization of technologies or inspection in File No. S7–12–95 in the below, and (2) such other nonutility Commission’s public reference room. activities as the Commission may from processes that utilize coal waste by-products as an integral component of such technology 28 See, e.g., Comments of AEP (the rule would time to time approve by order upon reduce regulatory burdens on registered systems application under sections 9 and 10, or process; and (12) The ownership, sale, leasing or and permit them to compete in the energy and, so doing, designate as energy- industry); and Columbia (the rule eliminates licensing of the use of telecommunications unnecessary and costly regulatory burdens on related for purposes of the rule. Rule 58 facilities and equipment (such as fiber optic registered systems). Some commenters also note requires that an energy-related company lines, coaxial cable, or other communications that, beyond adoption of rule 58, the Commission at all times derive substantially all of its capacity, towers and tower sites and other should provide registered holding companies with revenues from the activities designated similar properties). the flexibility to engage in utility-related businesses without limitation. See, e.g., Comments of AGA in the rule. The rule as proposed also specifically (section 11 should be broadly interpreted to permit The energy-related activities specified provided a means for the Commission to gas systems to enter into any business involving in subsection (b)(1) of the rule as add additional activities to the production, transmission, dissemination or proposed were: marketing of any form of consumable energy or any definition upon application in the business or operation based on the facilities, (1) The rendering of energy conservation future. resources or expertise from the company’s and demand-side management services; operations); and CSW (restrictions on (2) The development and 1. Definition of ‘‘Energy-Related diversification prevent registered systems from commercialization of electrotechnologies Company’’ engaging in businesses that would benefit related to energy conservation, storage and customers and investors and impede efficient a. General. The Commission received evolution of the electric utility industry). conversion, energy efficiency, waste a substantial number of comments 29 For example, one commenter notes that the rule treatment, greenhouse gas reduction, and concerning the definition of ‘‘energy- similar innovations; should generally be more flexible, so as to related company.’’ Several commenters accommodate changes that may arise as the (3) The manufacture, conversion, sale and restructuring of the electric industry continues. servicing of electric and compressed natural assert that the definition should not Comments of Wisconsin Energy. The Commission gas powered vehicles and ownership and consist of enumerated categories of notes, however, that various issues, such as those operation of related refueling and recharging specific activities, but should instead be that surround the possible disaggregation of utility equipment; broad and general.31 Although this assets and horizontal integration of utility (4) The sale, installation, and servicing of functions, are beyond the scope of a rule that is approach would offer greater flexibility, intended to exempt nonutility interests that are electric and gas appliances for residential, commonplace today and closely related to the core 31 Comments of AGA, Columbia and utility business. The Commission continues to is unlawful and not in the public interest.’’ It Consolidated. Suggested definitions would include examine the issues raised by industry restructuring, further asserts that the rule does not adequately any company engaged in a business based on or and will undertake any necessary or appropriate protect consumers from ‘‘diversification risks and developed from the facilities, resources, technology rulemaking or other administrative action in the failures which are well known and documented in or expertise of the registered system’s operations future. this industry.’’ New Orleans states that only the (Comments of AGA and Columbia); and any 30 New Orleans opposes the rule on many Commission has the authority to regulate company engaged in a business involving the grounds. Among other things, New Orleans asserts diversification and that it has a ‘‘duty to protect production, transmission, dissemination or that the rule constitutes ‘‘deregulation of nonutility consumers’’ in this area. Comments of New Orleans marketing of any form of consumable energy investment by registered holding companies [that] at 3–4. (Comments of AGA). 7904 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Rules and Regulations the Commission believes that it is not though a finding of a functional and opportunity to comment.37 On consistent with the requirements of relationship under section 11(b)(1) is reconsideration, however, the section 9(c)(3) of the Act. As discussed not required in this context, each of the Commission has determined that this previously, that section provides an activities permitted under the rule as provision could result in increased exemption only for acquisitions of adopted has in many instances been administrative burdens for both the securities that are made in the ordinary found, by order upon application under registered holding companies seeking course of business of the registered sections 9(a)(1) and 10, to satisfy the approval of new activities and the system and that are not detrimental to statutory requirements, including those Commission staff. the protected interests. Rule 58 is of section 11(b)(1). If rulemaking is undertaken in the intended to encompass activities with One commenter objects to the context of consideration of an which the Commission is familiar as a requirement that an energy-related application for approval of a specific result of its administrative experience company derive ‘‘substantially all’’ of its nonutility investment, adherence to and that appear to be so closely related revenues from activities designated as required procedures, including an to the ordinary course of the ‘‘energy-related,’’ and suggests that the extended comment period for the contemporary utility business as not to rule should instead require that a rulemaking and consideration of all require case-by-case analysis pursuant company derive merely a stated portion, views submitted, could delay approval to sections 9(a)(1) and 10. For this e.g., at least 30%, from such activities.34 of the proposed transaction that is the reason, the Commission is retaining The Commission notes, however, that subject of the application. Further, enumerated categories in the rule as this measure would permit registered repetitive paperwork in connection with adopted. holding companies to make sizeable the rulemaking aspects of each such Similarly, the Commission notes that investments in companies engaged application could consume extensive the enumerated categories of specific primarily in novel, unspecified staff resources. Accordingly, this feature energy-related activities in rule 58 are nonutility businesses. The Commission of proposed rule 58 has not been exhaustive, rather than illustrative. In believes its authority to create such a retained.38 The Commission believes, order for a direct or indirect acquisition broad exemption by rule under section however, that future expansion of the of securities by a registered holding 9(c)(3) is subject to question.35 The scope of the rule, to reflect additional company or its subsidiary to qualify for Commission declines, therefore, to nonutility activities found by the the exemption provided by the rule, the adopt this suggestion. Any acquisition Commission to satisfy the standards of company in which the interest is of an interest in a nonutility business the Act, is essential to achieve the rule’s acquired must be engaged almost that does not derive substantially all of intended flexibility. The Commission exclusively in the type of activities its revenues from one or more of the intends to evaluate periodically the specified in the rule. A registered activities set forth in the categories of coverage of the rule in light of existing holding company will continue to apply the rule will continue to require prior Commission orders under sections 9 to the Commission for prior approval of Commission approval by order upon and 10 of the Act, and initiate any acquisitions concerning activities application. rulemaking proceedings to reflect any that fall outside the categories identified New Orleans objects to the proposed appropriate changes. by the rule as energy-related. Further, as provision of the rule creating a One commenter suggests that the discussed below, to the extent that a procedure for designating additional definition of energy-related company be company engages in activities in activities to be energy-related by order expanded to include companies that addition to those permitted under rule upon application under section 10.36 derive substantially all of their revenues 58, an application will also be required. New Orleans asserts that new activities from the listed activities, either directly New Orleans suggests that the and investments should be approved or indirectly.39 The requested revision definition should include a requirement only pursuant to rulemaking, so that all would permit a registered holding that the permitted activity be parties have an opportunity to evaluate company system to use one or more functionally related to the system’s and comment upon the relationship of intermediate subsidiaries (i.e., ‘‘project utility business under sections 10 and the new activity to the core utility parents’’) to invest in energy-related 11.32 Such a requirement is unnecessary business and the potential effects on companies, yet retain the benefit of the for several reasons. First, a finding of a ratepayers. exemption afforded by the rule.40 The functional relationship is not required In proposing this mechanism for Commission believes that this in order to qualify for an exemption updating the rule, the Commission suggestion is consistent with the intent under section 9(c)(3).33 Moreover, even intended that all procedural of the rule as proposed. Use of an requirements applicable to agency intermediate subsidiary could further 32 As discussed above, the Commission has rulemaking would be observed in insulate the holding company and its interpreted the provisions of section 11 of the Act, connection with the proposed other subsidiaries, including utility referenced in section 10(c)(1), to reflect a subsidiaries, from any direct losses that Congressional policy against nonutility activities designation by order of additional that bear no operating or functional relationship to activities as energy-related for purposes could occur with respect to rule 58 the utility operations of the registered system. See of rule 58, including in particular the investments. At the same time, this generally Michigan Consolidated Gas Co., 44 SEC requirements related to public notice measure would offer greater flexibility 361 at 363–65. in the structuring of these investments. 33 The Commission has determined that a transaction need not satisfy the standards of section to such exemption a transaction must also meet the 37 11(b)(1) in order to qualify for exemption under standards of section 11(b)(1)’’) (Commissioner See e.g., the relevant provisions of the section 9(c)(3), but that section 9(c)(3) may not be Owens, concurring in part and dissenting in part) Administrative Procedure Act, 5 U.S.C. 553, and the used to circumvent the requirements of section and 370 (Commissioner Smith, dissenting). Commission’s rules of practice, 17 CFR 201.192. 11(b)(1) generally. Id. at 366 (‘‘Section 9(c)(3) 34 Comments of CSW. 38 A similar provision in the definition of ‘‘gas- cannot be employed to evade the proscription of 35 As noted previously, the Commission has related company’’ has also been eliminated. section 11(b)(1) prohibiting the acquisition by a gas found that section 9(c)(3), under which rule 58 is 39 Comments of GPU. utility company of an interest in a business adopted, may not be used to circumvent the 40 The provisions of the Act that permit use of unrelated to its business’’); but see id. at 369 (‘‘the requirements of section 11(b)(1) of the Act. intermediate holding companies in connection with majority unduly constricts the scope of the section 36 This mechanism was provided in subsection investment in exempt wholesale generators reflect 9(c)(3) exemption when it holds that to be entitled (b)(1)(xiii) of the proposed rule. the same concept. See section 32(a)(1). Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Rules and Regulations 7905

Accordingly, the rule, as adopted, is such activity on a case-by-case basis, implementation, monitoring and modified to incorporate the concept of giving due consideration to the views of evaluation of energy conservation indirect investment in energy-related state regulators toward the activity in programs; development and review of companies through project parents.41 question. architectural, structural and engineering The Commission notes, however, that As proposed, the rule did not indicate drawings for energy efficiencies; design any such intermediate subsidiary, like clearly whether an interest in an energy- and specification of energy consuming the underlying energy-related related company engaging in an equipment; and general advice on companies, must derive ‘‘substantially enumerated activity could be acquired programs.47 Upon additional all’’ of its revenues from the permitted pursuant to the rule by companies in consideration, the Commission has activities. If the company will engage in electric holding company systems, gas concluded that ‘‘energy conservation other activities, directly or indirectly, holding company systems, or both. As services’’ may not be broad enough to prior Commission approval of an adopted, rule 58(b)(1) has been clarified cover the types of activities intended to investment interest in such company in this regard to limit the exemption be exempted under this category. The will be required. solely to those activities that are term ‘‘energy management services’’ b. Categories of energy-related considered to be in the ordinary course more accurately reflects the scope of the activities. The Proposing Release invited of the type of utility business in which exempted activity.48 The rule as adopted specific comment on whether the a particular holding company system is is revised accordingly. Apart from this proposed rule should include additional engaged.44 Any proposal by a registered clarification, the subsection is adopted kinds or categories of energy-related holding company system to acquire an as proposed.49 activities. One commenter suggests that interest in a company engaged in Companies in both electric and gas customer financing for other energy- nonutility activities of a type not registered systems may acquire interests related activities should be a separate exempt under the rule for that type of in companies engaging in the activities category of permitted activity for an registered system may be the subject of specified in this subsection. energy-related company.42 The an application for Commission approval (2) Subsection (b)(1)(ii): development Commission notes that customer under sections 9(a) and 10.45 and commercialization of financing has been approved in a Many commenters suggest specific electrotechnologies. number of cases involving activities that changes or additions to the categories of As used in the rule, are designated as energy-related under permitted activities set forth in the electrotechnologies relate to energy rule 58, and agrees that it may be an definition. A number of comments conservation, storage and conversion, appropriate activity for some energy- request clarifications and propose energy efficiency, waste treatment, related companies. However, this type additions to the list of activities greenhouse gas reduction and similar of activity is better addressed in the permitted for an energy related innovations.50 The Commission has, on context of rule 48, as discussed below. company. Some, but not all, comments many occasions, approved investments The Commission therefore declines to and revisions to the categories of by electric registered system companies include customer financing as an permitted activities are discussed in technologies related to the electric energy-related activity under rule 58. below. utility business.51 Because the Another commenter suggests that any (1)Subsection (b)(1)(i): Energy and Commission has not yet considered nonutility business in which the demand-side management services. This proposals by registered gas system applicable state commission would category of activities was defined in the companies to engage in activities related allow a regulated utility or exempt Proposing Release to include the to such technologies, the Commission is holding company to engage or invest rendering of energy conservation and not prepared at this time to deem these should be a permitted activity for demand-side management services.46 activities to be appropriate in the energy-related companies.43 That a state The Commission has previously ordinary course of the utility business of commission permits utilities or holding considered and approved by order such systems. Accordingly, the companies that are subject to its under sections 9(a)(1) and 10 a broad Commission is revising the rule to jurisdiction to engage in a given range of activities relating to the nonutility activity can be a strong business of energy management and 47 See, e.g., Eastern Utilities Assocs., Holding Co. demand-side management, including Act Release No. 26232 (Feb. 15, 1995); and indication that the activity is Northeast Utilities, Holding Co. Act Release No. appropriate, and, in a given case, it may the following: Energy audits; facility 25114–A (July 27, 1990). be persuasive evidence that some of the design and process enhancements; 48 See, e.g., New England Electric System, Holding standards of the Act have been satisfied. construction, maintenance and Co. Act Release No. 22719 (Nov. 19, 1982). 49 However, that a state commission has installation of, and training client This subsection is intended to encompass all personnel to operate, energy consumer-oriented activities that represent approved a type of investment does not components of a holding company system’s necessarily mean that it is in the conservation equipment; design, demand-side management and integrated-resource ordinary course of business of a planning functions, or that are intended to reduce 44 Holding company systems engaged in both the customer energy costs or lead to efficient use of registered holding company or its electric and gas utility business will be considered, energy resources by affecting energy consumption. subsidiary for purposes of section for purposes of the rule, to be engaged only in one Customer financing is not encompassed by this 9(c)(3). The Commission does not type of utility business, as determined by the type subsection. believe that rule 58 should incorporate of operations that constitute the holding company’s 50 No comments were received on this category of such state determinations as a general primary utility business. activities. 45 For example, an electric registered holding 51 See, e.g., American Electric Power Co., Holding matter, without any indication as to the company system would be required to file an Co. Act Release No. 25424 (Dec. 11, 1991) nature of the approved activities or the application and obtain authorization to acquire an (acquisition of an interest in a company that relevant state law standards. Thus, the interest in a company engaged in ownership and develops, manufactures and markets efficient light Commission will continue to review any operation of refueling equipment for natural gas- bulbs); and Allegheny Power System, Inc., Holding powered vehicles. While acquisition of an interest Co. Act Release No. 26085 (July 14, 1994) in such a company could be exempt under rule 58 (investments in technologies related to power 41 This concept is also reflected in the definition for a gas registered holding company system, it is conservation and storage, conservation and load of a gas-related company. not in the case of an electric registered holding management, environmental and waste treatment, 42 Comments of Northeast. company. and power-related electronic systems and 43 Comments of CSW. 46 No comments were received on this subsection. components). 7906 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Rules and Regulations clarify that only electric registered equipment used for energy generation, wholesale markets.63 However, the holding companies and their both within and outside the system’s Commission has authorized retail subsidiaries are permitted to acquire service territory.58 electric marketing activities in states companies that engage in the activities The Commission finds that it is with established retail wheeling in this subsection. The subsection is appropriate to expand the types of programs,64 and, more recently, otherwise adopted as proposed. equipment addressed by the rule to authorized retail marketing activities (3) Subsection (b)(1)(iii): electric and include other types of energy- with respect to both electric power and gas vehicles. As proposed, this consuming devices.59 Historically, the natural gas, throughout the United subsection included manufacture, Commission approved the activities States, subject to compliance with conversion, sale and servicing of electric addressed in this subsection to applicable state statutes, regulations and and compressed natural gas powered encourage consumption of electricity 65 vehicles, and ownership and operation orders with respect to such sales. In and gas, to promote competition among view of these precedents, and in light of of related refueling and recharging fuels and, more recently, to further 52 the rapid development of competition in equipment. The Commission has 60 energy conservation. The rule as retail markets, as discussed above, this determined that the subsection should adopted has been revised, consistent be expanded to include ownership, subsection is intended to cover with these precedents, to include activities in both wholesale and retail operation, sale, installation and electric and gas appliances, equipment servicing of refueling, recharging and markets that are in compliance with that promotes technologies that use gas applicable law. conversion equipment and facilities or electricity and equipment that relating to electric- and gas-powered This subsection, as proposed, also did 53 enables use of gas or electricity as an vehicles, but should not extend to alternate fuel. Companies in both not indicate whether a registered manufacture of such equipment and electric and gas holding company holding company could acquire an facilities or to manufacture, conversion interest in a company dealing in all 54 systems may acquire interests in and sale of the vehicles themselves. companies engaging in the activities energy commodities or only in electric The Commission has revised the specified in this subsection. power or natural gas, as appropriate. At subsection as adopted to make clear its The Commission declines to adopt the the time the Proposing Release was intended scope. issued, the Commission’s previous In addition, the Commission believes, suggestion that the rule exempt sale, based on existing precedent, that it is installation and servicing of generation orders had, for the most part, limited appropriate to limit the described equipment. These activities may involve participation in gas marketing and activities to those appropriate for gas issues of broader concern, which lie brokering activities to gas holding registered system companies and outside the ambit of this rulemaking. company systems, and electric electric registered system companies, (5) Subsection (b)(1)(v): brokering and marketing and brokering activities to respectively. The rule as adopted is marketing of energy commodities. electric holding company systems. revised to reflect this limitation. This subsection covers the brokering Since that time, however, the (4) Subsection (b)(1)(iv): appliance and marketing of energy commodities, Commission has considered and sales. As proposed, this subsection including but not limited to electricity approved several proposals by included the sale, installation and and natural or manufactured gas. One registered holding companies to engage servicing of electric and gas appliances commenter proposes that this in the brokering and marketing of for residential, commercial and subsection should be expanded to cover energy commodities, including but not industrial heating and lighting. energy-related commodities and should limited to electricity and natural or Comments included suggestions that specify that it covers other combustible manufactured gas.66 The rule as adopted this category extend to leasing 55 and fuels in addition to electricity and gas.61 permits companies in both electric and customer financing arrangements; 56 and The Commission does not believe there gas systems to acquire interests in that the equipment at issue include is a basis to include ‘‘energy-related 57 other energy-consuming devices and commodities’’ in this context. However, 63 See, e.g., Consolidated Natural Gas Co., 52 No comments were received on this subsection. the subsection is revised in the adopted Holding Co. Act Release No. 26512 (Apr. 30, 1996) 53 The Commission has issued orders authorizing rule to include other combustible (approving wholesale marketing of energy broader involvement with respect to such activities fuels.62 commodities, but reserving jurisdiction over retail than that reflected in the rule as proposed. See, e.g., marketing activities until such time as state Columbia Gas System, Holding Co. Act Release No. As proposed, this subsection did not programs permitting such activities are 26295 (May 23, 1995) (authorizing the sale, indicate the markets in which the implemented). ownership, operation, installation and servicing of permitted activities could be carried 64 See, e.g., Eastern Utilities Assocs., Holding Co. natural gas refueling equipment and sale of equipment and facilities for use in vehicle out. The Commission’s existing orders Act Release No. 26519 (May 23, 1996) (participation conversion); and Consolidated Natural Gas Co., in this area extend primarily to in retail electric pilot programs in New Hampshire Holding Co. Act Release No. 25615 (Aug. 27, 1992) and Massachusetts); and New England Electric (same). System, Holding Co. Act Release No. 26520 (May 58 Comments of Northeast. 54 The Commission has not yet approved these 23, 1996) (same). 59 Prior orders in this area under sections 9(a)(1) types of activities by order under sections 9(a) and 65 SEI Holdings, Inc., Holding Co. Act Release No. and 10 permit the sale, installation, servicing and/ 10. 26581 (Sept. 26, 1996). The Commission noted that 55 or financing of significantly broader categories of Comments of Consolidated and Northeast. industry trends and competitive pressures make it Because the term ‘‘sale,’’ as defined in section equipment than appliances for heating and lighting. important for registered system companies to be 2(a)(23) of the Act, encompasses dispositions by See, e.g., Consolidated Natural Gas Co., Holding Co. lease, the Commission believes that no change to Act Release No. 26234 (Feb. 23, 1995). poised to compete in new markets as they are the subsection is needed. 60 See e.g., Cities Service Co., 15 S.E.C. 962 (1944); created, and that such participation appears to 56 Comments of Northeast. Northeast also raised General Public Utilities Corp., Holding Co. Act promote the goals of U.S. energy policy, including the question of customer financing in a broader Release No. 15184 (Feb. 9, 1965); and Louisiana increased competition and lower utility rates. context, suggesting the addition to the rule of a Power & Light Co., Holding Co. Act Release No. 66 Consolidated Natural Gas Co., Holding Co. Act 25445 (Dec. 26, 1991). category concerning the financing of other energy- Release No. 26512 (Apr. 30, 1996); UNITIL Corp., 61 related activities. The Commission has determined Comments of Consolidated. Holding Co. Act Release No. 26527 (May 31, 1996); to address this issue in the context of rule 48, as 62 Other combustible fuels would include, for and SEI Holdings, Inc., Holding Co. Act Release No. discussed below. example, coal, oil, wood chips, oil shale, isobutane 26581 (Sept. 26, 1996). Other companies in both 57 Comments of CSW. and propane. electric and gas holding company systems are also seeking similar authorizations. See, e.g., National Fuel Resources, Inc., File No. 70–8651. Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Rules and Regulations 7907 companies engaging in the activities One registered holding company they are within the scope of described in this subsection. suggests that the category should also management services, need not be One commenter recommends that the include development, production, expressly addressed. In addition, as Commission revise the subsection to marketing and financing of such discussed above, sales by a nonutility clarify that it concerns both regulated services and expertise.74 The subsidiary company of equipment used and unregulated activities.67 Since rule Commission notes, however, that the in utility operations, even equipment 58 addresses only the acquisition of subsection is intended to address related to the service being sold, could securities of nonutility companies services and expertise that exist as a raise consumer protection issues. engaged in specified activities, this result of system utility operations. The Accordingly, the Commission declines comment is not reflected in the rule. development and production of such to accept these suggestions. Several commenters suggest that the services and expertise, solely for the Commenters also suggest that the list specified activities should include ‘‘risk purpose of sale, are outside its scope. In of examples of the types of services and management activities’’ 68 and ‘‘market addition, the marketing of such services expertise covered by this subsection be hedging tools.’’ 69 The Commission has, and expertise is implicit in the concept expanded.78 As discussed previously, in several instances, considered such of sale, and thus need not be specifically the rule is intended to encompass the activities in connection with the mentioned. As discussed below, the types of activities that may be brokering and marketing of energy Commission believes that customer considered to be in the ordinary course commodities. 70 In each case, the order financing is better addressed in the of business of a registered holding was conditioned on representations that context of rule 48. The Commission company. In this regard, the hedging tools would be used only to declines to adopt these proposed Commission has taken into account its minimize risks associated with contracts revisions to the rule. experience in administering sections for purchase or sale of energy Two commenters suggest that 9(a)(1) and 10 of the Act. To the extent commodities and would not be used to expertise and services developed in the that the commenters request the engage in speculation. Such activities course of nonutility operations should inclusion of activities with which the are a means of limiting the risks also be included.75 While expertise Commission has little or no familiarity, associated with marketing of energy related to some nonutility services may it is appropriate to continue case-by- commodities and, subject to compliance be appropriate for inclusion in the case review. Accordingly, the with the limitations noted above, may activities covered by the rule, the Commission declines to modify the be engaged in as part of the activities Commission believes that there is not adopted rule as these commenters covered by this subsection. yet an adequate basis for including request. (6) Subsection (b)(1)(vi): Thermal them, and will continue to consider It should also be noted in this regard energy products. This subsection proposals on a case-by-case basis. that only those type of services and addresses the production, conversion A registered holding company expertise that are uniquely utility- and distribution of thermal energy suggests an expansion of this category to related are intended to fall within this products,71 alternative fuels and include the sale of excess goods and category of activity. Activities that are renewable energy resources. The assets.76 The Commission declines to more generic are not intended to be a Commission received one comment, adopt this suggestion with respect to permitted activity for energy-related suggesting that sale of such products sale of utility assets and resources by a companies.79 and servicing of thermal energy nonutility company, primarily because The Commission notes in connection facilities should be added to the those activities could involve significant with this subsection that any use by a permitted activities.72 The rule as consumer protection issues, and could system nonutility company of personnel adopted has been revised to include also raise restructuring issues that are or other resources of an associate these suggestions. The rule has also beyond the scope of the rule. Some sales public-utility company raises issues been revised to limit availability of this of excess nonutility assets and resources under section 13 of the Act and rules subsection to electric registered holding may be a legitimate activity for rule 58 thereunder 80 relating to pricing of company systems. companies, but the Commission does (7) Subsection (b)(1)(vii): sale of not believe that there is, as yet, an 78 Comments of Consolidated (gas exploration, development, transmission or storage system services and expertise. This section adequate basis for inclusion of such activities in the rule. Consideration of design); CSW (waste management activities); GPU addresses the sale of technical, (consulting and training); Cinergy (revenue security operational, management and other these types of activities will continue to and employee safety); and Northeast (distribution kinds of services and expertise be done on a case-by-case basis. system engineering, development design and Another registered holding company rehabilitation, environmental services, and developed in the course of utility transportation and fleet services). 73 proposes that this category of the rule be operations. Commenters offer various 79 expanded to include the sale of For instance, expertise in billing and customer requests for expansion of this category. service may be developed in the course of utility administrative services and equipment operations. These types of activities are not, 77 67 Comments of CSW. Unregulated activities are related to services and expertise. The however, uniquely utility-related and, thus, are not stated to be those that are for the benefit of Commission notes, however, that encompassed by this subsection. shareholders. administrative services, to the extent 80 Section 13 prohibits registered holding 68 Comments of CSW. companies from entering into or performing any contract for service, construction or the sale of 69 Comments of Cinergy. development, design and rehabilitation; goods with any associate utility or service company, 70 See, e.g., SEI Holdings, Inc., Holding Co. Act construction; maintenance and operation; fuel except as may be permitted by rule in special Release No. 26581 (Sept. 26, 1996); Consolidated procurement, delivery and management; circumstances or in the ordinary course of business. Natural Gas Co., Holding Co. Act Release No. 25926 environmental licensing, testing and remediation; Section 13 also provides that subsidiaries of (Nov. 16, 1993); and Consolidated Natural Gas Co., and other similar areas. The activities contemplated registered holding companies, in entering into or Holding Co. Act Release No. 26512. by the rule do not extend to any that would render performing any such contracts, must comply with 71 a company a public-utility company under the Act. Examples given in the rule include process any limitations imposed by the Commission as See section 2(a)(3), (4) and (5). steam, heat, hot water, chilled water, air necessary or appropriate to insure that such 74 conditioning, compressed air and similar products. Comments of Consolidated. contracts are performed economically and 72 Comments of GPU. 75 Comments of AGA and Columbia. efficiently for the benefit of such associate 73 Examples cited in the proposed rule include 76 Comments of CSW. companies at cost, fairly and equitably allocated power plant and transmission system engineering, 77 Comments of Northeast. Continued 7908 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Rules and Regulations intrasystem transactions. Persons waste water treatment facilities. As Accordingly, this subsection has been engaging in these activities and relying proposed, this subsection included eliminated in the final rule. upon the exemption provided by the ownership and operation of fuel (11) Subsection (b)(1)(xi): coal waste rule are advised to consider these procurement, transportation, handling by-products. This subsection includes requirements. and storage facilities, scrubbers, and development and commercialization of Companies in both electric and gas resource recovery and waste water technologies or processes that utilize registered systems may acquire interests treatment facilities.85 One registered coal waste by-products as an integral in companies engaging in the activities holding company suggests that servicing component. Two registered holding specified in this subsection. As adopted, of such facilities should also be companies comment on this subsection this subsection has been revised only to permitted.86 The subsection has been and request that it be expanded to the extent necessary to eliminate revised expressly to permit such include all waste products and by- redundant language. activity. products of generation of electricity and (8) Subsection (b)(1)(viii): ownership Another registered holding company natural gas production, as well as and operation of QFs. This subsection, suggests that this subsection should be investments in facilities and equipment as proposed, included ownership or expanded to permit use of excess system used in processes to improve wastes and operation of QFs and of facilities assets, such as office equipment and by-products or convert them into useful necessary or incidental thereto.81 The space and excess space in billing goods.93 The Commission notes that, to Commission received one comment on envelopes.87 The Commission believes date, it has considered only cases this provision, proposing that that this request is more appropriately involving coal waste products and by- development of QFs also be included in directed to subsection (b)(1)(vii) and has products of electric generation, 94 and the rule.82 The Commission has addressed it in that context. this subsection is adopted as proposed. approved project development activities The Commission orders on which Only companies in electric holding in connection with QFs in a number of inclusion of these activities is based company systems may acquire an cases.83 Such activities are implicit in relate to generation of electricity. As a interest in a company engaged in the the subsection as proposed, and the result, the rule’s exemption for the activities in this subsection. subsection has been revised to include acquisition of a company that engages in (12) Subsection (b)(1)(xii): them specifically. activities described in this subsection is telecommunications facilities. This After careful review of the precedent available only for companies in electric subsection addresses the ownership, in this area under sections 9(a)(1) and registered systems.88 sale, leasing or licensing of the use of 10, the Commission has also determined (10) Subsection (b)(1)(x): production, telecommunications facilities and that it is appropriate to make clear that transportation, distribution or storage of equipment. The Commission received this subsection is intended to include other forms of energy. The activities in numerous comments on the advisability 95 ownership and operation of only the this subsection concern all forms of and scope of this part of the rule. In types of incidental facilities that are energy other than electricity and natural view of the passage in 1996 of the required in order to meet the or manufactured gas. Commenting Telecommunications Act, legislation requirements of PURPA.84 Subsection registered holding companies suggest that exempts from the requirement of (viii), as adopted, has been revised that the permitted activities should also prior Commission approval the accordingly. include the sale of these forms of acquisition and retention by a registered Companies in both electric and gas energy,89 as well as all activities in the holding company of interests in companies engaged in a broad range of registered systems may acquire interests supply chain concerning them, telecommunications activities and in companies engaging in the activities including development, exploration, businesses, these activities are not specified in this subsection. research and testing.90 The commenters included in the adopted rule. (9) Subsection (b)(1)(ix): fuel facilities, further propose that the subsection scrubbers, and resource recovery and specifically include sources of energy.91 2. Limitation on Investment The Commission has concluded that As noted above, the exemption of rule among such companies. Rules 85 through 92, the activities in this proposed adopted under section 13, specify the situations in 58 is available so long as aggregate which such transactions are permitted and subsection duplicate in many respects generally provide that, with some exceptions, such the activities included in other generation of electricity. In addition, as discussed contracts must be performed at cost. subsections of the rule as adopted.92 below, production of other fuels may be a permitted 81 Such facilities are stated to include thermal activity for gas-related companies under some energy utilization facilities purchased or 85 This subsection is not intended to encompass circumstances. constructed primarily to enable the QF to satisfy the ownership or operation of any facilities that would 93 Comments of Allegheny and Southern. useful thermal output requirements under PURPA cause an energy-related company to become an 94 See Jersey Central Power & Light Co., Holding and regulations thereunder. electric utility company under the Act. See section Co. Act Release No. 24373 (April 16, 1987) 82 Comments of GPU. 2(a)(3). (investment in company developing a waste coal- 83 See, e.g., Southern Co., Holding Co. Act Release 86 Comments of GPU. fired generating unit); American Electric Power Co., No. 26212 (Dec. 30, 1994); and Allegheny Power 87 Comments of Northeast. Holding Co. Act Release No. 26014 (March 30, System, Inc., Holding Co. Act Release No. 26229 1994) (acquisition of securities of subsidiary that 88 Many activities related to procurement, (Feb. 3, 1995). develops backfill material using fly ash, a coal transportation and storage of natural gas for sale are 84 The Commission has authorized registered waste by-product); and New England Electric permitted for gas-related companies, as discussed holding companies to invest in an 18 acre thermal System, Holding Co. Act Release No. 26277 (April below. host greenhouse, Central and South West Corp., 26, 1995) (investment in a venture that installs 89 Holding Co. Act Release No. 25399 (Nov. 1, 1991), Comments of GPU. equipment to separate unburned carbon from coal and an integrated carbon dioxide plant steam host, 90 Comments of AGA, CSW and Columbia. ash). Central and South West Corp., Holding Co. Act 91 Comments of CSW. 95 Registered holding companies generally Release Nos. 25477 (Feb. 18, 1992) and 25983 (Jan. 92 For instance, subsection (v) covers marketing of commented that this section should be expanded to 31, 1994). In each instance, the Commission found energy commodities; subsection (vi) covers cover a broader range of telecommunication that the incidental facility was necessary to the production and sale of thermal energy products, services and products. Comments of CSW, Entergy operation of the QF. The Commission believes that alternative fuels and renewable energy resources; and GPU. New Orleans, however, commented that it is appropriate for the subsection of the rule to subsection (ix) covers ownership or operation of this subsection should be eliminated as not in the extend to investments in any type of incidental fuel procurement, transportation, handling and public interest due to possible cross-subsidization facility that is needed for a facility to attain QF storage facilities; and subsection (x) covers problems and lack of relationship to the core utility status. utilization of certain waste by-products of the business. Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Rules and Regulations 7909 investment by a registered holding limitation upon investments pursuant to an investment limitation in the context company and its subsidiaries in energy- the rule is appropriate to ensure that of EWGs. Rule 53, adopted under related companies does not exceed the acquisitions of interests in energy- section 32 of the Act, provides a safe greater of 15% of consolidated related companies are not so material as harbor for approval of proposals to issue capitalization or $50 million. As to depart from the statutory concept of securities related to investments in proposed, investments in such transactions in the ordinary course of EWGs.109 To qualify for the rule’s safe companies made pursuant to business or to raise the possibility of harbor, the aggregate investment of the Commission order prior to the effective detriment to the protected interests.103 registered holding company system in date of the rule would be excluded for The Commission may revisit the need EWGs and foreign utility companies purposes of calculating the limitation. for an investment limitation in rule 58 (‘‘FUCOs’’) cannot exceed 50% of the In the Proposing Release, the in the future, after gaining experience system’s consolidated retained earnings. Commission requested specific with the use and effects of the In adopting rule 53, the Commission comment on (1) whether the proposed exemption provided by the rule. determined that retained earnings was investment limitation is reasonable b. Basis for calculation of the an appropriate standard against which under the circumstances; (2) whether a limitation. New Orleans asserts that to measure the safe harbor limitation on different measure of financial capacity, either consolidated retained earnings or these exempt investments. such as consolidated retained earnings, consolidated equity is preferable to Although the Commission has found should be used instead; and (3) whether consolidated capitalization as a means a standard based on consolidated it is appropriate to exclude prior to measure shareholder funds that are retained earnings to be appropriate in investments for purposes of the rule. not needed to meet the registered the context of rule 53, it does not follow a. Need for a limitation. Some system’s utility service obligations. that it is appropriate in the case of commenters consider an investment The commenting registered holding investments in energy-related limitation to be unnecessary. They note companies oppose a standard based on companies. The Commission noted in that the types of energy-related consolidated retained earnings. They adopting the safe harbor provisions of businesses specified in the rule are note that such earnings can vary rule 53 that investments in EWGs and 96 closely related to the utility industry significantly as a result of factors that do FUCOs were new activities, and that the and that competitive markets and the not affect financial health, such as potential risks, which could not financial condition of any particular accounting changes and other accurately be predicted, could registered holding company establish nonrecurring items.104 They also assert conceivably be significant. The 97 prudent limits on diversification. They that consolidated retained earnings are Commission rejected a test based on state, further, that the Commission can primarily an indicator of ability to raise consolidated capitalization, because it monitor the effects of diversification new capital economically, and, to this would not directly reflect the effect of through its review of holding company 98 extent, lack relevance for the purpose of losses in connection with an EWG or financing, and they note that setting a limitation upon investment FUCO investment. The Commission consumers are protected against under the rule.105 concluded that the level of retained potential cross-subsidization by various The registered holding companies earnings, which is directly sensitive to factors, including the at-cost rules under 99 generally support a standard based on losses, was a more appropriate standard section 13 of the Act, rate regulation consolidated capitalization, because, in against which to measure these and the companies’ need to be their view, it offers flexibility 106 and a investments.110 In contrast, as discussed competitive.100 Several commenters, meaningful measure of system financial previously, investments under rule 58 however, state that if the Commission integrity.107 These commenters explain are deemed to be appropriate within the determines that a limitation is that a flexible standard is appropriate ordinary course of business of registered appropriate, the proposed limitation is because the activities encompassed by systems and consistent with the reasonable.101 These commenters the exemption of the rule are closely consider a more restrictive standard to related to the utility business and have 109 Section 32 of the Act provides that, in be unnecessary.102 been reviewed and approved by order of determining whether to approve a proposed The Commission continues to believe 108 issuance of securities related to EWG investments, that it is appropriate to limit the the Commission. The Commission recently considered the Commission may not make certain negative aggregate investment of a registered findings under the Act unless the proposed holding company in energy-related a question of the appropriate basis for transaction would have a substantial adverse companies pursuant to the rule. Section impact on the financial integrity of the registered 103 The Commission notes that its jurisdiction holding company system. Section 32(h)(3) and (4). 9(c)(3) by its terms contemplates that over the issuance and sale of securities by a the Commission will condition rules Section 32 also directs the Commission to adopt registered holding company and its subsidiaries to regulations that would set forth ‘‘the actions which finance investments in nonutility companies thereunder upon such limitations as it would be considered to have a substantial adverse may prescribe as appropriate in the pursuant to rule 58 will also serve to minimize risk and to enable the Commission to monitor the effects impact on the financial integrity of the registered ordinary business of a registered of nonutility activities on the registered system. The holding company system [and] ensure that the holding company or its subsidiary Commission has jurisdiction over such financing [financing in question] has no adverse impact on company and not detrimental to the transactions under sections 6 and 7 of the Act, and any utility subsidiary or its customers, or on the public interest or the interest of must consider certain effects of proposed financings ability of State commissions to protect such investors or consumers. An aggregate in determining whether the standards of the Act subsidiary or customers * * *.’’ Section 32(h)(6). have been satisfied. See the Proposing Release, 60 Rule 53 was adopted to effectuate these provisions. FR at 33646. If the rule’s safe harbor are satisfied, the 96 Comments of Entergy. 104 One registered holding company also observes Commission is precluded from making the negative 97 Comments of AGA and Columbia. in this regard that a standard based on consolidated findings specified in section 32(h)(3) and (4). 98 Comments of Columbia and Entergy. retained earnings would create uncertainty in a 110 The Commission stated that ‘‘(b)ecause EWGs 99 Rules 90, 91 and 92 under the Act, 17 CFR registered holding company system’s planning. 250.90, 250.91 and 250.92. Comments of CSW. and foreign utility companies are still novel entities, there is little experience on which to base 100 Comments of AGA. 105 Comments of Southern. predictions concerning their performance * * *. 101 Comments of Consolidated, GPU and 106 Comments of GPU and Northeast. Southern. 107 Comments of Allegheny and Southern. [R]etained earnings would best capture the effect 102 Comments of AGA and GPU. 108 Comments of CSW. upon a system’s financial condition of reverses in EWG and foreign utility company investments.’’ Holding Co. Act Release No. 25886 (Sept. 23, 1993), 58 FR 51488, 51493 (Oct. 1, 1993). 7910 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Rules and Regulations protected interests under the Act. The company 113 assert that such prior subsidiaries pursuant to rules 52 and 45, risks are more predictable and investments should be included in the as recently amended.121 presumably more limited. In rejecting calculation.114 The majority of The Commission believes that all alternative bases for the investment commenters, however, consider the amounts that have actually been limitation in rule 53, the Commission ‘‘grandfathering’’ of these investments to invested in energy-related companies also noted that consolidated be appropriate. These commenters note pursuant to Commission order prior to capitalization ‘‘relates principally to the that the investments have been found to the date of effectiveness of the rule capital structure created to fund the satisfy the requirements of the Act.115 should be excluded from the calculation holding company system’s domestic Further, the commenters assert that of aggregate investment under rule 58. 111 utilities * * *,’’ and thus is not a inclusion of prior investments would The Commission also believes it is appropriate to exclude from the particularly appropriate standard penalize those registered holding calculation all investments made prior against which to measure investments companies that have successful energy- in EWGs and FUCOs. This is not the to that date pursuant to available related programs in place,116 and also case for acquisitions of interests in exemptions.122 prevent registered holding companies energy-related companies, whose The Commission believes, however, from competing on an equal footing activities, as previously discussed, are that any investment made after the date with exempt holding companies and of effectiveness of rule 58 should be closely related to the core utility 117 business of a registered system. Because companies not subject to the Act. included for purposes of calculation of total system capitalization is intended to Finally, the commenters contend that it the limitation, regardless of whether support the system’s utility business, would be burdensome to require a these investments are made pursuant to the Commission regards it as an determination of whether or not various prior Commission order or available appropriate measure of the amount of prior investments are energy-related for exemptions.123 As for the question of capital that may be invested in utility- purposes of rule 58.118 whether investments approved by order related businesses. In addition, because Several commenters propose that the after the date of effectiveness of rule 58 consolidated capitalization is a more limitation should exclude not only should be excluded from the stable base of calculation than retained investments made pursuant to calculation, the Commission believes earnings, the amount of the investment Commission order prior to the rule, but that the issue is best addressed on a cap would be less subject to also previously-authorized investments case-by-case basis. This approach will fluctuations. that have not yet been made as of the enable the Commission to consider the The test in rule 53 was formulated to date of the rule.119 One commenter effect of the particular transaction on effectuate the specific protections suggests, in addition, that investments the registered system. 112 d. Definition of ‘‘aggregate required by section 32. In contrast, that the Commission may authorize by investment’’. Rule 58, as proposed, section 9(c)(3), under which rule 58 is future order should be excluded for adopted, deals with a different type of 120 defined ‘‘aggregate investment’’ to mean purposes of the limitation of rule 58. all amounts invested, or committed to investment than that covered by section This commenter also requests the 32, i.e., one appropriate in the ‘‘ordinary be invested, in energy-related Commission to clarify whether previous companies, for which there is recourse, course of business.’’ Investors and investments in energy-related consumers are protected not only directly or indirectly, to the registered companies pursuant to other holding company. The Commission through the investment cap for energy- exemptions should be excluded from related investments, but also through calculation of the investment limit. At 121 this limitation. See Holding Co. Act Release No. 26311 (June issue are investments by registered 20, 1995), 60 FR 33634 (June 28, 1995) (exempting In view of these considerations, the holding companies in their nonutility from the requirement of prior Commission approval Commission believes that a capital contributions and non-interest bearing open consolidated capitalization standard is account advances by parent companies to nonutility appropriate for purposes of a limitation 113 Comments of Allegheny. subsidiaries, and the issuance by nonutility 114 New Orleans believes that the total of existing subsidiaries and acquisition by their parents of on exempt investments under rule 58. investments and future investments under rule 58 specified types of securities, the proceeds of which The final rule incorporates this would be so great as to be detrimental to ratepayers. are for use in the subsidiary’s existing business). standard. As of December 31, 1995, registered holding 122 Under this interpretation, amounts invested by c. Treatment of previous investments. companies had invested approximately $1.25 a registered system company in an energy-related The Commission received a significant billion in companies that would be energy-related company during the period between adoption and companies within the meaning of rule 58(a). As of effectiveness will be excluded for purposes of number of comments concerning the that date, such investments represented calculating aggregate investment; provided, that proposed exclusion of prior investments approximately 1.6% of consolidated capitalization such investments are used solely to fund activities in energy-related companies, made of the registered systems having such investments. in which the company has previously been pursuant to Commission order, from the On an individual basis, no registered system had authorized to engage by order of the Commission more than approximately 5.6% of its consolidated and that such amounts are not disproportionate to calculation of aggregate investment for capitalization invested in energy-related companies the current operations of such business. Since these purposes of the limitation of the rule. as of December 31, 1995. The Commission believes additional investments will fund activities that the New Orleans and one registered holding that this level of investment does not raise any Commission has previously considered and significant issues of risks to the interests protected approved under sections 9(a)(1) and 10 of the Act, by the Act. The Commission also notes that because the Commission does not believe that their 111 Id. registered holding companies often make these exclusion raises any significant concerns with 112 In discussing the investment limitation, the investments through nonutility subsidiaries, system respect to protection of the interests covered by the Commission stated that rule 53 is ‘‘intended to operating companies and their ratepayers are Act. Any investments in existing energy-related protect system financial integrity and so protect insulated from exposure to any direct losses that companies made prior to the effective date of the utilities and their ratepayers.’’ A ‘‘key factor’’ in this may result from the investments. rule must be reported on Form U–9C–3. regard is the ability of the holding company, which 115 Comments of CSW, EUA, GPU and Northeast. 123 As discussed below, the Commission is is a source of capital for its utility subsidiaries, to 116 Comments of EUA. adopting amendments to rules 52 and 45 that obtain financing at a reasonable cost. Retained 117 subject investments in energy-related companies to earnings was chosen as the basis of the safe harbor Comments of AGA. the same limitations under these rules as are investment limitation, among other things, because 118 Comments of EUA and GPU. applicable under rule 58. These limits apply to all they are linked to the cost of capital, and thus 119 Comments of AEP, Consolidated, EUA, energy-related companies, regardless of whether the provide a ‘‘fundamental protection.’’ 58 FR at Entergy and Southern. initial investment in such company was made 51492. 120 Comments of Entergy. pursuant to order or pursuant to rule 58. Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Rules and Regulations 7911 stated that the term was intended to companies, like energy-related sections 9(a) and 10 prior to the have a meaning similar to that provided companies, will derive substantially all enactment of GRAA,129 or both.130 In all by rule 53.124 The language of the of their revenues from the respective of these cases, the Commission found definition, as proposed, did not activities designated in the rule. that the standards of sections 10 and 11 were satisfied, either through traditional specifically include amounts invested 1. Definition of ‘‘Gas-Related Company’’ by subsidiary companies that are analysis or by means of the assumptions without guaranty by, or other recourse Some commenters question whether created by GRAA. The rule has been to, the parent holding company. Such registered holding companies that have clarified to accomplish this result. investments, which are exempt under only electric utility operations or that Several commenters also note that subsection (a)(1) from the requirement have both electric and gas utility other activities associated with the of Commission approval, are intended operations should be entitled to invest natural gas supply chain, such as to be included in calculating the in gas-related companies on an exploration and production of limitation under the rule. The rule as unlimited basis under the rule.126 The associated petroleum, were adopted reflects this intent.125 portion of rule 58 that permits such contemplated to be included in GRAA- In terms of the types of investments investments reflects and depends upon permitted activities and should be encompassed, the scope of the findings under the GRAA that certain included in the activities permitted to definition of ‘‘aggregate investment’’ in activities satisfy the requirements of be engaged in by gas-related companies rule 58 is intended to be similar to that sections 10 and 11 of the Act. The under rule 58.131 The Commission of rule 53. The term thus would include GRAA is available only to companies in agrees that the activities in which a gas- amounts actually invested in an energy- systems in which the holding company related company may engage under rule related company, as well as amounts is registered solely by reason of 58 should be consistent with those committed to be invested under the ownership of voting securities of gas contemplated by GRAA.132 terms of subscription agreements, or utility companies. As a result, other The definition, as proposed, stand-by or other similar capital funding registered holding company systems are contained a provision permitting agreements. not entitled to the benefits of the GRAA addition of new activities by order upon or the related provisions of rule 58. The application. As discussed above in the B. Investments by Gas Registered language of the rule has been clarified context of energy-related companies, Holding Companies in Gas-Related to make this explicit. this provision has not been included in Companies Several commenters raise an issue the rule as adopted. Rule 58(a)(2) exempts from the concerning the scope of the definition of The definition of a gas-related requirement of prior Commission gas-related company.127 The definition, company has also been revised, as was approval under sections 9(a)(1) and 10, as proposed, can be read to include the definition of an energy-related pursuant to section 9(c)(3), the companies that derive substantially all company, to permit indirect investment acquisition by a gas registered holding of their revenues from only the activities through intermediate subsidiaries. specified in section 2(a) of GRAA and company or its subsidiary company of 2. Limitation on Investments in Gas- activities found by the Commission, by securities of a ‘‘gas-related company,’’ as Related Companies defined. Such acquisitions are not order, to satisfy the requirements of The Commission requested comment subject to any limitation as to amount. section 2(b) of GRAA. This on whether a limitation on investments A ‘‘gas-related company’’ is defined in interpretation would not, however, take the Proposing Release as a company that into account that some activities specifically identified in section 2(b) as (marketing natural gas to nonaffiliates); National derives, or will derive, substantially all Fuel Gas Co., Holding Co. Act Release No. 25437 of its revenues from activities permitted being related to the supply of natural (Dec. 20, 1991) (marketing, storage and under sections 2(a) and 2(b) of the gas (i.e., exploration, development, transportation of natural gas and pricing GRAA and such other nonutility production, marketing and manufacture consultation); National Fuel Gas Co., Holding Co. of natural or manufactured gas) were Act Release No. 25265 (March 5, 1991) (exploration activities as the Commission may, from and development of gas supply reserves); CNG time to time, by order upon application found by the Commission to be Transmission Corp., Holding Co. Act Release No. under sections 9 and 10 and section 2(b) permissible under the standards of the 25239 (Jan. 9, 1991) (development, construction and of the GRAA, authorize a gas registered Act prior to the enactment of the GRAA, operation of natural gas pipelines); and and are not the subject of a subsequent Consolidated Natural Gas Co., Holding Co. Act holding company to engage in, and, in Release No. 25224 (Dec. 21, 1990) (development of so doing, designate as gas-related for order under that legislation. Under rule technologies to enhance the supply, transportation purposes of rule 58. The rule 58 as proposed, a gas holding company and utilization of natural gas). 129 contemplates that gas-related system might be required to obtain an See, e.g., National Fuel Gas Co., Holding Co. order under section 2(b) of GRAA in Act Release No. 24381 (May 1, 1987) (drilling and well maintenance and related services); 124 See Holding Co. Act Release No. 25886 (Sept. order for these gas-related activities to Consolidated Natural Gas Co., Holding Co. Act 23, 1993), 58 FR 51488 (Oct. 1, 1993). Rule be covered by the rule’s exemption. Release No. 23023 (Aug. 5, 1983) (sale of natural gas 53(a)(1)(i) (17 CFR 250.53(a)(1)(i)) provides that Activities of the type specified in byproducts); National Fuel Gas Co., Holding Co. aggregate investment includes all amounts invested, section 2(b) of GRAA were intended to Act Release No. 21903 (Feb. 2, 1981) (construction or committed to be invested, in exempt wholesale of underground storage facilities); and Columbia generators and foreign utility companies, for which be included in the activities in which Gas System, Holding Co. Act Release No. 13610 there is recourse, directly or indirectly, to the gas-related companies may engage, (Nov. 27, 1957) (extraction and sale of natural gas registered holding company. Among other things, regardless of whether a Commission byproducts). the term includes, but is not limited to, preliminary order approving such activities was 130 See, e.g., National Fuel Gas Co., Holding Co. development expenses that culminate in the 128 Act Release Nos. 26181 (Dec. 6, 1994) and 24381 acquisition of an exempt wholesale generator or a issued under GRAA or under (May 1, 1987) (pipeline construction and foreign utility company; and the fair market value maintenance and related services). of assets acquired by an exempt wholesale generator 126 Comments of CSW and Cinergy. 131 Comments of AGA and Columbia. or a foreign utility company from a system company 127 Comments of AGA, Columbia and 132 See, e.g., 136 Cong. Rec. S17586 (Oct. 27, (other than an exempt wholesale generator or a Consolidated. 1990) (Statement of Sen. D’Amato) (production and foreign utility company). 128 See, e.g., Consolidated Natural Gas Co., sale of oil and other petroleum products may 125 An indirect investment made through an Holding Co. Act Release No. 26363 (Aug. 28, 1995) constitute ‘‘production’’ for purposes of GRAA, if intermediate subsidiary will only be counted once (sale of propane services); Columbia Gas System, oil and natural gas are present in the geologic in the calculation of aggregate investment. Holding Co. Act Release No. 25802 (April 22, 1993) formation underlying a particular well). 7912 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Rules and Regulations in gas-related companies is appropriate. suggests that use of the rule be The exemptions under rule 52(b) and Two commenters state that no such conditioned on a demonstration of 52(d), both as previously in effect and limitation is needed.133 They note, financial viability by the holding as proposed to be amended, are broader among other things, that because many company. New Orleans also than the exemption in proposed rule 58. activities involved in the gas business recommends that consumer safeguards Accordingly, the Commission proposed are nonutility interests for purposes of in the form of audit authority and access to amend rule 52 to add a limitation on the Act, investment in such activities is to books and records for ratemaking the aggregate amount of securities that necessarily significant, and any authorities be added.138 may be issued and sold by energy- limitation would limit the usefulness of For several reasons, the Commission related companies and acquired by the rule for gas registered systems.134 In believes that no additional conditions associate companies, consistent with the view of the Congressional intent, are required in order to protect investors limitation of rule 58. evidenced by the GRAA, that gas and consumers from the risks of these Rule 45(b) currently exempts from the systems be permitted to engage in diversified activities. First, as noted requirement of Commission approval certain gas-related activities without above, the rule addresses activities that under section 12(b) of the Act and rule restriction as to amount, the the Commission has determined 45(a) thereunder certain investments in Commission has not revised the rule to previously to be so closely related to existing subsidiaries by means of cash add a limitation on those activities.135 utility operations as to be in the capital contributions or open account ordinary course of business of a advances. In particular, rule 45(b)(4) C. Other Conditions to Use of the Rule registered holding company and that, in exempts without limitation any capital The Commission sought comment on many instances, have been approved in contribution or open account advance whether use of rule 58 should be prior orders of the Commission under without interest to a subsidiary conditioned on meeting other types of sections 9(a)(1) and 10. In addition, company. Because this provision is requirements, and the form such reasonable limitations on exempt inconsistent with the investment conditions should take. Commenters investments in energy-related limitation in rule 58, the Commission were invited to address the need for companies are an important feature of proposed to amend rule 45(b)(4) to additional conditions to use of the rule the rule, designed to limit the financial conform the aggregate amount of capital 58 exemption based on, for example, the exposure of the registered system. contributions and open account financial condition of the registered Finally, through the filing of Form U– advances that may be made to energy- holding company system, the extent of 9C–3 under rule 58(c), both the related subsidiary companies to the losses experienced by the system over Commission and interested state limitations of rule 58. recent periods and prior bankruptcies of regulators will have the opportunity to Few commenters express any view on system companies. monitor the nature and scope of each the proposed amendments to rules 52 The registered holding companies and registered holding company system’s and 45. Two registered holding the American Gas Association activities pursuant to rule 58. In view of companies support adoption of the uniformly state, for various reasons, that these safeguards, the Commission is amendments.141 An exempt holding no further conditions to use of rule 58 adopting the rule without further company opposes the amendments as are needed in order for investors and condition. unnecessary and as potentially limiting consumers to be protected from risks.136 the Commission’s flexibility under rule One holding company suggests that, if III. Proposed Amendments to Rule 52 58.142 conditions are imposed, they should be and Rule 45 Without the proposed conforming based on current or future facts rather The Proposing Release requested changes, registered holding companies 137 than past circumstances. New comment on proposed amendments to could use rule 58 to make initial Orleans, however, disagrees and rules 52 and 45 under the Act, to acquisitions of securities of energy- conform the rules to rule 58.139 Rule related companies, and arguably could 133 Comments of AGA and Consolidated. use rules 45 and 52 to make additional 134 52(b), as currently in effect, exempts Comments of Consolidated. unlimited acquisitions of securities of 135 See the Proposing Release, 60 FR at 33647. from the requirement of Commission 136 Comments of Allegheny (the rule’s investment approval under sections 6(a) and 7 of such companies, in each instance limitation protects investors and ratepayers, and the the Act the issue and sale by a without Commission approval. To Commission and the states can monitor activities nonutility subsidiary of a registered permit this result would render through Form U–9C–3); AEP (the investment meaningless the limitations of rule 58 limitation and the fact that these activities are holding company of any common stock, conducted separately from utility operations preferred stock, bond, note or other form on investments in energy-related provide protections); AGA (each venture should be of indebtedness, subject to certain companies. In addition, a question viewed on a prospective basis, not on the basis of conditions. Rule 52(d) further exempts would arise whether section 9(c)(3), past experience; adverse developments can be monitored through reports filed with the from the requirement of prior under which rule 58 is promulgated, Commission, the FERC and state regulators); Commission approval under sections permits such acquisitions of securities Columbia (a ‘‘no bankruptcy’’ condition is contrary 9(a)(1) and 10 of the Act the acquisition without Commission oversight. The to the policy of the bankruptcy laws, and by a registered holding company of any Commission believes that the proposed bankruptcy is irrelevant where the company emerges with an investment grade rating); such security, provided that the amendments are necessary in order to Consolidated (the Commission can invoke its transaction does not involve the carry out the purposes of rule 58. jurisdiction if problems are perceived); Entergy (the formation of a new subsidiary.140 Accordingly, the amendments are Commission can monitor investments in the context adopted in the form proposed. of holding company financing approvals); GPU (the 138 state regulators and the FERC can protect ratepayers Comments of New Orleans. IV. Other Proposals in Connection With from risk); and Southern (the rule addresses all 139 See the discussion of the need for these conditions necessary for satisfaction of section 10; amendments in the Proposing Release. 60 FR at Rule 58 no other conditions are needed to protect against 33648. Several commenters propose changes cross-subsidization, since rule 58 companies are 140 The Commission has proposed to amend rule to other rules or Commission orders to still subject to the intrasystem transaction 52 further to expand the types of securities that provisions of the Act and such transactions must be qualify for the exemption. See Holding Co. Act reported on Form U–9C–3). Release No. 26312 (June 20, 1995), 60 FR 33640 141 Comments of Allegheny and Southern. 137 Comments of Columbia. (June 28, 1995). 142 Comments of Wisconsin Energy. Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Rules and Regulations 7913 conform them to the provisions of rule order approving the acquisition of an unconditionally such transactions as it 58. These proposals are discussed interest in a business that would qualify may determine, by rule or order, to be below. as energy-related under rule 58 should consistent with the protected interests, cease to apply by virtue of the rule, if such transactions ‘‘(1) are with any A. Rule 16 without any need for an amended associate company which does not As currently in effect, rule 16 under order.147 derive, directly or indirectly, any the Act provides that any company and The Commission agrees that, where material part of its income from sources its affiliates will be exempt from all an order approving the acquisition or within the United States and which is obligations, duties or liabilities imposed retention of a nonutility business by a not a public-utility company operating by the Act upon subsidiaries or affiliates registered holding company system within the United States, or (2) involve of a registered holding company, if (1) includes a limitation of the type special or unusual circumstances or are the company is not a public-utility discussed above, and such limitation not in the ordinary course of business.’’ company, (2) the company engages would not apply if the interest held by It does not appear that the Commission primarily in certain specified activities the registered holding company system has previously considered its authority related to the supply of natural or were acquired under rule 58, the to grant other exemptions from the manufactured gas, (3) less than 50% of limitation in the order should no longer requirements of section 13(b). the voting stock of the company is apply. These conditions are effectively owned by registered holding companies, superseded by rule 58, and no further The commenters’ requests are beyond and (4) the acquisition by a registered filings and orders are needed to the scope of the proposed rulemaking. holding company of an interest in the eliminate them. In addition, the Commission believes company was approved by the that it would be inappropriate to Commission upon application.143 C. Associate Transactions address the issues raised in the limited Several commenters suggest that the Several commenters suggest that context of the activities addressed in coverage of the rule 16 exemption be transactions between an energy-related rule 58. Nonutility companies in extended to energy-related companies company and some or all of its associate registered holding company systems and gas-related companies, as defined in companies should be exempt from the have, in any event, substantial freedom rule 58, and their affiliates.144 requirements of the Act and rules to engage in transactions with associate The Commission believes that a thereunder,148 including the rules under nonutility companies under rule proposal to amend rule 16 to make it section 13(b) of the Act. Section 13(b) of 87(b)(1).151 The Commission declines to consistent with rule 58, and to enhance the Act generally requires that accept the commenters’ suggestions. its usefulness (which is limited at intrasystem service, sales and D. Rule 48 present), should be considered. Such an construction contracts be performed in amendment, however, is beyond the accordance with such terms and One commenter suggests that rule 48 scope of this rulemaking. conditions as the Commission may under the Act be amended to permit prescribe, either by rule or order, ‘‘as B. Existing Limitations on Investments energy-related companies to engage in necessary or appropriate in the public in Energy-Related Companies customer financing in connection with interest or for the protection of investors their energy-related businesses.152 As In the past, the Commission in some or consumers and to insure that such noted previously, customer financing in instances incorporated conditions and contracts are performed economically connection with certain energy-related limitations in certain orders approving and efficiently for the benefit of such activities has been approved by order in energy-related activities, including a associate companies, at cost, fairly and the past. The Commission considered requirement that an energy-related equitably allocated among such whether customer financing should be company derive at least 50% of its companies.’’ Entergy Corporation included in rule 58, either as a separate revenues from associate companies or suggests that rule 87 under the Act 149 be energy-related activity or as an aspect of from specified geographic areas.145 As amended to provide that transactions other energy-related activities.153 discussed above, these geographic and subject to section 13(b) do not require However, it appears that an amendment other limitations are not included in an order upon application. General to rule 48 would be the appropriate rule 58 as adopted.146 One commenter Public Utilities Corporation suggests an measure to address this question.154 suggests that any 50% limitation in an amendment of rule 90 150 to exclude transactions between an energy-related V. Quarterly Reports on Form U–9C–3 143 17 CFR 250.16. company and its associates from the at- 144 Comments of Columbia and Consolidated. The Commission proposed that 145 cost standards. Northeast Utilities For instance, the Commission has conditioned registered systems provide periodic suggests that all transactions between an approval of acquisitions of energy services and information with respect to all energy- demand-side management businesses on a energy-related company and its affiliates related and gas-related company requirement that at least 50% of revenues be should be exempt from the Act. derived from a specified geographic area, within the Section 13(b) authorizes the subsidiaries on Form U–9C–3, in lieu of system’s retail service territory and contiguous the separate rule 24 certificates required areas. See, e.g., Entergy Corp., Holding Co. Act Commission to exempt conditionally or Release No. 25718 (Dec. 28, 1992); and Northeast under the terms of any outstanding 155 Utilities, Holding Co. Act Release No. 25114 (July 147 Comments of CSW. Commission orders. This procedure 3, 1990). In addition, the registered system was 148 Comments of Entergy, GPU and Northeast. required in some instances to divest its equity 151 17 CFR 250.87(b)(1). 149 Rule 87 specifies the cases in which interest in the nonutility business within a 152 subsidiaries of registered holding companies may Comments of GPU. Rule 48 currently exempts specified period. See, e.g., Entergy Corp., Holding financing in connection with purchases by utility Co. Act Release No. 25718. perform services or construction for or sell goods customers of standard electric and gas appliances. 146 The rule does not incorporate geographic to associate companies, subject to compliance with the ‘‘at cost’’ rules and certain other conditions. 17 CFR 250.48. limitations based on the retail service territory of 153 the registered holding company system. However, 150 Rule 90 sets forth the general rule that any See comments of Northeast. based on existing precedent and the markets with transaction involving service, construction or sale 154 Amendment of rule 48 is beyond the scope of which the Commission is currently familiar, of goods between a subsidiary of a registered this rulemaking. activities permitted by the rule are limited to the holding company and an associate company must 155 See the Proposing Release, 60 FR at 33648. United States. The rule has been modified to make be performed at cost, as defined, and provides Cinergy suggests that, to the extent that information this limitation clear. exceptions. Continued 7914 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Rules and Regulations was intended to lessen the reporting quarterly reporting do not justify its activity under the rule. The Commission burden for holding companies, and to costs;163 and because rule 58 companies is, however, modifying certain of the make available a single, comprehensive should not be required to file more requirements in the form as proposed to report covering all energy-related and frequently than holding companies and deal with certain issues raised by gas-related business activities of a service companies.164 Many of these commenters on the proposal. registered holding company for the commenters believe that annual filings The purpose of requiring financial interested state commissions, with are appropriate,165 although one favors statements is to provide information on which the report must also be filed. semiannual reporting,166 and another each significant investment, not to The Commission requested comment proposes that the bulk of the compel holding companies to prepare on the form and content of Form U–9C– information be filed annually, with financial statements for shell 3. In particular, the Commission sought quarterly filings used to report any companies. As a result, the form, as comment on whether a report should be changes during the quarter.167 One adopted, permits consolidation of the filed quarterly or on a semiannual or commenter suggests that the form be financial statements of downstream other basis. The Commission also clarified to indicate that filings are to be subsidiaries with those of the first-tier requested comment on whether any made quarterly rather than energy-related or gas-related special reporting requirements may be ‘‘continuously.’’ 168 The Commission has company,173 so long as the first-tier needed with respect to the revenues concluded that the filing of complete subsidiary owns interests only in derived from any activities of such and current financial statements and companies engaged in one permitted companies other than the activities other information (particularly activity. specified in the rule, to ensure that information on transactions between The Commission also recognizes that energy-related and gas-related rule 58 companies and their affiliates) in the filing of financial statements for companies derive substantially all of each quarterly report will facilitate companies in which the registered their revenue from such activities, as appropriate monitoring of acquisitions system holds only a small interest may required by the rule. pursuant to the rule. The form, as be overly burdensome without offering Several commenters assert that the adopted, thus requires quarterly a significant measure of protection for form should not be adopted, because reporting. utility shareholders and consumers. Form U5S provides sufficient Many commenters express concern Accordingly, the form, as adopted, information to enable regulators to requires the filing of financial 156 with the type of reporting required by protect consumers and could be the proposed form, particularly the statements only for companies in which modified to require reporting of rule 58 required financial statements. The the registered system has at least a 50% investments in a manner similar to commenters believe that this equity or other ownership interest. The treatment of exempt wholesale requirement is burdensome, and form provides that, for all other rule 58 generators and foreign utility companies, the registered holding unnecessary, because registered systems companies.157 One commenter suggests company will make available to the file consolidating financial statements that no reporting requirements are Commission such financial statements in their annual reports on Form U5S; 169 needed with respect to investments in as are available to it. because separate financial information gas-related companies, since there are A number of commenters express would be required even for a company no limits on these investments.158 Most concern that the form will result in in which only a minor investment is commenters suggest that changes be disclosure of confidential financial and made; 170 because state regulators are made to the form if it is adopted. other commercially sensitive With respect to the timing of interested in nonutility operations as a information that may damage the reporting, one commenter, New whole rather than separate holding company’s competitive 171 Orleans,159 specifically approves of components; and because separate position.174 The Commission agrees that quarterly filings, on the ground that financial statements would be required confidentiality of certain business regulators need quarterly reports in for each subsidiary in cases where information is an important concern. As order to monitor activities and institute investments are structured through noted in the Proposing Release, 172 corrective action. Most industry several tiers of subsidiaries. The however, the form does not require commenters, however, object to Commission believes that the filing of reporting of sensitive information such quarterly filings, because the financial information for each as identity of customers. Further, information in the proposed form investment under rule 58 is appropriate applicants may claim confidential duplicates other periodic reports, such to enable the Commission and the treatment pursuant to rule 104 under as that on Form U5S;160 because annual interested state commissions to monitor the Act for some items of information. filings achieve the purpose of assuring Thus, commercially sensitive compliance with the conditions of the 163 Comments of Southern. 164 information should have adequate rule;161 because competitors are not Id. 165 Comments of Allegheny, AGA, Columbia, protection. burdened with preparation of the Consolidated, Entergy and Southern. Other changes in the final form 162 form; because the benefits of 166 Comments of Cinergy. include the following. The filing 167 Comments of AEP. instructions have been revised to reflect on securities issuances is reported on Form U–9C– 168 Comments of CSW. The rule has been revised electronic filing under the 3, reports under rule 52 on Form U–6B–2 reporting to clarify that the filing requirement is not Commission’s EDGAR system.175 Also, the same information should not be required. Such continuous. the report for the last period in the a change may be appropriate, but is beyond the 169 Comments of Columbia. Cinergy commented scope of this rulemaking. that financial statements should be filed with the reporting company’s fiscal year will be 156 Comments of AGA. form only upon the initial acquisition of securities 157 Comments of Columbia. See Item 9 of Form of an energy-related or gas-related company; 173 As discussed previously, indirect investment U5S, 17 CFR 259.5s. thereafter, the consolidating financial statements in in energy-related and gas-related companies 158 Comments of Columbia. Form U5S would provide sufficient updating through intermediate subsidiaries is permitted 159 Comments of New Orleans. information. under the rule as adopted. 160 Comments of AGA and Columbia. 170 Comments of Allegheny and Southern. 174 Comments of Allegheny, Columbia and 161 Comments of Entergy. 171 Comments of Southern. Southern. 162 Comments of Allegheny. 172 Comments of Allegheny and Southern. 175 Comments of Consolidated and Northeast. Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Rules and Regulations 7915 due 90 days, rather than 60 days, after investors and consumers will not be submitted to the Office of Management the end of the period.176 Finally, the adversely affected by acquisitions made and Budget for approval for use through form has been clarified to require pursuant to the rule. In addition, the September 30, 1998. disclosure with respect to all energy- reporting requirements should enable Statutory Authority related and gas-related companies in the Commission and interested state and which investments were made during local regulators to monitor financial and The Commission is adopting rule 58 the reporting period.177 Other specific other effects of such transactions. and amending rules 45 and 52 pursuant comments were not adopted, including to sections 6, 9, 12 and 20 of the Act. Regulatory Flexibility Act Certification a suggestion that all items except 5(b) List of Subjects in 17 CFR Parts 250 and (relating to associate transactions) are Pursuant to section 605(b) of the 259 unnecessary.178 In addition, the form Regulatory Flexibility Act, the Chairman has been revised to provide a format for of the Commission has certified as Electric utilities, Holding companies, reporting of the required information follows: Natural gas, Reporting and and to clarify generally the filing I, Arthur Levitt, Chairman of the Securities recordkeeping requirements, Securities. instructions. and Exchange Commission, hereby certify Text of Rules Commenters believe that no other pursuant to 5 U.S.C. 605(b) that proposed new reporting requirements are needed rule 58 and proposed amendments to rules For the reasons set out in the to assure that rule 58 companies derive 45 and 52 under the Public Utility Holding preamble, chapter II, title 17, of the substantially all of their revenues from Company Act of 1935, as amended (15 U.S.C. Code of Federal Regulations is amended 79 et seq.), together concerning the 179 as follows: permitted activities. The Commission acquisition by a registered holding company has concluded that Form U–9C–3, and its subsidiaries of securities of certain PART 250ÐGENERAL RULES AND together with other existing reporting nonutility companies, without a filing requirements, provides sufficient requirement, will not have a significant REGULATIONS, PUBLIC UTILITY information for this purpose, and that impact on a substantial number of small HOLDING COMPANY ACT OF 1935 businesses. The reason for this certification is no additional new requirements are 1. The authority citation for part 250 needed. that it does not appear that any small businesses would be affected by the proposed continues to read as follows: VI. Conclusion rule and rule amendments. Authority: 15 U.S.C. 79c, 79f(b), 79i(c)(3), The Commission believes that Arthur Levitt, Chairman 79t, unless otherwise noted. registered holding company systems Dated: June 19, 1995. 2. Section 250.45 is amended by should be relieved of the regulatory The Commission did not receive any revising paragraph (b)(4) to read as burden of having to file multiple comments with respect to the follows: applications for authority to engage, Chairman’s certification. through acquisitions of securities, in § 250.45 Loans, extensions of credit, nonutility activities that are closely Costs and Benefits donations and capital contributions to associate companies. related to utility operations and that are Rule 58 will substantially decrease of the same character or type as those regulatory costs for the twelve (12) * * * * * the Commission has allowed in electric and three (3) gas registered (b) Exceptions. *** previous cases. Rule 58 is intended to holding companies. In calendar year (4) Capital contributions or open permit investments in energy-related 1995, 35 applications would not have account advances, without interest, by a companies and gas-related companies, been filed had the proposed rule 58 and company to its subsidiary company; as defined, without geographic limits related rule amendments been in place. Provided, That capital contributions or based on the registered system’s service Estimated savings per application open account advances to any energy- territory or other restrictions similar to would have been approximately related company subsidiary, as defined those incorporated in some previous $28,000, including related legal, in § 250.58, shall not be exempt orders. The Commission believes that accounting, and management costs. hereunder unless, after giving effect the limitation of the rule on the Thus, for 35 applications filed in thereto, the aggregate investment by a aggregate amount that a registered calendar year 1995, the aggregate registered holding company or any holding company system may invest, savings would have been approximately subsidiary thereof in such company and directly or indirectly, in energy-related $980,000 per year. Moreover, the all other such energy-related company companies should help to assure that reduction in Commission staff hours subsidiaries does not exceed the the public interest and the interest of would have been approximately 3,800 limitation in § 250.58(a)(1). hours (approximately 2 staff years). The * * * * * 176 Comments of Northeast. only cost to the registered holding 3. Section 250.52 is amended by 177 Comments of Cinergy. companies in complying with the rule revising paragraph (b) to read as follows: 178 Comments of Allegheny. While the reporting will be the cost of completing and filing of associate transactions is a primary purpose of the Form U–9C–3 on a quarterly basis. It is § 250.52 Exemption of issue and sale of form, it is also intended to solicit information certain securities. through which the staff of the Commission and estimated that approximately 16 hours interested state commissions can monitor will be required to complete each form * * * * * compliance with the limitations of the rule, at an estimated cost of $100 per hour. (b) Any subsidiary of a registered including limitations on the type of activities in Assuming 56 form submissions per year, holding company which is not a holding which the company in question is engaged. company, a public-utility company, an 179 Comments of AGA (information in Form U5S the cost of compliance reporting would is adequate for this purpose); CSW (existing approximate $89,600 per year. investment company, or a fiscal or proposed reporting requirements could be reduced financing agency of a holding company, and still provide this assurance); Consolidated (if Paperwork Reduction Act a public-utility company or an further assurance is needed, a statement of The proposed rule and rule investment company shall be exempt compliance could be included in the Form U5S) and Entergy and Northeast (Form U–9C–3 provides amendments are subject to the from section 6(a) of the Act (15 U.S.C. sufficient information to put regulators on notice of Paperwork Reduction Act of 1980 (44 79f(a)) and rules thereunder with other activities). U.S.C. 3501 et seq.) and have been respect to the issue and sale of any 7916 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Rules and Regulations common stock, preferred stock, bond, (i) The rendering of energy such technology or process; Provided, note or other form of indebtedness, of management services and demand-side That any company engaged in the which it is the issuer if: management services; activities specified in paragraphs (1) The issue and sale of such security (ii) The development and (b)(1)(ii), (b)(1)(iii) with respect to are solely for the purpose of financing commercialization of electric powered vehicles, (b)(1)(vi), the existing business of such subsidiary electrotechnologies related to energy (b)(1)(ix) or (b)(1)(x) of this section, shall company; and conservation, storage and conversion, be an ‘‘energy-related company’’ for (2) The interest rates and maturity energy efficiency, waste treatment, purposes of this section only if the dates of any debt security issued to an greenhouse gas reduction, and similar securities of such company are associate company are designed to innovations; acquired, directly or indirectly, by a parallel the effective cost of capital of (iii) The ownership, operation, sale, registered holding company whose that associate company; Provided, That installation and servicing of refueling, public-utility company subsidiaries are any security issued to an associate recharging and conversion equipment primarily electric utility companies; and company by any energy-related and facilities relating to electric and Provided further, That any company company subsidiary, as defined in compressed natural gas powered engaged in the activities specified in § 250.58, shall not be exempt hereunder vehicles; paragraph (b)(1)(iii) of this section with unless, after giving effect thereto, the (iv) The sale of electric and gas respect to compressed natural gas aggregate investment by a registered appliances; equipment to promote new powered vehicles, shall be an ‘‘energy- holding company or any subsidiary technologies, or new applications for related company’’ for purposes of this thereof in such subsidiary and all other existing technologies, that use gas or section only if the securities of such such energy-related company electricity; and equipment that enables company are acquired, directly or subsidiaries does not exceed the the use of gas or electricity as an indirectly, by a registered holding limitation in § 250.58(a)(1). alternate fuel; and the installation and company whose public-utility company servicing thereof; * * * * * subsidiaries are primarily gas utility (v) The brokering and marketing of companies. 4. Section 250.58 is added to read as energy commodities, including but not follows: (2) The term gas-related company limited to electricity, natural or shall mean any company that, directly § 250.58 Exemption of investments in manufactured gas and other combustible or indirectly through one or more certain nonutility companies. fuels; affiliates, derives or will derive (vi) The production, conversion, sale (a) Exemption from Section 9(a). substantially all of its revenues and distribution of thermal energy Section 9(a) of the Act (15 U.S.C. 79i(a)) (exclusive of revenues from temporary products, such as process steam, heat, shall not apply to: investments) from one or more of the hot water, chilled water, air (1) The acquisition by a registered following activities within the United conditioning, compressed air and holding company, or a subsidiary States: similar products; alternative fuels; and company thereof, of the securities of an renewable energy resources; and the (i) Activities permitted under section energy-related company; Provided, That, servicing of thermal energy facilities; 2(a) of the Gas-Related Activities Act of after giving effect to any such (vii) The sale of technical, 1990, 104 Stat. 2810; and acquisition, the aggregate investment by operational, management, and other (ii) Activities specified in section 2(b) such registered holding company and similar kinds of services and expertise, of the Gas-Related Activities Act and subsidiaries in all such companies does developed in the course of utility approved by order of the Commission not exceed the greater of: operations in such areas as power plant under sections 9 and 10 of the Act (15 (i) $50 million; or and transmission system engineering, U.S.C. 79i–j). (ii) 15% of the consolidated development, design and rehabilitation; (3) The term aggregate investment capitalization of such registered holding construction; maintenance and shall mean all amounts invested or company, as reported in the registered operation; fuel procurement, delivery committed to be invested in energy- holding company’s most recent Annual and management; and environmental related companies, for which there is Report on Form 10–K or Quarterly licensing, testing and remediation; recourse, directly or indirectly, to the Report on Form 10–Q (§ 249.308a or (viii) The development, ownership or registered holding company or any § 249.310 of this chapter) filed under the operation of ‘‘qualifying facilities,’’ as subsidiary company thereof. Securities Exchange Act of 1934, as defined under the Public Utility (c) Report on related business amended (15 U.S.C. 78 et seq.); or Regulatory Policies Act of 1978, as activities. For each quarter of the fiscal (2) The acquisition by a holding amended (‘‘PURPA’’), and any year of the registered holding company company that is registered solely by integrated thermal, steam host, or other in which any acquisition that is exempt reason of ownership of voting securities necessary facility constructed, under this section is made, and for each of gas utility companies, or a subsidiary developed or acquired primarily to such quarter thereafter in which the company thereof, of the securities of a enable the qualifying facility to satisfy acquired interest is held, the registered gas-related company. the useful thermal output requirements holding company shall file with this (b) Definitions. For purpose of this under PURPA; Commission and with each state section: (ix) The ownership, operation and commission having jurisdiction over the (1) The term energy-related company servicing of fuel procurement, retail rates of the public-utility shall mean any company that, directly transportation, handling and storage subsidiary companies of such registered or indirectly through one or more facilities, scrubbers, and resource holding company a Quarterly Report on affiliates, derives or will derive recovery and waste water treatment Form U–9C–3 (§ 259.208 of this substantially all of its revenues facilities; and chapter). Such filing shall be made (exclusive of revenues from temporary (x) The development and within 60 days following the end of the investments) from one or more of the commercialization of technologies or first three quarters of the fiscal year, and following activities within the United processes that utilize coal waste by- within 90 days after the end of the States: products as an integral component of fourth quarter. Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Rules and Regulations 7917

PART 259ÐFORMS PRESCRIBED § 259.208 Form U±9C±3, for notification of [Editorial Note: The text of Form U–9C–3 UNDER THE PUBLIC UTILITY acquisition of securities exempt from appears in the appendix to this document HOLDING COMPANY ACT OF 1935 section 9(a) pursuant to rule 58 (§ 250.58 of and will not appear in the Code of Federal this chapter). Regulations.] 5. The authority citation for part 259 This form shall be filed pursuant to Dated: February 14, 1997. continues to read as follows: § 250.58(c) as the certificate of By the Commission. Authority: 15 U.S.C. 79e, 79f, 79g, 79j, 79l, notification of an acquisition of Margaret H. McFarland, 79m, 79n, 79q and 79t. securities exempted from the Deputy Secretary. 6. Section 259.208 and Form U–9C–3 application of section 9(a) of the Act (15 are added to read as follows: U.S.C. 79a et seq.) pursuant to § 250.58.

Appendix Note: This form will not appear in the Code of Federal Regulations. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM U–9C–3 QUARTERLY REPORT PURSUANT TO RULE 58 llllllllllllllllllllllllllllllllllllllllllllllllllllllllllllllllll (Name of registered holding company) llllllllllllllllllllllllllllllllllllllllllllllllllllllllllllllllll (Address of principal executive offices) GENERAL INSTRUCTIONS A. Use of Form 1. A reporting company, as defined herein, shall file a report on this form within 60 days after the end of each of the first three quarters, and within 90 days after the end of the fourth quarter, of the fiscal year of the registered holding company. The period beginning on the date of effectiveness of rule 58 and ending at the end of the quarter following the quarter in which the rule becomes effective shall constitute the initial period for which any report shall be filed, if applicable. 2. The requirement to provide specific information by means of this form supersedes and replaces any requirement by order of the Commission to provide identical information by means of periodic certificates under rule 24; but does not so supersede and replace any requirement by order to provide information by means of an annual report on Form U–13–60. 3. Information with respect to reporting companies that is required by Form U–13–60 shall be provided exclusively on that form. 4. Notwithstanding the specific requirements of this form, the Commission may informally request such further information as, in its opinion, may be necessary or appropriate. B. Statements of Monetary Amounts and Deficits 1. Amounts included in this form and in related financial statements may be expressed in whole dollars, thousands of dollars or hundred thousands of dollars. 2. Deficits and other similar entries shall be indicated by either brackets or parentheses. An explanation should be provided by footnote. C. Formal Requirements This form, including exhibits, shall be filed with the Commission electronically pursuant to Regulation S–T (17 CFR 232.10 et seq.). A conformed copy of each such report shall be filed with each state commission having jurisdiction over the retail rates of a public-utility company that is an associate company of a reporting company. Each report shall provide the name and telephone number of the person to whom inquiries concerning the report should be directed. D. Definitions As used in this form, the word ‘‘reporting company’’ means an energy-related company or gas-related company, as defined in rule 58(b). All other words and terms have the same meaning as in the Public Utility Holding Company Act of 1935, as amended, and the rules and regulations thereunder. ITEMS ITEM 1—ORGANIZATION CHART

Name of reporting Energy or gas-related Date of State of Percentage of voting Nature of company company organization organization securities held business

Instructions 1. Complete Item 1 only for the first three calendar quarters of the fiscal year of the registered holding company. 2. Under the caption ‘‘Name of Reporting Company,’’ list each energy-related and gas-related company and each system company that directly or indirectly holds securities thereof. Add the designation ‘‘(new)’’ for each reporting company of which securities were acquired during the period, and the designation ‘‘(*)’’ for each inactive company. 3. Under the caption ‘‘Percentage of Voting Securities Held,’’ state the aggregate percentage of the outstanding voting securities of the reporting company held directly or indirectly by the registered holding company at the end of the quarter. 4. Provide a narrative description of each reporting company’s activities during the reporting period. ITEM 2—ISSUANCES AND RENEWALS OF SECURITIES AND CAPITAL CONTRIBUTIONS

Company Type of Principal Person to Collateral Consideration issuing security amount of Issue or Cost of whom security given with received for security issued security renewal capital was issued security each security 7918 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Rules and Regulations

Instruction With respect to a transaction with an associate company, report only the type and principal amount of securities involved.

Company contributing Company receiving Amount of capital capital capital contribution

ITEM 3—ASSOCIATE TRANSACTIONS Part I—Transactions Performed by Reporting Companies on Behalf of Associate Companies

Reporting com- Associate com- Types of Direct Indirect Total pany rendering pany receiving services costs costs Cost of amount services services rendered charged charged capital billed

Part II—Transactions Performed by Associate Companies on Behalf of Reporting Companies

Reporting com- Associate com- Types of Direct Indirect Total pany rendering pany receiving services costs costs Cost of amount services services rendered charged charged capital billed

Instructions 1. This item is used to report the performance during the quarter of contracts among reporting companies and their associate companies, including other reporting companies, for service, sales and construction. A copy of any such contract not filed previously should be provided as an exhibit pursuant to Item 6. B. 2. Parts I and II concern transactions performed by reporting companies on behalf of associate companies, and transactions performed by associate companies on behalf of reporting companies, respectively. ITEM 4—SUMMARY OF AGGREGATE INVESTMENT Investments in energy-related companies: Total consolidated capitalization as of llllll ...... $xxx,xxx ...... Line 1. Total capitalization multiplied by 15% (line 1 multiplied by 0.15) ...... xxx,xxx ...... Line 2. Greater of $50 million or line 2 ...... $xxx,xxx Line 3. Total current aggregate investment: (categorized by major line of energy-related business) Energy-related business category 1 ...... xxx,xxx ...... Energy-related business category 2 ...... xxx,xxx ...... Etc...... xxx,xxx ......

Total current aggregate investment ...... xxx,xxx Line 4.

Difference between the greater of $50 million or 15% of capitalization and the total aggre- ...... $xxx,xxx Line 5. gate investment of the registered holding company system (line 3 less line 4). Investments in gas-related companies: Total current aggregate investment: (categorized by major line of gas-related business) Gas-related business category ...... xxx,xxx ...... Gas-related business category 2 ...... xxx,xxx ...... Etc...... xxx,xxx ......

Total current aggregate investment ...... xxx,xxx

ITEM 5—OTHER INVESTMENTS

Major line of energy-related Other investment in last Other investment in this Reason for difference in business U–9C–3 report U–9C–3 report other investment

Instruction This item concerns investments in energy-related and gas-related companies that are excluded from the calculation of aggregate investment under rule 58. ITEM 6—FINANCIAL STATEMENTS AND EXHIBITS List all financial statements and exhibits filed as a part of this report. Instructions A. Financial Statements 1. Financial statements are required for reporting companies in which the registered holding company system has at least a 50% equity or other ownership interest. For all other rule 58 companies, the registered holding company shall make available to the Commission such financial statements as are available to it. 2. For each reporting company, provide a balance sheet as of the end of the quarter and income statements for the three-month and year-to-date periods ending as of the end of the quarter, together with any notes thereto. Financial statements shall be provided only for the first three calendar quarters of the fiscal year of the registered holding company. Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Rules and Regulations 7919

3. If a reporting company and each of its subsidiaries engage exclusively in a single category of energy-related or gas-related activity, consolidated financial statements may be filed. 4. Separate financial statements need not be filed for inactive companies or for companies engaged solely in the ownership of interests in energy-related or gas-related companies. B. Exhibits 1. Copies of contracts required to be provided by Item 3 shall be filed as exhibits. 2. A certificate stating that a copy of the report for the previous quarter has been filed with interested state commissions shall be filed as an exhibit. The certificate shall provide the names and addresses of the state commissions. SIGNATURE [Registered Holding Company] By: lllllllllllllllllllllllllllllllllllllllllllllllllllllllllllllll (Name) llllllllllllllllllllllllllllllllllllllllllllllllllllllllllllllllll (Title) llllllllllllllllllllllllllllllllllllllllllllllllllllllllllllllllll (Date) [FR Doc. 97–4167 Filed 2–19–97; 8:45 am] BILLING CODE 8010±01±P i

Reader Aids Federal Register Vol. 62, No. 34 Thursday, February 20, 1997

CUSTOMER SERVICE AND INFORMATION CFR PARTS AFFECTED DURING FEBRUARY

Federal Register/Code of Federal Regulations At the end of each month, the Office of the Federal Register General Information, indexes and other finding 202±523±5227 publishes separately a List of CFR Sections Affected (LSA), which aids lists parts and sections affected by documents published since the revision date of each title. Laws 3 CFR 91...... 5520 For additional information 523±5227 94...... 5741 Proclamations: 381...... 5131 Presidential Documents 6970...... 5287 Executive orders and proclamations 523±5227 6971...... 5291 391...... 6111 The United States Government Manual 523±5227 6972...... 6443 Proposed Rules: Executive Orders: 201...... 5935 February 6, 1915 10 CFR Other Services (Revoked by PLO Electronic and on-line services (voice) 523±4534 7239) ...... 5244 2...... 6664, 6672 Privacy Act Compilation 523±3187 12961 (Continued by 40...... 6664, 6672 TDD for the hearing impaired 523±5229 EO 13034)...... 5137 70...... 6664, 6672 12982 (See 71...... 5907 Department of 76...... 6664, 6672 ELECTRONIC BULLETIN BOARD Defense Notice of Proposed Rules: Free Electronic Bulletin Board service for Public Law numbers, February 11, 2...... 6672 Federal Register finding aids, and list of documents on public 1997) ...... 6593 40...... 6672 inspection. 202±275±0920 13034...... 5137 70...... 6672 13035...... 7131 73...... 7721 FAX-ON-DEMAND 13036...... 7653 76...... 6672 430...... 5782, 7834 You may access our Fax-On-Demand service. You only need a fax 5 CFR machine and there is no charge for the service except for long 431...... 6888 distance telephone charges the user may incur. The list of Ch. LXI...... 6445 835...... 5883 documents on public inspection and the daily Federal Register’s 930...... 6448 960...... 4941 table of contents are available using this service. The document Proposed Rules: 12 CFR numbers are 7050-Public Inspection list and 7051-Table of 293...... 5174, 7298 Contents list. The public inspection list will be updated 351...... 5174, 7298 4...... 6449 immediately for documents filed on an emergency basis. 430...... 5174, 7298 208...... 6449 531...... 5174, 7298 304...... 4895 NOTE: YOU WILL ONLY GET A LISTING OF DOCUMENTS ON 900...... 4940 335...... 6852 FILE AND NOT THE ACTUAL DOCUMENT. Documents on 337...... 6449 public inspection may be viewed and copied in our office located 7 CFR 563...... 6449 at 800 North Capitol Street, N.W., Suite 700. The Fax-On-Demand Ch. XVII ...... 6449 701...... 5315 telephone number is: 301±713±6905 210...... 5519 931...... 6860 226...... 5519 Proposed Rules: FEDERAL REGISTER PAGES AND DATES, FEBRUARY 319...... 5293 213...... 7363 401...... 5903 226...... 5183 4895±5138...... 3 433...... 6099 312...... 6139 5139±5292...... 4 457 ...... 5903, 6099, 6703, 7133 328...... 6142 5293±5518...... 5 704...... 7602, 7602 360...... 7725 5519±5740...... 6 868...... 6705 5741±5902...... 7 905...... 7655 13 CFR 944...... 7655 5903±6098...... 10 966...... 6851, 7657 121...... 6453, 6454 6099±6442...... 11 979...... 7659 Proposed Rules: 6443±6702...... 12 984...... 6110 107...... 6147 6703±6850...... 13 987...... 7660 121...... 6499 6851±7132...... 14 1410...... 7602, 7602 14 CFR 7133±7334...... 18 1710...... 7663 7335±7654...... 19 1755...... 7135 33...... 7335 7655±7920...... 20 Proposed Rules: 39 ...... 4899, 4900, 4902, 4904, 354...... 6739 4906, 4908, 5143, 5145, 401...... 6134, 6739 5742, 5743, 5744, 5746, 457...... 6134, 6739 5748, 5752, 5753, 6455, 956...... 5933 6457, 6459, 6499, 6502, 980...... 6138 6504, 6708, 6861, 7152, 1496...... 6497 7339, 7340, 7343, 7665, 1710...... 7721 7667, 7669, 7671 71 ...... 5147, 5148, 5149, 5150, 8 CFR 5755, 5756, 5757, 6461, 204...... 6707 6462, 6463, 6464, 6465, 6506, 6507, 6508, 6698, 9 CFR 6710, 6864, 6865, 7344, 78...... 5907 7345, 7346, 7347, 7348, ii Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Reader Aids

7671, 7672, 7674 20 CFR 522...... 7094 263...... 6486 73...... 7349 404...... 6114, 6408 523...... 7094 264...... 6486 91...... 7674 416...... 6408 527...... 7094 265...... 6486 97 ...... 5151, 5154, 6711, 6712, 266...... 6486 6714 21 CFR 30 CFR 268...... 7502 119...... 7674 173...... 7678 250 ...... 5320, 5329, 7298 270...... 6486 121...... 7674 178...... 6721 936...... 6041 721...... 5157 135...... 7674 341...... 6866 Proposed Rules: Proposed Rules: 217...... 6715 510...... 6723 56...... 5554 50...... 7743 241...... 6715 520 ...... 5318, 5319, 5525, 6723 57...... 5554 51...... 7743 383...... 6719 522...... 5319, 5526 62...... 5554 52 ...... 5357, 5361, 5555, 6159, 1217...... 6466 1309...... 5914 70...... 5554 6160, 6750, 7193, 7194 Proposed Rules: 1310...... 5914 71...... 5554 53...... 7743 21...... 5076 1313...... 5914 206...... 5355, 7189 58...... 7743 23...... 5552 Proposed Rules: 208...... 5355, 7189 80...... 7197 25...... 5076 Ch. I...... 5700, 7390 251...... 6149 81...... 7194 39 ...... 4941, 4944, 5186, 5350, 808...... 7390, 7395 914...... 7189, 7192 180...... 6750 5783, 5785, 5787, 6455, 185...... 6750 6457, 6459, 6749, 6888, 23 CFR 31 CFR 186...... 6750 6890, 6892, 7180, 7182, 627...... 6866 Proposed Rules: 63...... 5074 7184, 7373, 7375, 7377, 630...... 6869 500...... 6896 72...... 5370 7378, 7380, 7382, 7384, 635...... 6869 505...... 6896 73...... 5370 7385, 7387, 7727, 7729, 771...... 6869 515...... 6896 74...... 5370 7730, 7731 75...... 5370 71 ...... 5074, 5188, 5194, 5195, 24 CFR 32 CFR 77...... 5370 5937, 5938, 5939, 6461, 18...... 6096 255...... 5332 78...... 5370 6462, 6463, 6464, 6465, 340...... 5332 81...... 5555 6698, 6747, 6748, 6864, 25 CFR Proposed Rules: 85...... 6366 6865, 7389, 7733, 7734, 247...... 4947 89...... 6366 7735, 7736, 7737, 7739, Proposed Rules: 40...... 7395 286...... 7398 92...... 6366 7740, 7741 290...... 7742 180...... 5370 91...... 5076 33 CFR 300...... 5949, 5950 119...... 5076, 7299 26 CFR 117 ...... 5155, 6468, 6875 721...... 5196, 6160 121...... 5076 165...... 5157, 5526 125...... 5076 1...... 6874, 7155 41 CFR 330...... 6877 135...... 5076, 5788 20...... 7156 602...... 6874 404...... 5917 Ch. 301 ...... 6041 300...... 5094 301±7...... 6878 Proposed Rules: 407...... 5917 302...... 5094 301±8...... 6878 20...... 7188 Proposed Rules: 301±11...... 6878 15 CFR 1...... 5355, 6749 154...... 5356 155...... 5356 Proposed Rules: 738...... 6682 27 CFR Ch. 60 ...... 6690 740...... 6682 34 CFR 770...... 6682 Proposed Rules: 42 CFR 772...... 6682 5...... 7742 350...... 5712 100...... 7685 744...... 4910, 6682 7...... 7742 351...... 5712 352...... 5712 1008...... 7350 16 CFR 28 CFR 353...... 5712 Proposed Rules: 305...... 5316 512...... 6660 355...... 5712 68a...... 5953 423...... 5724 357...... 5712 43 CFR 1507...... 4910 29 CFR 360...... 5712 Ch. V...... 6690 361...... 6308 4700...... 5338 17 CFR 24...... 6690 363...... 6308 Proposed Rules: 1...... 7675 215...... 6090 376...... 6308 426...... 7431 15...... 6122 220...... 6090 379...... 5684 3400...... 6910 18...... 6122 401...... 6090 380...... 6308 3410...... 6910 19...... 6122 402...... 6090 418...... 7201 210...... 6044 403...... 6090 36 CFR 3420...... 6910 228...... 6044 404...... 6090 Proposed Rules: 3440...... 6910 229...... 6044 405...... 6090 223...... 5949 3450...... 6910 239...... 6044 406...... 6090 668...... 7334 3460...... 6910 240 ...... 6044, 6468, 6469, 6474 408...... 6090 3470...... 6910 249...... 6044 409...... 6090 38 CFR 3480...... 6910 250...... 7900 417...... 6090 3...... 5528 3500...... 5373 259...... 7900 451...... 6090 17...... 6121 3510...... 5373 404...... 7153 452...... 6090 36...... 5530 3520...... 5373 Proposed Rules: 453...... 6090 3530...... 5373 230...... 7186 457...... 6090 40 CFR 3540...... 5373 458...... 6090 52 ...... 6126, 6127, 6129, 6619, 3550...... 5373 18 CFR 459...... 6090 6724, 7157, 7160, 7163 3560...... 5373 157...... 5913 825...... 6690 58...... 6728 3570...... 5373 284...... 5521 1904...... 6434 60...... 6619 6300...... 7203 Proposed Rules: 1977...... 6690 80...... 7164 8560...... 7203 153...... 5940 4044...... 6874 180 ...... 4911, 5333, 6486, 7679 Proposed Rules: 260...... 6486 44 CFR 19 CFR 520...... 7094 261...... 6486, 7684 64...... 4915, 5534 101...... 6721 521...... 7094 262...... 6486 65 ...... 5734, 6878, 6880 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Reader Aids iii

67...... 6883 53...... 5074 76...... 4959, 7203 Proposed Rules: 70...... 5734 61...... 5757 95...... 7431 Ch. XI...... 5792 72...... 5734 63...... 5160 100...... 4959 383...... 6753 73...... 6886 64...... 5160, 5535 391...... 6753 Proposed Rules: 65...... 5160 48 CFR 395...... 6161 67...... 6910 73 ...... 5339, 5778, 6887 571...... 7858 Ch. 1 ...... 6619 206...... 5957 74...... 4920, 5339 1111...... 6508 212...... 5779 76...... 6491 225...... 5779 46 CFR 78...... 4920 50 CFR 244...... 5779 199...... 7360 90...... 7362 17...... 4925, 5542 252...... 5779 349...... 5158 101...... 4920 18...... 7302 570...... 5166 502...... 6132 20...... 6729 Proposed Rules: 1552...... 5347 510...... 6132 Ch. I ...... 7744 217...... 6729 Proposed Rules: Proposed Rules: 222...... 6729 25...... 4959 225...... 7432 10...... 5197 26...... 4959 679 ...... 5781, 6132, 7168 12...... 5197 36...... 5373, 5957 Proposed Rules: 15...... 5197 51...... 5373, 5957 49 CFR 17...... 5199, 5560 61...... 5373, 5957 31...... 6719 17...... 6930 47 CFR 63...... 4965 171...... 76380 229...... 6931 Ch. I ...... 7690 69...... 5373, 5957 578...... 5167 424...... 6934 1...... 4917, 5757 73 ...... 4959, 5788, 5789, 5790, 1142...... 5170 648...... 5375 25...... 5924 5791, 6926, 6927, 6928, 1186...... 5171 660...... 5792 43...... 5160, 5535 6929, 7203 1310...... 5171 697...... 6935 iv Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Reader Aids

REMINDERS Pratt & Whitney; correction; comments due by 2-27- Telecommunications Act of The items in this list were published 2-20-97 97; published 2-18-97 1996; implementation: editorially compiled as an aid Textron Lycoming; Atlantic shark; comments Common carrier services-- to Federal Register users. correction; published 2-20- due by 2-28-97; published Video programming; Inclusion or exclusion from 97 1-6-97 mandatory closed captioning; comments this list has no legal TRANSPORTATION Atlantic swordfish and shark; due by 2-28-97; significance. DEPARTMENT comments due by 2-28- published 2-3-97 National Highway Traffic 97; published 1-13-97 FEDERAL DEPOSIT Safety Administration DEFENSE DEPARTMENT RULES GOING INTO INSURANCE CORPORATION EFFECT TODAY Motor vehicle safety Technical assistance for public Securities: standards: participation (TAPP) in Transactions; qualification AGRICULTURE Theft protection; automatic defense environmental requirements; comments DEPARTMENT transmission park position restoration activities; due by 2-28-97; published comments due by 2-25-97; Agricultural Marketing test procedure; published 12-30-96 published 12-27-96 Service 1-21-97 FEDERAL RESERVE Oranges, grapefruit, ENVIRONMENTAL SYSTEM tangerines, and tangelos COMMENTS DUE NEXT PROTECTION AGENCY Home Mortgage Disclosure grown in Florida WEEK Air pollutants, hazardous; (Regulation C): Grade standards; published national emission standards: Technical amendments; 1-21-97 Phosphoric acid comments due by 2-25- ADMINISTRATIVE manufacturing and 97; published 12-27-96 ENVIRONMENTAL COMMITTEE OF THE PROTECTION AGENCY phosphate fertilizers Securities: FEDERAL REGISTER production; comments due Transactions; qualification Air quality implementation Federal Register publications: plans; approval and by 2-25-97; published 12- requirements; comments promulgation; various Price changes and 27-96 due by 2-28-97; published States: availability, acceptance of Air pollutants, hazardous; 12-30-96 digital signatures; Truth in lending (Regulation Colorado; published 1-21-97 national emission standards: comments due by 2-25- Z): Hazardous waste: Flexible polyurethane foam; 97; published 12-27-96 Fifteen-year historical Identification and listing-- comments due by 2-25- AGRICULTURE example of rates and Exclusions; published 2- 97; published 12-27-96 DEPARTMENT payments; disclosure; 20-97 Hazardous waste: comments due by 2-28- Animal and Plant Health Pesticides; tolerances in food, State underground storage 97; published 2-4-97 Inspection Service animal feeds, and raw tank program approvals-- HEALTH AND HUMAN agricultural commodities: Interstate transportation of Alabama; comments due SERVICES DEPARTMENT Zinc phosphide; published animals and animal products by 2-24-97; published Food and Drug 2-20-97 (quarantine): 1-24-97 Administration FEDERAL Tuberculosis in cattle and Superfund program: Animal drugs, feeds, and COMMUNICATIONS bison-- Toxic chemical release related products: COMMISSION State and area reporting; community-right- Animal food standards; Common carrier services: classifications; to-know-- Federal regulatory review; Telecommunications Act of comments due by 2-24- Chemical use; comments comments due by 2-24- 1996; implementation-- 97; published 12-26-96 due by 2-28-97; 97; published 11-25-96 In-region, interstate, AGRICULTURE published 1-3-97 Medical foods regulation; domestic interLATA DEPARTMENT comments due by 2-27-97; FEDERAL published 11-29-96 services by Bell Federal Crop Insurance COMMUNICATIONS JUSTICE DEPARTMENT Operating companies; Corporation COMMISSION non-accounting Drug Enforcement Crop insurance regulations: Common carrier services: safeguards; reporting Administration Hybrid sorghum seed and recordkeeping Telecommunications Act of Freight forwarding facilities for endorsement; comments requirements; published 1996; implementation-- DEA distributor registrants; due by 2-28-97; published 1-21-97 Exemption from Section establishment; correction; 12-30-96 HEALTH AND HUMAN 214 requirements; comments due by 2-28-97; SERVICES DEPARTMENT AGRICULTURE definition of phrase ``for published 1-15-97 DEPARTMENT extension of any line''; Food and Drug SECURITIES AND comments due by 2-24- Administration Food Safety and Inspection EXCHANGE COMMISSION 97; published 2-3-97 Food additives: Service Securities: In-region, interstate, Secondary direct food Meat and poultry inspection: Small business and small domestic interLATA additives-- Use of two kinds of poultry organization; definitions; services by Bell comments due by 2-27- Sulphopropyl cellulose; without label change; Operating companies; 97; published 1-28-97 published 2-20-97 comments due by 2-25- 97; published 12-27-96 telecommunications and TRANSPORTATION INTERIOR DEPARTMENT customer premises DEPARTMENT COMMERCE DEPARTMENT Fish and Wildlife Service equipment; comments Coast Guard Endangered and threatened National Oceanic and due by 2-24-97; Anchorage regulations: species: Atmospheric Administration published 1-24-97 New York; comments due Mount Hermon June beetle Fishery conservation and Radio services, special: by 2-25-97; published 12- et al.; published 1-24-97 management: Interactive video and data 27-96 TRANSPORTATION Alaska; fisheries of service licensees-- TRANSPORTATION DEPARTMENT Exclusive Economic Zone- Three year construction DEPARTMENT Federal Aviation - benchmark; waiver; Federal Aviation Administration Bering Sea and Aleutian comments due by 2-25- Administration Airworthiness directives: Islands groundfish; 97; published 2-19-97 Airworthiness directives: Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Reader Aids v

Airbus; comments due by 2- Class D airspace; comments by 2-24-97; published 1-8- TRANSPORTATION 24-97; published 1-13-97 due by 2-27-97; published 97 DEPARTMENT 2-12-97 Airbus Industrie; comments Transportation Statistics Class D and E airspace; TRANSPORTATION due by 2-24-97; published Bureau comments due by 2-26-97; DEPARTMENT 1-14-97 Motor Carrier Financial and published 1-8-97 Operating Data Collection Research and Special Fokker; comments due by Class E airspace; comments Program Negotiated Programs Administration 2-24-97; published 1-14- due by 2-28-97; published Rulemaking Committee: 97 1-31-97 Hazardous materials: Intent to establish; Jetstream; comments due TRANSPORTATION comments due by 2-28- by 2-28-97; published 12- DEPARTMENT Hazardous materials 97; published 1-23-97 National Highway Traffic 17-96 transportation-- TREASURY DEPARTMENT Safety Administration McDonnell Douglas; Comptroller of the Currency Motor vehicle safety Oxygen generators as comments due by 2-24- standards: cargo in passenger Securities: 97; published 1-27-97 Golf carts and other small aircraft; temporary Transactions; qualification Sundstrand Aerospace; light-weight vehicles; prohibition; comments requirements; comments comments due by 2-25- classification as low-speed due by 2-28-97; due by 2-28-97; published 97; published 12-27-96 vehicles; comments due published 12-30-96 12-30-96